Document:

Exhibit 10.3 Consent, Release and Fifth Loan Modification Agreement

Exhibit 10.3

CONSENT, RELEASE AND FIFTH LOAN MODIFICATION AGREEMENT
This Consent, Release and Fifth Loan Modification Agreement (this “Loan Modification Agreement”) is entered into as of January 21, 2014, by and between (i) SILICON VALLEY BANK, a California corporation with a loan production office located at 8020 Towers Crescent Drive, Suite 475, Vienna, Virginia 22182 (“Bank”), and (ii) LUNA INNOVATIONS INCORPORATED, a Delaware corporation (“Innovations”) and LUNA TECHNOLOGIES, INC., a Delaware corporation (“Technologies”), each with offices located at 1 Riverside Circle, Suite 400, Roanoke, Virginia 24016 (Innovations and Technologies are referred to herein, individually and collectively, jointly and severally, the “Borrower”).
1.DESCRIPTION OF EXISTING INDEBTEDNESS AND OBLIGATIONS. Among other indebtedness and obligations which may be owing by Borrower to Bank, Borrower is indebted to Bank pursuant to a loan arrangement dated as of February 18, 2010, evidenced by, among other documents, a certain Loan and Security Agreement dated as of February 18, 2010, between Borrower and Bank, as amended by a certain First Loan Modification Agreement, dated as of March 7, 2011, as further amended by a certain Second Loan Modification Agreement, dated as of May 18, 2011, as further amended by a certain Third Loan Modification Agreement, dated as of June 1, 2012, and as further amended by a certain Fourth Loan Modification Agreement, dated as of March 1, 2013 (as amended, the “Loan Agreement”).  Capitalized terms used but not otherwise defined herein shall have the same meaning as in the Loan Agreement.
2.    DESCRIPTION OF COLLATERAL.  Repayment of the Obligations is secured by the Collateral as described in the Loan Agreement and in certain Intellectual Property Security Agreements executed by each Borrower in favor of Bank (collectively, the “IP Agreements”, and together with any other collateral security granted to Bank, the “Security Documents”). 
Hereinafter, the Security Documents, together with all other documents evidencing or securing the Obligations shall be referred to as the “Existing Loan Documents”.
3.     DESCRIPTION OF CHANGE IN TERMS.
		
	A.
	Modifications to Loan Agreement.

		
	1
	The Loan Agreement shall be amended by deleting the following text appearing as Section 6.9(a) thereof:

“(a)    Minimum Cash.  Borrower’s unrestricted cash at Bank of not less than Five Million Dollars ($5,000,000).”
and inserting in lieu thereof the following:
“(a)    Minimum Cash.  Borrower’s unrestricted cash at Bank of not less than Three Million Five Hundred Thousand Dollars ($3,500,000).”
		
	2
	The loan Agreement shall be amended by inserting the following definitions in Section 13.1 thereof, each in its appropriate alphabetical order:

 “Fifth Loan Modification Effective Date” is January 21, 2014.”
		
	3
	The Compliance Certificate appearing as Exhibit B to the Loan Agreement is hereby replaced with the Compliance Certificate attached as Exhibit A hereto.

4.    CONSENT.  Borrower has requested that Bank consent to the sale by Innovations of certain of its assets to Intuitive Surgical Operations, Inc., a Delaware corporation (the “Purchaser”) pursuant to an Asset Purchase Agreement dated as of January 

Confidential and Proprietary

CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR PORTIONS OF THIS EXHIBIT. THE COPY FILED HEREWITH OMITS THE INFORMATION SUBJECT TO A CONFIDENTIALITY REQUEST. OMISSIONS ARE DESIGNATED [***]. A COMPLETE VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.
 

17, 2014 (the “Purchase Agreement”).  Innovations intends to sell certain Collateral in connection with its Fiber Optic Shape Sensing/Localization technology to Purchaser in accordance with the terms contained in the Purchase Agreement (the “Transaction”).  Absent such consent, the Transaction would be a violation of Section 7.1 (Dispositions) of the Loan Agreement.  Bank hereby consents to the Transaction pursuant to the terms of the Purchase Agreement and agrees that: (i) notwithstanding anything to the contrary contained in Section 7.1 or otherwise in the Loan Agreement, the Transaction shall be permitted under the Loan Agreement, and (ii) notwithstanding anything to the contrary contained in Section 6.4 or otherwise in the Loan Agreement, Borrower shall not be obligated to remit the proceeds of the Transaction to Bank to be applied to the Obligations; provided, however, that Borrower retain at least $12,000,000 of the proceeds from the Transaction on its balance sheet as cash and deposits (a) on the closing date of the Transaction, $6,000,000 of such proceeds in an account of Borrower maintained at Bank and (b) upon receipt, and in any event not later than ninety (90) days after the closing date of the Transaction, $6,000,000 of such proceeds in an account of Borrower maintained at Bank, in each case until used by Borrower in the ordinary course of business.
5.    PARTIAL RELEASE.  Bank hereby fully and unconditionally releases and reassigns to Borrower any and all liens, security interests, right, title and interest of Bank pursuant to the Loan Agreement in certain of the Collateral described on Schedule 1 attached hereto (as more specifically defined in the Purchase Agreement, the “Transferred Assets”), without recourse or representation or warranty, express or implied, of any kind.  Bank authorizes Borrower, Purchaser, or any other party on behalf of Borrower, after review by Bank, to file any UCC-3 Termination Statements or other documents necessary to evidence the release of Bank’s security interests in the Purchased Assets.  In addition, Bank shall take any other actions, as may be reasonably requested by Borrower or which are required to evidence the release of the Purchased Assets, in each case at the expense of Borrower (including all reasonable attorneys’ fees and expenses).
6.    FEES.  Borrower shall reimburse Bank for all legal fees and expenses incurred in connection with this amendment to the Existing Loan Documents. 
7.    RATIFICATION OF IP AGREEMENTS.  Other than with respect to the Purchased Assets being released herein, Borrower hereby ratifies, confirms and reaffirms, all and singular, the terms and conditions of the IP Agreements, and acknowledges, confirms and agrees that said IP Agreements, as modified by certain disclosures made by Borrower to Bank through and including the date hereof, contain an accurate and complete listing of all Intellectual Property Collateral as defined in each respective IP Agreement, and each remains in full force and effect.  Notwithstanding the terms and conditions of any of the IP Agreements, Borrower shall not register any Copyrights or Mask Works in the United States Copyright Office unless it: (i) has given at least fifteen (15) days’ prior written notice to Bank of its intent to register such Copyrights or Mask Works and has provided Bank with a copy of the application it intends to file with the United States Copyright Office (excluding exhibits thereto); (ii) executes a security agreement or such other documents as Bank may reasonably request in order to maintain the perfection and priority of Bank’s security interest in the Copyrights proposed to be registered with the United States Copyright Office; and (iii) records such security documents with the United States Copyright Office contemporaneously with filing the Copyright application(s) with the United States Copyright Office.  Borrower shall promptly provide to Bank a copy of the Copyright application(s) filed with the United States Copyright Office, together with evidence of the recording of the security documents necessary for Bank to maintain the perfection and priority of its security interest in such Copyrights or Mask Works.  Borrower shall provide written notice to Bank of any application filed by Borrower in the United States Patent Trademark Office for a patent or to register a trademark or service mark within thirty (30) days of any such filing.
8.    RATIFICATION OF PERFECTION CERTIFICATE.  Other than with respect to the Purchased Asstes being released herein, Borrower hereby ratifies, confirms and reaffirms, all and singular, the terms and disclosures contained in certain Perfection Certificates, each dated as of February 18, 2010, each as modified by written disclosures made by Borrower to Bank through and including the date hereof, and acknowledges, confirms and agrees the disclosures and information above Borrower provided to Bank in each such Perfection Certificate,  as modified through the date hereof, remains true and correct in all material respects as of the date hereof.
9.    AUTHORIZATION TO FILE.  Borrower hereby authorizes Bank to file UCC financing statements without notice to Borrower, with all appropriate jurisdictions, as Bank deems appropriate, in order to further perfect or protect Bank’s interest in the Collateral, including a notice that any disposition of the Collateral, by either the Borrower or any other Person, shall be deemed to violate the rights of the Bank under the Code. 

Confidential and Proprietary

CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR PORTIONS OF THIS EXHIBIT. THE COPY FILED HEREWITH OMITS THE INFORMATION SUBJECT TO A CONFIDENTIALITY REQUEST. OMISSIONS ARE DESIGNATED [***]. A COMPLETE VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.
 

10.    CONSISTENT CHANGES.  The Existing Loan Documents are hereby amended wherever necessary to reflect the changes described above.
11.    RATIFICATION OF LOAN DOCUMENTS.  Borrower hereby ratifies, confirms, and reaffirms all terms and conditions of the Loan Agreement (as modified by this Loan Modification Agreement), and all security or other collateral granted to the Bank, and confirms that the indebtedness secured thereby includes, without limitation, the Obligations.
12.    NO DEFENSES OF BORROWER.  Borrower hereby acknowledges and agrees that Borrower has no offsets, defenses, claims, or counterclaims against Bank with respect to the Obligations, or otherwise, and that if Borrower now has, or ever did have, any offsets, defenses, claims, or counterclaims against Bank, whether known or unknown, at law or in equity, all of them are hereby expressly WAIVED and Borrower hereby RELEASES Bank from any liability thereunder.
13.    CONTINUING VALIDITY.  Borrower understands and agrees that in modifying the existing Obligations, Bank is relying upon Borrower’s representations, warranties, and agreements, as set forth in the Existing Loan Documents.  Except as expressly modified pursuant to this Loan Modification Agreement, the terms of the Existing Loan Documents remain unchanged and in full force and effect.  Bank’s agreement to modifications to the existing Obligations pursuant to this Loan Modification Agreement in no way shall obligate Bank to make any future modifications to the Obligations.  Nothing in this Loan Modification Agreement shall constitute a satisfaction of the Obligations.  It is the intention of Bank and Borrower to retain as liable parties all makers of Existing Loan Documents, unless the party is expressly released by Bank in writing.  No maker will be released by virtue of this Loan Modification Agreement.
14.    JURISDICTION/VENUE.  Section 11 of the Loan Agreement is hereby incorporated by reference in its entirety.
15.    COUNTERSIGNATURE.  This Loan Modification Agreement shall become effective only when it shall have been executed by Borrower and Bank.
[Signatures included on the following page]

Confidential and Proprietary

CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR PORTIONS OF THIS EXHIBIT. THE COPY FILED HEREWITH OMITS THE INFORMATION SUBJECT TO A CONFIDENTIALITY REQUEST. OMISSIONS ARE DESIGNATED [***]. A COMPLETE VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.
 

IN WITNESS WHEREOF, the parties hereto have caused this Loan Modification Agreement to be executed as a sealed instrument under the laws of the Commonwealth of Massachusetts as of the date first above written.

BORROWER:
LUNA INNOVATIONS INCORPORATED
By    /s/ Kent A. Murphy         
Name:  Kent A. Murphy               
Title:    President and CEO
LUNA TECHNOLOGIES, INC.
By    /s/ Scott A. Graeff         
Name:  Scott A. Graeff              
Title:    President                 
BANK:
SILICON VALLEY BANK
By:    /s/ Alicia Fuller         
Name:    Alicia Fuller      
Title:    Vice President

Confidential and Proprietary

CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR PORTIONS OF THIS EXHIBIT. THE COPY FILED HEREWITH OMITS THE INFORMATION SUBJECT TO A CONFIDENTIALITY REQUEST. OMISSIONS ARE DESIGNATED [***]. A COMPLETE VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.
 

SCHEDULE 1
TRANSFERRED ASSETS

[***]

Confidential and Proprietary

CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR PORTIONS OF THIS EXHIBIT. THE COPY FILED HEREWITH OMITS THE INFORMATION SUBJECT TO A CONFIDENTIALITY REQUEST. OMISSIONS ARE DESIGNATED [***]. A COMPLETE VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.
 

Exhibit A to Fifth Loan Modification Agreement
EXHIBIT B
COMPLIANCE CERTIFICATE

TO:    SILICON VALLEY BANK                        Date:                  
FROM:      LUNA INNOVATIONS INCORPORATED 
    LUNA TECHNOLOGIES, INC.

The undersigned authorized officer of Luna Innovations Incorporated, a Delaware corporation, and Luna Technologies, Inc., a Delaware corporation (individually and collectively, jointly and severally, the “Borrower”) certifies that under the terms and conditions of the Loan and Security Agreement between Borrower and Bank (the “Agreement”), (1) Borrower is in complete compliance for the period ending _______________ with all required covenants except as noted below, (2) there are no Events of Default, (3) all representations and warranties in the Agreement are true and correct in all material respects on this date except as noted below; provided, however, that such materiality qualifier shall not be applicable to any representations and warranties that already are qualified or modified by materiality in the text thereof; and provided, further that those representations and warranties expressly referring to a specific date shall be true, accurate and complete in all material respects as of such date, (4) Borrower, and each of its Subsidiaries, has timely filed all required tax returns and reports, and Borrower has timely paid all foreign, federal, state and local taxes, assessments, deposits and contributions owed by Borrower except as otherwise permitted pursuant to the terms of Section 5.9 of the Agreement, and (5) no Liens have been levied or claims made against Borrower or any of its Subsidiaries, if any, relating to unpaid employee payroll or benefits of which Borrower has not previously provided written notification to Bank.  Attached are the required documents supporting the certification.  The undersigned certifies that these are prepared in accordance with GAAP consistently applied from one period to the next except as explained in an accompanying letter or footnotes.  The undersigned acknowledges that no borrowings may be requested at any time or date of determination that Borrower is not in compliance with any of the terms of the Agreement, and that compliance is determined not just at the date this certificate is delivered.  Capitalized terms used but not otherwise defined herein shall have the meanings given them in the Agreement.
	
			
	Please indicate compliance status by circling Yes/No under “Complies” column.

	 

	Reporting Covenant
	Required
	Complies

	 
	 
	 

	Monthly financial statements with  
Compliance Certificate
	Monthly within 30 days
	Yes   No

	Annual financial statement (CPA Audited) + CC
	FYE within 120 days
	Yes   No

	10‐Q, 10‐K and 8-K
	Within 5 days after filing with SEC
	Yes   No

	A/R & A/P Agings, Deferred Revenue/billings in 
excess of cost report/project identifiers for Assignments of Claim tracking purposes
	Monthly within 15 days
	Yes   No

	Transaction Reports
	Bi-weekly (monthly with 30 days 
during a Streamline Period) and with each 
request for an advance
	Yes   No

	Projections
	FYE within 30 days, and as amended
	Yes   No

	 

	

The following Intellectual Property was registered after the Effective Date (if no registrations, state “None”)
____________________________________________________________________________

Confidential and Proprietary

CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR PORTIONS OF THIS EXHIBIT. THE COPY FILED HEREWITH OMITS THE INFORMATION SUBJECT TO A CONFIDENTIALITY REQUEST. OMISSIONS ARE DESIGNATED [***]. A COMPLETE VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.

	
				
	Financial Covenant
	Required
	Actual
	Complies

	 
	 
	 
	 

	Maintain as indicated:
	 
	 
	 

	Minimum Cash
	$3,500,000
	$_______
	Yes   No

    

Confidential and Proprietary

CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR PORTIONS OF THIS EXHIBIT. THE COPY FILED HEREWITH OMITS THE INFORMATION SUBJECT TO A CONFIDENTIALITY REQUEST. OMISSIONS ARE DESIGNATED [***]. A COMPLETE VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.

The following financial covenant analyses and information set forth in Schedule 1 attached hereto are true and accurate as of the date of this Certificate.

The following are the exceptions with respect to the certification above: (If no exceptions exist, state “No exceptions to note.”)

---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

	
		
	LUNA INNOVATIONS INCORPORATED
LUNA TECHNOLOGIES, INC.

By:    
Name:    
Title:    

	BANK USE ONLY

Received by: _____________________
AUTHORIZED SIGNER
Date:    _________________________

Verified: ________________________
AUTHORIZED SIGNER
Date:    _________________________

Compliance Status:   Yes     No

Confidential and Proprietary

CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR PORTIONS OF THIS EXHIBIT. THE COPY FILED HEREWITH OMITS THE INFORMATION SUBJECT TO A CONFIDENTIALITY REQUEST. OMISSIONS ARE DESIGNATED [***]. A COMPLETE VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.

Schedule 1 to Compliance Certificate

Financial Covenants of Borrower

Dated:    ____________________

I.    Minimum Cash (Section 6.9(a))

		
	Required:
	Borrower shall maintain at all times unrestricted cash at Bank of not less than Three Million Five Hundred Thousand Dollars ($3,500,000).

Actual:

	
			
	A.
	Aggregate value of Borrower’s unrestricted cash at Bank
	$   

Is line A equal to or greater than $3,500,000?

  No, not in compliance                          Yes, in compliance

Confidential and Proprietary

CONFIDENTIAL TREATMENT HAS BEEN REQUESTED FOR PORTIONS OF THIS EXHIBIT. THE COPY FILED HEREWITH OMITS THE INFORMATION SUBJECT TO A CONFIDENTIALITY REQUEST. OMISSIONS ARE DESIGNATED [***]. A COMPLETE VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECURITIES AND EXCHANGE COMMISSION.ANR 8-K 05-12-14 Exhibit 10.1

Exhibit 10.1
EXECUTION VERSION

AMENDMENT NO. 2 
TO 
FOURTH AMENDED AND RESTATED CREDIT AGREEMENT
This Amendment No. 2 to Fourth Amended and Restated Credit Agreement, dated as of May 7, 2014 (this “Amendment”), is entered into among ALPHA NATURAL RESOURCES, INC., a Delaware corporation (the “Borrower”), the Lenders party hereto and Citicorp North America, Inc., a Delaware corporation, in its capacity as administrative agent for the Lenders and as collateral agent for the Secured Parties (in such capacity, the “Administrative Agent”), and amends the Fourth Amended and Restated Credit Agreement dated as of May 22, 2013 (as amended by Amendment No. 1 dated October 2, 2013 and as further amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”) entered into among the Borrower, the Lenders party thereto from time to time, the Issuing Banks party thereto from time to time, the Administrative Agent and the other parties thereto.  Capitalized terms used herein and not otherwise defined herein shall have the meanings ascribed to them in the Credit Agreement.
W I T N E S S E T H:
WHEREAS, the Borrower has requested that the Revolving Facility Lenders amend the Credit Agreement in the manner set forth in Section 1 below; 
WHEREAS, the Borrower has requested that the Lenders amend the Credit Agreement in the manner set forth in Section 2 below;
WHEREAS, the Revolving Facility Lenders and the Lenders are willing to amend the Credit Agreement to effect the changes set forth in Sections 1 and 2 below;
NOW, THEREFORE, in consideration of these premises and for other good and valuable consideration (the receipt and sufficiency of which is hereby acknowledged), the parties hereto hereby agree as follows:
Section 1.Revolving Facility Lender Amendments to the Credit Agreement 
(a)    Revolving Facility Lender Amendments.  The Credit Agreement shall be amended as follows (the amendments in this Section 1(a), the “Revolving Facility Lender Amendments”):
(i)    Section 1.1 of the Credit Agreement shall be amended by inserting the following definitions in alphabetical order.
 “Amendment No. 2” shall mean Amendment No. 2 to this Agreement dated as of May 7, 2014.
“Amendment No. 2 Effective Date” shall mean May 7, 2014.
(ii)    During any period in which the Revolving Facility Lender Amendments are effective but the Required Lender Amendments (as defined in Section 2(a) hereof) are not effective, the definition of “Consolidated Net Income” in Section 1.1 of the Credit Agreement shall be amended by deleting “and” at the end of clause (xii), replacing the period at the end of clause (xiii) with “and”, and adding the following:

“(xiv)    notwithstanding any other provision in this definition to the contrary, solely for purposes of determining compliance with Sections 6.10, 6.11 or 6.15 of this Agreement, any net after-tax loss (less all fees and expenses or charges relating thereto) attributable to Qualifying Asset Dispositions shall be excluded.”
(iii)    During any period in which the Revolving Facility Lender Amendments are effective but the Required Lender Amendments are not effective, Section 1.1 of the Credit Agreement shall be amended by deleting the definition of “Consolidated Senior Secured Debt” in its entirety and replacing it with the following:
“Consolidated Senior Secured Debt” shall mean, as of any date of determination, (a) solely for purposes of determining compliance with Sections 6.10, 6.11 or 6.15 of this Agreement: the aggregate principal amount of Consolidated Net Debt that is not Subordinated Indebtedness on such date and that is secured by a first priority Lien and (b) for all other purposes under this Agreement: the aggregate principal amount of Consolidated Net Debt that is not Subordinated Indebtedness on such date and that is secured by a Lien.
(iv)    Section 1.1 of the Credit Agreement shall be amended by inserting the following definition in alphabetical order:
“Qualifying Asset Disposition” shall mean any sale, transfer or other disposition by the Borrower or any of the Restricted Subsidiaries to any person other than the Borrower or any other Restricted Subsidiary of any asset or group of related assets, including Equity Interests of any Subsidiary, in one or a series of related transactions that the Borrower, in its sole discretion, elects to treat as a Qualifying Asset Disposition and as to which the Borrower delivers to the Administrative Agent an officers’ certificate specifying that such sale is a Qualifying Asset Disposition and the amount of Net Cash Proceeds in respect of such Qualifying Asset Disposition; provided that the Net Cash Proceeds in respect of Qualifying Asset Dispositions from and after the Amendment No. 2 Effective Date shall not exceed $350 million.
(v)    Section 6.10 of the Credit Agreement shall be amended by deleting it in its entirety and replacing it with the following:
“Permit the Interest Coverage Ratio as of the last day of any fiscal quarter of the Borrower ending on the date set forth below to be less than the ratio corresponding to such fiscal quarter:
	
		
	Fiscal Quarter Ending
	Minimum Interest  
Coverage Ratio

	March 31, 2016
	1.25:1.00

(vi)    Section 6.15 of the Credit Agreement shall be amended by deleting “December 31, 2014” and replacing it with “December 31, 2015”.

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(b)    Conditions Precedent to the Effectiveness of the Revolving Facility Lender Amendments.  The Revolving Facility Lender Amendments shall become effective as of the Amendment No. 2 Effective Date when, and only when, each of the following conditions precedent shall have been satisfied or waived by the Administrative Agent (the “Revolving Facility Lender Closing Date”):
(i)Executed Counterparts.  The Administrative Agent shall have received this Amendment, duly executed by the Borrower, the Subsidiary Guarantors, the Administrative Agent, the Collateral Agent and the Majority Lenders under the Revolving Facility on or prior to 2:00 P.M. New York City time on May 7, 2014 (the “Revolving Facility Consent Deadline”);
(ii)Consenting Revolving Facility Lender Fees.  The Revolving Facility Lenders who have returned an executed signature page to this Amendment (“Consenting Revolving Facility Lenders”) to the Administrative Agent on or prior to the Revolving Facility Consent Deadline shall have received a fee equal to 0.25% of the aggregate principal amount of the Revolving Facility Commitments held by such Consenting Revolving Facility Lenders as of the Revolving Facility Consent Deadline.
(iii)Reimbursement of Expenses.  The Borrower shall have paid to the Administrative Agent all reasonable out-of-pocket expenses incurred by the Administrative Agent and invoiced to the Borrower prior to the Revolving Facility Lender Closing Date in connection with the preparation, reproduction, execution and delivery of this Amendment (including, without limitation the reasonable fees, charges and disbursements of Cahill Gordon & Reindel LLP, special counsel to the Administrative Agent);
(iv)Representations and Warranties.  The representations and warranties set forth in Section 4 of this Amendment shall be true and correct and the Administrative Agent shall have received a certificate to that effect from a Responsible Officer of the Borrower; 
(v)Opinion of Counsel.  The Administrative Agent shall have received, on behalf of itself, the Collateral Agent, the Lenders and each Issuing Bank on the Revolving Facility Lender Closing Date, a favorable written opinion of Cleary Gottlieb Steen and Hamilton LLP, special counsel for the Borrower, addressed to the Administrative Agent, the Collateral Agent, each Issuing Bank and the Lenders and in form and substance reasonably satisfactory to the Administrative Agent;  and
(vi)The Borrower shall have issued at least $400 million in principal amount of Permitted Junior Notes on or prior to December 31, 2014.
Section 2.    Required Lender Amendments to the Credit Agreement 
(a)    Required Lender Amendments.  The Credit Agreement shall be amended as follows (the amendments in this Section 2(a), the “Required Lender Amendments”):
(i)    Section 1.1 of the Credit Agreement shall be amended by deleting the definition of “Consolidated Gross Senior Secured Debt” in its entirety and replacing it with the following:
“Consolidated Gross Senior Secured Debt” shall mean, as of any date of  determination, the aggregate principal amount of Consolidated Debt that is not Subordinated Indebtedness on such date and that is secured by a first priority Lien.

-3-

(ii)    Section 1.1 of the Credit Agreement shall be amended by deleting clause (xiv) of the definition of “Consolidated Net Income” (as added by the Revolving Facility Lender Amendments) in its entirety and replacing it with the following:
“(xiv)    notwithstanding any other provision in this definition to the contrary, any net after-tax loss (less all fees and expenses or charges relating thereto) attributable to Qualifying Asset Dispositions shall be excluded.”
(iii)    Section 1.1 of the Credit Agreement shall be amended by deleting the definition of “Consolidated Senior Secured Debt” (as amended by the Revolving Facility Lender Amendments) in its entirety and replacing it with the following:
“Consolidated Senior Secured Debt” shall mean, as of any date of determination, the aggregate principal amount of Consolidated Net Debt that is not Subordinated Indebtedness on such date and that is secured by a first priority Lien.”
(iv)    Section 1.1 of the Credit Agreement shall be amended by inserting the following definition in alphabetical order:
“Permitted Junior Notes” means Permitted Notes that are: (i) unsecured senior or senior subordinated debt securities of the Borrower (including as debt securities any Indebtedness incurred pursuant to a credit agreement) or (ii) debt securities of the Borrower (including as debt securities any Indebtedness incurred pursuant to a credit agreement) that are secured by a Lien on the Collateral ranking junior to the Liens securing the Obligations pursuant to a Second Lien Intercreditor Agreement.
(v)    Section 1.1 of the Credit Agreement shall be amended by deleting the definition of “Permitted Notes” in its entirety and replacing it with the following:
“Permitted Notes” means (i) unsecured senior or senior subordinated debt securities of the Borrower (including as debt securities any Indebtedness incurred pursuant to a credit agreement), (ii) debt securities of the Borrower (including as debt securities any Indebtedness incurred pursuant to a credit agreement)  that are secured by a Lien on the Collateral ranking junior to the Liens securing the Obligations pursuant to a Second Lien Intercreditor Agreement or (iii) debt securities of the Borrower that are secured by a Lien ranking pari passu with the Liens securing the Obligations pursuant to a First Lien Intercreditor Agreement; provided that (a) in the case of debt securities issued in reliance on Section 6.02(f)(i), such debt securities are issued for cash consideration, (b) the terms of such debt securities do not provide for any scheduled repayment, mandatory redemption or sinking fund obligations prior to the Maturity Date of the Term B Loan Facility (other than (i) customary offers to repurchase upon a change of control, asset sale or event of loss and (ii) customary acceleration rights after an event of default), (c) the covenants, events of default, guarantees, collateral and other terms of which (other than interest rate and redemption premiums), taken as a whole, are not more restrictive to the Borrower and the Restricted Subsidiaries than those in this Agreement; provided that a certificate of a Responsible Officer of the Borrower delivered to the Administrative Agent at least three Business Days (or such shorter period as the Administrative Agent may reasonably agree) prior to the incurrence of such debt securities, together with a reasonably detailed description of the material terms and conditions of such debt securities or drafts of the documentation relating thereto, stating that the Borrower has 

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determined in good faith that such terms and conditions satisfy the foregoing requirement shall be conclusive evidence that such terms and conditions satisfy the foregoing requirement, (d) at the time that any such Permitted Notes are issued (and after giving effect thereto) no Event of Default shall exist, (e) the Borrower shall be in compliance with Sections 6.10, 6.11 and 6.15, if and as applicable at such time, and after giving effect thereto on a Pro Forma Basis as if such incurrence had occurred on the first day of the most recent period of four consecutive fiscal quarters for which financial statements have been delivered pursuant to Section 5.04(a) or (b) and (f) no Subsidiary of the Borrower (other than a Guarantor) shall be an obligor under the Permitted Notes and no Permitted Notes shall be secured by any collateral other than the Collateral.
(vi)    Section 1.1of the Credit Agreement shall be amended by deleting “$1,000 million” in the last sentence of the definition of “Revolving Facility Commitment Capacity” and replacing it with “$1,100 million”.
(vii)    Section 2.20(a)(ii) of the Credit Agreement shall be amended by deleting “(and if Section 6.10 shall not be applicable at such time, the Interest Coverage Ratio shall not be less than 2.00:1.00)”.
(viii)    Section 2.20(a)(iii) of the Credit Agreement shall be amended by deleting it in its entirety and replacing it with the following:
“(iii)    The sum of the outstanding Additional Revolving Facility Commitments and the principal amount outstanding of Additional Term Loans, when aggregated with the principal amount outstanding of Permitted Notes, shall not exceed $800 million plus the Revolving Facility Commitment Capacity; provided that this limitation shall be increased by (x) $750 million if, at the time of such increase, after giving effect on a Pro Forma Basis to Additional Revolving Facility Commitments (other than Additional Revolving Facility Commitments utilizing Revolving Facility Commitment Capacity) as if they were fully drawn on the first day of the most recent period of four consecutive fiscal quarters for which financial statements have been delivered pursuant to Section 5.04(a) or (b), and to the incurrence of Additional Term Loans and Permitted Notes as if such incurrence had occurred on such day, the Gross Senior Secured Leverage Ratio shall not be in excess of 2.00 to 1.00 and (y) an additional $750 million if, at the time of such increase, after giving effect on a Pro Forma Basis to Additional Revolving Facility Commitments (other than Additional Revolving Facility Commitments utilizing Revolving Facility Commitment Capacity) as if they were fully drawn on the first day of the most recent period of four consecutive fiscal quarters for which financial statements have been delivered pursuant to Section 5.04(a) or (b), and to the incurrence of Additional Term Loans and Permitted Notes as if such incurrence had occurred on such day, the Gross Senior Secured Leverage Ratio shall not be in excess of 1.00 to 1.00; provided further that there shall be no Additional Term Loans until the Borrower shall have issued at least $800 million in principal amount of Permitted Junior Notes.”
(ix)    Section 6.02(f) of the Credit Agreement shall be amended by deleting it in its entirety and replacing it with the following:
“(i) Permitted Notes in an aggregate outstanding principal amount, when aggregated with the amount of Additional Term Loans and Additional Revolving Facility 

-5-

Commitments outstanding pursuant to Section 2.20, not to exceed $800 million plus the Revolving Facility Commitment Capacity; provided that this limitation shall be increased by (x) $750 million if, at the time of such incurrence, after giving effect on a Pro Forma Basis to such incurrence and to the incurrence of any Additional Term Loans and any Additional Revolving Facility Commitments (other than Additional Revolving Facility Commitments utilizing Revolving Facility Commitment Capacity) as if they were fully drawn on the first day of the most recent period of four consecutive fiscal quarters for which financial statements have been delivered pursuant to Section 5.04(a) or (b) as if such incurrence had occurred on such day, the Gross Senior Secured Leverage Ratio shall not be in excess of 2.00 to 1.00 and (y) an additional $750 million if, at the time of such incurrence, after giving effect on a Pro Forma Basis to such incurrence and to the incurrence of any Additional Term Loans and any Additional Revolving Facility Commitments (other than Additional Revolving Facility Commitments utilizing Revolving Facility Commitment Capacity) as if they were fully drawn on the first day of the most recent period of four consecutive fiscal quarters for which financial statements have been delivered pursuant to Section 5.04(a) or (b) as if such incurrence had occurred on such day, the Gross Senior Secured Leverage Ratio shall not be in excess of 1.00 to 1.00; provided further that the first $800 million principal amount of Permitted Notes shall be issued in the form of Permitted Junior Notes; (ii) Permitted Notes in excess of the amount permitted under the foregoing clause (i), the Net Cash Proceeds of which are applied to the permanent repayment of Term B Loans pursuant to Section 2.11; and (iii) in the case of Permitted Notes incurred under any of the foregoing clauses (i) and (ii), Permitted Refinancing Indebtedness in respect thereof;”
(x)    Section 6.06(b)(ii) of the Credit Agreement shall be amended by deleting it in its entirety and replacing it with the following:
 “(ii)    other Restricted Payments in an aggregate amount not to exceed (i) $100 million or (ii) if the Senior Secured Leverage Ratio exceeds 2.00 to 1.00, $50 million, in each case since the Third Amendment Effective Date;”
(b)    Conditions Precedent to the Effectiveness of the Required Lender Amendments.  The Required Lender Amendments will become effective as of the Amendment No. 2 Effective Date when, and only when, the Revolving Facility Lender Amendments shall have become effective as specified in Section 1(b) hereof and each of the following conditions precedent shall have been satisfied or waived by the Administrative Agent (the “Required Lender Closing Date”):
(i)Executed Counterparts.  The Administrative Agent shall have received this Amendment, duly executed by the Required Lenders (including in calculating Required Lenders the Consenting Revolving Facility Lenders), on or prior to 5:00 P.M. New York City time on May 12, 2014 (the “Required Lenders Consent Deadline”); 
(ii)Term B Loan Lender Fees.  The Term B Loan Lenders who have returned an executed signature page to this Amendment (“Consenting Term B Loan Lenders”) to the Administrative Agent (x) on or prior to 5:00 P.M. New York City time on May 9, 2014 (the “Early Required Lenders Consent Deadline”) shall have received a fee equal to 0.25 % of the aggregate principal amount of the Term B Loans held by such Consenting Term B Loan Lenders as of the Early Required Lenders Consent Deadline or (y) on or prior to the Required Lenders Consent Deadline shall have received a fee equal to 0.125 % of the aggregate principal amount of 

-6-

the Term B Loans held by such Consenting Term B Loan Lenders as of the Required Lenders Consent Deadline; 
(iii)Representations and Warranties.  The representations and warranties set forth in Section 4 of this Amendment shall be true and correct and the Administrative Agent shall have received a certificate to that effect from a Responsible Officer of the Borrower; and
(iv)The Borrower shall have issued at least $400 million in principal amount of Permitted Junior Notes on or prior to December 31, 2014.
Section 3.    Notice of Effectiveness  
The Administrative Agent shall notify the Borrower and the Lenders of the Revolving Facility Lender Closing Date and the Required Lender Closing Date promptly upon the occurrence thereof, and such notice shall be conclusive and binding.
Section 4.    Representations and Warranties
On and as of the Revolving Facility Lender Closing Date and Required Lender Closing Date, after giving effect to this Amendment, the Borrower hereby represents and warrants to the Administrative Agent and each Lender as follows:
(a)    this Amendment has been duly authorized, executed and delivered by the Borrower and constitutes the legal, valid and binding obligations of the Borrower enforceable against the Borrower in accordance with its terms, and the Credit Agreement, as amended by this Amendment, constitutes the legal, valid and binding obligation of the Borrower enforceable against the Borrower in accordance with its terms, in each case, subject to (i) the effects of bankruptcy, insolvency, moratorium, reorganization, fraudulent conveyance or other similar laws affecting creditors’ rights generally, (ii) general principles of equity (regardless of whether such enforceability is considered in a proceeding in equity or at law) and (iii) implied covenants of good faith and fair dealing;
(b)    each of the representations and warranties contained in Article III (Representations and Warranties) of the Credit Agreement and each other Loan Document is true and correct in all material respects on and as of the Revolving Facility Lender Closing Date and Required Lender Closing Date, as if made on and as of such date, except to the extent that such representations and warranties expressly relate to an earlier date, in which case such representations and warranties shall be true and correct in all material respects as of such earlier date; provided, however, that references therein to the “Credit Agreement” shall be deemed to refer to the Credit Agreement as amended hereby and after giving effect to the consents and waivers set forth herein; and
(c)    no Default or Event of Default has occurred and is continuing.
Section 5.    Fees and Expenses
The Borrower and each other Loan Party agrees to pay on demand in accordance with the terms of Section 9.05 (Expenses; Indemnity) of the Credit Agreement all reasonable out-of-pocket expenses of the Administrative Agent in connection with the preparation, reproduction, execution and 

-7-

delivery of this Amendment (including, without limitation, the reasonable fees and out-of-pocket expenses of counsel for the Administrative Agent with respect thereto).
Section 6.    Reference to the Effect on the Loan Documents
(a)    As of each of the Revolving Facility Lender Closing Date and the Required Lender Closing 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 (including, without limitation, by means of words like “thereunder,” “thereof” and words of like import), 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.  
(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.
(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 Borrower or the Administrative Agent under any of the Loan Documents, nor constitute a waiver or amendment of any other provision of any of the Loan Documents or for any purpose except as expressly set forth herein.
(d)    This Amendment is a Loan Document.
Section 7.    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.
Section 8.    Affirmation of Guarantee and Collateral Agreement and Other Obligations
Each Loan Party (other than the Borrower) hereby consents to the amendments to the Credit Agreement effected hereby, and hereby confirms and agrees that, notwithstanding the effectiveness of this Amendment, the obligations of such Loan Party contained in the Guarantee and Collateral Agreement, or in any other Loan Documents to which it is a party are, and shall remain, in full force and effect and are hereby ratified and confirmed in all respects and the Collateral and the Loan Documents shall continue to secure, guarantee, support and otherwise benefit the Obligations and the of the Borrower and the other Loan Parties under this Agreement and the other Loan Documents.
Section 9.    Governing Law
This Amendment shall be construed in accordance with and governed by the laws of the State of New York.
Section 10.    Section Titles

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The section titles contained in this Amendment are and shall be without substantive meaning or content of any kind whatsoever and are not a part of the agreement between the parties hereto, except when used to reference a section.  Any reference to the number of a clause, sub-clause or subsection of any Loan Document immediately followed by a reference in parenthesis to the title of the section of such Loan Document containing such clause, sub-clause or subsection is a reference to such clause, sub-clause or subsection and not to the entire section; provided, however, that, in case of direct conflict between the reference to the title and the reference to the number of such section, the reference to the title shall govern absent manifest error.  If any reference to the number of a section (but not to any clause, sub-clause or subsection thereof) of any Loan Document is followed immediately by a reference in parenthesis to the title of a section of any Loan Document, the title reference shall govern in case of direct conflict absent manifest error.
Section 11.    Notices
All communications and notices hereunder shall be given as provided in the Credit Agreement.
Section 12.    Severability
The fact that any term or provision of this Agreement is held invalid, illegal or unenforceable as to any person in any situation in any jurisdiction shall not affect the validity, enforceability or legality of the remaining terms or provisions hereof or the validity, enforceability or legality of such offending term or provision in any other situation or jurisdiction or as applied to any other person.
Section 13.    Successors
The terms of this Amendment shall be binding upon, and shall inure to the benefit of, the parties hereto and their respective successors and assigns.
Section 14.    Waiver of Jury Trial
Each of the parties hereto irrevocably waives trial by jury in any action or proceeding with respect to this Amendment or any other Loan Document.
[SIGNATURE PAGES FOLLOW]

-9-

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.
ALPHA NATURAL RESOURCES, INC.,  
as the Borrower
	
					
	 
	 
	By:
	 
	/s/ Vaughn R. Groves

	 
	 
	 
	 
	Name: Vaughn R. Groves

	 
	 
	 
	 
	Title: Executive Vice President, General

	 
	 
	 
	 
	          Counsel and Secretary

[Signature Page to Amendment No. 2]

A. T. MASSEY COAL COMPANY, INC.
ALEX ENERGY, INC.
ALPHA AMERICAN COAL COMPANY, LLC
ALPHA AMERICAN COAL HOLDING, LLC
ALPHA APPALACHIA SERVICES, INC.
ALPHA AUSTRALIA, LLC
ALPHA AUSTRALIA SERVICES, LLC
ALPHA COAL RESOURCES COMPANY, LLC
ALPHA COAL SALES CO., LLC
ALPHA COAL WEST, INC.
ALPHA EUROPEAN SALES, INC.
ALPHA GAS AND OIL COMPANY
ALPHA INDIA, LLC
ALPHA LAND AND RESERVES, LLC
ALPHA MIDWEST HOLDING COMPANY
ALPHA PA COAL TERMINAL, LLC
ALPHA SHIPPING AND CHARTERING, LLC 
ALPHA TERMINAL COMPANY, LLC 
ALPHA WYOMING LAND COMPANY, LLC
AMFIRE, LLC
AMFIRE HOLDINGS, LLC
AMFIRE MINING COMPANY, LLC
APPALACHIA COAL SALES COMPANY, INC.
APPALACHIA HOLDING COMPANY
ARACOMA COAL COMPANY, INC.
AXIOM EXCAVATING AND GRADING SERVICES, LLC
BANDMILL COAL CORPORATION
BANDYTOWN COAL COMPANY
BARBARA HOLDINGS INC.
BARNABUS LAND COMPANY
BELFRY COAL CORPORATION
BEN CREEK COAL COMPANY
BIG BEAR MINING COMPANY
BLACK CASTLE MINING COMPANY, INC.
BLACK DOG COAL, LLC
BLACK KING MINE DEVELOPMENT CO.
BLACK MOUNTAIN CUMBERLAND RESOURCES, INC.
BOONE EAST DEVELOPMENT CO.
BROOKS RUN MINING COMPANY, LLC
BROOKS RUN SOUTH MINING, LLC
BUCHANAN ENERGY COMPANY, LLC
CASTLE GATE HOLDING COMPANY
CENTRAL PENN ENERGY COMPANY, INC.
CLEAR FORK COAL COMPANY
CORAL ENERGY SERVICES, LLC
CRYSTAL FUELS COMPANY
DEHUE COAL COMPANY
DELBARTON MINING COMPANY

[Signature Page to Amendment No. 2]

DELTA MINE HOLDING COMPANY
DICKENSON-RUSSELL COAL COMPANY, LLC
DICKENSON-RUSSELL LAND AND RESERVES, LLC
DRIH CORPORATION
DRY SYSTEMS TECHNOLOGIES, INC.
DUCHESS COAL COMPANY
EAGLE ENERGY, INC.
ELK RUN COAL COMPANY, INC.
ENTERPRISE MINING COMPANY, LLC
ESPERANZA COAL CO., LLC
FOUNDATION MINING, LLC
FOUNDATION PA COAL COMPANY, LLC
FOUNDATION ROYALTY COMPANY
FREEPORT MINING, LLC
FREEPORT RESOURCES COMPANY, LLC
GOALS COAL COMPANY
GREEN VALLEY COAL COMPANY
GREYEAGLE COAL COMPANY
HARLAN RECLAMATION SERVICES LLC
HERNDON PROCESSING COMPANY, LLC
HIGHLAND MINING COMPANY
HOPKINS CREEK COAL COMPANY
INDEPENDENCE COAL COMPANY, INC.
JACKS BRANCH COAL COMPANY
JAY CREEK HOLDING, LLC
JOBONER COAL COMPANY
KANAWHA ENERGY COMPANY
KEPLER PROCESSING COMPANY, LLC
KINGSTON MINING, INC.
KINGWOOD MINING COMPANY, LLC
KNOX CREEK COAL CORPORATION
LAUREN LAND COMPANY
LAXARE, INC.
LITWAR PROCESSING COMPANY, LLC
LOGAN COUNTY MINE SERVICES, INC.
LONG FORK COAL COMPANY
LYNN BRANCH COAL COMPANY, INC.
MAPLE MEADOW MINING COMPANY
MARFORK COAL COMPANY, INC.
MARTIN COUNTY COAL CORPORATION
MAXXIM REBUILD CO., LLC
MAXXIM SHARED SERVICES, LLC
MAXXUM CARBON RESOURCES, LLC
MCDOWELL-WYOMING COAL COMPANY, LLC
MILL BRANCH COAL CORPORATION
NEW RIDGE MINING COMPANY
NEW RIVER ENERGY CORPORATION
NEWEAGLE INDUSTRIES, INC.
NICEWONDER CONTRACTING, INC.

[Signature Page to Amendment No. 2]

NORTH FORK COAL CORPORATION
OMAR MINING COMPANY
PARAMONT COAL COMPANY VIRGINIA, LLC
PAYNTER BRANCH MINING, INC.
PEERLESS EAGLE COAL CO.
PENNSYLVANIA LAND HOLDINGS COMPANY, LLC
PENNSYLVANIA SERVICES CORPORATION
PERFORMANCE COAL COMPANY
PETER CAVE MINING COMPANY
PIGEON CREEK PROCESSING CORPORATION
PILGRIM MINING COMPANY, INC.
PIONEER FUEL CORPORATION
PLATEAU MINING CORPORATION
POWER MOUNTAIN COAL COMPANY
PREMIUM ENERGY, LLC
RAWL SALES & PROCESSING CO.
REPUBLIC ENERGY, INC.
RESOURCE DEVELOPMENT LLC
RESOURCE LAND COMPANY LLC
RIVER PROCESSING CORPORATION
RIVERSIDE ENERGY COMPANY, LLC
RIVERTON COAL PRODUCTION INC.
ROAD FORK DEVELOPMENT COMPANY, INC.
ROBINSON-PHILLIPS COAL COMPANY
ROCKSPRING DEVELOPMENT, INC.
ROSTRAVER ENERGY COMPANY
RUM CREEK COAL SALES, INC.
RUSSELL FORK COAL COMPANY
SCARLET DEVELOPMENT COMPANY
SHANNON-POCAHONTAS COAL CORPORATION
SIDNEY COAL COMPANY, INC.
SOLOMONS MINING COMPANY
SPARTAN MINING COMPANY
STIRRAT COAL COMPANY
SYCAMORE FUELS, INC.
T. C. H. COAL CO.
TENNESSEE CONSOLIDATED COAL COMPANY
TENNESSEE ENERGY CORP.
TOWN CREEK COAL COMPANY
TRACE CREEK COAL COMPANY
TUCSON LIMITED LIABILITY COMPANY
TWIN STAR MINING, INC.
VANTAGE MINING COMPANY
WABASH MINE HOLDING COMPANY
WARRICK HOLDING COMPANY
WEST KENTUCKY ENERGY COMPANY
WHITE BUCK COAL COMPANY
WILLIAMS MOUNTAIN COAL COMPANY
WYOMAC COAL COMPANY, INC.,

[Signature Page to Amendment No. 2]

	
					
	 
	 
	By:
	 
	/s/ Vaughn R. Groves

	 
	 
	 
	 
	Name: Vaughn R. Groves 

	 
	 
	 
	 
	Title: Vice President and Secretary

ALPHA APPALACHIA HOLDINGS, INC.
ALPHA NATURAL RESOURCES, LLC
ALPHA NATURAL RESOURCES SERVICES, LLC

	
					
	 
	 
	By:
	 
	/s/ Vaughn R. Groves

	 
	 
	 
	 
	Name: Vaughn R. Groves 

	 
	 
	 
	 
	Title: Executive Vice President, General

	 
	 
	 
	 
	          Counsel and Secretary

ALPHA NATURAL RESOURCES INTERNATIONAL, LLC

	
					
	 
	 
	By:
	 
	/s/ Vaughn R. Groves

	 
	 
	 
	 
	Name: Vaughn R. Groves 

	 
	 
	 
	 
	Title: Executive Vice President and Secretary

AMFIRE WV, L.P.
		
	By:
	AMFIRE Holdings, LLC, 
as General Partner

	
					
	 
	 
	By:
	 
	/s/ Vaughn R. Groves

	 
	 
	 
	 
	Name: Vaughn R. Groves 

	 
	 
	 
	 
	Title: Vice President and Secretary

CUMBERLAND COAL RESOURCES, LP
		
	By:
	Pennsylvania Services Corporation, 
as General Partner

	
					
	 
	 
	By:
	 
	/s/ Vaughn R. Groves

	 
	 
	 
	 
	Name: Vaughn R. Groves 

	 
	 
	 
	 
	Title: Vice President and Secretary

[Signature Page to Amendment No. 2]

EMERALD COAL RESOURCES, LP
		
	By:
	Pennsylvania Services Corporation, 
as General Partner

	
					
	 
	 
	By:
	 
	/s/ Vaughn R. Groves

	 
	 
	 
	 
	Name: Vaughn R. Groves 

	 
	 
	 
	 
	Title: Vice President and Secretary

ALPHA SUB ONE, LLC
ALPHA SUB TWO, LLC

	
					
	 
	 
	By:
	 
	/s/ Vaughn R. Groves

	 
	 
	 
	 
	Name: Vaughn R. Groves 

	 
	 
	 
	 
	Title: President, Manager and Secretary

[Signature Page to Amendment No. 2]

CITICORP NORTH AMERICA, INC., 
as Administrative Agent, Collateral Agent 
 and Lender
	
					
	 
	 
	By:
	 
	/s/ Justin Tichauer

	 
	 
	 
	 
	Name: Justin Tichauer

	 
	 
	 
	 
	Title: Vice President

[Signature Page to Amendment No. 2]

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