Document:

Executive Employment Agreement

 Exhibit 10.1 
 EXECUTIVE EMPLOYMENT AGREEMENT 
 THIS EXECUTIVE EMPLOYMENT AGREEMENT (the
“Agreement”), is entered into as of the 5th day of September, 2006, by and between AMERIS BANCORP, a Georgia corporation (“Employer”), and C. Johnson Hipp, III, an individual resident of the State of South Carolina
(“Executive”). 
 W I T N E S S E T H: 
 WHEREAS, Employer wishes to employ Executive as its Group President for South Carolina and Mortgage Business Division, and Executive wishes to
serve in such position, on the terms and conditions set forth herein; 
 WHEREAS, Executive desires to be assured of a secure minimum
compensation from Employer for his services over a defined term; 
 WHEREAS, Employer desires to assure the continued services of
Executive on behalf of Employer on an objective and impartial basis and without distraction or conflict of interest in the event of an attempt by any person or entity to obtain control of Employer; 
 WHEREAS, Employer desires to provide fair and reasonable benefits to Executive on the terms and subject to the conditions set forth in this
Agreement; and 
 WHEREAS, Employer desires reasonable protection of its confidential business and customer information which it has
developed over the years at substantial expense and assurance that Executive will not compete with Employer for a reasonable period of time after termination of his employment with Employer, except as otherwise provided herein; 
 NOW, THEREFORE, in consideration of these premises, the mutual covenants and undertakings herein contained, Employer and Executive, each intending
to be legally bound, covenant and agree as follows: 
 1. Employment. Upon the terms and subject to the conditions set forth in
this Agreement, Employer employs Executive as its Group President for South Carolina and Mortgage Business Division, and Executive hereby accepts such employment. 
 2. Position and Duties. Executive agrees to serve as the Group President for South Carolina and Mortgage Business Division of Employer as set forth in Section 1 hereof and to perform such duties as
may reasonably be assigned to him by the Board of Directors (the “Board”) or the Chief Executive Officer of Employer; provided, however, that such duties shall be of the same character as those generally associated with the
office held by Executive. Employee shall be based, and shall perform his duties, at Employer’s regional executive office for South Carolina, which will be located in Columbia, South Carolina, and Employer shall not, without the written consent
of Executive, relocate or transfer Executive to a location other than its South Carolina regional executive office. During the Term (as hereinafter defined) of this Agreement, Executive agrees that he will serve Employer faithfully and diligently
and that he will devote his full business time, attention and skills to Employer’s business; provided, 

 however, that the foregoing shall not be deemed to restrict Executive from devoting a reasonable amount of time
and attention to the management of his personal affairs and investments, so long as such activities do not interfere with the responsible performance of Executive’s duties hereunder; and provided further, however, that Executive
may serve as a director or officer of any charitable, religious, civic, educational, or trade organizations to the extent that such activities, individually or in the aggregate, do not interfere with the performance of Executive’s duties and
responsibilities under this Agreement. 
 3. Term. This Agreement shall commence as of September 5, 2006 (the
“Effective Date”) and shall continue in effect until September 5, 2008 (such period, the “Term”); provided, however, that commencing on September 5, 2008, and on each September 5 thereafter, the Term
shall automatically be extended for one (1) year unless either the Company or the Executive shall have given written notice to the other at least ninety (90) days prior thereto that the Term shall not be so extended. Notwithstanding the
foregoing, this Agreement may be earlier terminated by Employer or Executive in accordance with the terms of Section 8 hereof; provided, however, that, notwithstanding any notice by Employer not to extend, the Term shall not
expire prior to the expiration of twelve (12) months after the occurrence of a Change of Control (as defined in Subsection 23(B) hereof). 
 4. Compensation. 
 (A) Executive shall receive an annual salary of Two Hundred Fifteen Thousand and no/100
Dollars ($215,000.00) (“Base Compensation”) payable at regular intervals in accordance with Employer’s normal payroll practices now or hereafter in effect. Employer may consider and declare from time to time increases in the salary it
pays Executive and thereby increase the Base Compensation. Any and all increases in Executive’s salary pursuant to this Section 4(A) shall cause the level of Base Compensation to be increased by the amount of each such increase for
purposes of this Agreement. The increased level of Base Compensation as provided in this Section 4(A) shall become the level of Base Compensation for the remainder of the Term until there is a further increase in Base Compensation as provided
herein. 
 (B) In addition to his Base Compensation, Executive shall be awarded, during each calendar year during the Term hereof, an annual
bonus (an “Annual Bonus”) either pursuant to a bonus or incentive plan of Employer or otherwise on terms no less favorable than those awarded to other executive officers of Employer. 
 5. Other Benefits. So long as Executive is employed by Employer pursuant to this Agreement, he shall be included as a participant in all
present and future employee benefit, retirement and compensation plans of Employer generally available to its employees, consistent with his Base Compensation and his position with Employer, including, without limitation, Employer’s 401(k)
Profit Sharing Plan, and Executive and his dependents shall be included in Employer’s hospitalization, major medical, disability and group life insurance plans. Executive acknowledges that, notwithstanding any of the provisions of this
Agreement, any of Employer’s benefit plans and programs may be modified from time to time and that Employer is not required to continue any plan or program currently in effect or adopted hereafter; provided, however, that each of
the above benefits shall continue in effect on terms no less favorable than those for other executive officers of Employer (as permitted by law) during the Term hereof. 
  

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 6. Expenses. So long as Executive is employed by Employer pursuant to this Agreement,
Executive shall receive reimbursement from Employer for all reasonable business expenses incurred in the course of his employment by Employer upon proper submission to Employer of written vouchers and statements for reimbursement. In addition,
Employer shall (A) provide to Executive an automobile and pay for all costs associated therewith during the Term hereof, and (B) reimburse Executive for all mileage driven by Executive in his personal automobile in connection with his
duties hereunder in accordance with Employer’s mileage reimbursement policy as in effect from time to time. Employer shall also use its reasonable best efforts to provide to Executive a country club membership for business and personal use and
shall pay for all initiation fees and monthly dues related thereto for business purposes; provided, however, that, if such membership is not already owned by Executive as of the date hereof, then such membership shall be and remain the
sole property of Employer. 
 7. Vacation. Executive shall be entitled to four (4) weeks paid vacation during each
calendar year of Executive’s employment hereunder. 
 8. Termination. Subject to the respective continuing obligations of
the parties hereto, including, without limitation, those set forth in Subsections 10(A), 10(B), 10(C) and 10(D) hereof, Executive’s employment by Employer hereunder may be terminated prior to the expiration of the Term hereof as follows:

 (A) Employer, by action of the Board and upon written notice to Executive, may terminate Executive’s employment with Employer
immediately for cause. For purposes of this Subsection 8(A), “cause” for termination of Executive’s employment shall exist (a) if Executive is convicted of (from which no appeal may be taken), or pleads guilty or nolo contendere
to, any act of fraud, misappropriation or embezzlement, or any felony, (b) if, in the determination of the Board, Executive has engaged in gross or willful misconduct materially damaging to the business of Employer (it being understood,
however, that neither conduct pursuant to Executive’s exercise of his good faith business judgment nor unintentional physical damage to any property of Employer by Executive shall be a ground for such a determination by the Board), or
(c) if Executive has failed, without reasonable cause, to follow reasonable written instructions of the Board consistent with Executive’s position with Employer and, after written notice from the Board of such failure, Executive at any
time thereafter again so fails. 
 (B) Executive, by written notice to Employer, may terminate his employment with Employer immediately for
good reason. For purposes of this Subsection 8(B), “good reason” for termination shall mean a good faith determination by Executive, in Executive’s sole and absolute judgment, that any one or more of the following events has occurred,
without Executive’s express written consent: 
 (1) after a Change of Control, a change in Executive’s reporting
responsibilities, titles or offices as in effect immediately prior to the Change of Control, or any removal of Executive from, or any failure to re-elect Executive to, any of Executive’s positions that he held immediately prior to the Change of
Control, which has the effect of diminishing Executive’s responsibility or authority; 
  

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 (2) after a Change of Control, a reduction by Employer in Executive’s Base
Compensation as in effect immediately prior to the Change of Control or as the same may be increased from time to time or a change in the eligibility requirements or performance criteria under any bonus, incentive or compensation plan, program or
arrangement under which Executive is covered immediately prior to the Change of Control which adversely affects Executive; 
 (3) at the time of a Change of Control, Employer requires Executive to be based anywhere other than within a fifty (50) mile radius of Employer’s regional executive office in Columbia, South Carolina; 
 (4) after a Change of Control and without replacement by a plan providing benefits to Executive substantially equal to or greater than
those discontinued, the failure by Employer to continue in effect, within its maximum stated term, any pension, bonus, incentive, stock ownership, purchase, option, life insurance, health, accident, disability, or any other employee benefit plan,
program or arrangement in which Executive is participating at the time of the Change of Control, or the taking of any action by Employer after a Change of Control that would adversely affect Executive’s participation or materially reduce
Executive’s benefits under any of such plans; 
 (5) after a Change of Control, the taking of any action by Employer that
would materially adversely affect the physical conditions existing at the time of the Change of Control in or under which Executive performs his employment duties, provided that Employer may take action with respect to such conditions after a
Change of Control so long as such conditions are at least commensurate with the conditions in or under which an officer of Executive’s status would customarily perform his employment duties; or 
 (6) after a Change of Control, a material change in the fundamental business philosophy, direction and precepts of Employer and its
subsidiaries, considered as a whole, as the same existed prior to the Change of Control. 
 Any event described in Subsection 8(B)(1) through (6) hereof
which occurs prior to a Change of Control but which Executive reasonably demonstrates (x) was at the request of a third party who has indicated an intention, or taken steps reasonably calculated, to effect a Change of Control or
(y) otherwise arose in connection with, or in anticipation of, a Change of Control which actually occurs, shall constitute good reason for purposes hereof, notwithstanding that it occurred prior to a Change of Control. 
 (C) Executive, upon ninety (90) days written notice to Employer, may terminate his employment with Employer without good reason. 
 (D) [Intentionally omitted.] 
 (E)
Executive’s employment with Employer shall terminate in the event of Executive’s death or disability. For purposes of this Agreement, “disability” shall be defined as Executive’s inability by reason of illness or other
physical or mental incapacity to perform the duties required by his employment for any consecutive one hundred eighty (180) day period. 
  

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 9. Compensation Upon Termination. In the event of termination of Executive’s
employment with Employer pursuant to Section 8 hereof, compensation shall continue to be paid by Employer to Executive as follows: 
 (A) In the event of a termination pursuant to Subsection 8(A) or Subsection 8(C) hereof, compensation provided for herein (including, without limitation, Base Compensation and an Annual Bonus) shall continue to be paid, and Executive shall
continue to participate in the employee benefit, retirement, compensation plans and other perquisites as provided in Section 5 hereof, through and including the Date of Termination (as hereinafter defined) specified in the Notice of Termination
(as hereinafter defined). Any benefits payable under insurance, health, retirement and bonus plans as a result of Executive’s participation in such plans through the Date of Termination specified in the Notice of Termination shall be paid when
due under such plans. 
 (B) In the event of a termination pursuant to Subsection 8(B) hereof, compensation provided for herein (including,
without limitation, Base Compensation and an Annual Bonus) shall continue to be paid, and Executive shall continue to participate in the employee benefit, retirement, compensation plans and other perquisites as provided in Section 5 hereof,
through the Date of Termination specified in the Notice of Termination, and any benefits payable under insurance, health, retirement and bonus plans as a result of Executive’s participation in such plans through the Date of Termination
specified in the Notice of Termination shall be paid when due under such plans. In addition, if the event of termination pursuant to Subsection 8(B) hereof occurs within twelve (12) months after the date of a Change of Control, then, subject to
the terms of Section 12 hereof, (1) Executive shall be entitled to continue to receive from Employer for one (1) additional 12-month period his Base Compensation at the rates in effect at the time of termination plus an Annual Bonus
in accordance with the Company’s Incentive Plan as of the date of the event of termination, payable in accordance with Employer’s standard payment practices then existing; (2) Executive shall be entitled to continue to participate for
one (1) additional 12-month period in each employee welfare benefit plan (as such term is defined in the Employment Retirement Income Security Act of 1974, as amended) in which Executive was entitled to participate immediately prior to the date
of his termination, unless an essentially equivalent and no less favorable benefit is provided by a subsequent employer of Executive, provided that if the terms of any such employee welfare benefit plan or applicable laws do not permit
continued participation by Executive, Employer will arrange to provide to Executive a benefit substantially similar to, and no less favorable than, the benefit he was entitled to receive under such plan at the end of the period of coverage; and
(3) Employer shall contribute the maximum contributions allowable under Employer’s 401(k) Profit Sharing Plan, or any successor plans thereto, for the benefit of Executive. 
 (C) In the event of a termination pursuant to Subsection 8(E) hereof, compensation provided for herein (including, without limitation, Base Compensation
and an Annual Bonus) shall continue to be paid, and Executive shall continue to participate in the employee benefit, retirement, and compensation plans and other perquisites as provided in Section 5 hereof, (1) in the event of
Executive’s death, through the date of death, or (2) in the event of Executive’s disability, through the Date of Termination specified in the Notice of Termination. Any benefits 
  

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 payable under insurance, health, retirement and bonus plans as a result of Executive’s participation in such plans
through the date of death or the Date of Termination specified in the Notice of Termination, as the case may be, shall be paid when due under those plans. 
 (D) Employer will permit Executive or his personal representative(s) or heirs, during a period of ninety (90) days following the Date of Termination of Executive’s employment by Employer (as specified in the
Notice of Termination) for the reasons set forth in Subsection 8(B) hereof, to purchase all of the stock of Employer that would be issuable under all outstanding stock options, if any, previously granted by Employer to Executive under any Employer
stock option plan then in effect, whether or not such options are then exercisable, at a cash purchase price equal to the purchase price as set forth in such outstanding stock options. 
 10. Restrictive Covenants. 
 (A) Executive acknowledges that (1) Employer has separately bargained and paid additional consideration for the restrictive covenants herein; and (2) Employer will provide certain benefits to Executive hereunder in reliance on
such covenants in view of the unique and essential nature of the services Executive will perform on behalf of Employer and the irreparable injury that would befall Employer should Executive breach such covenants. 
 (B) Executive further acknowledges that his services are of a special, unique and extraordinary character and that his position with Employer will place
him in a position of confidence and trust with employees of Employer and its subsidiaries and affiliates and with Employer’s other constituencies and will allow him access to trade secrets and confidential information concerning Employer and
its subsidiaries and affiliates. 
 (C) Executive further acknowledges that the type and periods of restrictions imposed by the covenants in
this Section 10 are fair and reasonable and that such restrictions will not prevent Executive from earning a livelihood. 
 (D) Having
acknowledged the foregoing, Executive covenants and agrees with Employer as follows: 
 (1) For a period of two (2) years
after the termination of Executive’s employment by Employer for any reason or for no reason, Executive shall not divulge or furnish any confidential information of Employer acquired by him while employed by Employer to any person, firm or
corporation, other than to Employer or upon its written request, or use any such confidential information (which shall at all times remain the property of Employer) directly or indirectly for Executive’ own benefit or for the benefit of any
person, firm or corporation other than Employer. For purposes hereof, the term “confidential information” means data and information relating to the Banking Business (as hereinafter defined) (which does not rise to the status of a Trade
Secret, as such term is defined in Section 10-1-761 of the Official Code of Georgia Annotated) which is or has been disclosed to Executive or of which Executive became aware as a consequence of or through Executive’s relationship to
Employer and which has value to Employer and is not generally known to its competitors. Without limiting the foregoing, “confidential information” shall include: (a) all items of information that could be classified as a Trade

  

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 Secret pursuant to Georgia law; (b) the names, addresses and banking requirements of the customers
of Employer or its subsidiaries and the nature and amount of business done with such customers; (c) the names and addresses of employees and other business contacts of Employer or its subsidiaries; (d) the particular names, methods and
procedures utilized by Employer or its subsidiaries in the conduct and advertising of their business; (e) application, operating system, communication and other computer software and derivatives thereof, including, without limitation, sources
and object codes, flow charts, coding sheets, routines, subrouting and related documentation and manuals of Employer or its subsidiaries; and (f) marketing techniques, purchasing information, pricing policies, loan policies, quoting procedures,
financial information, customer data and other materials or information relating to Employer’s or its subsidiaries’ manner of doing business. Confidential information shall not include any data or information that has been voluntarily
disclosed to the public by Employer (except where such public disclosure has been made by Executive without authorization) or that has been independently developed and disclosed by others, or that otherwise enters the public domain through lawful
means. 
 (2) Executive hereby agrees that he will not directly or indirectly disclose to anyone, or use or otherwise exploit
for his own benefit or for the benefit of anyone other than Employer and its subsidiaries any trade secrets (as defined in §10-1-761 of the Official Code of Georgia Annotated and applicable code sections for any states where Employer has
business locations) of Employer for as long as they remain trade secrets. 
 (3) While Executive is employed by Employer and
for a period of one (1) year after termination of Executive’s employment pursuant to Subsection 8(A), 8(C) or 8(E) hereof, Executive shall not (except on behalf of or with the prior written consent of Employer), on Executive’s own
behalf or in the service or on behalf of others, solicit, divert or appropriate, or attempt to solicit, divert or appropriate, directly or by assisting others, any Banking Business from any of the customers of Employer or its subsidiaries, including
actively sought prospective customers, with whom Executive has or had material contact during the last two (2) years of Executive’s employment, for purposes of providing products or services that are competitive with those provided by
Employer or its subsidiaries. The term “Banking Business” shall mean the business conducted by Employer and its subsidiaries, which is the business of banking, including the solicitation of time and demand deposits and the making of
residential, consumer, commercial and corporate loans. 
 (4) While Executive is employed by Employer and for a period of one
(1) year after termination of Executive’s employment pursuant to Subsection 8(A), 8(C) or 8(E) hereof, Executive shall not, either directly or indirectly, on his own behalf or in the service or on behalf of others, as an executive employee
or in any other capacity which involves duties and responsibilities similar to those undertaken for Employer, engage in any business which is the same as or essentially the same as the Banking Business within the state of South Carolina. 

(5) While Executive is employed by Employer and for a period of one (1) year after termination of Executive’s employment
pursuant to Subsection 8(A), 8(C) or 
  

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 8(E) hereof, Executive will not on Executive’s own behalf or in the service or on behalf of others,
solicit, recruit or hire away, or attempt to solicit, recruit or hire away, directly or by assisting others, any employee of Employer or its subsidiaries, whether or not such employee is a full-time employee or a temporary employee of Employer or
its subsidiaries and whether or not such employment is pursuant to a written agreement and whether or not such employment is for a determined period or is at will. 
 (6) If Executive’s employment is terminated pursuant to Subsection 8(A), 8(C) or 8(E) hereof, and Executive subsequently
(a) solicits, diverts or appropriates, or attempts to solicit, divert or appropriate, directly or by assisting others, on Executive’s own behalf or in the service or on behalf of others, any Banking Business from any of the customers of
Employer or its subsidiaries, including actively sought prospective customers, with whom Executive has or had material contact during the last two (2) years of Executive’s employment, for purposes of providing products or services that are
competitive with those provided by Employer or its subsidiaries, (b) engages, either directly or indirectly, on his own behalf or in the service or on behalf of others, as an executive employee or in any other capacity which involves duties and
responsibilities similar to those undertaken for Employer, in any business which is the same as or essentially the same as the Banking Business within the state of South Carolina, or (c) solicits, recruits or hires away, or attempts to solicit,
recruit or hire away, directly or by assisting others, on Executive’s own behalf or in the service or on behalf of others, any employee of Employer or its subsidiaries, whether or not such employee is a full-time employee or a temporary
employee of Employer or its subsidiaries and whether or not such employment is pursuant to written agreement and whether or not such employment is for a determined period or is at will, then, in addition to any other remedies available to Employer
hereunder, Employer may immediately terminate and shall not be required to continue on behalf of the Executive or his dependents and beneficiaries any compensation provided for herein (including, without limitation, Base Compensation and any Annual
Bonus) and any employee benefit, retirement and compensation plans and other prerequisites provided in Section 5 hereof other than those benefits that Employer may be required to maintain for Executive under applicable federal or state law.

 (7) If Executive’s employment is terminated pursuant to Subsection 8(B) hereof, then Executive may thereafter
(a) solicit, divert or appropriate, or attempt to solicit, divert or appropriate, directly or by assisting others, on Executive’s own behalf or in the service or on behalf of others, any Banking Business from any of the customers of
Employer or its subsidiaries, including actively sought prospective customers, with whom Executive has or had material contact during the last two (2) years of Executive’s employment, for purposes of providing products or services that are
competitive with those provided by Employer or its subsidiaries, (b) engage, either directly or indirectly, on his own behalf or in the service or on behalf of others, as an executive employee or in any other capacity which involves duties and
responsibilities similar to those undertaken for Employer, in any business which is the same as or essentially the same as the Banking Business within the state of South Carolina, or (c) solicit, recruit or hire away, or attempt to solicit,
recruit or hire away, directly or by assisting others, on Executive’s own behalf or in the service or on behalf of others, any employee of Employer or its subsidiaries, whether or not such employee is a full-time employee or a temporary
employee of 
  

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 Employer or its subsidiaries and whether or not such employment is pursuant to a written agreement and
whether or not such employment is for a determined period or is at will; provided, however, that if Executive engages in the activities described in clause (a), (b) or (c) of this Subsection 10(D)(7), then Employer may
immediately terminate and shall not be required to continue on behalf of Executive or his dependents and beneficiaries any compensation provided for herein (including, without limitation, Base Compensation, any Annual Bonus and any payments pursuant
to Subsection 9(B) hereof) and any employee benefit, retirement and compensation plans and other perquisites provided in Section 5 hereof other than those benefits that Employer may be required to maintain for Executive under applicable federal
or state law. 
 (8) If Executive’s employment by Employer is terminated for any reason or for no reason, Executive will
turn over immediately thereafter to Employer all business correspondence, letters, papers, reports, customer lists, financial statements, credit reports or other confidential information or documents of Employer in the possession or control of
Executive, all of which writings are and will continue to be the sole and exclusive property of Employer. 
 (E) Executive acknowledges that
irreparable loss and injury would result to Employer upon the breach of any of the covenants contained in this Section 10 and that damages arising out of such breach would be difficult to ascertain. Executive hereby agrees that, in addition to
all other remedies provided at law or in equity, Employer may petition and obtain from a court of law or equity, without the necessity of proving actual damages and without posting any bond or other security, both temporary and permanent injunctive
relief to prevent a breach by Executive of any covenant contained in this Section 10, and shall be entitled to an equitable accounting of all earnings, profits and other benefits arising out of any such breach. In the event that the provisions
of this Section 10 should ever be deemed to exceed the time, geographic or any other limitations permitted by applicable law, then such provisions shall be deemed reformed to the maximum extent permitted thereby. 
 11. Notice of Termination and Date of Termination. Any termination of Executive’s employment with Employer as contemplated by
Section 8 hereof, except in the circumstances of Executive’s death, shall be communicated by written notice of termination (the “Notice of Termination”) by the terminating party to the other party hereto. Any Notice of
Termination given pursuant to Subsections 8(A), 8(B) or 8(E) hereof shall indicate the specific provisions of this Agreement relied upon and shall set forth in reasonable detail the facts and circumstances claimed to provide a basis for such
termination. Any Notice of Termination given pursuant to Subsection 8(C) hereof shall indicate the provision of this Agreement relied upon, but need not state any basis for such termination. For purposes of this Agreement, “Date of
Termination” shall mean: (A) if Executive’s employment is terminated because of disability, thirty (30) days after Notice of Termination is given (unless Executive shall have returned to the performance of Executive’s duties
on a full-time basis during such thirty (30) day period); or (B) if Executive’s employment is terminated for cause, good reason (pursuant to Subsection 8(B) hereof) or pursuant to Subsection 8(C) hereof, the date specified in the
Notice of Termination; provided, however, that if within thirty (30) days after any such Notice of Termination is given, the party receiving such Notice of Termination notifies the other party that a dispute exists concerning the
termination, the Date of Termination shall be the date on which the dispute is 
  

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 finally resolved, either by mutual agreement of the parties or by a final judgment, order or decree of a court of
competent jurisdiction (the time for appeal therefrom having expired and no appeal having been perfected). 
 12. Excess Parachute
Payments and One Million Dollar Deduction Limit. 
 (A) Notwithstanding anything contained herein to the contrary, if any portion of
the payments and benefits provided hereunder and benefits provided to, or for the benefit of, Executive under any other plan or agreement of Employer (such payments or benefits are collectively referred to as the “Payments”) would be
subject to the excise tax (the “Excise Tax”) imposed under Section 4999 of the Internal Revenue Code of 1986, as amended (the “Code”), or would be nondeductible by Employer pursuant to Section 280G of the Code, the
Payments shall be reduced (but not below zero) if and to the extent necessary so that no portion of any Payment to be made or benefit to be provided to Executive shall be subject to the Excise Tax or shall be nondeductible by Employer pursuant to
Section 280G of the Code (such reduced amount is hereinafter referred to as the “Limited Payment Amount”). Unless Executive shall have given prior written notice specifying a different order to Employer to effectuate the Limited
Payment Amount, Employer shall reduce or eliminate the Payments, by first reducing or eliminating those payments or benefits which are not payable in cash and then by reducing or eliminating cash payments, in each case in reverse order beginning
with payments or benefits which are to be paid the farthest in time from the Determination (as hereinafter defined). Any notice given by Executive pursuant to the preceding sentence shall take precedence over the provisions of any other plan,
arrangement or agreement governing Executive’s rights and entitlements to any benefits or compensation. 
 (B) An initial determination
as to whether the Payments shall be reduced to the Limited Payment Amount pursuant to the Code and the amount of such Limited Payment Amount shall be made by an accounting firm at Employer’s expense selected by Employer which is designated as
one of the four largest accounting firms in the United States (the “Accounting Firm”). The Accounting Firm shall provide its determination (the “Determination”), together with detailed supporting calculations and documentation to
Employer and Executive within thirty (30) days of the Termination Date, if applicable, and if the Accounting Firm determines that no Excise Tax is payable by Executive with respect to a Payment or Payments, it shall furnish Executive with an
opinion reasonably acceptable to Executive that no Excise Tax will be imposed with respect to any such Payment or Payments. Within ten (10) days of the delivery of the Determination to Executive, Executive shall have the right to dispute the
Determination (the “Dispute”). If there is no Dispute, the Determination shall be binding, final and conclusive upon Employer and Executive subject to the application of Subsection 12(C) below. 
 (C) As a result of the uncertainty in the application of Sections 4999 and 280G of the Code, it is possible that the Payments to be made to, or provided
for the benefit of, Executive either have been made or will not be made by Employer which, in either case, will be inconsistent with the limitations provided in Section 12(A) hereof (hereinafter referred to as an “Excess Payment” or
“Underpayment”, respectively). If it is established pursuant to a final determination of a court or an Internal Revenue Service (the “IRS”) proceeding which has been finally and conclusively resolved that an Excess Payment has
been made, such Excess Payment 
  

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 shall be deemed for all purposes to be a loan to Executive made on the date Executive received the Excess Payment, and
Executive shall repay the Excess Payment to Employer on demand (but not less than ten (10) days after written notice is received by Executive), together with interest on the Excess Payment at the “Applicable Federal Rate” (as defined
in Section 1274(d) of the Code) from the date of Executive’s receipt of such Excess Payment until the date of such repayment. In the event that it is determined (1) by the Accounting Firm, Employer (which shall include the position
taken by Employer, or together with its consolidated group, on its federal income tax return) or the IRS; (2) pursuant to a determination by a court; or (3) upon the resolution of the Dispute to Executive’s satisfaction, that an
Underpayment has occurred, Employer shall pay an amount equal to the Underpayment to Executive within ten (10) days of such determination or resolution, together with interest on such amount at the Applicable Federal Rate from the date such
amount would have been paid to Executive until the date of payment. 
 (D) Notwithstanding anything contained herein to the contrary, if any
portion of the Payments would be nondeductible by Employer pursuant to Section 162(m) of the Code, the Payments to be made to Executive in any taxable year of Employer shall be reduced (but not below zero) if and to the extent necessary so that
no portion of any Payment to be made or benefit to be provided to Executive in such taxable year of Employer shall be nondeductible by Employer pursuant to Section 162(m) of the Code. The amount by which any Payment is reduced pursuant to the
immediately preceding sentence, together with interest thereon at the Applicable Federal Rate, shall be paid by Employer to Executive on or before the fifth business day of the immediately succeeding taxable year of Employer, subject to the
application of the limitations of the immediately preceding sentence and this Section 12. Unless Executive shall have given prior written notice specifying a different order to Employer to effectuate this Section 12, Employer shall reduce
or eliminate the Payments in any one taxable year of Employer by first reducing or eliminating those payments or benefits which are not payable in cash and then by reducing or eliminating cash payments, in each case in reverse order beginning with
payments or benefits which are to be paid the farthest in time from the Section 162(m) Determination (as hereinafter defined). Any notice given by Executive pursuant to the immediately preceding sentence shall take precedence over the
provisions of any other plan, arrangement or agreement governing Executive’s rights and entitlements to any benefits or compensation. 
 (E) The determination as to whether the Payments shall be reduced pursuant to Section 12(D) hereof and the amount of the Payments to be made in each taxable year after the application of Section 12(D) hereof shall be made by the
Accounting Firm at Employer’s expense. The Accounting Firm shall provide its determination (the “Section 162(m) Determination”), together with detailed supporting calculations and documentation to Employer and Executive within thirty
(30) days of the termination date specified in the Notice of Termination. The Section 162(m) Determination shall be binding, final and conclusive upon Employer and Executive. 
 13. Payments After Death. Should Executive die after termination of his employment with Employer while any amounts are payable to him
hereunder, this Agreement shall inure to the benefit of and be enforceable by Executive’s executors, administrators, heirs, distributees, devisees and legatees, and all amounts payable hereunder shall be paid in accordance with the terms of
this Agreement to Executive’s devisee, legatee or other designee or, if there is no such designee, to his estate. 
  

 11 

 14. Full Settlement. The respective obligations of the parties hereto to make payments or
otherwise to perform hereunder shall not be affected by any rights of set-off, counterclaim, recoupment, defense or other claim, right or action which one party hereto may have against the other party hereto. In no event shall Executive be obligated
to seek other employment or take any other action by way of mitigation of the amounts which may be payable to Executive by Employer hereunder. 
 15. Notices. For purposes of this Agreement, notices and all other communications provided for herein shall be in writing and shall be deemed to have been given when delivered or mailed by United States registered or certified
mail, return receipt requested, postage prepaid, addressed as follows: 
  

			
	If to Executive:	  	C. Johnson Hipp, III
		  	1 Heathwood Circle
		  	Columbia, SC 29205
		
	If to Employer:	  	Ameris Bancorp
		  	24 Second Avenue, S.E.
		  	Moultrie, Georgia 31768
		  	Attention: Chief Executive Officer

 or to such address as either party hereto may have furnished to the other party in writing in accordance herewith,
except that notices of change of address shall be effective only upon receipt. 
 16. Governing Law. The validity,
interpretation and performance of this Agreement shall be governed by the laws of the State of Georgia, without giving effect to the conflicts of laws principles thereof. 
 17. Successors. Employer shall require any successor (whether direct or indirect, by purchase, merger, consolidation or otherwise) to all or substantially all of the business or assets of Employer, by
agreement in form and substance reasonably satisfactory to Executive, to expressly assume and agree to perform this Agreement in the same manner and same extent that Employer would be required to perform it if no such succession had taken place.
Failure of Employer to obtain such agreement prior to the effectiveness of any such succession shall be a material, intentional breach of this Agreement and shall entitle Executive to terminate his employment with Employer for good reason pursuant
to Subsection 8(B) hereof. All references to Employer in this Agreement shall include, unless the context otherwise requires, all subsidiaries and controlled affiliates of Employer. 
 18. Modification and Waiver. No provision of this Agreement may be modified, waived or discharged unless such waiver, modification or
discharge is agreed to in writing signed by Executive and Employer. No waiver by either party hereto at any time of any breach by the other party hereto of, or compliance with, any condition or provision of this Agreement to 
  

 12 

 be performed by such other party shall be deemed a waiver of dissimilar provisions or conditions at the same or any prior
subsequent time. No agreements or representation, oral or otherwise, express or implied, with respect to the subject matter hereof have been made by either party which are not set forth expressly in this Agreement. 
 19. Severability. The invalidity or unenforceability of any provisions of this Agreement shall not affect the validity or enforceability of
any other provisions of this Agreement, which shall remain in full force and effect. 
 20. Counterparts. This Agreement may be
executed (and delivered via facsimile) in one or more counterparts, each of which shall be deemed an original, and all of which together shall constitute one and the same Agreement. 
 21. Assignment. This Agreement is personal in nature, and neither party hereto shall, without the prior written consent of the other,
assign or transfer this Agreement or any rights or obligations hereunder except as provided in Sections 13 and 17 above. Without limiting the foregoing, Executive’s right to receive compensation hereunder shall not be assignable or
transferable, whether by pledge, creation of a security interest or otherwise, other than a transfer by his will or by the laws of descent or distribution as set forth in Section 13 hereof, and in the event of any attempted assignment or
transfer contrary to this Section 21, Employer shall have no liability to pay any amounts so attempted to be assigned or transferred. 
 22. Entire Agreement. This Agreement constitutes the entire agreement between the parties hereto and supersedes all prior agreements, understandings and arrangements, oral or written, between the parties hereto with respect to
the subject matter hereof. 
 23. Construction; Definition of Change of Control. 
 (A) Whenever the singular number is used in this Agreement and when required by the context, the same shall include the plural and vice versa, and the
masculine gender shall include the feminine and neuter genders and vice versa. The headings in this Agreement are for convenience only and are in no way intended to describe, interpret, define or limit the scope, extent or intent of this Agreement
or any of its provisions. All references to Employer in this Agreement shall include, unless the context otherwise requires, all subsidiaries and controlled affiliates of Employer. 
 (B) For purposes of this Agreement, a “Change of Control” shall have occurred if: 
 (1) a majority of the directors of Employer shall be persons other than persons: (a) for whose election proxies shall have been
solicited by the Board, or (b) who are then serving as directors appointed by the Board to fill vacancies on the Board caused by death or resignation (but not by removal) or to fill newly-created directorships; 
 (2) twenty-five percent (25%) of the outstanding voting power of Employer shall have been acquired or beneficially owned (as defined
in Rule 13d-3 under the Securities Exchange Act of 1934, as amended, or any successor rule thereto) by any person (other than Employer, a subsidiary of Employer or Executive) or by any two or 
  

 13 

 more persons acting as a partnership, limited partnership, syndicate or other group acting in concert for
the purpose of acquiring, holding or disposing of any voting stock of Employer (hereinafter a “Group”), which Group does not include Executive; or 
 (3) there shall have occurred: 
 (a) a merger or consolidation of Employer with or into another corporation (other than (i) a merger or consolidation with a subsidiary of Employer or (ii) a merger or consolidation in which (aa) the holders
of voting stock of Employer immediately prior to the merger as a class continue to hold immediately after the merger at least a majority of all outstanding voting power of the surviving or resulting corporation or its parent and (bb) all holders of
each outstanding class or series of voting stock of Employer immediately prior to the merger or consolidation have the right to receive substantially the same cash, securities or other property in exchange for their voting stock of Employer as all
other holders of such class or series); 
 (b) a statutory exchange of shares of one or more classes or series of outstanding
voting stock of Employer for cash, securities or other property; 
 (c) the sale or other disposition of all or substantially
all of the assets of Employer (in one transaction or a series of transactions); or 
 (d) the liquidation or dissolution of
Employer; 
 unless twenty-five percent (25%) or more of the voting stock (or the voting equity interest) of the surviving corporation or the
corporation or other entity acquiring all or substantially all of the assets of Employer (in the case of a merger, consolidation or disposition of assets) or of Employer or its resulting parent corporation (in the case of a statutory share exchange)
is beneficially owned by the Executive or a Group that includes the Executive. 
 24. Compliance with Code
Section 409A. Employer and Executive acknowledge and agree that (i) it is their mutual intent that no benefit arising under this Agreement shall be subject to the provisions of Section 409A(a)(1)(B) of the Code; and
(ii) notwithstanding any provision of this Agreement to the contrary, this Agreement shall be interpreted, operated and administered consistent with this intent and any inconsistent provision of this Agreement may be modified or amended by
Employer in its sole discretion and without further consent of Executive; provided, however, that Employer shall have no liability whatsoever to Executive or any other person in the event that any benefit hereunder is determined to be
subject to and not in compliance with Section 409A of the Code. In furtherance, and not limitation, of the foregoing, Employer and Executive agree that in the event that it is determined by Employer that, as a result of Section 409A of the
Code (and any related regulations or other pronouncements thereunder), any of the payments that Executive is entitled to under the terms of this Agreement may not be made at the time contemplated by the terms thereof without causing Executive to be
subject to excise tax and interest under Section 409A(1)(B) of the Code, Employer will make such payment on the first day determined to be permissible by Employer under Section 409A of the Code without Executive incurring such a penalty.

  

 14 

 25. Representations and Warranties of Employer. Employer hereby represents and warrants to
Executive that: (i) this Agreement has been duly authorized by the Board, executed and delivered by Employer, and constitutes the valid and binding agreement of Employer, enforceable against Employer in accordance with its terms; and
(ii) Employer has the full power authority to execute, deliver and perform this Agreement and has taken all necessary action to secure all approvals required in connection herewith. 
 26. Arbitration. Any controversy or claim arising out of or relating to this Agreement, or the breach thereof, shall be settled by
arbitration in Moultrie, Georgia in accordance with the commercial arbitration rules of the American Arbitration Association then in effect. The decision of the arbitrators shall be final and binding as to any matter submitted to them under this
Agreement, and judgment on any award rendered by the arbitrators may be entered in any court having jurisdiction thereof. 
 27.
Attorneys’ Fees. If there is any legal action, arbitration or proceeding between Executive and the Employer arising from or based on this Agreement or the interpretation or enforcement of any provisions hereof, then the unsuccessful
party to such action, arbitration or proceeding shall pay to the prevailing party all costs and expenses, including, without limitation, reasonable attorneys’ fees, incurred by such prevailing party in such action, arbitration or proceeding, in
any appeal in connection therewith and in any action or proceeding taken to enforce any judgment or order so obtained by the prevailing party. If such prevailing party recovers a judgment in any such action, arbitration, proceeding or appeal, then
such costs, expenses and attorneys’ fees shall be included in and as a part of such judgment. 
 [Signatures next page] 
  

 15 

 IN WITNESS WHEREOF, Executive has executed, sealed and delivered this Agreement, and Employer has
caused this Agreement to be executed, sealed and delivered, all as of the day and year first above set forth. 
  

			
	AMERIS BANCORP
		
	By:	 	 /s/ Edwin W. Hortman, Jr.

		 	Edwin W. Hortman, Jr., President and
		 	Chief Executive Officer

 [Corporate Seal] 
  

			
	Attest:	 	 /s/ Cindi H. Lewis

		 	Cindi H. Lewis, Corporate Secretary

  

			
	 /s/ C. Johnson Hipp, III
	 	(SEAL)
	C. Johnson Hipp, III	 	

  

 16Underwriting Agreement, dated as of September 6, 2006

 Exhibit 10.1 
 National Financial Partners Corp. 
 Common Stock, par value $0.10 per share 
  

 Underwriting Agreement

 September 6, 2006 
 UBS
Securities LLC 
 299 Park Avenue 
 New York, NY 10171 

Ladies and Gentlemen: 
 The stockholders of National Financial Partners Corp., a Delaware corporation (the “Company”), named in Schedule I hereto (the “Selling Stockholders”), propose, subject to the terms and conditions stated herein, to sell
to UBS Securities LLC (the “Underwriter”) an aggregate of 1,561,877 shares (the “Shares”) of Common Stock, par value $0.10 per share, of the Company (the “Stock”). 
 1. (a) The Company represents and warrants to, and agrees with, the Underwriter that: 
 (i) An automatic shelf registration statement on Form S-3 (File No. 333-134915), including the preliminary prospectus or prospectuses
relating to the registration of certain securities described therein, including the Shares (such registration statement, including the amendments thereto that relate to the Shares, the exhibits and any schedules thereto, if any, and the documents
incorporated by reference therein pursuant to Item 12 of Form S-3 under the Securities Act of 1933, as amended (the “Act”), at the time it became effective and including the Rule 430B Information (as defined below) is herein called
the “Registration Statement”; no stop order suspending the effectiveness of the Registration Statement or any post-effective amendment thereto has been issued and no proceeding for that purpose has been initiated or threatened by the
Commission; 
 (ii) The Company will file with the Commission pursuant to Rule 430B (“Rule 430B”) and paragraph
(b) of Rule 424 (“Rule 424(b)”) under the Act a supplement or supplements to the form of prospectus included in the Registration Statement relating to the Shares and the plan of distribution for the Shares (the information included in
such prospectus that was omitted from such registration statement at the time it became effective but that is deemed to be part of and included in such Registration Statement pursuant to Rule 430B is referred to as “Rule 430B Information”;
the prospectus in the form in which it currently appears in the Registration Statement is hereinafter called the “Base Prospectus,” and such supplemented form of prospectus relating to the Shares, in the form in which it shall first be
filed with the Commission pursuant to Rule 424(b) 

 
(including the Base Prospectus as so supplemented), is hereinafter called the “Prospectus”; “free writing prospectus” means a free
writing prospectus, if any, as defined under Rule 405 under the Act that constitutes an offer to sell or a solicitation of an offer to buy the Shares; “Issuer Free Writing Prospectus” means any issuer free writing prospectus, as defined in
Rule 433 under the Act; and “Time of Sale Prospectus” means the Base Prospectus, the Prospectus and the Issuer Free Writing Prospectuses, if any, each identified in Schedule III(a) hereto, taken together as of the Applicable Time of Sale
(as defined below); and any reference herein to the Registration Statement, the Base Prospectus, the Time of Sale Prospectus or the Prospectus shall be deemed to refer to and include the documents incorporated by reference therein pursuant to
Item 12 of Form S-3 which were filed under the Securities Exchange Act of 1934, as amended (the “Exchange Act”) or otherwise deemed under the Act to be a part of or included therein; and any reference herein to the terms
“amend,” “amendment” or “supplement” with respect to the Registration Statement, the Prospectus, the Base Prospectus, the Time of Sale Prospectus or any Issuer Free Writing Prospectus shall be deemed to refer to and
include any document filed under the Exchange Act after the date of this Agreement, or the issue date of the Base Prospectus or the Prospectus, as the case may be, deemed to be incorporated therein by reference or otherwise deemed under the Act to
be a part of or included therein); 
 (iii) No order preventing or suspending the use of the Time of Sale Prospectus, the
Prospectus or any Issuer Free Writing Prospectus has been issued and no proceeding for that purpose has been initiated or threatened by the Commission; 
 (iv) The Registration Statement conforms, and the Prospectus and any further amendments or supplements to the Registration Statement and the Prospectus will conform, in all material respects to the applicable
requirements of the Act and the rules and regulations of the Commission thereunder and do not and will not, as of the applicable effective date as to the Registration Statement and any amendment thereto and as of the applicable filing date as to the
Prospectus and any amendment or supplement thereto, contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading; provided,
however, that this representation and warranty shall not apply to any statements or omissions made in reliance upon and in conformity with information furnished in writing to the Company by the Underwriter expressly for use therein or by a
Selling Stockholder expressly for use in the preparation or amendment of the registration statement on Form S-3; 
 (v) The
Time of Sale Prospectus will not, at 8:00 a.m. New York time on the next business day following the date of this Agreement (the “Applicable Time of Sale”), contain an untrue statement of a material fact or omit to state a material fact
required to be stated therein or necessary to make the statements therein not misleading; provided, however, that this representation and warranty shall not apply to any statements or omissions made in reliance upon and in 

 
conformity with information furnished in writing to the Company by the Underwriter expressly for use therein or by a Selling Stockholder expressly for use in
the preparation or amendment of the registration statement on Form S-3; 
 (vi) Each Issuer Free Writing Prospectus listed on
Schedule III(b) hereto does not conflict with the information contained in the Registration Statement, the Time of Sale Prospectus or the Prospectus. Each such Issuer Free Writing Prospectus, when considered together with the Time of Sale Prospectus
as of the Applicable Time of Sale, did not include any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in light of the circumstances under which they were made, not misleading.
The foregoing sentence does not apply to statements in or omissions from the Issuer Free Writing Prospectus based upon and in conformity with written information furnished to the Company by the Underwriter specifically for use therein; 

(vii) (A) (i) At the time of filing the Registration Statement and (ii) at the time of the most recent amendment thereto
for the purposes of complying with Section 10(a)(3) of the Act (whether such amendment was by post-effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the Exchange Act or form of prospectus), the Company was a
“well-known seasoned issuer” as defined in Rule 405 under the Act; and (B) at the earliest time after the filing of the Registration Statement that the Company or another offering participant made a bona fide offer (within the meaning
of Rule 164(h)(2) under the Act) of the Shares, the Company was not an “ineligible issuer” as defined in Rule 405 under the Act; 
 (viii) Neither the Company nor any of its subsidiaries has sustained since the date of the latest audited financial statements included in the Registration Statement, Time of Sale Prospectus and the Prospectus any
material loss or interference with its business from fire, explosion, flood or other calamity, whether or not covered by insurance, or from any labor dispute or court or governmental action, order or decree, otherwise than as set forth or
contemplated in the Registration Statement, Time of Sale Prospectus and the Prospectus; and, since the respective dates as of which information is given in the Time of Sale Prospectus and the Prospectus, there has not been any change in the capital
stock or long-term debt of the Company or any of its subsidiaries (except for the vesting of options or exercise of options in the ordinary course; provided, that the exercise of such options shall not result in a change in excess of 5% of the
Company’s outstanding shares of Stock) or any material adverse change, or any development involving a prospective material adverse change, in or affecting the general affairs, management, consolidated financial position, stockholders’
equity or results of operations of the Company and its subsidiaries, taken as a whole, otherwise than as set forth or contemplated in the Time of Sale Prospectus and the Prospectus; 

 (ix) The Company and the subsidiaries of the Company set forth on Schedule II hereto
(each a “Subsidiary” and, collectively, the “Subsidiaries”) have good and marketable title in fee simple to all real property and good and marketable title to all personal property owned by them, in each case free and clear of
all liens, encumbrances and defects except such as are described in the Time of Sale Prospectus or such as would not have a material adverse effect on the current or future general affairs, management, consolidated financial position,
stockholders’ equity or results of operations of the Company and its subsidiaries, taken as a whole (a “Material Adverse Effect”); and any real property and buildings held under lease by the Company and its Subsidiaries are held by
them under valid, subsisting and enforceable leases with such exceptions as are not material and do not interfere with the use made and proposed to be made of such property and buildings by the Company and its Subsidiaries; 
 (x) The Company has been duly incorporated and is validly existing as a corporation in good standing under the laws of the State of
Delaware, with power and authority (corporate and other) to own its properties and conduct its business as described in the Time of Sale Prospectus and the Prospectus, and has been duly qualified as a foreign corporation for the transaction of
business and is in good standing (to the extent such concept exists) under the laws of each other jurisdiction in which it owns or leases properties or conducts any business so as to require such qualification, or is subject to no material liability
or disability by reason of the failure to be so qualified in any such jurisdiction; and each Subsidiary has been duly incorporated or organized, as the case may be, and is validly existing as a corporation, partnership or limited liability company,
as the case may be, in good standing (to the extent such concept exists) under the laws of its jurisdiction of incorporation or organization, as the case may be; 
 (xi) The Company has an authorized capitalization as set forth in the Time of Sale Prospectus and the Prospectus, and all of the issued
shares of capital stock of the Company have been duly and validly authorized and issued, are fully paid and non-assessable and conform to the description of the Stock contained in the Time of Sale Prospectus and the Prospectus; and all of the issued
shares of capital stock of each Subsidiary of the Company have been duly and validly authorized and issued, are fully paid and non-assessable and (except for directors’ qualifying shares) are owned directly or indirectly by the Company, free
and clear of all liens, encumbrances, equities or claims (except as disclosed in the Company’s Current Report on Form 8-K, filed on August 22, 2006, with respect to the Credit Agreement, dated as of August 22, 2006, among the Company,
as Borrower, the several lenders from time to time parties thereto, and Bank of America, N.A., as Administrative Agent); 
 (xii) The unissued Shares to be issued by the Company to certain of the Selling Stockholders upon the exercise of their respective stock options and sold by the Selling Stockholders to the Underwriter hereunder prior to the applicable Time
of Delivery pursuant to the terms of each such Selling Stockholder’s applicable Option Exercise Notice (as defined in Section 1(b)(viii) hereof), 

 
hereinafter referred to as the “Stockholder Option Shares,” have been duly and validly authorized and, when issued and delivered against payment
therefor, will be duly and validly issued and fully paid and non-assessable and will conform to the description of the Stock contained in the Time of Sale Prospectus and the Prospectus; 
 (xiii) The compliance by the Company with all of the provisions of this Agreement and the consummation of the transactions herein
contemplated will not conflict with or result in a breach or violation of any of the terms or provisions of, or constitute a default under, (i) any indenture, mortgage, deed of trust, loan agreement or other agreement or instrument to which the
Company or any of its Subsidiaries is a party or by which the Company or any of its Subsidiaries is bound or to which any of the property or assets of the Company or any of its Subsidiaries is subject, (ii) the provisions of the Certificate of
Incorporation or By-laws of the Company or (iii) any statute or any order, rule or regulation of any court or governmental agency or body having jurisdiction over the Company or any of its Subsidiaries or any of their properties except, in the
case of clauses (i) and (iii), for such breaches, violations or defaults that would not result in a Material Adverse Effect; and no consent, approval, authorization, order, registration or qualification of or with any such court or governmental
agency or body is required for the issue and sale of the Shares or the consummation by the Company of the transactions contemplated by this Agreement, except the registration under the Act of the Shares and such consents, approvals, authorizations,
registrations or qualifications as may be required under state securities (including insurance securities) or Blue Sky laws in connection with the purchase and distribution of the Shares by the Underwriter; 
 (xiv) Neither the Company nor any of its Subsidiaries is in violation of its Certificate of Incorporation or By-laws or in default in the
performance or observance of any material obligation, agreement, covenant or condition contained in any indenture, mortgage, deed of trust, loan agreement, lease or other agreement or instrument to which it is a party or by which it or any of its
properties may be bound; 
 (xv) The statements set forth in the Time of Sale Prospectus and the Prospectus under the caption
“Description of Common Stock”, insofar as they purport to constitute a summary of the terms of the Stock, and under the caption “Important United States Federal Tax Considerations For Non-United States Holders”, and under the
caption “Underwriting”, insofar as they purport to describe the provisions of the laws and documents referred to therein, are accurate, complete and fair in all material respects; 
 (xvi) Other than as set forth in the Time of Sale Prospectus and the Prospectus, there are no legal or governmental proceedings pending to
which the Company or any of its Subsidiaries is a party or of which any property of the Company or any of its Subsidiaries is the subject which could be reasonably expected, individually or in the aggregate, to have a Material Adverse Effect; and,
to the knowledge of the Company, no such proceedings are threatened or contemplated by governmental authorities or threatened by others; 

 (xvii) The Company and its Subsidiaries possess such permits, licenses, approvals,
consents and other authorizations (collectively, “Governmental Licenses”) issued by the appropriate federal, state, local or foreign regulatory agencies or bodies necessary to conduct the business now operated by them, except where the
failure to possess such Governmental Licenses would not have a Material Adverse Effect; the Company and its Subsidiaries are in compliance with the terms and conditions of all such Governmental Licenses, except where the failure so to comply would
not, individually or in the aggregate, have a Material Adverse Effect; all of the Governmental Licenses are valid and in full force and effect, except where the invalidity of such Governmental Licenses or the failure of such Governmental Licenses to
be in full force and effect would not have a Material Adverse Effect; and neither the Company nor any of its Subsidiaries has received any notice of proceedings relating to the revocation or modification of any such Governmental Licenses;

 (xviii) The Company and its Subsidiaries are insured by insurers of recognized financial responsibility against such losses
and risks and in such amounts as are customary in the businesses in which they are engaged, except where the failure to be so insured would not have a Material Adverse Effect, and neither the Company nor any of its Subsidiaries has any reason to
believe that any of them will not be able to renew its existing insurance coverage as and when such coverage expires or to obtain similar coverage from similar insurers as may be necessary to continue its business at a cost that would not have a
Material Adverse Effect; 
 (xix) The Company and its Subsidiaries own, possess, have other rights to use or can acquire on
reasonable terms, adequate patents, patent rights, licenses, inventions, copyrights, know-how (including trade secrets and other unpatented and/or unpatentable proprietary or confidential information, systems or procedures), trademarks, service
marks, trade names or other intellectual property (collectively, “Intellectual Property”) necessary to carry on the business now operated by them, except where the failure to own, possess or have other rights to use, or be able to acquire,
such Intellectual Property would not have a Material Adverse Effect; neither the Company nor any of its Subsidiaries has received any notice or is otherwise aware of any infringement of or conflict with asserted rights of others with respect to any
Intellectual Property or of any facts or circumstances which would render any Intellectual Property invalid or inadequate to protect the interest of the Company or any of its Subsidiaries therein, which infringement, conflict, invalidity or
inadequacy, individually or in the aggregate, would be reasonably likely to have a Material Adverse Effect; 
 (xx) The
Company is not and, after giving effect to the offering and sale of the Shares, will not be an “investment company”, as such term is defined in the Investment Company Act of 1940, as amended (the “Investment Company Act”);

 (xxi) Neither the Company nor any of its affiliates does business with the government of
Cuba or with any person or affiliate located in Cuba within the meaning of Section 517.075, Florida Statutes; 
 (xxii)
The Company and each of its Subsidiaries maintain a system of internal accounting controls sufficient to provide reasonable assurance that (i) transactions are executed in accordance with management’s general or specific authorization;
(ii) transactions are recorded as necessary to permit preparation of consolidated financial statements in conformity with United States generally accepted accounting principles and to maintain accountability for assets; (iii) access to
assets is permitted only in accordance with management’s general or specific authorization; and (iv) the recorded accountability for assets is compared with existing assets at reasonable intervals and appropriate action is taken with
respect to any differences; 
 (xxiii) The Company has established and maintains disclosure controls and procedures (as
defined in Rule 13a-15(e) and 15d-15(e) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”); such disclosure controls and procedures are designed to ensure that material information relating to the Company, including
its consolidated subsidiaries, is made known to the Company’s principal executive officer and its principal financial officer by others within those entities and are effective to perform the functions for which they were established;

 (xxiv) There has been no change in the Company’s internal control over financial reporting since June 30, 2006
that has materially affected, or is reasonably likely to materially affect, the Company’s internal control over financial reporting; and, since December 31, 2005, the audit committee of the board of directors of the Company has been
advised by the Company of: (i) all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the Company’s ability to record,
process, summarize and report financial information and (ii) any fraud, whether or not material, that involves management or other employees who have a significant role in the Company’s internal control over financial reporting;

 (xxv) The consolidated financial statements, together with related schedules and notes, included in the Registration
Statement, Time of Sale Prospectus and the Prospectus (and any amendment or supplement thereto) present fairly in all material respects the financial position, results of operations and changes in financial position of the Company and its
consolidated subsidiaries at the respective dates or for the respective periods to which they apply; such statements and related schedules and notes have been prepared in accordance with United States generally accepted accounting principles
consistently applied throughout the periods involved, except as disclosed therein; and the other financial and statistical information and data of the Company set forth in the Registration Statement, Time of Sale Prospectus and the Prospectus

 
(and any amendment or supplement thereto) present fairly, in all material respects, the information stated therein and have been derived from the books and
records of the Company, and such other financial information and data have been prepared on a basis consistent with such financial statements; 
 (xxvi) PricewaterhouseCoopers LLP, which has certified certain financial statements of the Company and its subsidiaries, is an independent registered public accounting firm with respect to the Company within the
meaning of the Act and the applicable rules and regulations thereunder adopted by the Commission and the Public Company Accounting Oversight Board (United States); 
 (xxvii) Each subsidiary of the Company which is engaged in the business of acting as a broker-dealer or an investment advisor
(respectively, a “Broker-Dealer Subsidiary” and “Investment Advisor Subsidiary”) is duly licensed or registered as a broker-dealer or investment advisor, as the case may be, in each jurisdiction where it is required to be so
licensed or registered to conduct its business, except where the failure to be so licensed or registered would not have a Material Adverse Effect; each Broker-Dealer Subsidiary and each Investment Advisor Subsidiary has all other necessary approvals
of and from all applicable regulatory authorities, including any self-regulatory organization, to conduct its businesses, except where the failure to have such approvals would not have a Material Adverse Effect; except as otherwise provided in the
Time of Sale Prospectus and the Prospectus, none of the Broker-Dealer Subsidiaries or Investment Advisor Subsidiaries has received any notification from any applicable regulatory authority to the effect that any additional approvals from such
regulatory authority are needed to be obtained by such subsidiary and have not been obtained, in any case where it could be reasonably expected that the Broker-Dealer Subsidiary will be unable to obtain such additional approvals and the failure to
obtain any such additional approvals would require such Subsidiary to cease or otherwise materially limit the conduct of its business; and each Broker-Dealer Subsidiary and each Investment Advisor Subsidiary is in compliance with the requirements of
the broker-dealer and investment advisor laws and regulations of each jurisdiction that are applicable to such Subsidiary, and has filed all notices, reports, documents or other information required to be filed thereunder, with such exceptions as
would not have, individually or in the aggregate, a Material Adverse Effect; and 
 (xxviii) There are no contracts or
documents required to be described or referred to in the Registration Statement, the Time of Sale Prospectus or the Prospectus or to be filed as exhibits thereto which have not been so described and filed as required. 
 (b) Each of the Selling Stockholders severally represents and warrants to, and agrees with, the Underwriter and the Company that:

 (i) All consents, approvals, authorizations and orders necessary for the execution and
delivery by such Selling Stockholder of this Agreement and the Power of Attorney, the Custody Agreement and the Option Exercise Notice, if applicable, and for the sale and delivery of the Shares to be sold by such Selling Stockholder hereunder, have
been obtained; and such Selling Stockholder has full right, power and authority to enter into this Agreement, the Power of Attorney, the Custody Agreement and the Option Exercise Notice, if applicable, and to sell, assign, transfer and deliver the
Shares to be sold by such Selling Stockholder hereunder; 
 (ii) The sale of the Shares to be sold by such Selling Stockholder
hereunder and the compliance by such Selling Stockholder with all of the provisions of this Agreement, the Power of Attorney, the Custody Agreement and the Option Exercise Notice, if applicable, and the consummation by such Selling Stockholder of
the transactions herein and therein contemplated will not conflict with or result in a breach or violation of any of the terms or provisions of, or constitute a default under, any statute, indenture, mortgage, deed of trust, loan agreement or other
agreement or instrument to which such Selling Stockholder is a party or by which such Selling Stockholder is bound or to which any of the property or assets of such Selling Stockholder is subject, nor will such action result in any violation of the
provisions of the constituent documents of such Selling Stockholder if such Selling Stockholder is a corporation or other entity, or any statute or any order, rule or regulation of any court or governmental agency or body having jurisdiction over
such Selling Stockholder or the property of such Selling Stockholder; 
 (iii) Such Selling Stockholder is, and immediately
prior to each Time of Delivery (as defined in Section 4 hereof) such Selling Stockholder will be, except with respect to the registered ownership of such Shares at such times as the Custodian is the registered owner, the sole registered and
beneficial owner of the Shares to be sold by such Selling Stockholder hereunder, free and clear of all liens, encumbrances, equities or claims; and, upon delivery of such Shares as directed by the Underwriter, to a nominee designated by The
Depository Trust Company (“DTC”) and payment therefor pursuant hereto, (a) DTC will be a “protected purchaser” (as defined under Section 8-303 of the Uniform Commercial Code of Delaware (the “Delaware UCC”))
provided that it has no “notice” of an adverse claim within the meaning of Section 8-105 of the Delaware UCC, (b) the Underwriter, upon the crediting of such Shares on the records of DTC to securities accounts of the Underwriter,
will acquire a security entitlement in respect of such Shares under Section 8-501 of the Uniform Commercial Code of New York (the “New York UCC”) and (c) no action based on an adverse claim to such security entitlement may be
asserted against the Underwriter provided that they have no “notice” of such adverse claim within the meaning of Section 8-105 of the New York UCC; 
 (iv) During the period beginning from the date hereof and continuing to and including the date 180 days after the date of the Prospectus,
not to offer, sell, 

 
contract to sell or otherwise dispose of, except as provided hereunder, any securities of the Company that are substantially similar to the Shares, including
but not limited to any securities that are convertible into or exchangeable for, or that represent the right to receive, Stock or any such substantially similar securities (other than pursuant to stock-based compensation or incentive plans existing
on, or upon the conversion or exchange of convertible or exchangeable securities outstanding as of, the date of this Agreement or as otherwise provided in the lock up agreement entered into between such Selling Stockholder and the Underwriter),
without your prior written consent; 
 (v) Such Selling Stockholder has not taken and will not take, directly or indirectly,
any action which is designed to or which has constituted or which might reasonably be expected to cause or result in stabilization or manipulation of the price of any security of the Company to facilitate the sale or resale of the Shares;

 (vi) To the extent that any statements or omissions made in the Registration Statement, the Time of Sale Prospectus, the
Prospectus or any amendment or supplement thereto are made in reliance upon and in conformity with written information furnished to the Company by such Selling Stockholder expressly for use therein, such Time of Sale Prospectus and Registration
Statement did, and the Prospectus and any further amendments or supplements to the Registration Statement and the Prospectus, when they become effective or are filed with the Commission, as the case may be, will conform in all material respects to
the requirements of the Act and the rules and regulations of the Commission thereunder and will not contain any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements
therein not misleading; 
 (vii) In order to document the Underwriter’s compliance with the reporting and withholding
provisions of the Tax Equity and Fiscal Responsibility Act of 1982 with respect to the transactions herein contemplated, such Selling Stockholder will deliver to you prior to or at the Time of Delivery (as hereinafter defined) a properly completed
and executed United States Treasury Department Form W-9 (or other applicable form or statement specified by Treasury Department regulations in lieu thereof); 
 (viii) All of the Shares to be sold by such Selling Stockholder hereunder have been transferred or, in the case of the Stockholder Option
Shares, will be transferred prior to the Time of Delivery of such Shares, for registration in the name of Mellon Investor Services LLC, as Custodian (the “Custodian”) under a Custody Agreement, in the form heretofore furnished to you (the
“Custody Agreement”), duly executed and delivered by such Selling Stockholder to the Custodian, and such Selling Stockholder has duly executed and delivered a Power of Attorney, in the form heretofore furnished to you (the “Power of
Attorney”), appointing the persons indicated in footnote (a) in Schedule I hereto, and each of them, as such Selling Stockholder’s attorneys-in-fact (the “Attorneys-in-Fact”) 

 
with authority to execute and deliver this Agreement on behalf of such Selling Stockholder, to determine the purchase price to be paid by the Underwriter to
the Selling Stockholders as provided in Section 2 hereof, to authorize the Custodian to instruct the transfer agent of the Company to transfer the registered ownership of the Shares to be sold by such Selling Stockholder hereunder and otherwise
to act on behalf of such Selling Stockholder in connection with the transactions contemplated by this Agreement and the Custody Agreement, and if such Selling Stockholder is selling Shares hereunder pursuant to the cashless exercise of options to
purchase shares of Stock (“Stock Options”), such Selling Stockholder has duly executed and delivered an Option Exercise Consent Agreement in respect of such Stock Options and has (i) duly executed and delivered, (ii) completed by
Internet or (iii) completed by telephone election method a Stockholder Secondary Offering Participation Election Form, each in the form heretofore furnished to you, (collectively, the “Option Exercise Notice”), providing for, among
other things, the exercise of certain of such Selling Stockholder’s Stock Options and the issuance of such Selling Stockholder’s Stockholder Option Shares; 
 (ix) The Shares to be sold by such Selling Stockholder hereunder were registered in the name of the Custodian under the Custody Agreement
or, in the case of such Selling Stockholder’s Stockholder Option Shares, will be registered prior to the Time of Delivery of such Shares, and are (or will be, as applicable) subject to the interests of the Underwriter hereunder; the
arrangements made by such Selling Stockholder under the Custody Agreement and the Option Exercise Notice, if applicable, and the appointment by such Selling Stockholder of the Attorneys-in-Fact by the Power of Attorney, are irrevocable; the
obligations of the Selling Stockholders hereunder will not be terminated by operation of law, whether by the death or incapacity of any individual Selling Stockholder or, in the case of an estate or trust, by the death or incapacity of any executor
or trustee or the termination of such estate or trust, or in the case of a partnership or corporation, by the dissolution of such partnership or corporation, or by the occurrence of any other event; if any individual Selling Stockholder or any such
executor or trustee should die or become incapacitated, or if any such estate or trust should be terminated, or if any such partnership or corporation should be dissolved, or if any other such event should occur, before the delivery of the Shares
hereunder, the Shares will be transferred by or on behalf of the Selling Stockholders in accordance with the terms and conditions of this Agreement and of the Custody Agreements; and actions taken by the Attorneys-in-Fact pursuant to the Powers of
Attorney and the Option Exercise Notice, if applicable, will be as valid as if such death, incapacity, termination, dissolution or other event had not occurred, regardless of whether or not the Custodian, the Attorneys-in-Fact, the Company or any of
them, shall have received notice of such death, incapacity, termination, dissolution or other event; and 
 (x) Except as
provided in Schedule 1(b)(x) hereto, neither the Selling Stockholder nor any of its affiliates directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, or 

 
has any other association with (within the meaning of Article I, Section (dd) of the By-laws of the National Association of Securities Dealers
(“NASD”), any member firm of the NASD. 
 2. Subject to the terms and conditions herein set forth, (a) each of the Selling
Stockholders agrees, severally and not jointly, to sell to the Underwriter, and the Underwriter agrees to purchase from each of the Selling Stockholders, the Shares at a purchase price per share of $36.00. 
 3. Upon the authorization by you of the release of the Shares, you propose to offer the Shares for sale upon the terms and conditions set forth in the
Time of Sale Prospectus and the Prospectus. 
 4. (a) The Shares to be purchased by the Underwriter hereunder, in definitive form, and
in such authorized denominations and registered in such names as the Underwriter may request upon at least forty-eight hours’ prior notice to the Attorneys-in-Fact for the Selling Stockholders shall be delivered by or on behalf of the Selling
Stockholders to the Underwriter, through the facilities of DTC, for the account of the Underwriter, against payment by or on behalf of the Underwriter of the purchase price therefor by wire transfer of Federal (same-day) funds to the account
specified by the Custodian, to the Underwriter at least forty-eight hours in advance. The Company will cause the certificates representing the Shares to be made available for checking and packaging at least twenty-four hours prior to the Time of
Delivery (as defined below) with respect thereto at the office of DTC or its designated custodian (the “Designated Office”). The time and date of such delivery and payment shall be 9:30 a.m., New York time, on September 12, 2006, or
such other time and date as the Underwriter and the Company may agree upon in writing. Such time and date for delivery of the Shares is herein called the “Time of Delivery”. 
 (b) The documents to be delivered at each Time of Delivery by or on behalf of the parties hereto pursuant to Section 8 hereof,
including the cross receipt for the Shares and any additional documents requested by the Underwriter pursuant to Section 8(l) hereof will be delivered at the offices of LeBoeuf, Lamb, Greene & MacRae LLP, 125 W. 55th Street, New York,
New York 10019 (the “Closing Location”), and the Shares will be delivered at the Designated Office, all at such Time of Delivery. A meeting will be held at the Closing Location at 2:00 p.m., New York City time, on the New York Business Day
preceding such Time of Delivery, at which meeting the final drafts of the documents to be delivered pursuant to the preceding sentence will be available for review by the parties hereto. For the purposes of this Section 4, “New York
Business Day” shall mean each Monday, Tuesday, Wednesday, Thursday and Friday which is not a day on which banking institutions in New York are generally authorized or obligated by law or executive order to close. 
 5. The Company agrees with the Underwriter: 
 (a) To prepare the Prospectus in a form approved by you and to file timely and in the manner required such Prospectus pursuant to Rule 424(b) under the Act; to make no further amendment or any supplement to the
Registration Statement, the 

 
Prospectus or any Issuer Free Writing Prospectus which shall be disapproved by you promptly after reasonable notice thereof; to advise the Underwriter,
promptly after it receives notice thereof, of the time when any amendment to the Registration Statement has been filed or becomes effective or any supplement or amendment to the Prospectus or any Issuer Free Writing Prospectus has been filed and to
furnish you with copies thereof; to advise you promptly after it receives notice thereof, of the issuance by the Commission of any stop order or of any order preventing or suspending the use of the Time of Sale Prospectus, the Prospectus or any free
writing prospectus or of any examination pursuant to Section 8(e) of the Act concerning the Registration Statement, of the suspension of the qualification of the Shares for offering or sale in any jurisdiction, of the initiation or threatening
of any proceeding for any such purpose, or of any request by the Commission for the amending or supplementing of the Registration Statement or Prospectus or for additional information; and, in the event of the issuance of any stop order or of any
order preventing or suspending the use of the Time of Sale Prospectus, the Prospectus or any Issuer Free Writing Prospectus or suspending any such qualification, promptly to use its reasonable best efforts to obtain the withdrawal of such order;

 (b) Promptly from time to time to take such action as you may reasonably request to qualify the Shares for offering and
sale under the securities laws of such jurisdictions as you may request and to comply with such laws so as to permit the continuance of sales and dealings therein in such jurisdictions for as long as may be necessary to complete the distribution of
the Shares, provided that in connection therewith the Company shall not be required to qualify as a foreign corporation or to file a general consent to service of process in any jurisdiction or to subject itself to taxation in respect of doing
business in any jurisdiction in which it is not otherwise so subject; 
 (c) (i) Prior to 3:00 p.m., New York City time,
on the New York Business Day next succeeding the date of this Agreement, on a reasonable best efforts basis, to furnish the Underwriter with written and electronic copies of the Prospectus in New York City in such quantities as you may reasonably
request and (ii) from time to time, to furnish the Underwriter with written and electronic copies of the Prospectus in New York City in such quantities as you may reasonably request, and, if the delivery of a prospectus is required at any time
prior to the expiration of nine months after the time of issue of the Prospectus in connection with the offering or sale of the Shares and if at such time any events shall have occurred as a result of which the Prospectus as then amended or
supplemented would include an untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made when such Prospectus is delivered,
not misleading, or, if for any other reason it shall be necessary during such period to amend or supplement the Prospectus in order to comply with the Act, to notify you and upon your request to prepare and furnish without charge to the Underwriter
and to any dealer in securities as many written and electronic copies as you may from time to time reasonably request of an amended Prospectus or a supplement to the Prospectus which will correct such statement or omission or effect such compliance,
and in case the Underwriter is required to deliver a prospectus in connection with sales of any of the Shares at any time nine months or more after the time of issue of the Prospectus, upon your request but at the expense of the Underwriter, to
prepare and deliver to the Underwriter as many written and electronic copies as you may request of an amended or supplemented Prospectus complying with Section 10(a)(3) of the Act; 

 (d) To make generally available to its securityholders as soon as practicable, but in any
event not later than eighteen months after the effective date of the Registration Statement (as defined in Rule 158(c) under the Act), an earnings statement of the Company and its subsidiaries (which need not be audited) complying with
Section 11(a) of the Act and the rules and regulations of the Commission thereunder (including, at the option of the Company, Rule 158); 
 (e) During the period beginning from the date hereof and continuing to and including the date 180 days after the date of the Prospectus, not to offer, sell, contract to sell or otherwise dispose of, except as provided
hereunder, any securities of the Company that are substantially similar to the Shares, including but not limited to any securities that are convertible into or exchangeable for, or that represent the right to receive, Stock or any such substantially
similar securities (other than (x) pursuant to stock-based compensation, incentive or benefit plans and Company employee stock purchase plans existing on, or upon the conversion or exchange of convertible or exchangeable securities outstanding
as of, the date of this Agreement or (y) Stock issued as consideration in acquisitions; provided, that the recipient of such Stock issued as consideration in an acquisition becomes a party to, and such Stock is subject to, the Second
Amended and Restated Stockholders Agreement of the Company, dated as of February 13, 2004, by and among the Company, Apollo Investment Fund IV, L.P. and certain of the other stockholders of the Company that are signatories thereto, as amended,
(the “Stockholders Agreement”), the Lock-up Agreement by and among the Company and certain of the other stockholders of the Company that are signatories thereto (the “Stockholder Lock-up Agreement”) or such other stockholders
agreement of the Company containing restrictions on the transferability of such Stock that are substantially similar to the provisions contained in the Stockholders Agreement or the Stockholder Lock-up Agreement), without your prior written consent;

 (f) During a period of three years from the effective date of the Registration Statement, to the extent not available via
Commission’s Electronic Data, Gathering, Analysis and Retrieval System, to furnish to you copies of all reports or other communications (financial or other) furnished to stockholders, and to deliver to you (i) as soon as they are
available, copies of any reports and financial statements furnished to or filed with the Commission or any national securities exchange on which any class of securities of the Company is listed; and (ii) such additional information concerning
the business and financial condition of the Company as you may from time to time reasonably request (such financial statements to be on a consolidated basis to the extent the accounts of the Company and its subsidiaries are consolidated in reports
furnished to its stockholders generally or to the Commission); 
 (g) Upon the reasonable request of the Underwriter, to
furnish, or cause to be furnished, to the Underwriter an electronic version of the Company’s trademarks, servicemarks and corporate logo for use on the website, if any, operated by the Underwriter for the purpose of facilitating the on-line
offering of the Shares (the “License”); provided, however, that the License shall be used solely for the purpose described above, is granted without any fee and may not be assigned or transferred; 

 (h) With respect to any stockholders of the Company who prior to the date hereof have not
entered into a 180-day lock-up agreement directly with the Underwriter, to not waive any restrictions on transfer in the Stockholders Agreement, other than waivers granted in order to sell the Shares pursuant to this Agreement, during the period
ending on the 180th day after the Effective Date without the prior written consent of the Underwriter; and 
 (i) Any material
that the Company is required to file pursuant to Rule 433 under the Act has been, or will be, filed with the Commission in accordance with the requirements of the Act. 
 6. The Company and each of the Selling Stockholders covenant and agree with one another and with the Underwriter that: 
 (a) The Company will pay or cause to be paid the following: (i) the fees, disbursements and expenses of the Company’s counsel and accountants in connection with the registration of the Shares under the Act
and all other expenses in connection with the preparation, printing and filing of the Registration Statement, the Time of Sale Prospectus, the Prospectus, any Issuer Free Writing Prospectus and amendments and supplements thereto, including the
filing fees payable to the Commission relating to the Shares (within the time required by Rule 456(b)(1) under the Act, if applicable), and the mailing and delivering of copies thereof to the Underwriter and dealers; (ii) the cost of printing
or producing this Agreement, the Blue Sky Memorandum, closing documents (including any compilations thereof) and any other documents in connection with the offering, purchase, sale and delivery of the Shares; (iii) all expenses in connection
with the qualification of the Shares for offering and sale under state securities laws as provided in Section 6(b) hereof, including the reasonable fees and disbursements of counsel for the Underwriter in connection with such qualification and
in connection with the Blue Sky survey; (iv) the filing fees incident to, and the fees and disbursements of counsel for the Underwriter in connection with, securing any required review by the NASD of the terms of the sale of the Shares;
(v) the cost of preparing stock certificates; (vi) the cost and charges of any transfer agent or registrar and (vii) all other costs and expenses incident to the performance of its obligations hereunder which are not otherwise
specifically provided for in this Section; 
 (b) Each Selling Stockholder will pay or cause to be paid all costs and expenses
incident to the performance of such Selling Stockholder’s obligations hereunder which are not otherwise specifically provided for in this Section, including (i) any fees and expenses of counsel for such Selling Stockholder, (ii) such
Selling Stockholder’s pro rata share of the fees and expenses of the Attorneys-in-Fact and the Custodian, and (iii) all expenses and taxes incident to the sale and delivery of the Shares to be sold by such Selling Stockholder to the
Underwriter hereunder. In connection with clause (iii) of the preceding sentence, the Underwriter agrees to pay New York State stock transfer tax, and each Selling Stockholder agrees to reimburse the Underwriter for associated carrying 

 
costs if such tax payment is not rebated on the day of payment and for any portion of such tax payment not rebated. It is understood that, except as provided
in this Section, and Sections 9 and 12 hereof, the Underwriter will pay all of their own costs and expenses, including the fees of their counsel, stock transfer taxes on resale of any of the Shares by them, and any advertising expenses connected
with any offers they may make; and 
 7. Each of the Company and each Selling Stockholder represents and agrees that, unless it obtains the
prior consent of the Underwriter, and the Underwriter represents and agrees that, unless it obtains the prior consent of the Company, it has not made and will not make any offer relating to the Shares that would constitute a “free writing
prospectus,” as defined in Rule 405 under the Act. Any such free writing prospectus consented to by the Company and the Underwriter is hereinafter referred to as a “Permitted Free Writing Prospectus;” each “Permitted Free Writing
Prospectus” is listed on Schedules III(a) and III(b) hereto. Each of the Company and each Selling Stockholder represents that it has treated or agrees that it will treat each Permitted Free Writing Prospectus as an “issuer free writing
prospectus,” as defined in Rule 433. 
 8. The obligations of the Underwriter hereunder, as to the Shares to be delivered at each Time
of Delivery, shall be subject, in their discretion, to the condition that all representations and warranties and other statements of the Company and of the Selling Stockholders herein are, at and as of such Time of Delivery, true and correct, the
condition that the Company and the Selling Stockholders shall have performed all of its and their obligations hereunder theretofore to be performed, and the following additional conditions: 
 (a) The Prospectus shall have been filed with the Commission pursuant to Rule 424(b) within the applicable time period prescribed for such
filing by the rules and regulations under the Act and in accordance with Section 5(a) hereof; no stop order suspending the effectiveness of the Registration Statement or any part thereof shall have been issued and no proceeding for that purpose
shall have been initiated or threatened by the Commission; and all requests for additional information on the part of the Commission shall have been complied with to your reasonable satisfaction; 
 (b) LeBoeuf, Lamb, Greene & MacRae LLP, counsel for the Underwriter, shall have furnished to you such written opinion or opinions
(a draft of each such opinion is attached as Exhibit B hereto), dated such Time of Delivery, in a form or forms acceptable to you, and such counsel shall have received such papers and information as they may reasonably request to enable them to pass
upon such matters; 
 (c) Skadden, Arps, Slate, Meagher & Flom LLP, counsel for the Company, shall have furnished to
you their written opinions, dated such Time of Delivery, in form and substance satisfactory to you, to the effect set forth in Exhibits C-1 and C-2 hereto and a written letter, dated such Time of Delivery, in form and substance satisfactory to you,
to the effect set forth in Exhibit C-3 hereto; 
 (d) Douglas W. Hammond, Executive Vice President and General Counsel of the
Company, shall have furnished to you his written opinion, dated such Time of Delivery, in form and substance satisfactory to you, to the effect set forth in Exhibit D hereto; 

 (e) Morrison & Foerster LLP, counsel for the Selling Stockholders, shall have
furnished to you their written opinion with respect to the Selling Stockholders, dated such Time of Delivery, in form and substance satisfactory to you, to the effect set forth in Exhibit E hereto; 
 (f) On the date of the Prospectus at a time prior to the execution of this Agreement, at 9:30 a.m., New York City time, on the effective
date of any post-effective amendment to the Registration Statement filed subsequent to the date of this Agreement and also at each Time of Delivery, PricewaterhouseCoopers LLP shall have furnished to you a letter or letters, dated the respective
dates of delivery thereof, in form and substance satisfactory to you, to the effect set forth in Annex I hereto (the executed copy of the letter delivered prior to the execution of this Agreement is attached as Annex I(a) hereto and a draft of the
form of letter to be delivered on the effective date of any post-effective amendment to the Registration Statement and as of each Time of Delivery is attached as Annex I(b) hereto); 
 (g) (i) Neither the Company nor any of its subsidiaries shall have sustained since the date of the latest audited financial
statements included in the Time of Sale Prospectus and the Prospectus any loss or interference with its business from fire, explosion, flood or other calamity, whether or not covered by insurance, or from any labor dispute or court or governmental
action, order or decree, otherwise than as set forth or contemplated in the Time of Sale Prospectus and the Prospectus, and (ii) since the respective dates as of which information is given in the Time of Sale Prospectus and the Prospectus there
shall not have been any change in the capital stock or long-term debt of the Company or any of its subsidiaries or any change, or any development involving a prospective change, in or affecting the general affairs, management, financial position,
stockholders’ equity or results of operations of the Company and its subsidiaries, otherwise than as set forth or contemplated in the Time of Sale Prospectus and the Prospectus, the effect of which, in any such case described in clause
(i) or (ii), is in the judgment of the Underwriter so material and adverse as to make it impracticable or inadvisable to proceed with the public offering or the delivery of the Shares being delivered at such Time of Delivery on the terms and in
the manner contemplated in the Time of Sale Prospectus and the Prospectus; 
 (h) On or after the date hereof (i) no
downgrading shall have occurred in the rating accorded the Company’s debt securities, if any, by any “nationally recognized statistical rating organization”, as that term is defined by the Commission for purposes of Rule 436(g)(2)
under the Act, and (ii) no such organization shall have publicly announced that it has under surveillance or review, with possible negative implications, its rating, if any, of any of the Company’s debt securities; 
 (i) On or after the date hereof there shall not have occurred any of the following: (i) a suspension or material limitation in
trading in securities generally on the New York Stock Exchange; (ii) a suspension or material limitation in trading in the 

 
Company’s securities on the New York Stock Exchange; (iii) a general moratorium on commercial banking activities declared by either Federal or New
York State authorities or a material disruption in commercial banking or securities settlement or clearance services in the United States; (iv) the outbreak or escalation of hostilities involving the United States or the declaration by the
United States of a national emergency or war or (v) the occurrence of any other calamity or crisis or any change in financial, political or economic conditions in the United States or elsewhere, if the effect of any such event specified in
clause (iv) or (v) in the judgment of the Underwriter makes it impracticable or inadvisable to proceed with the public offering or the delivery of the Shares being delivered at such Time of Delivery on the terms and in the manner
contemplated in the Time of Sale Prospectus and the Prospectus; 
 (j) The Company has obtained and delivered to the
Underwriter executed copies of an agreement from each of the Company’s officers and directors substantially to the effect set forth in Subsection 1(b)(iv) hereof with respect to such officer or director, in form and substance satisfactory to
you; 
 (k) The Company shall have complied with the provisions of Section 5(c) hereof with respect to the furnishing of
prospectuses on the New York Business Day next succeeding the date of this Agreement; 
 (l) The Company and the Selling
Stockholders shall have furnished or caused to be furnished to you at such Time of Delivery certificates of officers of the Company and of the Selling Stockholders, respectively, satisfactory to you as to the accuracy of the representations and
warranties of the Company and the Selling Stockholders, respectively, herein at and as of such Time of Delivery, as to the performance by the Company and the Selling Stockholders of all of their respective obligations hereunder to be performed at or
prior to such Time of Delivery, and as to such other matters as you may reasonably request, and the Company shall have furnished or caused to be furnished certificates as to the matters set forth in subsections (a) and (g) of this Section.

 9. (a) The Company will indemnify and hold harmless the Underwriter against any losses, claims, damages or liabilities, to which the
Underwriter may become subject, under the Act or otherwise, insofar as such losses, claims, damages or liabilities (or actions in respect thereof) arise out of or are based upon an untrue statement or alleged untrue statement of a material fact
contained in the Registration Statement, the Time of Sale Prospectus, the Prospectus, any Issuer Free Writing Prospectus or any amendment or supplement thereto, or arise out of or are based upon the omission or alleged omission to state therein a
material fact required to be stated therein or necessary to make the statements therein, not misleading, and will reimburse the Underwriter for any legal or other expenses reasonably incurred by the Underwriter in connection with investigating or
defending any such action or claim as such expenses are incurred; provided, however, that the Company shall not be liable in any such case to the extent that any such loss, claim, damage or liability arises out of or is based upon an
untrue statement or alleged untrue statement or omission or alleged omission made in the Registration Statement, the Time of Sale Prospectus, the Prospectus, any Issuer Free Writing Prospectus or any such amendment or supplement in reliance upon and
in conformity with written information furnished to the Company by the Underwriter expressly for use therein. 

 (b) Each of the Selling Stockholders, severally and not jointly, will indemnify and hold
harmless the Underwriter against any losses, claims, damages or liabilities, joint or several, to which the Underwriter may become subject, under the Act or otherwise, insofar as such losses, claims, damages or liabilities (or actions in respect
thereof) arise out of or are based upon an untrue statement or alleged untrue statement of a material fact contained in the Registration Statement, the Time of Sale Prospectus, the Prospectus, any Issuer Free Writing Prospectus, or any amendment or
supplement thereto, or arise out of or are based upon the omission or alleged omission to state therein a material fact required to be stated therein or necessary to make the statements therein not misleading, in each case to the extent, but only to
the extent, that such untrue statement or alleged untrue statement or omission or alleged omission was made in the Registration Statement, the Time of Sale Prospectus, the Prospectus, any Issuer Free Writing Prospectus or any such amendment or
supplement in reliance upon and in conformity with written information furnished to the Company by such Selling Stockholder expressly for use therein; and will reimburse the Underwriter for any legal or other expenses reasonably incurred by the
Underwriter in connection with investigating or defending any such action or claim as such expenses are incurred; provided, however, that such Selling Stockholder shall not be liable in any such case to the extent that any such loss, claim,
damage or liability arises out of or is based upon an untrue statement or alleged untrue statement or omission or alleged omission made in any the Registration Statement, the Time of Sale Prospectus, the Prospectus, any Issuer Free Writing
Prospectus or any such amendment or supplement in reliance upon and in conformity with written information furnished to the Company by the Underwriter expressly for use therein. 
 (c) The Underwriter will indemnify and hold harmless the Company and each Selling Stockholder against any losses, claims, damages or
liabilities to which the Company or such Selling Stockholder may become subject, under the Act or otherwise, insofar as such losses, claims, damages or liabilities (or actions in respect thereof) arise out of or are based upon an untrue statement or
alleged untrue statement of a material fact contained in the Time of Sale Prospectus, the Prospectus, any Issuer Free Writing Prospectus, or any amendment or supplement thereto, or arise out of or are based upon the omission or alleged omission to
state therein a material fact required to be stated therein or necessary to make the statements therein not misleading, in each case to the extent, but only to the extent, that such untrue statement or alleged untrue statement or omission or alleged
omission was made in the Time of Sale Prospectus, the Prospectus, any Issuer Free Writing Prospectus or any such amendment or supplement in reliance upon and in conformity with written information furnished to the Company by the Underwriter
expressly for use therein; and will reimburse the Company and each Selling Stockholder for any legal or other expenses reasonably incurred by the Company or such Selling Stockholder in connection with investigating or defending any such action or
claim as such expenses are incurred. 
 (d) Promptly after receipt by an indemnified party under subsection (a), (b), or
(c) above of notice of the commencement of any action, such indemnified party shall, if a claim in respect thereof is to be made against the indemnifying party under such subsection, notify the indemnifying party in writing of the commencement
thereof; but 

 
the omission so to notify the indemnifying party shall not relieve it from any liability which it may have to any indemnified party otherwise than under such
subsection. In case any such action shall be brought against any indemnified party and it shall notify the indemnifying party of the commencement thereof, the indemnifying party shall be entitled to participate therein and, to the extent that it
shall wish, jointly with any other indemnifying party similarly notified, to assume the defense thereof, with a single counsel (in addition to local counsel) satisfactory to such indemnified party (who shall not, except with the consent of the
indemnified party, be counsel to the indemnifying party), and, after notice from the indemnifying party to such indemnified party of its election so to assume the defense thereof, the indemnifying party shall not be liable to such indemnified party
under such subsection for any legal expenses of other counsel or any other expenses, in each case subsequently incurred by such indemnified party, in connection with the defense thereof other than reasonable costs of investigation. No indemnifying
party shall, without the written consent of the indemnified party, effect the settlement or compromise of, or consent to the entry of any judgment with respect to, any pending or threatened action or claim in respect of which indemnification or
contribution may be sought hereunder (whether or not the indemnified party is an actual or potential party to such action or claim) unless such settlement, compromise or judgment (i) includes an unconditional release of the indemnified party
from all liability arising out of such action or claim and (ii) does not include a statement as to or an admission of fault, culpability or a failure to act, by or on behalf of any indemnified party. 
 (e) If the indemnification provided for in this Section 9 is unavailable to or insufficient to hold harmless an indemnified party
under subsection (a), (b) or (c) above in respect of any losses, claims, damages or liabilities (or actions in respect thereof) referred to therein, then each indemnifying party shall contribute to the amount paid or payable by such
indemnified party as a result of such losses, claims, damages or liabilities (or actions in respect thereof) in such proportion as is appropriate to reflect the relative benefits received by the Company and the Selling Stockholders on the one hand
and the Underwriter on the other from the offering of the Shares. If, however, the allocation provided by the immediately preceding sentence is not permitted by applicable law or if the indemnified party failed to give the notice required under
subsection (d) above, then each indemnifying party shall contribute to such amount paid or payable by such indemnified party in such proportion as is appropriate to reflect not only such relative benefits but also the relative fault of the
Company and the Selling Stockholders on the one hand and the Underwriter on the other in connection with the statements or omissions which resulted in such losses, claims, damages or liabilities (or actions in respect thereof), as well as any other
relevant equitable considerations. The relative benefits received by the Company and the Selling Stockholders on the one hand and the Underwriter on the other shall be deemed to be in the same proportion as the total net proceeds from the offering
(before deducting expenses) received by the Company and the Selling Stockholders bear to the total underwriting discounts and commissions received by the Underwriter, in each case as set forth in the table on the cover page of the Prospectus. The
relative fault shall be determined by reference to, among other things, whether the untrue or alleged untrue statement of a material fact or the omission or alleged omission to state a material fact relates to information supplied by the Company or
the Selling Stockholders on the one hand or the Underwriter on the other and the 

 
parties’ relative intent, knowledge, access to information and opportunity to correct or prevent such statement or omission. The Company, each of the
Selling Stockholders and the Underwriter agree that it would not be just and equitable if contributions pursuant to this subsection (e) were determined by pro rata allocation or by any other method of allocation which does not take
account of the equitable considerations referred to above in this subsection (e). The amount paid or payable by an indemnified party as a result of the losses, claims, damages or liabilities (or actions in respect thereof) referred to above in this
subsection (e) shall be deemed to include any legal or other expenses reasonably incurred by such indemnified party in connection with investigating or defending any such action or claim. Notwithstanding the provisions of this subsection (e),
the Underwriter shall not be required to contribute any amount in excess of the amount by which the total price at which the Shares underwritten by it and distributed to the public were offered to the public exceeds the amount of any damages which
the Underwriter has otherwise been required to pay by reason of such untrue or alleged untrue statement or omission or alleged omission. No person guilty of fraudulent misrepresentation (within the meaning of Section 11(f) of the Act) shall be
entitled to contribution from any person who was not guilty of such fraudulent misrepresentation. 
 (f) The obligations of
the Company and the Selling Stockholders under this Section 9 shall be in addition to any liability which the Company and the respective Selling Stockholders may otherwise have and shall extend, upon the same terms and conditions, to each
person, if any, who controls (within the meaning of Section 15 of the Act) the Underwriter, or any of the respective partners, directors, officers and employees of the Underwriter or any such controlling person; and the obligations of the
Underwriter under this Section 8 shall be in addition to any liability which the Underwriter may otherwise have and shall extend, upon the same terms and conditions, to each officer and director of the Company (including any person who, with
his or her consent, is named in the Registration Statement as about to become a director of the Company) and to each person, if any, who controls the Company or any Selling Stockholder within the meaning of the Act. 
 10. The respective indemnities, agreements, representations, warranties and other statements of the Company, the Selling Stockholders and the
Underwriter, as set forth in this Agreement or made by or on behalf of them, respectively, pursuant to this Agreement, shall remain in full force and effect, regardless of the investigation (or any statement as to the results thereof) made by or on
behalf of Underwriter or any controlling person of the Underwriter, or the Company, or any of the Selling Stockholders, or any officer or director or controlling person of the Company, or any controlling person of any Selling Stockholder, and shall
survive delivery of and payment for the Shares. 
 11. If for any reason any Shares are not delivered by or on behalf of the Selling
Stockholders as provided herein, the Selling Stockholders pro rata (based on the number of Shares to be sold by such Selling Stockholder hereunder) will reimburse the Underwriter for all out-of-pocket expenses including fees and disbursements of
counsel, reasonably incurred by the Underwriter in making preparations for the purchase, sale and delivery of the Shares not so delivered, but the Selling Stockholders shall then be under no further liability to the Underwriter in respect of the
Shares not so delivered except as provided in Sections 6 and 9 hereof. 

 12. In all dealings with any Selling Stockholder hereunder, you and the Company shall be entitled to act
and rely upon any statement, request, notice or agreement on behalf of such Selling Stockholder made or given by any or all of the Attorneys-in-Fact for such Selling Stockholder. 
 All statements, requests, notices and agreements hereunder shall be in writing, and if to the Underwriter, shall be delivered or sent by mail, telex or
facsimile transmission to UBS Securities LLC, 299 Park Avenue, New York, New York 10171, Attention: Equity Capital Markets Department (with a copy to the Legal Department); if to any Selling Stockholder shall be delivered or sent by mail, telex or
facsimile transmission to counsel for such Selling Stockholder at its address set forth in Schedule I hereto; and if to the Company shall be delivered or sent by mail, telex or facsimile transmission to the address of the Company set forth in the
Registration Statement, Attention: General Counsel; provided, however, that any notice to the Underwriter pursuant to Section 9(d) hereof shall be delivered or sent by mail, telex or facsimile transmission to the Underwriter at its address set
forth in the Underwriter’s Questionnaire or telex constituting such Questionnaire, which address will be supplied to the Company or the Selling Stockholders by you on request. Any such statements, requests, notices or agreements shall take
effect upon receipt thereof. 
 13. This Agreement shall be binding upon, and inure solely to the benefit of, the Underwriter, the Company
and the Selling Stockholders and, to the extent provided in Sections 9 and 10 hereof, the officers and directors of the Company and each person who controls (within the meaning of Section 15 of the Act) the Company, any Selling Stockholder, the
Underwriter, or any of the respective partners, directors, officers, employees and agents of the Underwriter or any such controlling person of the Underwriter, and their respective heirs, executors, administrators, successors and assigns, and no
other person shall acquire or have any right under or by virtue of this Agreement. No purchaser of any of the Shares from the Underwriter shall be deemed a successor or assign by reason merely of such purchase. 
 14. Time shall be of the essence of this Agreement. As used herein, the term “business day” shall mean any day when the Commission’s
office in Washington, D.C. is open for business. 
 15. This Agreement shall be governed by and construed in accordance with the laws of the
State of New York. 
 16. This Agreement may be executed by any one or more of the parties hereto in any number of counterparts, each of
which shall be deemed to be an original, but all such counterparts shall together constitute one and the same instrument. 
 17. The Company
and the Selling Stockholders are authorized, subject to applicable law, to disclose any and all aspects of this potential transaction that are necessary to support any U.S. federal income tax benefits expected to be claimed with respect to such
transaction, and all materials of any kind (including tax opinions and other tax analyses) related to those benefits, without the Underwriter imposing any limitation of any kind. 

 18. The Company and each of the Selling Stockholders acknowledge and agree that, in connection with the
purchase and sale of the Shares pursuant to this Agreement, (i) the purchase and sale of the Shares pursuant to this Agreement, including the determination of the public offering price of the Shares and any related discounts and commissions, is
an arm’s length commercial transaction between the Company and the Selling Stockholders, on the one hand, and the Underwriter, on the other hand, (ii) and in connection with the process leading to such transaction, the Underwriter is and
has been acting solely as a principal and is not the agent or fiduciary of the Company, any Selling Stockholder, or their respective stockholders, creditors, employees or any other party, (iii) the Underwriter has not assumed and will not
assume an advisory or fiduciary responsibility in favor of the Company or any Selling Stockholder with respect to the offering contemplated hereby or the process leading thereto (irrespective of whether the Underwriter has advised or is currently
advising the Company or any Selling Stockholder on other matters) and the Underwriter has no obligation to the Company or any Selling Stockholder with respect to the offering contemplated hereby except the obligations expressly set forth in this
Agreement, (iv) the Underwriter and its respective affiliates may be engaged in a broad range of transactions that involve interests that differ from those of the Company or any Selling Stockholder, and (v) the Underwriter has not provided
any legal, accounting, regulatory or tax advice with respect to the offering contemplated hereby and the Company and each Selling Stockholder has consulted its own legal, accounting, regulatory and tax advisors to the extent it deemed appropriate.

 If the foregoing is in accordance with your understanding, please sign and return to us eight counterparts hereof, and upon the acceptance
hereof by you, this letter and such acceptance hereof shall constitute a binding agreement among the Underwriter, the Company and each of the Selling Stockholders. 

 Any person executing and delivering this Agreement as Attorney-in-Fact for a Selling Stockholder
represents by so doing that he has been duly appointed as Attorney-in-Fact by such Selling Stockholder pursuant to a validly existing and binding Power-of-Attorney which authorizes such Attorney-in-Fact to take such action. 
  

			
	Very truly yours,
	
	National Financial Partners Corp.
		
	By:	 	 /s/ MARK S. BIDERMAN

	Name:	 	Mark C. Biderman
	Title:	 	Executive Vice President and Chief Financial Officer
	
	The Selling Stockholders named in Schedule I to this Agreement
		
	By:	 	 /s/ MARK S. BIDERMAN

	Name:	 	Mark C. Biderman
	Title:	 	Executive Vice President and Chief Financial Officer
		
		 	As Attorney-in-Fact acting on behalf of each of the Selling Stockholders named in Schedule I to this Agreement.

			
	Accepted as of the date hereof
	
	UBS Securities LLC
		
	By:	 	 /s/ MATTHEW MALLOY

	Name:	 	Matthew Malloy
		 	Authorized signatory
		
	By:	 	 /s/ ALEJANDRO PRZYGODA

	Name:	 	Alejandro Przygoda
		 	Authorized signatory

 SCHEDULE I 
  

			
	  	    	 Total Number of
 Shares to Be Sold

	 Jack W. Abel
	    	1,140
	 Adriane M. DiMeo Trust
	    	2,185
	 Gary Ambrose
	    	2,050
	 Andrew M. Denis & Valerie A. Denis Living Trust U/A/D 6/18/97,
Andrew M. & Valerie A. Denis, Trustees
	    	1,116
	 Patricia L. Arnone
	    	5,000
	 Robert C. Arnone
	    	5,000
	 Robert J. Arnone
	    	15,000
	 Robert J. Arnone & Patricia Arnone & Patricia Trish Arnone Trustees of the Trust FBO Arnone Children DTD September 5,
2001
	    	20,000
	 David P. Babinski
	    	2,069
	 Bakumba Partners LP
	    	1,818
	 Barbara A. Levine Revocable Trust
	    	2,000
	 Timothy R. Bell
	    	3,400
	 Bellajule Partners, LP
	    	6,877
	 Michael A. Book
	    	9,875
	 Joseph W. Bowie
	    	3,350
	 Donald G. Breazeale
	    	433
	 Richard W. Brown
	    	888
	 Allen L. Cairns
	    	624
	 W. Todd Carlisle
	    	1,134
	 Richard J. Carney
	    	1,504
	 Caron Partners, LP
	    	14,580
	 David J. Carroll
	    	16,901
	 Gregory F. Carroll
	    	5,986
	 Thomas J. Carstens
	    	3,147
	 John F. Carter
	    	162
	 Charles B. Gilbert 2004 Revocable Trust
	    	1,313
	 Jon C. Christie
	    	3,882
	 Ann & Larry Cohen
	    	2,500
	 Stuart I. Cohen
	    	6,666
	 J. Forrest Collier
	    	567
	 Community Funds, Inc.
	    	3,250
	 Stephen A. Cooper
	    	25,073
	 William P. Corry
	    	11,666
	 Joseph R. Crea
	    	19,484
	 Robert L. Cummings
	    	3,125
	 Charles Cunningham
	    	1,609
	 Karen Cunningham
	    	1,609
	 Custom Benefit Services Houston Inc. 401(k) Plan FBO Michael G. Pettey
	    	1,407
	 Robert E. Czerwinski
	    	2,668
	 G. Thomas Damasco
	    	2,784
	 Leslie Davidson
	    	1,277
	 Norman A. Dawidowicz
	    	2,050
	 Andrew J. DeGroat
	    	4,705
	 Robert G. DiMeo
	    	8,778
	 Dale B. Dir
	    	2,676
	 Gary Droz
	    	6,000
	 Joseph M. Duckett
	    	2,838
	 Keith D. Duke
	    	567
	 Ernesto Duran Cancel
	    	5,165

			
	 	  	 
	  
	 Eastman Family Trust, Earl R. Eastman & Kimberly Eastman, Trustees
	  	40,000
	 Susan Evans
	  	370
	 Thomas J. Fanning
	  	12,857
	 Jolee J. Farro
	  	19,484
	 FHC Partnership
	  	6,521
	 FJC
	  	2,050
	 Louis Finkelstein
	  	1,746
	 Marc & Beth Firestone
	  	2,400
	 Douglas C. Foreman
	  	359
	 Stephen F. Foreman
	  	359
	 David W. Freeley
	  	16,901
	 Bruce E. Fyfe & Wanda Fyfe, Tenants By The Entirety
	  	4,482
	 Patrick J. Gallagher
	  	5,183
	 Matthew A. Ganovsky
	  	16,231
	 Stephanie M. Gardner
	  	343
	 Scott A. Geiger
	  	486
	 Steven D. Gettis
	  	2,531
	 Morris Glickman
	  	975
	 GMRNFP Investment LLC
	  	9,610
	 Mark S. Goodman
	  	76,092
	 Michael W. Goodman
	  	6,981
	 Richard B. Goodman
	  	140
	 William S. Goodman
	  	6,981
	 Gloria F. Gottlieb
	  	16,033
	 Gottlieb GST Trust I U/I/D 7/15/99
	  	19,090
	 Gottlieb GST Trust II U/I/D 7/15/99
	  	19,090
	 James L. Gould
	  	978
	 James L. Gould IRA
	  	3,028
	 Diana Greenberg-Hudson
	  	4,846
	 Stephanie M. Gardner, Custodian for Gabriel M. Greenwell
	  	150
	 John J. Griffith, Jr.
	  	262
	 G. R. Gross, CPA, P.A.
	  	13,800
	 Todd Hamerlinck
	  	2,678
	 Paul M. Harrington
	  	1,336
	 Edward F. Harris & Gail L. Harris, Joint Tenants
	  	1,357
	 Richard Todd Heffern
	  	6,139
	 Herbert C. Smith, Trustee of the Herbert C. Smith Profit Sharing Plan & Trust
	  	358
	 Lawrence T. Herrig
	  	32,689
	 George W. Hester
	  	367
	 Gilliam S. Hicks
	  	56
	 Stephen E. Hill
	  	11,250
	 Mark J. Hinkle
	  	2,141
	 Brian R. Hirsch
	  	856
	 Elizabeth Hirsch
	  	856
	 Bruce E. Hlavacek
	  	5,676

			
	 	  	 
	  
	 Elizabeth Hoffman
	  	2,000
	 Mark Holland
	  	2,750
	 Stephanie M. Gardner, Custodian for Kaytlynn M. Horner
	  	150
	 Stephanie M. Gardner, Custodian for Michael G. Horner
	  	150
	 Horowitz Family Trust DTD 2/19/86 with Restatements Dated 5/21/2003
	  	69,580
	 Horowitz Grandchildren Trust Created on November 30, 1999, Greg Yaris, Trustee
	  	16,000
	 Michael Aaron Horowitz
	  	4,000
	 Samuel Louis Horowitz
	  	4,000
	 N. Douglas Hostetler
	  	6,664
	 Infinity Trust, Harry M. McCabe, Trustee
	  	672
	 Insurance Services Management, LLC
	  	40,553
	 John Irvin
	  	4,692
	 Jerome T. Butwin Revocable Trust
	  	14,553
	 Jewish Community Foundation of the Jewish Federation Council of Greater Los Angeles
	  	32,000
	 Joel R. Baker Revocable Trust
	  	9,865
	 John Thomas Kraemer Trustee of the John Thomas Kraemer & Cim Shami Kraemer Revocable Intervivos Trust 1993
	  	8,897
	 Marc Jones
	  	25,540
	 Jordon R. Katz Revocable Trust DTD November 20, 2000
	  	6,543
	 Joseph D. Kelly
	  	6,800
	 Suzanne G. Kelly
	  	6,800
	 William A. Kientz, III
	  	433
	 Kevin Scott Kirby
	  	16,231
	 Christopher C. Knoche
	  	709
	 Howard M. Koff
	  	40,000
	 Steven I. Kolinsky
	  	11,250
	 William J. Kring
	  	2,288
	 Steven H. Kronethal
	  	3,437
	 Richard R. Kruse
	  	2,700
	 L. H. Blum, CPA PA
	  	13,800
	 Michael J. Lancaster
	  	1,587
	 Gregory K. Large
	  	10,225
	 Peter Lefkowitz
	  	3,820
	 Steven H. Lewis
	  	168
	 Michael S. Liebowitz
	  	37,402
	 Milton Liss
	  	2,668
	 Anthony P. Locascio & Jeanie P. Locascio
	  	3,000
	 Howard M. Lorber
	  	63,787
	 Larry E. Lucco
	  	5,580
	 Michael E. Martin
	  	12,000
	 Thomas B. Martin IRA
	  	3,124

			
	 	  	 
	  
	 Linda D. McCabe
	  	780
	 James McGilvray
	  	1,925
	 Tracey McGilvray
	  	4,126
	 Sean Todd McNealy
	  	16,232
	 Alan L. Meltzer
	  	39,862
	 Marvin Meyer
	  	7,432
	 Michael Zanders Trust
	  	223
	 Michael R. Juffa Trust
	  	4,799
	 Gerald L. Middel
	  	752
	 Joel Miller
	  	5,556
	 Rodney K. Miller
	  	307
	 Robert Mitchell
	  	1,612
	 George Mosse
	  	1,506
	 Jonathan R. Mosse
	  	3,322
	 John T. Mulheran
	  	5,194
	 Robert E. Muzikowski
	  	1,687
	 Ronald H. Nakamoto
	  	10,663
	 Marty L. Nanne
	  	4,013
	 Bryan Ohm
	  	3,712
	 Opportunity Systems, Inc.
	  	1,610
	 Michael O’Riordan
	  	3,317
	 Michelle L. Ortiz & Sandra L. Ortiz
	  	1,200
	 Robert Ortiz & Sandra Ortiz
	  	1,800
	 P. Miller Inc.
	  	13,800
	 Elaine M. Paris
	  	1,000
	 Richard L. Pearlstone
	  	2,727
	 Michael G. Pettey
	  	800
	 Mark G. Pollock
	  	9,911
	 M. K. Powers CPA PA
	  	700
	 Lucas Prewett & Agnes J. Prewett, Tenants By The Entirety
	  	1,612
	 Mike A. Priestley
	  	4,647
	 Rachlin Cohen & Holtz LLP
	  	15,042
	 Sam Radin
	  	6,078
	 Gerald L. & Kimberly C. Rappold
	  	461
	 Lawrence F. Riegner
	  	9,700
	 John Daniel Rigby
	  	8,593
	 Estate of John L. Robinson, Jr.
	  	4,699
	 John Ross
	  	286
	 Ferdinand Ruano-Arroyo
	  	1,739
	 Michael G. Rudelson
	  	19,280
	 Estate of John L. Sachs
	  	8,456
	 Scott M. Sakata
	  	10,764
	 Christopher R. Sampers
	  	300
	 San Diego Pine Cone, Ltd.
	  	6,000
	 Harold Sanes
	  	1,818
	 Christopher P. Scalese
	  	2,069
	 Glenda J. Schmidt
	  	6,672

			
	 	  	 
	  
	 Paul Schnell
	  	13,200
	 Frank G. Schwartz
	  	1,692
	 Stephen Scott
	  	271
	 Charles Severs
	  	2,026
	 Arthur D. Shankman
	  	23,259
	 Judy Siegel
	  	243
	 Howard Silverman
	  	5,250
	 SMG Class of Interests of Clearwater Consulting Concepts, LLLP
	  	72,640
	 Betty Anne Smith
	  	5,000
	 Mindy Sontag
	  	13,422
	 Michael Sosner
	  	4,363
	 Jacqueline Stirling
	  	1,716
	 Sun Equity Company LLC
	  	752
	 Sym Financial Corporation
	  	752
	 Thomas L. Taylor
	  	1,716
	 Tessler Family Charitable Trust
	  	6,500
	 Fern Kaye Tessler
	  	6,500
	 James W. Thiele
	  	2,000
	 John J. Tillger
	  	4,705
	 Rick Van Benschoten
	  	11,325
	 Cyrus Walker
	  	12,437
	 William J. Weiss, III
	  	3,587
	 Carrie S. Winsten
	  	1,247
	 Lesley Winston & Rosalind Gettis, Tenants By The Entirety
	  	2,171
	 Robert L. Winter
	  	2,166
	 Kenneth Wirth
	  	3,437
	 Bernard R. Wolfe
	  	3,185
	 Bill S. Wolfkiel
	  	3,428
	 Richard D. Worrell
	  	1,408
	 Gary L. Wright
	  	14,716
	 Bonnie L. Zagula
	  	448
	 Mathew E. Zagula & Stephanie Zagula, Joint Tenants
	  	897

 These Selling Stockholders are represented by
Morrison & Foerster LLP and have appointed Jessica M. Bibliowicz, Mark C. Biderman and Douglas W. Hammond, and each of them, as the Attorneys-in-Fact for such Selling Stockholders. 

 SCHEDULE II 
 List of Subsidiaries (as defined in Section 1(a)(v)) 
 NFP Insurance Services, Inc. 
 NFP Securities, Inc. 
 Massachusetts Business Association, L.L.C. 

 SCHEDULE III(a) 
 None 

 SCHEDULE III(b) 
 None 

 Exhibit B 
 [Opinion of LeBoeuf, Lamb, Greene & MacRae LLP] 

 Exhibit C-1 
 [Opinion of Skadden, Arps, Slate, Meagher & Flom LLP] 
  

 C-1 

 Exhibit C-2 
 [Tax Opinion of Skadden, Arps, Slate, Meagher & Flom LLP] 
  

 C-2 

 Exhibit C-3 
 [Negative Assurance Letter of Skadden, Arps, Slate, Meagher & Flom LLP] 
  

 C-3 

 Exhibit D 
 [Opinion of Douglas W. Hammond] 
  

 D-1 

 Exhibit E 
 [Opinion of Morrison & Foerster LLP] 
  

 E-1 

 ANNEX I 
  

 ANNEX I(a) 
 Comfort Letter 

 ANNEX I(b) 
 Draft of Bring-Down Comfort Letter

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