Document:

Exhibit 4.1

THE BANK OF NEW YORK MELLON

NEW YORK’S FIRST BANK-FOUNDED 1784 BY ALEXANDER HAMILTON

 

 

2 HANSON PLACE, 12TH FLOOR, BROOKLYN,
N.Y. 11217

 

 

 

December 29, 2015

 

Hennion & Walsh, Inc.

2001 Route 46, Waterview Plaza

Parsippany, New Jersey 07054

 

Smart Trust, Argus Dividend Growers Total
Return Trust, Series 7

 

Dear Sirs:

The Bank of New York
Mellon is acting as trustee for Smart Trust, Argus Dividend Growers Total Return Trust, Series 7 set forth above (the “Trust”).
We enclosed a list of the Securities to be deposited in the Trust on the date hereof. The prices indicated therein reflect our
evaluation of such Securities as of close of business on December 28, 2015, in accordance with the valuation method set forth in
the Standard Terms and Conditions of Trust and Trust Agreement. We consent to the reference to The Bank of New York Mellon as the
party performing the evaluations of the Trust Securities in the Registration Statement (No. 333-207285) filed with the Securities
and Exchange Commission with respect to the registration of the sale of the Trust Units and to the filing of this consent as an
exhibit thereto.

 

 

Very truly yours,

 

/s/ GERARDO CIPRIANO                    

Gerardo Cipriano

Vice PresidentExhibit 4.3

Consent of Independent Registered
Public Accounting Firm

We consent to the
reference made to our firm under the caption “Independent Registered Public Accounting Firm” in Part B of the Prospectus
and to the use of our report dated December 29, 2015, in this Registration Statement (Form S-6 No. 333-207285) of Smart Trust,
Argus Dividend Growers Total Return Trust, Series 7.

 

/s/ Grant
Thornton LLP

 

Chicago, Illinois

December 29, 2015Exhibit 10.1

 

EXECUTION
VERSION

 

THIRD
AMENDMENT TO CREDIT AGREEMENT

 

THIS
THIRD AMENDMENT TO CREDIT AGREEMENT (this “Amendment”) is entered into as of December 24, 2015,
by and among ULTRA CLEAN HOLDINGS, INC., a Delaware corporation (“Borrower”), EAST WEST BANK
(“EWB”), as the Swingline Lender, the Issuing Lender, the administrative agent and collateral agent
for the Lenders (in such capacity, the “Swingline Lender”, the “Issuing Lender”
or “Administrative Agent” as the context may require), and the banks and other financial
institutions or entities from time to time parties to this Agreement as Lenders, including CITY NATIONAL BANK (“CNB”)
and EWB (each a “Lender” and collectively, the “Lenders”).

 

RECITALS

 

WHEREAS,
Borrower and Lenders are parties to the Credit Agreement, dated as of February 2, 2015 (as amended from time to time, collectively,
the “Agreement”). The parties desire to amend the Agreement in accordance with the terms of this Amendment;

 

NOW,
THEREFORE, IT IS AGREED THAT:

 

1.             Section 1.1 is amended by amending the definition of “Consolidated Fixed Charge Coverage Ratio”
to read as follows:

 

“Consolidated
Fixed Charge Coverage Ratio”: with respect to Borrower and its consolidated Subsidiaries (a) for any period through
the fourth Fiscal Quarter of the 2016 Fiscal Year, the ratio of (i) the sum of (x) Consolidated Adjusted EBITDA
for such period minus (y) the portion of taxes based on income actually paid in cash (net of any cash refunds received)
during such period to (ii) Consolidated Fixed Charges for such period and (b) for any period beginning with the first Fiscal
Quarter of the 2017 Fiscal Year, the ratio of (i) the sum of (x) Consolidated Adjusted EBITDA for such period minus
(y) the portion of taxes based on income actually paid in cash (net of any cash refunds received) during such period, minus
(z) Consolidated Capital Expenditures (excluding the principal amount funded with the Loans incurred in connection with such
expenditures) for such period to (ii) Consolidated Fixed Charges for such period.

 

2.             Section 1.1 is amended by adding the definition of “Liquidity”, in the appropriate alphabetical
location, to read as follows:

 

“Liquidity”:
as of any date the sum of (i) unrestricted cash, (ii) unrestricted Cash Equivalents, and (iii) the Available Revolving Commitments.

 

3.             Section 7.1 is amended to read as follows:

 

7.1Financial
Condition Covenants.

 

(a)      Consolidated
Fixed Charge Coverage Ratio. Permit the Consolidated Fixed Charge Coverage Ratio as of the last day of any Fiscal Quarter
(and with respect to the period of four (4) consecutive Fiscal Quarters then ending), commencing with the first Fiscal Quarter
of the 2015 Fiscal Year, to be less than 1.25:1.00.

 

(b)      Consolidated
Leverage Ratio. Permit the Consolidated Leverage Ratio, tested as of the last day of any Fiscal Quarter (and with respect
to the period of four (4) consecutive Fiscal Quarters then ending), commencing with the first Fiscal Quarter of the 2015 Fiscal
Year, to exceed 3.50:1.00.

 

 

 

    -1-

    

    

(c)     Liquidity.
Permit Liquidity to be less than Thirty-Five Million Dollars ($35,000,000) as of the last day any Fiscal Quarter through the fourth
Fiscal Quarter of the 2016 Fiscal Year.

 

4.             No course of dealing on the part of Agent, either Lender or any officer of Agent or either Lender, nor any failure
or delay in the exercise of any right by Agent or Lenders, shall operate as a waiver thereof, and any single or partial exercise
of any such right shall not preclude any later exercise of any such right. Agent’s or Lenders’ failure at any time
to require strict performance by Borrower of any provision shall not affect any right of Agent and Lenders thereafter to demand
strict compliance and performance. Any suspension or waiver of a right must be in writing signed by an officer of Agent and each
Lender.

 

5.             Unless otherwise defined, all initially capitalized terms in this Amendment shall be as defined in the Agreement. The
Agreement, as amended hereby, shall be and remain in full force and effect in accordance with its respective terms and hereby
is ratified and confirmed in all respects. Except as expressly set forth herein, the execution, delivery, and performance of this
Amendment shall not operate as a waiver of, or as an amendment of, any right, power, or remedy of Lenders under the Agreement,
as in effect prior to the date hereof.

 

6.             Borrower represents and warrants that the Representations and Warranties contained in the Agreement are true and correct
as of the date of this Amendment, and that no Event of Default has occurred and is continuing.

 

7.             As a condition to the effectiveness of this Amendment, Lenders shall have received, in form and substance satisfactory
to Lenders, the following:

 

(a)      this Amendment, duly executed by Borrower;

 

(b)      each Guarantor consents to this Amendment and reaffirms the Guarantee and Collateral Agreement, by duly executing this
Amendment;

 

(c)      all reasonable expenses of Administrative Agent incurred through the date of this Amendment, which may be debited from
any of Borrower's accounts; and

 

(d)      such other documents, and completion of such other matters, as Lenders may reasonably deem necessary or appropriate.

 

8.             This Amendment may be executed in two or more counterparts, each of which shall be deemed an original, but all of which
together shall constitute one instrument.

 

[Balance
of Page Intentionally Left Blank]

 

 

 

    -2-

    

    

IN
WITNESS WHEREOF, the undersigned have executed this Amendment as of the first date above written.

 

	ULTRA
    CLEAN HOLDINGS, INC.
	 	 	 
	 	 	 
	By:	/s/ Kevin
    C. Eichler	 
	 	 	 
	Name:	Kevin
    C. Eichler	 
	 	 	 
	Title:	CFO	 

 

	EAST WEST
    BANK,
	as the Administrative Agent
	 	 	 
	 	 	 
	By:	/s/ Alexis
    Cole	 
	 	 	 
	Name:	Alexis
    Cole	 
	 	 	 
	Title:	Managing
    Director	 
	 	 	 
	 	 	 
	EAST WEST
    BANK,
	as Issuing Lender, Swingline Lender
    and as a Lender
	 	 	 
	 	 	 
	By:	/s/ Alexis
    Cole 	 
	 	 	 
	Name:	Alexis
    Cole 	 
	 	 	 
	Title:	Managing
    Director	 
	 	 	 
	 	 	 
	CITY NATIONAL
    BANK,
	as Issuing Lender and as a Lender
	 	 	 
	 	 	 
	By:	/s/ Lynette
    C. Fletcher	 
	 	 	 
	Name:	Lynette
    C. Fletcher	 
	 	 	 
	Title:	SVP /
    Sr. Relationship Manager	 

 

 

[Signature Page to Third Amendment
to Credit Agreement]

 

 

    -3-

    

    

Each Guarantor
consents to the modifications to the Obligations pursuant to this Amendment, hereby ratifies the provisions of the Guarantee and
Collateral Agreement and confirms that all provisions of the Guarantee and Collateral Agreement are in full force and effect.

 

	ULTRA
    CLEAN TECHNOLOGY SYSTEMS AND SERVICE, INC.
	 	 	 
	 	 	 
	By:	/s/ Kevin
    C. Eichler 	 
	 	 	 
	Name:	Kevin
    C. Eichler 	 
	 	 	 
	Title:	CFO	 
	 	 	 
	 	 	 
	AMERICAN
    INTEGRATION TECHNOLOGIES LLC
	 	 	 
	 	 	 
	By:	/s/ Kevin
    C. Eichler 	 
	 	 	 
	Name:	Kevin
    C. Eichler 	 
	 	 	 
	Title:	CFO	 
	 	 	 
	 	 	 
	UCT
    SIEGER ENGINEERING LLC
	 	 	 
	 	 	 
	By:	/s/ Kevin
    C. Eichler 	 
	 	 	 
	Name:	Kevin
    C. Eichler 	 
	 	 	 
	Title:	CFO	 
	 	 	 
	 	 	 
	INTEGRATED
    FLOW SYSTEMS, LLC
	 	 	 
	 	 	 
	By:	/s/ Kevin
    C. Eichler 	 
	 	 	 
	Name:	Kevin
    C. Eichler 	 
	 	 	 
	Title:	CFO	 
	 	 	 
	 	 	 
	MARCHI
    THERMAL SYSTEMS, INC.
	 	 	 
	 	 	 
	By:	/s/ Kevin
    C. Eichler 	 
	 	 	 
	Name:	Kevin
    C. Eichler 	 
	 	 	 
	Title:	CFO	 

 

 

[Signature Page to Third Amendment
to Credit Agreement]

 

 

    -4-EX-4.1

 Exhibit 4.1 

EXECUTION VERSION 
 FIRST
SUPPLEMENTAL INDENTURE, 
 by and among 

UNWIRED PLANET, INC., 
 as
Issuer and 
 WELLS FARGO BANK, NATIONAL ASSOCIATION, 

as Indenture Trustee 
 Dated as of
December 23, 2015 

 FIRST SUPPLEMENTAL INDENTURE 

This FIRST SUPPLEMENTAL INDENTURE (this “First Supplemental Indenture”) is dated as of December 23, 2015,
by and among UNWIRED PLANET, INC., a Delaware corporation (the “Issuer”), and WELLS FARGO BANK, NATIONAL ASSOCIATION, a national banking association, as indenture trustee (the “Indenture
Trustee”). 
 W I T N E S S E T H: 

WHEREAS, the Issuer and the Indenture Trustee entered into an Indenture dated as of June 28, 2013 (as heretofore amended, supplemented or
otherwise modified, the “Indenture”) pursuant to which the Issuer issued its Senior Secured Notes due 2018 (the “Notes”); and 

WHEREAS, pursuant to Section 8.02 of the Indenture, the Issuer has requested that the Holders (as that term is defined in the Indenture)
of 100% in principal amount of Notes then outstanding (“All Holders”) consent to the execution, delivery and performance by the Issuer of this First Supplemental Indenture, solely in accordance with the specific terms
thereof, to reflect a change in the Final Maturity Date; and 
 WHEREAS, All Holders have provided such consent (the “Consent of
the Holders”) in accordance with the terms of the Indenture; and 
 NOW THEREFORE, in consideration of the premises and other
good and valuable consideration the receipt and sufficiency of which are hereby acknowledged, and intending to be legally bound hereby, the parties hereto agree as follows: 

1. Definitions. Capitalized terms not otherwise defined herein or defined in reference to a stated document have the meanings
given to such terms in the Indenture. 
 2. Modification of Indenture. Subject to the terms and conditions set forth herein,
pursuant to Section 8.02 of the Indenture, based on the Consent of the Holders, the Indenture is hereby modified as follows: 
 a. The
cover is hereby amended by replacing the instance of “2018” with “2019”. 
 b. The definition of “Final Maturity
Date” appearing in Section 1.01 is hereby amended and restated to read, in its entirety, as follows: 
 “Final Maturity
Date” means the Payment Date occurring in June, 2019. 
 c. Section 8.05 is hereby amended and restated, in its entirety, as
follows: 
 “SECTION 8.05. Indenture Trustee to Sign Amendments. The Indenture Trustee shall sign any amendment, supplement or
waiver authorized pursuant to this Article 8 if the amendment does not adversely affect the rights, duties, liabilities or immunities of the Indenture Trustee. If it does, the Indenture Trustee may but need not sign it. In signing any amendment, the
Indenture Trustee shall be entitled to receive indemnity or 

 
security satisfactory to it and shall be provided with, and shall be fully protected in relying upon, an Officer’s Certificate and an Opinion of Counsel stating that such amendment,
supplement or waiver (i) is authorized or permitted by this Indenture, (ii) is the legal, valid and binding obligation of the Issuer, enforceable against it in accordance with its terms, subject to customary exceptions, (iii) has been
authorized by the requisite principal amount of Notes, if applicable and (iv) complies with the provisions hereof (including Section 8.03).” 

3. Representations, Warranties and Covenants. The Issuer hereby represents, warrants and covenants to the Holders and the
Indenture Trustee as follows: 
 a. there does not exist any Event of Default under the Indenture on the date hereof; and 

b. this First Supplemental Indenture has been duly authorized, executed and delivered by it in accordance with resolutions adopted by its
board of directors or comparable managing body, and constitutes its legal, valid and binding obligation enforceable in accordance with its terms, except to the extent that the enforceability thereof may be limited by applicable bankruptcy,
insolvency, reorganization, moratorium or other similar laws generally affecting creditors’ rights and by equitable principles (regardless of whether enforcement is sought in equity or at law). 

4. Conditions. The effectiveness of this First Supplemental Indenture is conditioned on (a) the representations and
warranties set forth in Section 3 hereof being true and correct on the date hereof; and (b) receipt by the Indenture Trustee of the written consent of the Required Holders (receipt of which is hereby acknowledged), an
Officer’s Certificate and an Opinion of Counsel as required by Section 8.03 of the Indenture. 
 5. Miscellaneous.

 a. Incorporation of Indenture Provisions. The parties hereto agree that the terms of 10.07 (GOVERNING LAW; SUBMISSION TO
JURISDICTION; WAIVER OF IMMUNITY), Sections 10.08 (Successors), 10.09 (Multiple Originals), 10.11 (Indenture Controls) and 10.12 (Severability) of the Indenture are incorporated herein by reference, mutatis
mutandis. 
 b. No Further Amendments. Nothing in this Agreement shall require the Indenture Trustee or any Holder to grant any
further consent to any action in contravention of, waiver of, or amendment to, the terms of the Indenture and the Notes. Nothing herein contained is intended to change the ranking of the notes issued under the Indenture as senior, secured
obligations of the Issuer. 
 c. Effect of Amendment. The Issuer acknowledges and agrees that this First Supplemental Indenture only
amends, supplements and modifies the terms of the Indenture and does not constitute a novation, and the Issuer ratifies and confirms the terms and provisions of, and its obligations under, the Indenture (as modified by this First Supplemental
Indenture) and the Notes in all respects. Each of the parties hereto acknowledges and agrees that each reference in the Indenture and the Notes to the Indenture shall be deemed to be a reference to the Indenture as amended, supplemented and modified
by this First Supplemental Indenture. 

 d. Indenture Trustee Disclaimer. The Indenture Trustee accepts the amendments of the
Indenture effected by this First Supplemental Indenture, but on the terms and conditions set forth in the Indenture, including the terms and provisions defining and limiting the liabilities and responsibilities of the Indenture Trustee. Without
limiting the generality of the foregoing, the Indenture Trustee shall not be responsible in any manner whatsoever for or with respect to any of the recitals or statements contained herein, all of which recitals or statements are made solely by the
Issuer, or for or with respect to (i) the validity or sufficiency of this First Supplemental Indenture or any of the terms or provisions hereof, (ii) the proper authorization hereof by the Issuer by action or otherwise, (iii) the due
execution hereof by the Issuer or (iv) the consequences of any amendment herein provided for, and the Indenture Trustee makes no representation with respect to any such matters. 

e. Headings. The headings of the sections and subsections of this Supplemental Indenture have been inserted for convenience of
reference only, are not intended to be considered a part hereof and shall not modify or restrict any of the terms or provisions hereof. 

[signature pages to follow] 

 IN WITNESS WHEREOF, the undersigned have caused this First Supplemental Indenture to be executed
by their respective authorized officers as of the date first above written. 
  

			
	UNWIRED PLANET, INC., as Issuer
		
	By:	 	 /s/ Noah D. Mesel

	Name:	 	Noah D. Mesel
	Title:	 	EVP & General Counsel

  
 [Unwired Planet –
Signature Page to First Supplemental Indenture] 

			
	 WELLS FARGO BANK, NATIONAL ASSOCIATION, as Indenture Trustee

		
	By:	 	 /s/ Michael Tu

	Name:	 	Michael Tu
	Title:	 	Assistant Vice President

  
 [Unwired Planet –
Signature Page to First Supplemental Indenture]

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