Document:

EX-10.1

 Exhibit 10.1 

Execution Version 
  

 
  

THIRD AMENDMENT TO 

FOURTH AMENDED AND RESTATED CREDIT AGREEMENT

 dated as of June 15, 2017, 

among 
 RICE ENERGY
INC., 
 as Parent Guarantor, 

RICE ENERGY OPERATING LLC, 

as Borrower, 
 The
Guarantors Party Hereto, 
 WELLS FARGO BANK, N.A., 

as Administrative Agent, 

and 
 The Lenders Party
Hereto 
 BARCLAYS BANK PLC, 

as Syndication Agent 

WELLS FARGO SECURITIES, LLC, 

and 
 BARCLAYS BANK PLC,

 as Joint Lead Arrangers and Joint Bookrunners 

BMO HARRIS FINANCING, INC., 

CANADIAN IMPERIAL BANK OF COMMERCE, NEW YORK BRANCH, 

CAPITAL ONE, NATIONAL ASSOCIATION, 

CITIBANK, N.A., 
 FIFTH
THIRD BANK, 
 and 

PNC BANK, NATIONAL ASSOCIATION, 

as Co-Documentation Agents 

 
  

 

 THIRD AMENDMENT TO 

FOURTH AMENDED AND RESTATED CREDIT AGREEMENT
 
 This THIRD AMENDMENT TO FOURTH AMENDED AND RESTATED CREDIT AGREEMENT (this “Third Amendment”), dated as
of June 15, 2017 (the “Third Amendment Effective Date”), is among RICE ENERGY INC., a Delaware corporation (“Parent”); RICE ENERGY OPERATING LLC, a Delaware limited liability company (the
“Borrower”); each of the other undersigned guarantors (the “Guarantors”, and together with Parent and the Borrower, the “Credit Parties”); each of the Lenders that is a signatory hereto; and
WELLS FARGO BANK, N.A., as administrative agent for the Lenders (in such capacity, together with its successors in such capacity, the “Administrative Agent”). 

Recitals 

A.    Parent, the Borrower, the Administrative Agent and the Lenders are parties to that certain Fourth Amended and
Restated Credit Agreement dated as of October 19, 2016 (as amended or otherwise modified prior to the date hereof, the “Credit Agreement”), pursuant to which the Lenders have, subject to the terms and conditions set forth
therein, made certain credit available to and on behalf of the Borrower. 
 B.    The Borrower has requested that
Regions Bank and Morgan Stanley Bank, N.A. (each, a “New Lender” and, collectively, the “New Lenders”) become Lenders under the Credit Agreement with a Maximum Credit Amount and Elected Commitment in the amounts as
shown on Annex I to the Credit Agreement (as amended hereby). 
 C.    The parties hereto desire to amend certain terms
of the Credit Agreement as set forth herein, including to increase the Borrowing Base from $1,450,000,000 to $1,600,000,000 and to increase the Aggregate Elected Commitment Amounts from $1,450,000,000 to $1,600,000,000, in each case, to be effective
as of the Third Amendment Effective Date. 
 NOW, THEREFORE, in consideration of the premises and the mutual covenants herein contained, for
good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto agree as follows: 

Section 1.    Defined Terms. Each capitalized term which is defined in the Credit Agreement, but which is not
defined in this Third Amendment, shall have the meaning ascribed such term in the Credit Agreement, as amended hereby. Unless otherwise indicated, all section references in this Third Amendment refer to the Credit Agreement. 

Section 2.    Amendments. In reliance on the representations, warranties, covenants and agreements contained
in this Third Amendment, and subject to the satisfaction of the conditions precedent set forth in Section 4 hereof, the Credit Agreement shall be amended effective as of the Third Amendment Effective Date in the manner
provided in this Section 2. 

 2.1    Additional Definitions. Section 1.02 of the Credit
Agreement is hereby amended to add thereto in alphabetical order the following definitions which shall read in full as follows: 

“Third Amendment” means that certain Third Amendment to Fourth Amended and Restated Credit Agreement dated as
of June 15, 2017, among Parent, the Borrower, the other Guarantors party thereto, the Administrative Agent and the Lenders party thereto. 

“Third Amendment Effective Date” means June 15, 2017. 

2.2    Amended Definitions. The definitions of “Aggregate Elected Commitment Amounts”,
“Applicable Margin”, “Borrowing Base” and “Loan Documents” contained in Section 1.02 of the Credit Agreement are hereby amended and restated in their entirety to read in full as follows: 

“Aggregate Elected Commitment Amounts” at any time shall equal the sum of the Elected Commitments, as the same
may be increased, reduced or terminated pursuant to Section 2.06(c). As of the Third Amendment Effective Date, the Aggregate Elected Commitment Amounts are $1,600,000,000. 

“Applicable Margin” means, for any day, with respect to any ABR Loan or Eurodollar Loan, or with respect to
the Commitment Fee Rate, as the case may be, the rate per annum set forth in the Borrowing Base Utilization Grid below based upon the Borrowing Base Utilization Percentage then in effect: 

 

																					
	 Borrowing Base Utilization Grid

 
	  
 

	 Borrowing Base Utilization Percentage
	  	< 25%	 	 	3 25% <50%	 	 	3 50% <75%	 	 	3 75% <90%	 	 	3 90%	 
	 Eurodollar Loans
	  	 	2.00	% 	 	 	2.25	% 	 	 	2.50	% 	 	 	2.75	% 	 	 	3.00	% 
	 ABR Loans
	  	 	1.00	% 	 	 	1.25	% 	 	 	1.50	% 	 	 	1.75	% 	 	 	2.00	% 
	 Commitment Fee Rate
	  	 	0.375	% 	 	 	0.375	% 	 	 	0.50	% 	 	 	0.50	% 	 	 	0.50	% 

 Each change in the Applicable Margin shall apply during the period commencing on the effective
date of such change and ending on the date immediately preceding the effective date of the next such change, provided, however, that if at any time the Borrower fails to deliver a Reserve Report pursuant to
Section 8.12(a), then the “Applicable Margin” means the rate per annum set forth on the grid when the Borrowing Base Utilization Percentage is at its highest level. 

“Borrowing Base” means at any time an amount equal to the amount determined in accordance with
Section 2.07, as the same may be adjusted from time to time pursuant to Section 9.11. As of the Third Amendment Effective Date, the Borrowing Base shall be $1,600,000,000. 

“Loan Documents” means this Agreement, the First Amendment, the Second Amendment, the Third Amendment, the
Notes, the Fee Letters, the Letter of Credit Agreements, the Letters of Credit and the Security Instruments. 

 2.4    Letters of Credit. Section 2.08(g) of the Credit Agreement is
hereby amended and restated in its entirety to read in full as follows: 
 (g)    Disbursement
Procedures. The Issuing Bank shall, within the period stipulated by the terms and conditions of the applicable Letter of Credit, following its receipt thereof, examine all documents purporting to represent a demand for payment under a Letter of
Credit. The Issuing Bank shall promptly after such examination notify the Administrative Agent and the Borrower by telephone (confirmed by facsimile) of such demand for payment and whether the Issuing Bank has made or will make an LC Disbursement
thereunder; provided that any failure to give or delay in giving such notice shall not relieve the Borrower of its obligation to reimburse the Issuing Bank and the Lenders with respect to any such LC Disbursement. 

2.5    Investments. Section 9.05(h) of the Credit Agreement is hereby amended and restated in its entirety to
read in full as follows: 
 (h)    so long as (i) no Borrowing Base Deficiency exists or would
result therefrom and (ii) no Event of Default exists or would result therefrom, other Investments that do not exceed $150,000,000 in the aggregate at any time; provided that the foregoing clause (i) shall not be applicable to
Investments made by the Credit Parties pursuant to this Section 9.05(h) in an aggregate amount of up to $10,000,000 during the term of this Agreement. 

2.6    Replacement of Annex I. Annex I to the Credit Agreement is hereby replaced in its entirety with Annex
I attached hereto and Annex I attached hereto shall be deemed to be attached as Annex I to the Credit Agreement. After giving effect to this Third Amendment and any Borrowings made on the Third Amendment Effective Date, (a) each
Lender who holds Loans in an aggregate amount less than its Applicable Percentage (after giving effect to this Third Amendment) of all Loans shall advance new Loans which shall be disbursed to the Administrative Agent and used to repay Loans
outstanding to each Lender who holds Loans in an aggregate amount greater than its Applicable Percentage of all Loans, (b) each Lender’s participation in each Letter of Credit, if any, shall be automatically adjusted to equal its
Applicable Percentage (after giving effect to this Third Amendment), (c) such other adjustments shall be made as the Administrative Agent shall specify so that the Revolving Credit Exposure applicable to each Lender equals its Applicable Percentage
(after giving effect to this Third Amendment) of the aggregate Revolving Credit Exposure of all Lenders and (d) upon request by each applicable Lender, the Borrower shall be required to make any break funding payments owing to such Lender that
are required under Section 5.02 of the Credit Agreement as a result of the Loans and adjustments described in this Section 2.6. 

Section 3.    Borrowing Base and Aggregate Elected Commitment Amounts. In reliance on the representations,
warranties, covenants and agreements contained in this Third Amendment, and subject to the satisfaction of the conditions precedent set forth in Section 4 

 
hereof, (a) the Borrowing Base shall be increased, from $1,450,000,000 to $1,600,000,000, and shall remain at $1,600,000,000 until the next Scheduled Redetermination, Interim Redetermination
or other adjustment of the Borrowing Base pursuant to the terms of the Credit Agreement and (b) the Aggregate Elected Commitment Amounts shall be increased, from $1,450,000,000 to $1,600,000,000, in each case, to be effective as of the Third
Amendment Effective Date. The Borrowing Base redetermination provided for herein shall constitute an Interim Redetermination elected by the Borrower for purposes of Section 2.07(b) of the Credit Agreement. 

Section 4.    Conditions Precedent. The effectiveness of this Third Amendment is subject to the following:

 4.1    The Administrative Agent shall have received counterparts of this Third Amendment from the Credit Parties and
each of the Lenders (including the New Lenders). 
 4.2    The Administrative Agent shall have received all fees and
other amounts due and payable on or prior to the Third Amendment Effective Date, in each case to the extent invoiced at least two Business Days prior to the Third Amendment Effective Date (or such later date as the Borrower may agree in its sole
discretion). 
 4.3    The Administrative Agent shall have received a duly executed Note payable to each Lender that has
requested a Note on or prior to the Third Amendment Effective Date in a principal amount equal to its Maximum Credit Amount (after giving effect to Section 2.6 hereof) dated as of the Third Amendment Effective Date. 

Section 5.    New Lenders. Each New Lender hereby joins in, becomes a party to, and agrees to comply with and
be bound by the terms and conditions of the Credit Agreement as a Lender thereunder and under each and every other Loan Document to which any Lender is required to be bound by the Credit Agreement, to the same extent as if such New Lender were an
original signatory thereto. Each New Lender hereby appoints and authorizes the Administrative Agent to take such action as agent on its behalf and to exercise such powers and discretion under the Credit Agreement as are delegated to the
Administrative Agent by the terms thereof, together with such powers and discretion as are reasonably incidental thereto. Each New Lender represents and warrants that (a) it has full power and authority, and has taken all action necessary, to
execute and deliver this Third Amendment, to consummate the transactions contemplated hereby and to become a Lender under the Credit Agreement, (b) it has received a copy of the Credit Agreement and copies of the most recent financial
statements delivered pursuant to Section 8.01 thereof, and such other documents and information as it has deemed appropriate to make its own credit analysis and decision to enter into this Third Amendment and to become a Lender on the basis of
which it has made such analysis and decision independently and without reliance on the Administrative Agent or any other Lender, and (c) from and after the Third Amendment Effective Date, it shall be a party to and be bound by the provisions of
the Credit Agreement and the other Loan Documents and have the rights and obligations of a Lender thereunder. 

 Section 6.    Miscellaneous. 

6.1    Confirmation and Effect. The provisions of the Credit Agreement (as amended by this Third Amendment) shall
remain in full force and effect in accordance with its terms following the effectiveness of this Third Amendment, and this Third Amendment shall not constitute a waiver or amendment of any provision of the Credit Agreement or any other Loan
Document, except as expressly provided for herein. Each reference in the Credit Agreement to “this Agreement”, “hereunder”, “hereof’, “herein”, or words of like import shall mean and be a reference to the
Credit Agreement as amended hereby, and each reference to the Credit Agreement in any other document, instrument or agreement executed and/or delivered in connection with the Credit Agreement shall mean and be a reference to the Credit Agreement as
amended hereby. 
 6.2    Ratification and Affirmation of Credit Parties. Each of the Credit Parties hereby
expressly (i) acknowledges the terms of this Third Amendment, (ii) ratifies and affirms its obligations under the Guaranty and Collateral Agreement and the other Loan Documents to which it is a party, (iii) acknowledges, renews and
extends its continued liability under the Guaranty and Collateral Agreement and the other Loan Documents to which it is a party, (iv) agrees, with respect to each Credit Party that is a Guarantor, that its guarantee under the Guaranty and
Collateral Agreement and the other Loan Documents to which it is a party remains in full force and effect with respect to the Obligations as amended hereby, (v) represents and warrants to the Lenders and the Administrative Agent that each
representation and warranty of such Credit Party contained in the Credit Agreement and the other Loan Documents to which it is a party is true and correct in all material respects as of the date hereof and after giving effect to the amendments set
forth in Section 2 hereof except (A) to the extent any such representations and warranties are expressly limited to an earlier date, in which case, on and as of the date hereof, such representations and warranties
shall continue to be true and correct as of such specified earlier date, and (B) to the extent that any such representation and warranty is expressly qualified by materiality or by reference to Material Adverse Effect, such representation and
warranty (as so qualified) shall continue to be true and correct in all respects, (vi) represents and warrants to the Lenders and the Administrative Agent that the execution, delivery and performance by such Credit Party of this Third Amendment
are within such Credit Party’s corporate, limited partnership or limited liability company powers (as applicable), have been duly authorized by all necessary action and that this Third Amendment constitutes the valid and binding obligation of
such Credit Party enforceable in accordance with its terms, except as the enforceability thereof may be limited by bankruptcy, insolvency or similar laws affecting creditor’s rights generally, and (vii) represents and warrants to the
Lenders and the Administrative Agent that, after giving effect to this Third Amendment, no Event of Default exists. 

6.3    Counterparts. This Third Amendment may be executed by one or more of the parties hereto in any number of
separate counterparts, and all of such counterparts taken together shall be deemed to constitute one and the same instrument. Delivery of this Third Amendment by facsimile or electronic (e.g. pdf) transmission shall be effective as delivery of a
manually executed original counterpart hereof. 
 6.4    No Oral Agreement. THIS
WRITTEN THIRD AMENDMENT, THE CREDIT AGREEMENT AND THE OTHER LOAN DOCUMENTS
EXECUTED IN CONNECTION HEREWITH AND THEREWITH REPRESENT THE FINAL AGREEMENT BETWEEN
THE PARTIES AND MAY NOT BE CONTRADICTED BY 

 
EVIDENCE OF PRIOR, CONTEMPORANEOUS, OR UNWRITTEN ORAL AGREEMENTS
OF THE PARTIES. THERE ARE NO SUBSEQUENT ORAL AGREEMENTS BETWEEN THE
PARTIES THAT MODIFY THE AGREEMENTS OF THE PARTIES IN THE CREDIT
AGREEMENT AND THE OTHER LOAN DOCUMENTS. 

6.5    Governing Law. THIS THIRD AMENDMENT (INCLUDING,
BUT NOT LIMITED TO, THE VALIDITY AND ENFORCEABILITY HEREOF) SHALL BE
GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE
OF NEW YORK. 
 6.6    Payment of Expenses. The Borrower agrees to
pay or reimburse the Administrative Agent for all of its reasonable out-of-pocket costs and expenses incurred in connection with this Third Amendment, any other
documents prepared in connection herewith and the transactions contemplated hereby, including, without limitation, the reasonable fees and disbursements of counsel to the Administrative Agent, in each case to the extent required under
Section 12.03 of the Credit Agreement. 
 6.7    Severability. Any provision of this Third Amendment which
is prohibited or unenforceable in any jurisdiction shall, as to such jurisdiction, be ineffective to the extent of such prohibition or unenforceability without invalidating the remaining provisions hereof, and any such prohibition or
unenforceability in any jurisdiction shall not invalidate or render unenforceable such provision in any other jurisdiction. 

6.8    Successors and Assigns. This Third Amendment shall be binding upon and inure to the benefit of the parties
hereto and their respective successors and assigns. 
 [Signature Pages Follow.] 

 The parties hereto have caused this Third Amendment to be duly executed as of the day and year
first above written. 
  

							
	 BORROWER:
	 		 	RICE ENERGY OPERATING LLC,
		 		 	a Delaware limited liability company
				
		 		 	By:	 	 /s/ Grayson T. Lisenby

		 		 	Name:	 	Grayson T. Lisenby
		 		 	Title:	 	Senior Vice President and Chief Financial Officer
			
	 PARENT:
	 		 	RICE ENERGY INC.,
		 		 	a Delaware corporation
				
		 		 	By:	 	 /s/ Grayson T. Lisenby

		 		 	Name:	 	Grayson T. Lisenby
		 		 	Title:	 	Senior Vice President and Chief Financial Officer

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

							
	 GUARANTORS:
	 		 	 RICE DRILLING B LLC, a Delaware limited

liability company

				
		 		 	By:	 	 /s/ Grayson T. Lisenby

		 		 	Name:	 	Grayson T. Lisenby
		 		 	Title:	 	Senior Vice President and Chief Financial Officer
			
		 		 	 RICE DRILLING D LLC, a Delaware limited

liability company

				
		 		 	By:	 	 /s/ Grayson T. Lisenby

		 		 	Name:	 	Grayson T. Lisenby
		 		 	Title:	 	Senior Vice President and Chief Financial Officer
			
		 		 	 RICE MARKETING LLC, a Delaware limited

liability company

				
		 		 	By:	 	 /s/ Grayson T. Lisenby

		 		 	Name:	 	Grayson T. Lisenby
		 		 	Title:	 	Senior Vice President and Chief Financial Officer
			
		 		 	 RICE ENERGY MARKETING LLC, a Delaware

limited liability company

				
		 		 	By:	 	 /s/ Grayson T. Lisenby

		 		 	Name:	 	Grayson T. Lisenby
		 		 	Title:	 	Senior Vice President and Chief Financial Officer

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 
			
	VANTAGE ENERGY HOLDINGS, LLC,
	a Delaware limited liability company
		
	By:	 	 /s/ Grayson T. Lisenby

	Name:	 	Grayson T. Lisenby
	Title:	 	Senior Vice President and Chief Financial Officer
	
	VANTAGE ENERGY, LLC,
	a Delaware limited liability company
		
	By:	 	 /s/ Grayson T. Lisenby

	Name:	 	Grayson T. Lisenby
	Title:	 	Senior Vice President and Chief Financial Officer
	
	VANTAGE ENERGY II, LLC,
	a Delaware limited liability company
		
	By:	 	 /s/ Grayson T. Lisenby

	Name:	 	Grayson T. Lisenby
	Title:	 	Senior Vice President and Chief Financial Officer
	
	VANTAGE ENERGY APPALACHIA II LLC,
	a Delaware limited liability company
		
	By:	 	 /s/ Grayson T. Lisenby

	Name:	 	Grayson T. Lisenby
	Title:	 	Senior Vice President and Chief Financial Officer

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 
			
	VANTAGE ENERGY APPALACHIA LLC,
	a Pennsylvania limited liability company
		
	By:	 	 /s/ Grayson T. Lisenby

	Name:	 	Grayson T. Lisenby
	Title:	 	Senior Vice President and Chief Financial Officer
	
	VANTAGE ENERGY PICEANCE LLC,
	a Delaware limited liability company
		
	By:	 	 /s/ Grayson T. Lisenby

	Name:	 	Grayson T. Lisenby
	Title:	 	Senior Vice President and Chief Financial Officer
	
	VANTAGE ENERGY UINTA LLC,
	a Delaware limited liability company
		
	By:	 	 /s/ Grayson T. Lisenby

	Name:	 	Grayson T. Lisenby
	Title:	 	Senior Vice President and Chief Financial Officer
	
	VANTAGE FORT WORTH ENERGY LLC,
	a Delaware limited liability company
		
	By:	 	 /s/ Grayson T. Lisenby

	Name:	 	Grayson T. Lisenby
	Title:	 	Senior Vice President and Chief Financial Officer

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 
			
	VANTAGE ENERGY II ALPHA, LLC,
	a Delaware limited liability company
		
	By:	 	 /s/ Grayson T. Lisenby

	Name:	 	Grayson T. Lisenby
	Title:	 	Senior Vice President and Chief Financial Officer

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 
			
	WELLS FARGO BANK, N.A.,
	as Administrative Agent, a Lender and as an Issuing Bank
		
	By:	 	 /s/ Matthew W. Coleman

	Name:	 	Matthew W. Coleman
	Title:	 	Director

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 
			
	 BARCLAYS BANK PLC, as a Lender and

as an Issuing Bank

		
	By:	 	 /s/ May Huang

	Name:	 	May Huang
	Title:	 	Assistant Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 
			
	 BMO HARRIS FINANCING, INC.,

as a Lender and as an Issuing Bank

		
	By:	 	 /s/ Gumaro Tijerina

	Name:	 	Gumaro Tijerina
	Title:	 	Managing Director

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 
			
	CITIBANK, N.A., as a Lender
		
	By:	 	 /s/ Cliff Vaz

	Name:	 	Cliff Vaz
	Title:	 	Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 
			
	COMERICA BANK, as a Lender
		
	By:	 	 /s/ Jason M. Klesel

	Name:	 	Jason M. Klesel
	Title:	 	Assistant Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	FIFTH THIRD BANK, as a Lender
		
	By:	 	 /s/ Thomas Kleiderer

	Name:	 	Thomas Kleiderer
	Title:	 	Director

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	GOLDMAN SACHS BANK USA, as a Lender
		
	By:	 	 /s/ Ushma Dedhiya

	Name:	 	Ushma Dedhiya
	Title:	 	Authorized Signatory

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	ROYAL BANK OF CANADA, as a Lender
		
	By:	 	 /s/ Kristan Spivey

	Name:	 	Kristan Spivey
	Title:	 	Authorized Signatory

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	PNC BANK, NATIONAL ASSOCIATION, as a Lender and as an Issuing Bank
		
	By:	 	 /s/ Jessica McGuire

	Name:	 	Jessica McGuire
	Title:	 	Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	SUNTRUST BANK, as a Lender
		
	By:	 	 /s/ Chulley Bogle

	Name:	 	Chulley Bogle
	Title:	 	Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	 CAPITAL ONE, NATIONAL ASSOCIATION,

as a Lender

		
	By:	 	 /s/ Kristin N. Oswald

	Name:	 	Kristin N. Oswald
	Title:	 	Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	 ZB, N.A. DBA AMEGY BANK,
 as
a Lender

		
	By:	 	 /s/ John Moffitt

	Name:	 	John Moffitt
	Title:	 	Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	COMPASS BANK, as a Lender
		
	By:	 	 /s/ Gabriela Azcarate

	Name:	 	Gabriela Azcarate
	Title:	 	Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	U.S. BANK NATIONAL ASSOCIATION, as a Lender
		
	By:	 	 /s/ Todd S. Anderson

	Name:	 	Todd S. Anderson
	Title:	 	Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	JPMORGAN CHASE BANK, N.A., as a Lender
		
	By:	 	 /s/ Justin Crawford

	Name:	 	Justin Crawford
	Title:	 	Authorized Officer

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	 CANADIAN IMPERIAL BANK OF COMMERCE, NEW YORK BRANCH,

as a Lender and as an Issuing Bank

		
	By:	 	 /s/ William M. Reid

	Name:	 	William M. Reid
	Title:	 	Authorized Signatory
		
	By:	 	 /s/ Trudy Nelson

	Name:	 	Trudy Nelson
	Title:	 	Authorized Signatory

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	CITIZENS BANK NA, as a Lender
		
	By:	 	 /s/ Hernando Garcia

	Name:	 	Hernando Garcia
	Title:	 	Director

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	BANK OF AMERICA, N.A., as a Lender
		
	By:	 	 /s/ Victor F. Cruz

	Name:	 	Victor F. Cruz
	Title:	 	Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	The undersigned hereby consents to this Third Amendment as required under Section 12.02 of the Credit Agreement and is signing this Third Amendment solely for such purpose. Upon the effectiveness of this Third
Amendment, the undersigned shall cease to be a Lender for all purposes under the Loan Documents.
	
	 BOKF, NA dba BANK OF OKLAHOMA,

as a Lender

		
	By:	 	 /s/ Paul Edmonds

	Name:	 	Paul Edmonds
	Title:	 	SVP – Energy Lending

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	ASSOCIATED BANK, N.A., as a Lender
		
	By:	 	 /s/ Brandon Starr

	Name:	 	Brandon Starr
	Title:	 	Assistant Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	 ABN AMRO CAPITAL USA LLC,
 as
a Lender

		
	By:	 	 /s/ Darrell Holley

	Name:	 	Darrell Holley
	Title:	 	
		
	By:	 	 /s/ Elizabeth Johnson

	Name:	 	Elizabeth Johnson
	Title:	 	Director

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

			
	 THE HUNTINGTON NATIONAL BANK,

as a Lender

		
	By:	 	 /s/ Jason A. Zilewicz

	Name:	 	Jason A. Zilewicz
	Title:	 	Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 
			
	BRANCH BANKING AND TRUST COMPANY, as a Lender
		
	By:	 	 /s/ Parul June

	Name:	 	Parul June
	Title:	 	Senior Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 
			
	MORGAN STANLEY SENIOR FUNDING, INC., as a Lender
		
	By:	 	 /s/ Michael King

	Name:	 	Michael King
	Title:	 	Vice President

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 
			
	DEUTSCHE BANK AG NEW YORK BRANCH, as a Lender
		
	By:	 	 /s/ Chris Chapman

	Name:	 	Chris Chapman
	Title:	 	Director
		
	By:	 	 /s/ Shai Bander

	Name:	 	Shai Bander
	Title:	 	Director

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 
			
	REGIONS BANK, as a Lender
		
	By:	 	 /s/ Daniel G. Steele

	Name:	 	Daniel G. Steele
	Title:	 	Managing Director

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 
			
	MORGAN STANLEY BANK, N.A., as a Lender
		
	By:	 	 /s/ Michael King

	Name:	 	Michael King
	Title:	 	Authorized Signatory

  
 SIGNATURE
PAGE TO THIRD AMENDMENT TO 
 FOURTH
AMENDED AND RESTATED CREDIT AGREEMENT 
 RICE
ENERGY OPERATING LLC 

 ANNEX I 

LIST OF MAXIMUM CREDIT AMOUNTS AND ELECTED COMMITMENTS 
  

													
	 Name of Lender
	 	Applicable
Percentage	 	 	Elected
Commitment	 	 	Maximum Credit
Amount	 
	 Wells Fargo Bank, N.A.
	 	 	7.50000000	% 	 	$	120,000,000.00	 	 	$	187,500,000.00	 
	 Barclays Bank PLC
	 	 	6.34375000	% 	 	$	101,500,000.00	 	 	$	158,593,750.00	 
	 BMO Harris Financing, Inc.
	 	 	5.68750000	% 	 	$	91,000,000.00	 	 	$	142,187,500.00	 
	 Capital One, National Association
	 	 	5.68750000	% 	 	$	91,000,000.00	 	 	$	142,187,500.00	 
	 Canadian Imperial Bank of Commerce, New York Branch
	 	 	5.68750000	% 	 	$	91,000,000.00	 	 	$	142,187,500.00	 
	 Citibank, N.A.
	 	 	5.68750000	% 	 	$	91,000,000.00	 	 	$	142,187,500.00	 
	 Fifth Third Bank
	 	 	5.68750000	% 	 	$	91,000,000.00	 	 	$	142,187,500.00	 
	 PNC Bank, National Association
	 	 	5.68750000	% 	 	$	91,000,000.00	 	 	$	142,187,500.00	 
	 Royal Bank of Canada
	 	 	5.12500000	% 	 	$	82,000,000.00	 	 	$	128,125,000.00	 
	 Compass Bank
	 	 	4.43750000	% 	 	$	71,000,000.00	 	 	$	110,937,500.00	 
	 JPMorgan Chase Bank, N.A.
	 	 	4.43750000	% 	 	$	71,000,000.00	 	 	$	110,937,500.00	 
	 Comerica Bank
	 	 	4.31250000	% 	 	$	69,000,000.00	 	 	$	107,812,500.00	 
	 ABN AMRO Capital USA LLC
	 	 	3.71875000	% 	 	$	59,500,000.00	 	 	$	92,968,750.00	 
	 Citizens Bank NA
	 	 	3.71875000	% 	 	$	59,500,000.00	 	 	$	92,968,750.00	 
	 Deutsche Bank AG New York Branch
	 	 	3.71875000	% 	 	$	59,500,000.00	 	 	$	92,968,750.00	 
	 Goldman Sachs Bank USA
	 	 	3.71875000	% 	 	$	59,500,000.00	 	 	$	92,968,750.00	 
	 SunTrust Bank
	 	 	3.71875000	% 	 	$	59,500,000.00	 	 	$	92,968,750.00	 
	 Bank of America, N.A.
	 	 	2.50000000	% 	 	$	40,000,000.00	 	 	$	62,500,000.00	 
	 U.S. Bank, National Association
	 	 	2.34375000	% 	 	$	37,500,000.00	 	 	$	58,593,750.00	 
	 Branch Banking and Trust Company
	 	 	2.06250000	% 	 	$	33,000,000.00	 	 	$	51,562,500.00	 
	 Regions Bank
	 	 	2.06250000	% 	 	$	33,000,000.00	 	 	$	51,562,500.00	 
	 ZB, N.A. dba Amegy Bank
	 	 	1.65625000	% 	 	$	26,500,000.00	 	 	$	41,406,250.00	 
	 Associated Bank, N.A.
	 	 	1.50000000	% 	 	$	24,000,000.00	 	 	$	37,500,000.00	 
	 The Huntington National Bank
	 	 	1.50000000	% 	 	$	24,000,000.00	 	 	$	37,500,000.00	 
	 Morgan Stanley Senior Funding, Inc.
	 	 	1.35937500	% 	 	$	21,750,000.00	 	 	$	33,984,375.00	 
	 Morgan Stanley Bank, N.A.
	 	 	0.14062500	% 	 	$	2,250,000.00	 	 	$	3,515,625.00	 
		 	  
	  
	 	 	  
	  
	 	 	  
	  
	 
	 TOTAL
	 	 	100.00000000	% 	 	$	1,600,000,000.00	 	 	$	2,500,000,000.00	 
		 	  
	  
	 	 	  
	  
	 	 	  
	  
	 

  
 ANNEX IExhibit 4.1

 

 001 This Certifies That is the owner of   AKCEA THERAPEUTICS, INC. INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE   AUTHORIZED: 110,000,000 COMMON SHARES, $0.001 PAR VALUE PER SHARE Fully Paid   and Non-Assessable Common Stock, $0.001 Par Value of AKCEA THERAPEUTICS, INC.   CUSIP 00972L 10 7 SEE REVERSE FOR CERTAIN DEFINITIONS Countersigned: AMERICAN   STOCK TRANSFER & TRUST COMPANY, LLC 6201 15th Avenue Brooklyn, NY 11219   By _________________________________ Transfer Agent and Registrar Authorized   Officer IN WITNESS WHEREOF, the Corporation has caused this Certificate to be   signed by the facsimile signatures of its duly authorized officers and to be   sealed with the facsimile seal of the Corporation. Dated: PRESIDENT AND CHIEF   EXECUTIVE OFFICERCHIEF OPERATING OFFICER 

    

 

 

AKCEA THERAPEUTICS, INC.

AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC

TRANSFER FEE: AS REQUIRED

 

The following abbreviations, when used in the inscription on the face of this certificate, shall be construed as though they were written out in fiull according to applicable laws or regulations:

 

	
TEN COM
    	
-
    	
as   tenants in common
    	
 
    
	
TEN ENT
    	
-
    	
as   tenants by the entireties
    	
UNIF GIFT   MIN ACT -
    	
Custodian
    
	
JT TEN
    	
-
    	
as joint   tenants with right of survivorship and not as tenants in common
    	
 
    	
(Cust)
    	
(Minor)
    
	
under   Uniform Gifts to Minors
    
	
 
    	
 
    	
 
    
	
 
    	
Act
    	
 
    
	
 
    	
 
    	
(State)
    
							

 

Additional abbreviations may also be used though not in the above list.

 

PLEASE INSERT SOCIAL SECURITY OR OTHER

IDENTIFYING NUMBER OF ASSIGNEE

 

 

FOR VALUE RECEIVED,                                                                      hereby sell, assign and transfer unto

 

 

PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING POSTAL ZIP CODE OF ASSIGNEE

 

 

 

 

                                                                                                                   Shares of the Common Stock represented by the within Certificate and do hereby irrevocably constitute and appoint

 

                                                                                                                   Attorney to transfer the said stock on the books of the within-named Corporation, with full power of substitution in the premises.

 

Dated:                   20        ,

 

	
 
    	
Signature:   X
    	
 
    
	
Signature(s) Guaranteed:
    	
 
    
	
 
    	
Signature:   X
    	
 
    

 

THE SIGNATURE(S) TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME(S) AS WRITTEN UPON THE FACE OF THE CERTIFICATE IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATEVER. THE SIGNATURE(S) SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (Banks, Stockbrokers, Savings and Loan Associations and Credit Unions) WITH MEMBERSHIP IN AN APPROVED SIGNATURE GUARANTEE MEDALLION PROGRAM, PURSUANT TO S.E.C. RULE 17Ad-15.

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00272-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00272-of-00352.parquet"}]]