Document:

10K Exhibit 10.40

Exhibit 10.40

SIXTH AMENDED AND RESTATED CREDIT AND SECURITY AGREEMENT

DATED AS OF SEPTEMBER 15, 2014

AMONG

ROCK-TENN FINANCIAL, INC.,
AS BORROWER,

ROCK-TENN CONVERTING COMPANY,
AS SERVICER,

THE LENDERS AND CO-AGENTS FROM TIME TO TIME PARTY HERETO, 

AND

COÖPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A., “RABOBANK NEDERLAND”, NEW YORK BRANCH,
AS ADMINISTRATIVE AGENT AND AS FUNDING AGENT

 

TABLE OF CONTENTS

Page

		
	ARTICLE I.
	THE ADVANCES    3

		
	Section 1.1.
	Credit Facility    3

		
	Section 1.2.
	Increases    4

		
	Section 1.3.
	Decreases    5

		
	Section 1.4.
	Deemed Collections; Borrowing Limit    5

		
	Section 1.5.
	Payment Requirements    6

		
	Section 1.6.
	Advances; Ratable Loans; Funding Mechanics; Liquidity Fundings    6

		
	ARTICLE II.
	PAYMENTS AND COLLECTIONS    7

		
	Section 2.1.
	Payments    7

		
	Section 2.2.
	Collections Prior to Amortization    7

		
	Section 2.3.
	Collections Following Amortization    8

		
	Section 2.4.
	Payment Rescission    9

		
	ARTICLE III.
	CONDUIT FUNDING    9

		
	Section 3.1.
	CP Costs    9

		
	Section 3.2.
	Calculation of CP Costs    9

		
	Section 3.3.
	CP Costs Payments    9

		
	Section 3.4.
	Default Rate    9

		
	ARTICLE IV.
	COMMITTED LENDER FUNDING    9

		
	Section 4.1.
	Committed Lender Funding    9

		
	Section 4.2.
	Interest Payments    10

		
	Section 4.3.
	Selection and Continuation of Interest Periods    10

		
	Section 4.4.
	Committed Lender Interest Rates    10

		
	Section 4.5.
	Suspension of the Adjusted Federal Funds Rate and LIBO Rate    11

		
	Section 4.6.
	Default Rate    11

		
	ARTICLE V.
	REPRESENTATIONS AND WARRANTIES    11

		
	Section 5.1.
	Representations and Warranties of the Loan Parties    11

		
	Section 5.2.
	Certain Committed Lender Representations and Warranties    16

		
	ARTICLE VI.
	CONDITIONS OF ADVANCES    16

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TABLE OF CONTENTS
(continued)
Page

		
	Section 6.1.
	Conditions Precedent to Initial Advance    16

		
	Section 6.2.
	Conditions Precedent to All Advances    17

		
	ARTICLE VII.
	COVENANTS    17

		
	Section 7.1.
	Affirmative Covenants of the Loan Parties    17

		
	Section 7.2.
	Negative Covenants of the Loan Parties    27

		
	ARTICLE VIII.
	ADMINISTRATION AND COLLECTION    28

		
	Section 8.1.
	Designation of Servicer    28

		
	Section 8.2.
	Duties of Servicer    29

		
	Section 8.3.
	Collection Notices    30

		
	Section 8.4.
	Responsibilities of Borrower    31

		
	Section 8.5.
	Monthly Reports    31

		
	Section 8.6.
	Servicing Fee    31

		
	ARTICLE IX.
	AMORTIZATION EVENTS    31

		
	Section 9.1.
	Amortization Events    31

		
	Section 9.2.
	Remedies    34

		
	ARTICLE X.
	INDEMNIFICATION    34

		
	Section 10.1.
	Indemnities by the Loan Parties    34

		
	Section 10.2.
	Increased Cost and Reduced Return    38

		
	Section 10.3.
	Other Costs and Expenses    39

		
	ARTICLE XI.
	THE AGENTS    39

		
	Section 11.1.
	Authorization and Action    39

		
	Section 11.2.
	Delegation of Duties    40

		
	Section 11.3.
	Exculpatory Provisions    40

		
	Section 11.4.
	Reliance by Agents    41

		
	Section 11.5.
	Non-Reliance on Other Agents and Other Lenders    41

		
	Section 11.6.
	Reimbursement and Indemnification    42

		
	Section 11.7.
	Agents in their Individual Capacities    42

		
	Section 11.8.
	Conflict Waivers    42

		
	Section 11.9.
	UCC Filings    42

		
	Section 11.10.
	Successor Administrative Agent    43

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TABLE OF CONTENTS
(continued)
Page

		
	ARTICLE XII.
	ASSIGNMENTS; PARTICIPATIONS; REMOVAL    43

		
	Section 12.1.
	Assignments    43

		
	Section 12.2.
	Participations    44

		
	Section 12.3.
	Register    45

		
	Section 12.4
	Federal Reserve    45

		
	ARTICLE XIII.
	SECURITY INTEREST    45

		
	Section 13.1.
	Grant of Security Interest    45

		
	Section 13.2.
	Termination after Final Payout Date    45

		
	ARTICLE XIV.
	MISCELLANEOUS    46

		
	Section 14.1.
	Waivers and Amendments    46

		
	Section 14.2.
	Notices    47

		
	Section 14.3.
	Ratable Payments    47

		
	Section 14.4.
	Protection of Administrative Agent’s Security Interest    48

		
	Section 14.5.
	Confidentiality    48

		
	Section 14.6.
	Bankruptcy Petition    49

		
	Section 14.7.
	Limitation of Liability    49

		
	Section 14.8.
	CHOICE OF LAW    50

		
	Section 14.9.
	CONSENT TO JURISDICTION    50

		
	Section 14.10.
	WAIVER OF JURY TRIAL    50

		
	Section 14.11.
	Integration; Binding Effect; Survival of Terms    51

		
	Section 14.12.
	Counterparts; Severability; Section References    51

		
	Section 14.13.
	Release of Certain Defaulted Receivables    51

		
	Section 14.14.
	Patriot Act Notice    51

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EXHIBITS AND SCHEDULES

		
	Exhibit I
	Definitions

		
	Exhibit II-A
	Form of Borrowing Notice

		
	Exhibit II-B
	Form of Reduction Notice

		
	Exhibit III-A
	Places of Business of the Loan Parties and the Parent; Locations of Records; Federal Employer Identification Number(s)

Exhibit III-B    Title IV ERISA Plans
		
	Exhibit IV
	Form of Compliance Certificate

		
	Exhibit V
	Form of Assignment Agreement

		
	Exhibit VI
	Form of Monthly Report

		
	Exhibit VII
	Form of Performance Undertaking

		
	Schedule A
	Commitments

		
	Schedule B
	Closing Documents

		
	Schedule C
	Lender Supplement

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SIXTH AMENDED AND RESTATED CREDIT AND SECURITY AGREEMENT
THIS SIXTH AMENDED AND RESTATED CREDIT AND SECURITY AGREEMENT, dated as of September 15, 2014 is entered into by and among:
(a)    Rock-Tenn Financial, Inc., a Delaware corporation (“Borrower”),
(b)    Rock-Tenn Converting Company, a Georgia corporation (“Converting”), as initial Servicer (the Servicer together with Borrower, the “Loan Parties” and each, a “Loan Party”),
(c)    Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., “Rabobank Nederland”, New York Branch (“Rabobank”), in its capacity as administrative agent for the Lenders hereunder or any successor administrative agent hereunder (together with its successors and assigns hereunder, the “Administrative Agent”) and in its capacity as funding agent for the Co-Agents and the Lenders or any successor funding agent hereunder (together with its successors and assigns hereunder, the “Funding Agent” collectively with the Administrative Agent and the Co-Agents, the “Agents”), and
(d)    the Lenders and the Co-Agents from time to time party hereto, 
and amends and restates in its entirety that certain Fifth Amended and Restated Credit and Security Agreement dated as of December 21, 2012, as amended prior to the effectiveness of this Agreement, by and among the Loan Parties, Nieuw Amsterdam Receivables Corporation, Rabobank, individually and as a Co-Agent, the other Lenders and the Co-Agents from time to time party thereto, and Rabobank, as Administrative Agent.
Unless defined elsewhere herein, capitalized terms used in this Agreement shall have the meanings assigned to such terms in Exhibit I.
PRELIMINARY STATEMENTS

Borrower desires to borrow from the Lenders from time to time.
Each Unaffiliated Committed Lender shall, at the request of Borrower, make its Percentage of such Advance.
The Conduits may, in their absolute and sole discretion, make Advances to Borrower from time to time.  In the event that any Conduit declines to make its Conduit Group’s Percentage of any Advance, the applicable Conduit’s Committed Lender(s) shall, at the request of Borrower, make such Conduit Group’s Percentage of such Advance.
Rabobank has been requested and is willing to act as Administrative Agent and Funding Agent on behalf of the Lenders in accordance with the terms hereof.

ARTICLE I. 
THE ADVANCES
Section 1.1.    Credit Facility.
(a)    Upon the terms and subject to the conditions hereof, from time to time prior to the Facility Termination Date:
(i)    Borrower may request Advances in an aggregate principal amount at any one time outstanding not to exceed the lesser of the Aggregate Commitment and the Borrowing Base (such lesser amount, the “Borrowing Limit”); and
(ii)    upon receipt of a copy of each Borrowing Notice, (A) each Unaffiliated Committed Lender severally agrees to fund a Loan in an amount equal to its Percentage of the requested Advance specified in such Borrowing Notice, and (B) each Co-Agent belonging to a Conduit Group shall determine whether its Conduit, if any, will fund a Loan in an amount equal to its Conduit Group’s Percentage of the requested Advance specified in such Borrowing Notice.  In the event that a Co-Agent elects not to have its Conduit make any such Loan to Borrower, the applicable Co-Agent shall promptly notify the Funding Agent (who shall promptly notify the Borrower) and, unless Borrower cancels its Borrowing Notice as to all Lenders, (1) each Unaffiliated Committed Lender severally agrees to fund a Loan in an amount equal to its Percentage of the requested Advance, (2) each of such Conduit’s Committed Lenders severally agrees to fund a Loan in an amount equal to its Pro Rata Share of its Conduit Group’s Percentage of such Loan and (3) each other Conduit shall fund a Loan in an amount equal to its Percentage of the required Advance, provided that (x) at no time may the aggregate principal amount of  any Conduit Group’s Loans outstanding, exceed the lesser of (x) the aggregate amount of such Conduit’s Committed Lenders’ Commitments, and (y) such Conduit Group’s Percentage of the Borrowing Base (such lesser amount, such Conduit Group’s “Allocation Limit”), and (y) at no time may the aggregate principal amount of any Unaffiliated Committed Lender’s Loans outstanding exceed  the lesser of (x) such Unaffiliated Committed Lender’s Commitment and (y) its Percentage of the Borrowing Base (such lesser amount, such Unaffiliated Committed Lender’s “Allocation Limit”).
Each Advance shall be made ratably amongst the Conduit Groups and the Unaffiliated Committed Lenders, collectively, in accordance with their respective Percentages.  Each of the Advances, and all other Obligations of Borrower, shall be secured by the Collateral as provided in Article XIII.  Subject to Sections 1.6(d) and (e), it is the intent of the Conduits, but not the Committed Lenders, to fund all Advances by the issuance of Commercial Paper.  Borrower shall not make a request for more than six (6) Advances during any calendar month, and no more than six (6) Advances shall occur, during any calendar month.  No more than two (2) Advances shall occur, during any calendar week. 

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(b)    Borrower may, upon at least 10 Business Days’ notice to the Funding Agent (who shall promptly provide such notice to the Co-Agents), terminate in whole or reduce in part, ratably among the Committed Lenders in accordance with their respective Commitments, the unused portion of the Aggregate Commitment; provided that each partial reduction of the Aggregate Commitment shall be in an amount equal to $20,000,000 (or a larger integral multiple of $1,000,000 if in excess thereof) and shall reduce the Commitments of the Committed Lenders ratably in accordance with their respective Commitments.
Section 1.2.    Increases.  Not later than 2:00 p.m. (New York City time) on the second (2nd) Business Day prior to a proposed borrowing, Borrower shall provide the Funding Agent with written notice of each Advance in the form set forth as Exhibit II-A hereto (each, a “Borrowing Notice”).  The Funding Agent shall promptly provide each such Borrowing Notice to the Co-Agents.  Each Borrowing Notice shall be subject to Section 6.2 hereof and, except as set forth below, shall be irrevocable and shall specify the requested increase in Aggregate Principal (which shall not be less than $5,000,000 or a larger integral multiple of $100,000) and the Borrowing Date and the requested Interest Rate and Interest Period for any portion to be funded by any Committed Lender.  Upon receipt of a Borrowing Notice, (a) each Unaffiliated Committed Lender severally agrees to fund a Loan in an amount equal to its Percentage of the requested Advance specified in such Borrowing Notice, and (b) each Co-Agent shall determine whether its Conduit will fund a Loan in an amount equal to its Conduit Group’s Percentage of the requested Advance specified in such Borrowing Notice.  If a Conduit declines to make its Percentage of a proposed Advance, Borrower may cancel the Borrowing Notice as to all Lenders or, in the absence of such a cancellation, the Advance will be made by each Unaffiliated Committed Lender, each other Conduit and such Conduit’s Committed Lenders.  On the date of each Advance, upon satisfaction of the applicable conditions precedent set forth in Article VI, each applicable Lender will cause the proceeds of its Loan comprising a portion of such Advance to be deposited to the Funding Account, in immediately available funds, no later than 2:30 p.m. (New York City time), an amount equal to (i) in the case of a Conduit or an Unaffiliated Committed Lender, its Percentage of the principal amount of the requested Advance or (ii) in the case of a Conduit’s Committed Lender, each such Committed Lender’s Pro Rata Share of its Conduit Group’s Percentage of the principal amount of the requested Advance.  The Funding Agent shall remit such funds (to the extent received in the Funding Account) to the Facility Account, no later than 4:00 p.m. (New York City time) on such date.
Section 1.3.    Decreases.  Except as provided in Section 1.4, Borrower shall provide the Funding Agent with prior written notice by 2:00 p.m. (New York City time) of any proposed reduction of Aggregate Principal in the form of Exhibit II-B hereto in conformity with the Required Notice Period (each, a “Reduction Notice”).  The Funding Agent shall promptly provide each such Reduction Notice to the Co-Agents.  Such Reduction Notice shall designate (i) the date (the “Proposed Reduction Date”) upon which any such reduction of Aggregate Principal shall occur (which date shall give effect to the applicable Required Notice Period), and (ii) the amount of Aggregate Principal to be reduced which shall be applied ratably to the Loans of each of the Lenders in accordance with the principal amount (if any) thereof (the “Aggregate Reduction”).  

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Borrower shall not make a request for more than one (1) Proposed Reduction Date, and no more than one (1) Aggregate Reduction shall occur, during any calendar week.
Section 1.4.    Deemed Collections; Borrowing Limit.
(a)    If on any day:
(i)    the Outstanding Balance of any Receivable is reduced as a result of any defective or rejected goods or services, any cash discount or any other adjustment by any Originator or any Affiliate thereof, or
(ii)    the Outstanding Balance of any Receivable is reduced or canceled as a result of a setoff in respect of any claim by the Obligor thereof (whether such claim arises out of the same or a related or an unrelated transaction), or
(iii)    the Outstanding Balance of any Receivable is reduced on account of the obligation of any Originator or any Affiliate thereof to pay to the related Obligor any rebate or refund, or
(iv)    the Outstanding Balance of any Receivable is less than the amount included in calculating the Net Pool Balance for purposes of any Monthly Report (for any reason other than receipt of Collections thereon or such Receivable becoming a Defaulted Receivable), or
(v)    any of the representations or warranties of Borrower set forth in Section 5.1(i), (j), (r), (s), (t) or (u) were not true when made with respect to any Receivable,
then, on such day, Borrower shall be deemed to have received a Collection of such Receivable (A) in the case of clauses (i)-(iv) above, in the amount of such reduction or cancellation or the difference between the actual Outstanding Balance and the amount included in calculating such Net Pool Balance, as applicable; and (B) in the case of clause (v) above, in the amount of the Outstanding Balance of such Receivable, which Receivable shall then be released from the Collateral, and, effective as of the date on which the next succeeding Monthly Report is required to be delivered, the Borrowing Base shall be reduced by the amount of such Deemed Collection.
(b)    Borrower shall ensure that the Aggregate Principal at no time exceeds the Borrowing Limit.  If at any time the aggregate outstanding principal amount of the Loans from any Unaffiliated Committed Lender or from any Conduit Group exceeds its Allocation Limit, or the aggregate principal amount of the Loans outstanding from any Conduit exceeds the Liquidity Commitments of its Conduit Group’s Committed Lenders pursuant to its Liquidity Agreement divided by 102%, Borrower shall prepay such Loans by wire transfer to the Funding Agent (for prompt remittance to the applicable Co-Agent) received not later than 12:00 noon (New York City time) on the next succeeding Settlement Date in an amount sufficient to eliminate such excess, together with accrued and unpaid interest on the amount prepaid (as allocated by the 

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applicable Co-Agent), such that after giving effect to such payment the Aggregate Principal is less than or equal to the Borrowing Limit and each Conduit Group’s and each Unaffiliated Committed Lender’s respective Percentage of the Aggregate Principal is less than or equal to the applicable Allocation Limit.
Section 1.5.    Payment Requirements.  All amounts to be paid or deposited by any Loan Party pursuant to any provision of this Agreement shall be paid or deposited in accordance with the terms hereof no later than 12:00 noon (New York City time) on the day when due in immediately available funds, and if not received before 12:00 noon (New York City time) shall be deemed to be received on the next succeeding Business Day.  For the avoidance of doubt, the delivery times referenced in the preceding sentence shall only apply to the payment of amounts due and payable by the Loan Parties.  If such amounts are payable to a Lender they shall be paid to the Funding Account, for the account of such Lender, until otherwise notified by the Funding Agent on behalf of such Lender.  The Funding Agent shall promptly remit such funds to the applicable Payment Account.  The fees of the Lenders shall be invoiced and paid on a monthly basis pursuant to Article II hereof.  All computations of CP Costs, Interest at the LIBO Rate, per annum fees calculated as part of any CP Costs, per annum fees hereunder and per annum fees under the Fee Letter shall be made on the basis of a year of 360 days for the actual number of days elapsed.  All computations of Interest at the Alternate Base Rate, the Adjusted Federal Funds Rate or the Default Rate shall be made on the basis of a year of 365 days (or 366 days, when appropriate) for the actual number of days elapsed.  If any amount hereunder shall be payable on a day which is not a Business Day, such amount shall be payable on the next succeeding Business Day.
Section 1.6.    Advances; Ratable Loans; Funding Mechanics; Liquidity Fundings.
(a)    Each Advance hereunder shall be made ratably by the Unaffiliated Committed Lenders and the Conduit Groups, collectively, in accordance with their respective Percentages.
(b)    Each Advance hereunder shall consist of one or more Loans made by (i) each Unaffiliated Committed Lender and (ii) the Conduits and/or the Committed Lenders in their Conduit Groups.
(c)    Each Lender funding any Loan shall cause the principal amount thereof to be wire transferred to the Funding Account (or to such other account as may be specified by Borrower in its Borrowing Notice) in immediately available funds as soon as possible and to be received by the Funding Agent in no event later than 2:30 p.m. (New York City time) on the applicable Borrowing Date.  The Funding Agent shall promptly remit such funds (to the extent received in the Funding Account) to the Facility Account and in no event later than 4:00 p.m. (New York City time) on the applicable Borrowing Date.   Any funds received in the Facility Account after 4:00 p.m. on any Business Day shall be deemed to be received on the next succeeding Business Day

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(d)    While it is the intent of each Conduit (but not of any Committed Lender) to fund and maintain each requested Advance through the issuance of Commercial Paper, the parties acknowledge that if any Conduit is unable, or determines that it is undesirable, to issue Commercial Paper to fund all or any portion of its Loans, or is unable to repay such Commercial Paper upon the maturity thereof, such Conduit shall put all or any portion of its Loans to the Committed Lenders in its Conduit Group at any time pursuant to its applicable Liquidity Agreement to finance or refinance the necessary portion of its Loans through a Liquidity Funding to the extent available.  The Liquidity Fundings may be Alternate Base Rate Loans, Adjusted Federal Funds Rate Loans or LIBO Rate Loans, or a combination thereof, selected by Borrower in accordance with Article IV and agreed to by the applicable Co-Agent.  Regardless of whether a Liquidity Funding constitutes the direct funding of a Loan, an assignment of a Loan made by a Conduit or the sale of one or more participations in a Loan made by a Conduit, each Committed Lender in such Conduit’s Conduit Group participating in a Liquidity Funding shall have the rights of a “Lender” hereunder with the same force and effect as if it had directly made a Loan to Borrower in the amount of its Liquidity Funding.
(e)    Nothing herein shall be deemed to commit any Conduit to make Loans.
ARTICLE II.     
PAYMENTS AND COLLECTIONS
Section 2.1.    Payments.  Borrower hereby promises to pay:
(a)    subject to Section 9.2, the Aggregate Principal on and after the Facility Termination Date as and when Collections are received; provided, that the outstanding principal of all Loans relating to any Prepaid Lender shall be payable on and after the related Prepayment Date as and when Collections are received and in accordance with Section 2.2;
(b)    the fees set forth in the Fee Letter and the Funding Agent Fee Letter on the dates specified therein;
(c)    all accrued and unpaid Interest and CP Costs on the Loans on each Settlement Date applicable thereto; and
(d)    all Broken Funding Costs and Indemnified Amounts upon demand.
Section 2.2.    Collections Prior to Amortization.  On each Settlement Date prior to the Amortization Date, the Servicer shall deposit to the Funding Account (and the Funding Agent shall promptly remit such funds to each applicable Payment Account, for distribution to the applicable Lenders), a portion of the Collections received by it during the preceding Settlement Period (after deduction of its Servicing Fee) equal to the sum of the following amounts for application to the Obligations in the order specified:

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first, to the Funding Agent, the payment of all accrued and unpaid fees under the Funding Agent Fee Letter; provided that the aggregate amount payable pursuant to this clause “first” shall not exceed $200,000 in any one calendar year,
second, ratably to the payment of all accrued and unpaid CP Costs, Facility Fee, Interest and Broken Funding Costs (if any) that are then due and owing,
third, ratably to the payment of all accrued and unpaid fees under the Fee Letter (if any) that are then due and owing to any Lender or its Co-Agent,
fourth, if required under Section 1.3 or 1.4, to the ratable reduction of the outstanding principal of each of the Loans, and
fifth, for the ratable payment of all other unpaid Obligations of Borrower (including Prepaid Lender Amounts), if any, that are then due and owing.
The balance, if any, shall be paid to Borrower or otherwise in accordance with Borrower’s instructions.  Collections applied to the payment of Obligations of Borrower shall be distributed in accordance with the aforementioned provisions, and, giving effect to each of the priorities set forth above in this Section 2.2, shall be shared ratably (within each priority) among the applicable payees in accordance with the amount of such Obligations owing to each of them in respect of each such priority.
Section 2.3.    Collections Following Amortization.  On the Amortization Date and on each day thereafter, the Servicer shall set aside and hold in trust, for the Secured Parties, all Collections received on such day.  On and after the Amortization Date, the Servicer shall, on each Settlement Date and on each other Business Day specified by the Administrative Agent (as directed by any Co-Agent) (after deduction of any accrued and unpaid Servicing Fee as of such date) remit to the Funding Account of the amounts set aside and held in trust pursuant to the preceding sentence.  The Funding Agent shall promptly remit the applicable Percentage of such funds to each applicable Payment Account, and apply such amounts to reduce the Obligations of Borrower as follows:
first, to the Funding Agent, the payment of all accrued and unpaid fees under the Funding Agent Fee Letter; provided that the aggregate amount payable pursuant to this clause “first” shall not exceed $200,000 in any one calendar year, 
second, to the reimbursement of each Unaffiliated Committed Lender’s or the applicable Conduit Group’s Percentage of the costs of collection and enforcement of this Agreement incurred by the Administrative Agent and the Funding Agent,
third, ratably to the payment of all accrued and unpaid CP Costs, Facility Fee, Interest and Broken Funding Costs (if any),
fourth, ratably to the payment of all accrued and unpaid fees under the Fee Letter,
fifth, to the ratable reduction of such Unaffiliated Committed Lender’s or such Conduit Group’s Percentage of the Aggregate Principal,

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sixth, for the ratable payment of all other unpaid Obligations of Borrower, and
seventh, after the Final Payout Date, to Borrower.
Collections applied to the payment of Obligations of Borrower shall be distributed in accordance with the aforementioned provisions, and, giving effect to each of the priorities set forth above in this Section 2.3, shall be shared ratably (within each priority) among the Co-Agents and the Lenders in accordance with the amount of such Obligations owing to each of them in respect of each such priority.
Section 2.4.    Payment Rescission.  No payment of any of the Obligations shall be considered paid or applied hereunder to the extent that, at any time, all or any portion of such payment or application is rescinded by application of law or judicial authority, or must otherwise be returned or refunded for any reason.  Borrower shall remain obligated for the amount of any payment or application so rescinded, returned or refunded, and shall promptly pay to the Funding Account the full amount thereof, plus Interest on such amount at the Default Rate from the date of any such rescission, return or refunding to the date of payment.  The Funding Agent shall promptly remit such funds to the applicable Payment Account (for application to the Person or Persons who suffered such rescission, return or refund).
ARTICLE III.
CONDUIT FUNDING
Section 3.1.    CP Costs.  Borrower shall pay CP Costs with respect to the principal balance of each Conduit’s Loans from time to time outstanding.
Section 3.2.    Calculation of CP Costs.  Not later than the 3rd Business Day immediately preceding each Monthly Reporting Date, each Conduit shall calculate the aggregate amount of CP Costs applicable to its CP Rate Loans for the Calculation Period then most recently ended and shall notify the Funding Agent, who shall promptly notify Borrower of such aggregate amount, not later than the 2nd Business Day immediately preceding such Monthly Reporting Date.
Section 3.3.    CP Costs Payments.  (a) With respect to CP Rate Loans made by a Pooled Fund Conduit, on each Settlement Date, Borrower shall pay to the Funding Account for further remittance by the Funding Agent to each of the Co-Agents (for the benefit of its respective Conduit) an aggregate amount equal to all accrued and unpaid CP Costs in respect of the principal associated with all such CP Rate Loans of such Conduit for the calendar month then most recently ended and (b) with respect to CP Rate Loans made by a Conduit that is not a Pooled Fund Conduit, on each Settlement Date, Borrower shall pay to the Funding Account for further remittance by the Funding Agent to each of the Co-Agents (for the benefit of its respective Conduit) an aggregate amount equal to all accrued and unpaid CP Costs in respect of the principal associated with all such CP Rate Loans of such Conduit, in each case in accordance with Article II.
Section 3.4.    Default Rate.  From and after the occurrence of an Amortization Event, all Loans of the Conduits shall accrue Interest at the Default Rate.

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ARTICLE IV. 
COMMITTED LENDER FUNDING
Section 4.1.    Committed Lender Funding.  Prior to the occurrence of an Amortization Event, the outstanding principal balance of each Loan made by an Unaffiliated Committed Lender and each Liquidity Funding shall accrue interest for each day during its Interest Period at either the LIBO Rate, the Adjusted Federal Funds Rate or the Alternate Base Rate in accordance with the terms and conditions hereof.  Until Borrower gives notice to the Funding Agent (who shall promptly forward such notice to the applicable Co-Agent) of another Interest Rate in accordance with Section 4.4, the initial Interest Rate for any Loan transferred to the Committed Lenders in its Conduit Group by the applicable Conduit pursuant to its Liquidity Agreement shall be the Adjusted Federal Funds Rate or Alternate Base Rate (unless the Default Rate is then applicable).  If the applicable Committed Lenders in a Conduit Group acquire by assignment from the applicable Conduit any Loan pursuant to a Liquidity Agreement, each Loan so assigned shall each be deemed to have an Interest Period commencing on the date of any such assignment.
Section 4.2.    Interest Payments.  On the Settlement Date for each Loan of an Unaffiliated Committed Lender and each Liquidity Funding, Borrower shall pay to the Funding Account for further remittance by the Funding Agent to the applicable Co-Agent (for the benefit of the related Committed Lenders) an aggregate amount equal to the accrued and unpaid Interest on each such Loan or Liquidity Funding in accordance with Article II.
Section 4.3.    Selection and Continuation of Interest Periods.
(a)    Borrower shall from time to time request Interest Periods for the Loans of each Unaffiliated Committed Lender and the Liquidity Fundings, provided that if at any time any such Loan of such Unaffiliated Committed Lender or Liquidity Funding is outstanding, Borrower shall always request Interest Periods such that at least one Interest Period shall end on the date specified in clause (A) of the definition of Settlement Date; and provided further, that the decision as to whether a Conduit will utilize Liquidity Fundings shall reside with the applicable Co-Agent and not with Borrower.
(b)    Borrower or the applicable Committed Lender (or, if applicable, such Committed Lender’s Co-Agent), upon notice to and consent by the other received at least three (3) Business Days prior to the end of an Interest Period (the “Terminating Tranche”) for any Loan of any Unaffiliated Committed Lender or Liquidity Funding, may, effective on the last day of the Terminating Tranche:  (i) divide any such Loan or Liquidity Funding into multiple Loans or Liquidity Fundings, as the case may be, (ii) combine any such Loan of such Unaffiliated Committed Lender or Liquidity Funding with one or more other Loans of such Unaffiliated Committed Lender or Liquidity Fundings, as applicable, that have a Terminating Tranche ending on the same day as such Terminating Tranche or (iii) combine any such Loan of such Unaffiliated Committed 

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Lender or Liquidity Funding with a new Loan or Liquidity Funding, as applicable, to be made by the Committed Lenders on the day such Terminating Tranche ends.
Section 4.4.    Committed Lender Interest Rates.  Subject to Section 4.5, the initial Interest Rate for any Loan of each Unaffiliated Committed Lender and each Liquidity Funding shall be the LIBO Rate (unless the Default Rate is then applicable).  If, in such case, the LIBO Rate is not available pursuant to Section 4.5, such Committed Lender may fund such Loan at Adjusted Federal Funds Rate or Alternate Base Rate.  Borrower shall by 12:00 noon (New York City time):  (i) at least two (2) Business Days prior to the expiration of any Terminating Tranche with respect to which the LIBO Rate is being requested as the Interest Rate and (ii) at least one (1) Business Day prior to the expiration of any Terminating Tranche with respect to which the Alternate Base Rate or the Adjusted Federal Funds Rate is being requested as a new Interest Rate, give the Funding Agent irrevocable notice of the applicable Interest Rate for the Loan or Liquidity Funding associated with such Terminating Tranche.  The Funding Agent shall promptly provide such notice to the applicable Co-Agent.  The initial Interest Rate for any Loan transferred by a Conduit to the Committed Lenders in its Conduit Group pursuant to its Liquidity Agreement shall be the LIBO Rate (unless the Default Rate is then applicable).  If, in such event, the LIBO Rate is not available pursuant to Section 4.5, such Committed  Lenders may fund such Loan at Adjusted Federal Funds Rate or Alternate Base Rate.
Section 4.5.    Suspension of the Adjusted Federal Funds Rate and LIBO Rate
(a)    If any Committed Lender notifies the Funding Agent (who shall promptly provide such notice to the Borrower) that it has determined that funding at a  LIBO Rate or the Adjusted Federal Funds Rate would violate any applicable law, rule, regulation, or directive of any Governmental Authority, whether or not having the force of law, or any applicable provision of the related Liquidity Agreement, or that (i) deposits of a type and maturity appropriate to match-fund its Loan or Liquidity Funding at a LIBO Rate are not available or (ii) a LIBO Rate or the Adjusted Federal Funds Rate does not accurately reflect the cost of acquiring or maintaining a Loan or Liquidity Funding at such rate, then such Committed Lender may suspend the availability of such LIBO Rate or the Adjusted Federal Funds Rate, as the case may be, for such Committed Lender and require Borrower to select (by notice to the Funding Agent) a different Interest Rate for such Loan or Liquidity Funding; provided, however, that in no event may Borrower select the CP Rate for any Loan of a Committed Lender or any Liquidity Funding.
(b)    If less than all of the Committed Lenders in a Conduit Group give a notice to Funding Agent (who shall promptly provide such notice to Borrower) pursuant to Section 4.5(a), each Committed Lender in such Conduit Group which gave such a notice shall be obliged, at the request of Borrower, the applicable Conduit or the applicable Co-Agent, to assign all of its rights and obligations hereunder to (i) another Committed Lender in such Conduit Group, or (ii) another funding entity nominated by Borrower or, if applicable, such Committed Lender’s Co-Agent that is an Eligible Assignee willing to participate in this Agreement through the Scheduled Termination Date in the place of such notifying Committed Lender; provided that (i) the notifying Committed Lender receives payment in full, pursuant to an Assignment Agreement, of all 

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Obligations owing to it (whether due or accrued), and (ii) the replacement Committed Lender otherwise satisfies the requirements of Section 12.1(b).
Section 4.6.    Default Rate.  From and after the occurrence of an Amortization Event, all Loans of any Unaffiliated Committed Lender and all Liquidity Fundings shall accrue Interest at the Default Rate.
ARTICLE V.     
REPRESENTATIONS AND WARRANTIES
Section 5.1.    Representations and Warranties of the Loan Parties.  Each Loan Party hereby represents and warrants to the Agents and the Lenders, as to itself, as of the date hereof, as of the date of each Advance and as of each Settlement Date that:
(a)    Existence and Power.  Such Loan Party’s jurisdiction of organization is correctly set forth in the preamble to this Agreement.  Such Loan Party is duly organized under the laws of that jurisdiction and no other state or jurisdiction, and such jurisdiction must maintain a public record showing the organization to have been organized.  Such Loan Party is validly existing and in good standing under the laws of its state of organization.  Such Loan Party is duly qualified to do business and is in good standing as a foreign entity, and has and holds all organizational power and all governmental licenses, authorizations, consents and approvals required to carry on its business in each jurisdiction in which its business is conducted except where the failure to so qualify or so hold would not reasonably be expected to have a Material Adverse Effect.
(b)    Power and Authority; Due Authorization, Execution and Delivery.  The execution and delivery by such Loan Party of this Agreement and each other Transaction Document to which it is a party, and the performance of its obligations hereunder and thereunder and, in the case of Borrower, Borrower’s use of the proceeds of Advances made hereunder, are within its corporate powers and authority and have been duly authorized by all necessary corporate action on its part.  This Agreement and each other Transaction Document to which such Loan Party is a party have been duly executed and delivered by such Loan Party.
(c)    No Conflict.  The execution and delivery by such Loan Party of this Agreement and each other Transaction Document to which it is a party, and the performance of its obligations hereunder and thereunder do not contravene or violate (i) its certificate or articles of incorporation or by-laws, (ii) any law, rule or regulation applicable to it, (iii) any restrictions under any agreement, contract or instrument to which it is a party or by which it or any of its property is bound, or (iv) any order, writ, judgment, award, injunction or decree binding on or affecting it or its property, and do not result in the creation or imposition of any Adverse Claim on assets of such Loan Party or its Subsidiaries (except as created hereunder) except, in any case, where such contravention or violation would not reasonably be expected to have a Material Adverse Effect; and no transaction contemplated hereby requires compliance with any bulk sales act or similar law.

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(d)    Governmental Authorization.  Other than the filing of the financing statements required hereunder, no authorization or approval or other action by, and no notice to or filing with, any Governmental Authority is required for the due execution and delivery by such Loan Party of this Agreement and each other Transaction Document to which it is a party and the performance of its obligations hereunder and thereunder.
(e)    Actions, Suits.  There are no actions, suits or proceedings pending, or to the best of such Loan Party’s knowledge, threatened, against or affecting such Loan Party, or any of its properties, in or before any court, arbitrator or other body, that would reasonably be expected to have a Material Adverse Effect.  Such Loan Party is not in default with respect to any order of any court, arbitrator or Governmental Authority.
(f)    Binding Effect.  This Agreement and each other Transaction Document to which such Loan Party is a party constitute the legal, valid and binding obligations of such Loan Party enforceable against such Loan Party in accordance with their respective terms, except as such enforcement may be limited by applicable bankruptcy, insolvency, reorganization or other similar laws relating to or limiting creditors’ rights generally and by general principles of equity (regardless of whether enforcement is sought in a proceeding in equity or at law).
(g)    Accuracy of Information.  All information heretofore furnished by such Loan Party or any of its Affiliates to the Agents or the Lenders for purposes of or in connection with this Agreement, any of the other Transaction Documents or any transaction contemplated hereby or thereby is, and all such information hereafter furnished by such Loan Party or any of its Affiliates to the Agents or the Lenders will be, true and accurate in every material respect on the date such information is stated or certified and does not and will not contain any material misstatement of fact or omit to state a material fact or any fact necessary to make the statements contained therein not materially misleading.
(h)    Use of Proceeds.  Borrower represents and warrants that no proceeds of any Advance hereunder will be used (i) for a purpose that violates, or would be inconsistent with, (A) Section 7.2(e) of this Agreement or (B) Regulation T, U or X promulgated by the Board of Governors of the Federal Reserve System from time to time or (ii) to acquire any security in any transaction which is subject to Section 12, 13 or 14 of the Securities Exchange Act of 1934, as amended.
(i)    Good Title.  Borrower represents and warrants that:  (i) Borrower is the legal and beneficial owner of the Receivables and Related Security with respect thereto, free and clear of any Adverse Claim, except as created by the Transaction Documents, and (ii) there have been duly filed all financing statements or other similar instruments or documents necessary under the UCC (or any comparable law) of all appropriate jurisdictions to perfect Borrower’s ownership interest in each Receivable, its Collections and the Related Security.
(j)    Perfection.  Borrower represents and warrants that:  (i) this Agreement is effective to create a valid security interest in favor of the Administrative 

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Agent for the benefit of the Secured Parties in the Collateral to secure payment of the Obligations, free and clear of any Adverse Claim except as created by the Transaction Documents, and (ii) there have been or (within 2 Business Days after the date of any Advance) will be duly filed all financing statements or other similar instruments or documents necessary under the UCC (or any comparable law) of all appropriate jurisdictions to perfect the Administrative Agent’s (on behalf of the Secured Parties) security interest in the Collateral.  Each of the Loan Parties represents and warrants that such Loan Party’s jurisdiction of organization is a jurisdiction whose law generally requires information concerning the existence of a nonpossessory security interest to be made generally available in a filing, record or registration system as a condition or result of such a security interest’s obtaining priority over the rights of a lien creditor which respect to collateral.
(k)    Places of Business and Locations of Records.  The principal places of business and chief executive office of such Loan Party and the offices where it keeps all of its Records are located at the address(es) listed on Exhibit III-A or such other locations of which the Administrative Agent has been notified in accordance with Section 7.2(a) in jurisdictions where all action required by Section 14.4(a) has been taken and completed.  Borrower’s Federal Employer Identification Number is correctly set forth on Exhibit III-A.
(l)    Collections.  The conditions and requirements set forth in Section 7.1(j) and Section 8.2 have at all times been satisfied and duly performed.  The names, addresses and jurisdictions of organization of all Collection Banks, together with the account numbers of the Collection Accounts of Borrower at each Collection Bank and the post office box number of each Lock-Box, are listed on Exhibit III-A to the Receivables Sale Agreement.  While Borrower has granted Servicer access to the Lock-Boxes and Collection Accounts prior to delivery of a Collection Notice, Borrower has not granted any Person, other than the Administrative Agent as contemplated by this Agreement, dominion and control of any Lock-Box or Collection Account, or the right to take dominion and control of any such Lock-Box or Collection Account at a future time or upon the occurrence of a future event.
(m)    Material Adverse Effect.  (i) The initial Servicer represents and warrants that since June 30, 2014, no event has occurred that would have a material adverse effect on the financial condition or operations of the initial Servicer or the ability of the initial Servicer to perform its obligations under this Agreement, and (ii) Borrower represents and warrants that since June 30, 2014, no event has occurred that would have a material adverse effect on (A) the financial condition or operations of Borrower, (B) the ability of Borrower to perform its obligations under the Transaction Documents, or (C) the collectability of the Receivables generally or any material portion of the Receivables.
(n)    Names.  Borrower represents and warrants that:  (i) the name in which Borrower has executed this Agreement is identical to the name of Borrower as indicated on the public record of its state of organization which shows Borrower to have been organized, and (ii) in the past five (5) years, Borrower has not used any corporate 

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names, trade names or assumed names other than the name in which it has executed this Agreement.
(o)    Ownership of Borrower.  Rock-Tenn Company owns, directly or indirectly, 100% of the issued and outstanding Equity Interest of Borrower, free and clear of any Adverse Claim.  Such Equity Interests are validly issued, fully paid and nonassessable, and there are no options, warrants or other rights to acquire securities of Borrower.
(p)    Not an Investment Company.  Such Loan Party is not an “investment company” within the meaning of the Investment Company Act of 1940, as amended, or any successor statute.
(q)    Compliance with Law.  Such Loan Party has complied in all respects with all applicable laws, rules, regulations, orders, writs, judgments, injunctions, decrees or awards to which it may be subject, except where the failure to so comply would not reasonably be expected to have a Material Adverse Effect.  Borrower represents and warrants that each Receivable, together with the Contract related thereto, does not contravene any laws, rules or regulations applicable thereto (including, without limitation, laws, rules and regulations relating to truth in lending, fair credit billing, fair credit reporting, equal credit opportunity, fair debt collection practices and privacy), and no part of such Contract is in violation of any such law, rule or regulation, except where such contravention or violation would not reasonably be expected to have a Material Adverse Effect.
(r)    Compliance with Credit and Collection Policy.  Such Loan Party has complied in all material respects with the Credit and Collection Policy with regard to each Receivable and the related Contract, and has not made any change to such Credit and Collection Policy, except such material change as to which the Administrative Agent has been notified in accordance with Section 7.1(a)(vii).
(s)    Payments to Applicable Originator.  Borrower represents and warrants that:  (i) with respect to each Receivable transferred to Borrower under the Receivables Sale Agreement, Borrower has given reasonably equivalent value to the applicable Originator in consideration therefor and such transfer was not made for or on account of an antecedent debt, and (ii) no transfer by any Originator of any Receivable under the Receivables Sale Agreement is or may be voidable under any section of the Bankruptcy Reform Act of 1978 (11 U.S.C. §§ 101 et seq.), as amended.
(t)    Enforceability of Contracts.  Borrower represents and warrants that each Contract with respect to each Receivable is effective to create, and has created, a legal, valid and binding obligation of the related Obligor to pay the Outstanding Balance of the Receivable created thereunder and any accrued interest thereon, enforceable against the Obligor in accordance with its terms, except as such enforcement may be limited by applicable bankruptcy, insolvency, reorganization or other similar laws relating to or limiting creditors’ rights generally and by general principles of equity (regardless of whether enforcement is sought in a proceeding in equity or at law).

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(u)    Eligible Receivables.  Each Receivable included in the Net Pool Balance as an Eligible Receivable on the date of any Monthly Report was an Eligible Receivable on such date.
(v)    Borrowing Limit.  Immediately after giving effect to each Advance and each settlement on any Settlement Date hereunder, the Aggregate Principal is less than or equal to the Borrowing Limit.
(w)    Accounting.  The manner in which such Loan Party accounts for the transactions contemplated by this Agreement and the Receivables Sale Agreement does not jeopardize the true sale analysis.
(x)    OFAC.  None of the Loan Parties nor any Subsidiary or Affiliate of any Loan Party (a) is a Sanctioned Person, (b) does business in a Sanctioned Country or with a Sanctioned Person in violation of the economic sanctions of the United States administered by OFAC or (c) does business in such country or with any such agency, organization or person, in violation of the economic sanctions of the United States administered by OFAC.
(y)    ERISA. (i) Identification of Plans.  Except as disclosed on Exhibit III-B, as of the closing date or as of the last date Exhibit III-B was updated to reflect the establishment of a new plan in accordance with Section 7.1(b)(vii), none of the Loan Parties, their Restricted Subsidiaries or any of their respective ERISA Affiliates maintains or contributes to, or has during the past seven (7) years maintained or contributed to, any material Plan that is subject to Title IV of ERISA.
(ii)    Compliance.  Each Plan maintained by the Loan Parties and their Restricted Subsidiaries has at all times been maintained, by its terms and in operation, in compliance with all applicable laws, and the Loan Parties and their Restricted Subsidiaries are subject to no tax or penalty with respect to any Plan of such Person or any ERISA Affiliate thereof, including, without limitation, any tax or penalty under Title I or Title IV of ERISA or under Chapter 43 of the Tax Code, or any tax or penalty resulting from a loss of deduction under Sections 162, 404, or 419 of the Tax Code, where the failure to comply with such laws, and such taxes and penalties, together with all other liabilities referred to in this Section 5.1(y) (taken as a whole), would in the aggregate have a Material Adverse Effect. 
(iii)     Liabilities.  None of the Loan Parties or any of their Restricted Subsidiaries is subject to any liabilities (including withdrawal liabilities) with respect to any Plans of the Loan Parties, their Restricted Subsidiaries and their respective ERISA Affiliates, including, without limitation, any liabilities arising from Titles I or IV of ERISA, other than obligations to fund benefits under an ongoing Plan and to pay current contributions, expenses and premiums with respect to such Plans, where such liabilities, together with all other liabilities referred to in this Section 5.1(y) (taken as a whole), would in the aggregate have a Material Adverse Effect.

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(iv)    Funding.  Each Loan Party and their Restricted Subsidiaries and, with respect to any Plan which is subject to Title IV of ERISA, each of their respective ERISA Affiliates, have made full and timely payment of all amounts (A) required to be contributed under the terms of each Plan and applicable law, and (B) required to be paid as expenses (including PBGC or other premiums) of each Plan, where the failure to pay such amounts (when taken as a whole, including any penalties attributable to such amounts) would have a Material Adverse Effect.  No Loan Party is subject to any liabilities with respect to post-retirement medical benefits in any amounts which, together with all other liabilities referred to in this Section 5.1(y) (taken as a whole), would have a Material Adverse Effect if such amounts were then due and payable.  
(v)    ERISA Event.  No ERISA Event has occurred or is reasonably expected to occur, except for such ERISA Events that individually or in the aggregate would not have a Material Adverse Effect. 
Section 5.2.    Certain Committed Lender Representations and Warranties.  Each Committed Lender hereby represents and warrants to the Administrative Agent, the Funding Agent, the applicable Co-Agent, the applicable Conduit (if any), and the Loan Parties that:
(a)    Existence and Power.  Such Committed Lender is a banking association or a limited liability company, as the case may be, duly organized, validly existing and in good standing under the laws of its jurisdiction of organization, and has all organizational power to perform its obligations hereunder and under its Liquidity Agreement, if applicable.
(b)    No Conflict.  The execution and delivery by such Committed Lender of this Agreement and its Liquidity Agreement and the performance of its obligations hereunder and thereunder are within its corporate powers, have been duly authorized by all necessary corporate action, do not contravene or violate (i) its certificate or articles of incorporation or association or by-laws or other organizational documents, (ii) any law, rule or regulation applicable to it, (iii) any restrictions under any agreement, contract or instrument to which it is a party or any of its property is bound, or (iv) any order, writ, judgment, award, injunction or decree binding on or affecting it or its property, and do not result in the creation or imposition of any Adverse Claim on its assets.  This Agreement and, if applicable, its Liquidity Agreement have been duly authorized, executed and delivered by such Committed Lender.
(c)    Governmental Authorization.  No authorization or approval or other action by, and no notice to or filing with, any Governmental Authority is required for the due execution and delivery by such Committed Lender of this Agreement or, if applicable, its Liquidity Agreement and the performance of its obligations hereunder or thereunder.
(d)    Binding Effect.  Each of this Agreement and, if applicable, its Liquidity Agreement constitutes the legal, valid and binding obligation of such Committed Lender enforceable against such 

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Committed Lender in accordance with its terms, except as such enforcement may be limited by applicable bankruptcy, insolvency, reorganization or other similar laws relating to or limiting creditors’ rights generally and by general principles of equity (regardless of whether such enforcement is sought in a proceeding in equity or at law).
ARTICLE VI. 
CONDITIONS OF ADVANCES
Section 6.1.    Conditions Precedent to Initial Advance.  The initial Advance under this Agreement is subject to the conditions precedent that (a) the Administrative Agent shall have received on or before the date of such Advance those documents listed on Schedule A to the Receivables Sale Agreement and those documents listed on Schedule B to this Agreement, (b) the Rating Agency Condition shall have been satisfied, (c) the Agents shall have received all fees and expenses required to be paid on such date pursuant to the terms of this Agreement, the Funding Agent Fee Letter and the Fee Letter and (d) the SSCC Acquisition shall have occurred.
Section 6.2.    Conditions Precedent to All Advances.  Each Advance and each rollover or continuation of any Advance shall be subject to the further conditions precedent that (a) the Agents shall have received on or prior to the date thereof, in form and substance satisfactory to the Agents, all Monthly Reports as and when due under Section 8.5; (b) the Facility Termination Date shall not have occurred; (c) the Agents shall have received such other approvals, opinions or documents as it may reasonably request; and (d) on the date thereof, the following statements shall be true (and acceptance of the proceeds of such Advance shall be deemed a representation and warranty by Borrower that such statements are then true):
(i)    the representations and warranties set forth in Section 5.1 are true and correct on and as of the date of such Advance (or such Settlement Date, as the case may be) as though made on and as of such date;
(ii)    no event has occurred and is continuing, or would result from such Advance (or the continuation thereof), that will constitute (A) an Amortization Event or (B) an Unmatured Amortization Event; and
(iii)    after giving effect to such Advance (or the continuation thereof), the Aggregate Principal will not exceed the Borrowing Limit.
ARTICLE VII.     
COVENANTS
Section 7.1.    Affirmative Covenants of the Loan Parties.  Until the Final Payout Date, each Loan Party hereby covenants, as to itself, as set forth below:
(a)    Financial Reporting.  Such Loan Party will maintain, for itself and each of its Subsidiaries, a system of accounting established and administered in accordance with GAAP, and furnish or cause to be furnished to the Agents:

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(i)    Annual Reporting.  Within 90 days after the close of each of its respective fiscal years:  (A) audited, unqualified, consolidated financial statements (which shall include consolidated balance sheets, statements of income and retained earnings and a statement of cash flows) for Rock-Tenn Company for such fiscal year certified in a manner acceptable to the Agents by independent public accountants reasonably acceptable to the Agents, and (B) financial statements (which shall include balance sheets, statements of income and retained earnings and a statement of cash flows) for Borrower for such fiscal year certified in a manner acceptable to the Agents by an Authorized Officer of Borrower.
(ii)    Quarterly Reporting.  Within 45 days after the close of the first three (3) quarterly periods of each of its respective fiscal years:  (A) consolidated balance sheets of Rock-Tenn Company as at the close of each such period and consolidated statements of income and retained earnings and a consolidated statement of cash flows for the period from the beginning of such fiscal year to the end of such quarter, all certified by its chief financial officer, and (B) balance sheets of Borrower as at the close of each such period and statements of income and retained earnings and a statement of cash flows for the period from the beginning of such fiscal year to the end of such quarter, all certified by its treasurer.
(iii)    Compliance Certificate.  Together with the financial statements required hereunder, a compliance certificate in substantially the form of Exhibit IV signed by such Loan Party’s Authorized Officer and dated the date of such annual financial statement or such quarterly financial statement, as the case may be.
(iv)    [Reserved].
(v)    S.E.C. Filings.  Promptly upon the filing thereof, copies of all registration statements and annual, quarterly, monthly or other regular reports which Parent or any of its Affiliates files with the Securities and Exchange Commission.
(vi)    Copies of Notices.  Promptly upon its receipt of any notice, request for consent, financial statements, certification, report or other communication under or in connection with any Transaction Document from any Person other than the Administrative Agent or any Lender, copies of the same.
(vii)    Change in Credit and Collection Policy.  At least thirty (30) days prior to the effectiveness of any material change in or material amendment to the Credit and Collection Policy, a copy of the Credit and Collection Policy then in effect and a notice (A) indicating such change or amendment, and (B) if such proposed change or amendment would be reasonably likely to adversely affect the collectibility of the Receivables or decrease the credit quality of any newly created Receivables, requesting the Agents’ consent thereto.

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(viii)    Other Information.  Promptly, from time to time, such other information, documents, records or reports relating to the Receivables or the condition or operations, financial or otherwise, of such Loan Party as any Agent may from time to time reasonably request in order to protect the interests of the Administrative Agent and the Lenders under or as contemplated by this Agreement.
(b)    Notices.  Such Loan Party will notify the Agents in writing of any of the following promptly upon learning of the occurrence thereof, describing the same and, if applicable, the steps being taken with respect thereto:
(i)    Amortization Events or Unmatured Amortization Events.  The occurrence of each Amortization Event and each Unmatured Amortization Event, by a statement of an Authorized Officer of such Loan Party.
(ii)    Termination Date.  The occurrence of the Termination Date under the Receivables Sale Agreement.
(iii)    Notices under Receivables Sale Agreement.  Copies of all notices delivered under the Receivables Sale Agreement.
(iv)    Downgrade of Performance Guarantor.  Any downgrade in the rating of any Debt of Performance Guarantor by S&P or Moody’s, setting forth the Debt affected and the nature of such change.
(v)    Material Adverse Effect.  The occurrence of any other event or condition that has had, or would reasonably be expected to have, a Material Adverse Effect.
(vi)    Independent Director.  The decision to appoint a new director of the Borrower as the “Independent Director” for purposes of this Agreement, such notice to be issued not less than ten (10) Business Days prior to the effective date of such appointment and to certify that the designated Person satisfies the criteria set forth in the definition herein of “Independent Director.”
(vii)    ERISA Plans.    An updated copy of Exhibit III-B, if the Parent, the Loan Parties and/or any of their respective Restricted Subsidiaries have established a new material Plan since the Closing Date or since the date such Exhibit III-B was last updated, which shall be delivered concurrently with the delivery of the financial statements described in Section 7.1(a)(ii).
(c)    Compliance with Laws and Preservation of Corporate Existence.  Such Loan Party will comply in all respects with all applicable laws, rules, regulations, orders, writs, judgments, injunctions, decrees or awards to which it may be subject, except where the failure to so comply would not reasonably be expected to have a Material Adverse Effect.  Such Loan Party will preserve and maintain its corporate existence, rights, franchises and privileges in the jurisdiction of its incorporation, and qualify and remain qualified in good standing as a foreign corporation in each jurisdiction

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where its business is conducted, except where the failure to so preserve and maintain or qualify would not reasonably be expected to have a Material Adverse Effect.
(d)    Audits.  Such Loan Party will furnish to the Funding Agent such information with respect to it and the Receivables as may be reasonably requested by each of the Co-Agents from time to time.  To obtain such information, a Co-Agent shall submit its information request to the Funding Agent and the Funding Agent shall forward such request to the applicable Loan Party.  The applicable Loan Party shall provide such information to the Funding Agent who will then forward it to the Co-Agent who requested the information.  The Loan Parties shall have no obligation to respond to requests for information which is submitted directly to the Loan Parties.  Such Loan Party will, from time to time during regular business hours as requested by any Co-Agent upon reasonable notice and at the sole cost of such Loan Party, permit a third party reasonably acceptable to the Required Committed Lenders (and shall cause each Originator to permit such third party):  (i) to examine and make copies of and abstracts from all Records in the possession or under the control of such Person relating to the Collateral, including, without limitation, the related Contracts, and (ii) to visit the offices and properties of such Person for the purpose of examining such materials described in clause (i) above, and to discuss matters relating to such Person’s financial condition or the Collateral or any Person’s performance under any of the Transaction Documents or any Person’s performance under the Contracts and, in each case, with any of the officers or employees of Borrower or the Servicer having knowledge of such matters (each of the foregoing examinations and visits, a “Review”); provided, however, that, so long as no Amortization Event has occurred and is continuing, (A) the Loan Parties shall only be responsible for the costs and expenses of the first Review conducted in each calendar year, (B) the Agents, collectively, will not request more than three (3) Reviews in any one calendar year and (C) the scope of any such Review shall be as reasonably and mutually agreed upon by the Co-Agents.  The first Review in each calendar  year shall be conducted solely at the request of the Administrative Agent.  Each Review (other than the first Review occurring during any calendar year) shall be conducted solely at the request of the Required Committed Lenders.  The Co-Agents (on behalf of the Lenders) shall be responsible for the costs and expenses incurred in connection with each Review (other than the first Review occurring during any calendar year) in an amount equal to its Percentage or Pro Rata Share of its Conduit Group’s Percentage, as applicable.  For the avoidance of doubt, following the occurrence and during the continuation of an Amortization Event, there shall be no limitation placed upon the number of Reviews conducted at the sole cost and expense of a Loan Party under this Section 7.1(d).  The Loan Parties agree that the Loan Parties shall participate in a due diligence meeting to occur once per calendar year prior to the anniversary of the Closing Date subject to terms and conditions that are reasonably satisfactory to the Co-Agents.
(e)    Keeping and Marking of Records and Books.
(i)    The Servicer will (and will cause each Originator to) maintain and implement administrative and operating procedures (including, without limitation, an ability to recreate records evidencing Receivables in the event of the destruction of the originals thereof), and keep and maintain all 

20

documents, books, records and other information reasonably necessary or advisable for the collection of all Receivables (including, without limitation, records adequate to permit the immediate identification of each new Receivable and all Collections of and adjustments to each existing Receivable).  The Servicer will (and will cause each Originator to) give the Agents notice of any material change in the administrative and operating procedures referred to in the previous sentence.
(ii)    Such Loan Party will (and will cause each Originator to):  (A) on or prior to the date hereof, mark its master data processing records and other books and records relating to the Loans with a legend, acceptable to the Agents, describing the Administrative Agent’s security interest in the Collateral and (B) upon the request of the Agents following the occurrence of an Amortization Event:  (x) mark each Contract with a legend describing the Administrative Agent’s security interest and (y) deliver to the Administrative Agent all Contracts (including, without limitation, all multiple originals of any such Contract constituting an instrument, a certificated security or chattel paper) relating to the Receivables.
(f)    Compliance with Contracts and Credit and Collection Policy.  Such Loan Party will (and will cause each Originator to) timely and fully (i) perform and comply with all provisions, covenants and other promises required to be observed by it under the Contracts related to the Receivables, and (ii) comply in all respects with the Credit and Collection Policy in regard to each Receivable and the related Contract.
(g)    Maintenance and Enforcement of Receivables Sale Agreement and Performance Undertaking.  Borrower will maintain the effectiveness of, and continue to perform under the Receivables Sale Agreement and the Performance Undertaking, such that it does not amend, restate, supplement, cancel, terminate or otherwise modify the Receivables Sale Agreement or the Performance Undertaking, or give any consent, waiver, directive or approval thereunder or waive any default, action, omission or breach under the Receivables Sale Agreement or the Performance Undertaking or otherwise grant any indulgence thereunder, without (in each case) the prior written consent of the Agents.  Borrower will, and will require each Originator to, perform each of their respective obligations and undertakings under and pursuant to the Receivables Sale Agreement, will purchase Receivables thereunder in strict compliance with the terms thereof and will vigorously enforce the rights and remedies accorded to Borrower under the Receivables Sale Agreement.  Borrower will take all actions to perfect and enforce its rights and interests (and the rights and interests of the Agents and the Lenders as assignees of Borrower) under the Receivables Sale Agreement as any of the Agents may from time to time reasonably request, including, without limitation, making claims to which it may be entitled under any indemnity, reimbursement or similar provision contained in the Receivables Sale Agreement.
(h)    Ownership.  Borrower will (or will cause each Originator to) take all necessary action to (i) vest legal and equitable title to the Collateral purchased under the Receivables Sale Agreement irrevocably in Borrower, free and clear of any Adverse

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Claims (other than Adverse Claims in favor of the Administrative Agent, for the benefit of the Secured Parties) including, without limitation, the filing of all financing statements or other similar instruments or documents necessary under the UCC (or any comparable law) of all appropriate jurisdictions to perfect Borrower’s interest in such Collateral and such other action to perfect, protect or more fully evidence the interest of Borrower therein as any of the Agents may reasonably request, and (ii) establish and maintain, in favor of the Administrative Agent, for the benefit of the Secured Parties, a valid and perfected first priority security interest in all Collateral, free and clear of any Adverse Claims, including, without limitation, the filing of all financing statements or other similar instruments or documents necessary under the UCC (or any comparable law) of all appropriate jurisdictions to perfect the Administrative Agent’s (for the benefit of the Secured Parties) security interest in the Collateral and such other action to perfect, protect or more fully evidence the interest of the Administrative Agent for the benefit of the Secured Parties as any of the Agents may reasonably request.
(i)    Lenders’ Reliance.  Borrower acknowledges that the Agents and the Lenders are entering into the transactions contemplated by this Agreement in reliance upon Borrower’s identity as a legal entity that is separate from each Originator.  Therefore, from and after the date of execution and delivery of this Agreement, Borrower shall take all reasonable steps, including, without limitation, all steps that any Agent or any Lender may from time to time reasonably request, to maintain Borrower’s identity as a separate legal entity and to make it manifest to third parties that Borrower is an entity with assets and liabilities distinct from those of each Originator and any Affiliates thereof (other than Borrower) and not just a division of any Originator or any such Affiliate.  Without limiting the generality of the foregoing and in addition to the other covenants set forth herein, Borrower will:
(i)    maintain books, financial records and bank accounts in a manner so that it will not be difficult or costly to segregate, ascertain and otherwise identify the assets and liabilities of Borrower;
(ii)    not commingle any of its assets, funds, liabilities or business functions with the assets, funds, liabilities or business functions of any other person or entity except for payments that may be received in any Lock-Box prior to 30 days after the date of this Agreement;
(iii)    observe all appropriate corporation procedures and formalities;
(iv)    pay its own liabilities, losses and expenses only out of its own funds;
(v)    maintain separate annual and quarterly financial statements prepared in accordance with generally accepted accounting principles, consistently applied, showing its assets and liabilities separate and distinct from those of any other person or entity;

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(vi)    pay or bear the cost (or if such statements are consolidated, the pro-rata cost) of the preparation of its financial statements, and have such financial statements audited by a certified public accounting firm that is not affiliated with Borrower or its Affiliates;
(vii)    not guarantee or become obligated for the debts or obligations of any other entity or person;
(viii)    not hold out its credit as being available to satisfy the debts or obligations of any other person or entity;
(ix)    hold itself out as an entity separate and distinct from any other person or entity (including its Affiliates);
(x)    correct any known misunderstanding regarding its separate identity;
(xi)    use separate stationery, business cards, purchase orders, invoices, checks and the like bearing its own name;
(xii)    compensate all consultants, independent contractors and agents from its own funds for services provided to it by such consultants, independent contractors and agents;
(xiii)    to the extent that Borrower and any of its Affiliates occupy any premises in the same location, allocate fairly, appropriately and nonarbitrarily any rent and overhead expenses among and between such entities with the result that each entity bears its fair share of all such rent and expenses;
(xiv)    to the extent that Borrower and any of its Affiliates share the same officers, allocate fairly, appropriately and nonarbitrarily any salaries and expenses related to providing benefits to such officers between or among such entities, with the result that each such entity will bear its fair share of the salary and benefit costs associated with all such common or shared officers;
(xv)    to the extent that Borrower and any of its Affiliates jointly contract or do business with vendors or service providers or share overhead expenses, allocate fairly, appropriately and nonarbitrarily any costs and expenses incurred in so doing between or among such entities, with the result that each such entity bears its fair share of all such costs and expenses;
(xvi)    to the extent Borrower contracts or does business with vendors or service providers where the goods or services are wholly or partially for the benefit of its Affiliates, allocate fairly, appropriately and nonarbitrarily any costs incurred in so doing to the entity for whose benefit such goods or services are provided, with the result that each such entity bears its fair share of all such costs;

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(xvii)    not make any loans to any person or entity (other than such intercompany loans between Borrower and each Originator contemplated by this Agreement) or buy or hold any indebtedness issued by any other person or entity (except for cash and investment-grade securities);
(xviii)    conduct its own business in its own name;
(xix)    hold all of its assets in its own name;
(xx)    maintain an arm’s-length relationship with its Affiliates and enter into transactions with Affiliates only on a commercially reasonable basis;
(xxi)    not pledge its assets for the benefit of any other Person;
(xxii)    not identify itself as a division or department of any other entity;
(xxiii)    maintain adequate capital in light of its contemplated business operations and in no event less than the Required Capital Amount (as defined in the Receivables Sale Agreement) and refrain from making any dividend, distribution, redemption of capital stock or payment of any subordinated indebtedness which would cause the Required Capital Amount to cease to be so maintained;
(xxiv)    conduct transactions between Borrower and third parties in the name of Borrower and as an entity separate and independent from each of its Affiliates;
(xxv)    cause representatives and agents of Borrower to hold themselves out to third parties as being representatives or agents, as the case may be, of Borrower;
(xxvi)    cause transactions and agreements between Borrower, on the one hand, and any one or more of its Affiliates, on the other hand (including transactions and agreements pursuant to which the assets or property of one is used or to be used by the other), to be entered into in the names of the entities that are parties to the transaction or agreement, to be formally documented in writing and to be approved in advance by the Board (including the affirmative vote of the Independent Director);
(xxvii)    cause the pricing and other material terms of all such transactions and agreements to be established at the inception of the particular transaction or agreement on commercially reasonable terms (substantially similar to the terms that would have been established in a transaction between unrelated third parties) by written agreement (by formula or otherwise);
(xxviii)     not acquire or assume the obligations or acquire the securities of its Affiliates or owners, including partners of its Affiliates, provided, 

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however, that notwithstanding the foregoing, Borrower is authorized to engage in and consummate each of the transactions contemplated by each Transaction Document and Borrower is authorized to perform its obligations under each Transaction Document;
(xxix)    maintain its corporate charter in conformity with this Agreement, such that (A) it does not amend, restate, supplement or otherwise modify its Certificate of Incorporation or By-Laws in any respect that would impair its ability to comply with the terms or provisions of any of the Transaction Documents, including, without limitation, Section 7.1(i) of this Agreement; and (B) its corporate charter, at all times from and after June 30, 2011 while this Agreement is in effect, requires that the Board of Directors of the Borrower shall at all times include at least one “Independent Director” as such term is defined herein.
(xxx)    maintain its corporate separateness such that it does not merge or consolidate with or into, or convey, transfer, lease or otherwise dispose of (whether in one transaction or in a series of transactions, and except as otherwise contemplated herein) all or substantially all of its assets (whether now owned or hereafter acquired) to, or acquire all or substantially all of the assets of, any Person, nor at any time create, have, acquire, maintain or hold any interest in any Subsidiary; and
(xxxi)    take such other actions as are necessary on its part to ensure that the facts and assumptions set forth in the opinion issued by counsel for Borrower, in connection with the closing or initial Advance under this Agreement and relating to substantive consolidation issues, and in the certificates accompanying such opinion, remain true and correct in all material respects at all times.
(j)    Collections.  Such Loan Party will cause (1) all proceeds from all Lock-Boxes to be directly deposited by a Collection Bank into a Collection Account and (2) each Lock-Box and Collection Account to be subject at all times to a Collection Account Agreement that is in full force and effect.  In the event any payments relating to the Collateral are remitted directly to Borrower or any Affiliate of Borrower, Borrower will remit (or will cause all such payments to be remitted) directly to a Collection Bank and deposit into a Collection Account within two (2) Business Days following receipt thereof, and, at all times prior to such remittance, Borrower will itself hold or, if applicable, will cause such payments to be held in trust for the exclusive benefit of the Agents and the Lenders.  Borrower will maintain exclusive ownership, dominion and control (subject to the terms of this Agreement) of each Lock-Box and Collection Account and shall not grant the right to take dominion and control of any Lock-Box or Collection Account at a future time or upon the occurrence of a future event to any Person, except to the Administrative Agent as contemplated by this Agreement and except for access granted to Servicer prior to delivery of Collection Notices.  Notwithstanding anything to the contrary contained herein, in the event that, prior to the occurrence of an Amortization Event or Unmatured Amortization Event, a 

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Collection Bank provides notice to any party hereto of its election to terminate without cause the related Collection Account Agreement, the Administrative Agent, the Servicer and the Borrower shall cooperate in good faith in order to execute a replacement collection account agreement that is mutually acceptable to the Borrower and the Administrative Agent.
(k)    Taxes.  Such Loan Party will file all material tax returns and reports required by law to be filed by it and will promptly pay all material taxes and governmental charges at any time owing, except any such taxes which are not yet delinquent or are being diligently contested in good faith by appropriate proceedings and for which adequate reserves in accordance with GAAP shall have been set aside on its books.  Borrower will pay when due any and all present and future stamp, documentary, and other similar taxes and governmental charges payable in connection with the Receivables, and hold each of the Indemnified Parties harmless from and against any and all liabilities with respect to or resulting from any delay or omission to pay such taxes and governmental charges.
(l)    Payment to Applicable Originator.  With respect to any Receivable purchased by Borrower from any Originator, such sale shall be effected under, and in strict compliance with the terms of, the Receivables Sale Agreement, including, without limitation, the terms relating to the amount and timing of payments to be made to such Originator in respect of the purchase price for such Receivable.
(m)    Amendment of Parent Credit Agreement.  Borrower or Servicer shall provide written notice to the Administrative Agent and the Funding Agent of any proposed amendment to the Parent Credit Agreement on or after the date hereof that would alter the definitions of “Applicable Percentage” or “Leverage Ratio” contained therein or that would alter in any way the manner in which “Applicable Percentage” or “Leverage Ratio” are determined under the Parent Credit Agreement, in each case, not later than five Business Days prior to the effectiveness of any such amendment.   The Funding Agent shall promptly provide any such notice to each Co-Agent.
(n)    Notice of Leverage Ratio.  On each Interest Determination Date (as defined in the Parent Credit Agreement, as in effect on the date hereof), the Servicer shall provide to the Administrative Agent and the Funding Agent written notice of the “Leverage Ratio” as calculated pursuant to the terms of the Parent Credit Agreement, as in effect on the date hereof.  The Funding Agent shall promptly provide any such notice to each Co-Agent.
(o)    Ratification of Obligations under Collection Account Agreements.  Borrower acknowledges and ratifies its obligations under each of the Collection Account Agreements , and agrees to perform and comply with, in all respects,  all of the covenants and other obligations and terms binding on it pursuant to each of the Collection Account Agreements. 

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(p)    Compliance with European Risk Retention Requirements: Each of Borrower and Servicer jointly undertakes that for so long as any Loan is available or outstanding, it shall:
(i) ensure that the Originators comply with the covenants set out in the Side Letter to the Receivables Sale Agreement;
(ii) ensure that the Originators confirm to the Servicer, for inclusion in each Monthly Report that each of the Originators continue to comply with the covenants set out in the Side Letter to  the Receivables Sale Agreement;
(iii) provide notice promptly to the Administrative Agent in the event that any Originator has breached the covenants set out in the Side Letter to the Receivables Sale Agreement; and
(iv) procure that the Originators will take such further action, provide such information and enter into such other agreements as may reasonably be required to satisfy the Risk Retention Requirements as of (i) the date hereof and (ii) solely as regards the provision of information in the possession of the Originators and, to the extent the same is not subject to a duty of confidentiality, following the date hereof.  
The Servicer shall include in each Monthly Report verification that each of the Originators has confirmed that, as of the date of such Monthly Report, it (A) continues to hold the Retained Interest in the form set out in the Side Letter to the Receivables Sale Agreement on the date of such Monthly Report, and (B) has not sold or entered into any credit risk mitigation, short positions or any other hedge or otherwise seek to mitigate its credit risk with respect to the Retained Interest (except as permitted by the Risk Retention Requirements).
Section 7.2.    Negative Covenants of the Loan Parties.  Until the Final Payout Date, each Loan Party hereby covenants, as to itself, that:
(a)    Name Change, Offices and Records.  Such Loan Party will not change its name, identity or structure (within the meaning of any applicable enactment of the UCC) or jurisdiction of organization, unless it shall have:  (i) given the Agents at least ten (10) Business Days’ prior written notice thereof and (ii) delivered to the Administrative Agent all financing statements, instruments and other documents requested by any Agent in connection with such change or relocation.
(b)    Change in Payment Instructions to Obligors.  Except as may be required by the Administrative Agent pursuant to Section 8.2(b), such Loan Party will not add or terminate any bank as a Collection Bank, or make any change in the instructions to Obligors regarding payments to be made to any Lock-Box or Collection Account, unless the Administrative Agent shall have received, at least ten (10) days before the proposed 
                 
1Risk retention compliance line item to be added to form of Monthly Report.

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effective date therefor, (i) written notice of such addition, termination or change and (ii) with respect to the addition of a Collection Bank or a Collection Account or Lock-Box, an executed Collection Account Agreement with respect to the new Collection Account or Lock-Box; provided, however, that the Servicer may make changes in instructions to Obligors regarding payments if such new instructions require such Obligor to make payments to another existing Collection Account; provided further, however, this clause shall not prohibit any Originator from directing obligors of Excluded Receivables to make payment to a lock-box or account which is not a Lock-Box or Collection Account.
(c)    Modifications to Contracts and Credit and Collection Policy.  Such Loan Party will not, and will not permit any Originator to, make any change to the Credit and Collection Policy that could adversely affect the collectibility of the Receivables or decrease the credit quality of any newly created Receivables.  Except as provided in Section 8.2(d), the Servicer will not, and will not permit any Originator to, extend, amend or otherwise modify the terms of any Receivable or any Contract related thereto other than in accordance with the Credit and Collection Policy.
(d)    Sales, Liens.  Borrower will not sell, assign (by operation of law or otherwise) or otherwise dispose of, or grant any option with respect to, or create or suffer to exist any Adverse Claim upon (including, without limitation, the filing of any financing statement) or with respect to, any of the Collateral, or assign any right to receive income with respect thereto (other than, in each case, the creation of a security interest therein in favor of the Administrative Agent as provided for herein), and Borrower will defend the right, title and interest of the Secured Parties in, to and under any of the foregoing property, against all claims of third parties claiming through or under Borrower or any Originator.
(e)    Use of Proceeds.  Borrower will not use the proceeds of the Advances for any purpose other than (i) paying for Receivables and Related Security under and in accordance with the Receivables Sale Agreement, including without limitation, making payments on the Subordinated Notes to the extent permitted thereunder and under the Receivables Sale Agreement, (ii) paying its ordinary and necessary operating expenses when and as due, and (iii) making Restricted Junior Payments to the extent permitted under this Agreement.
(f)    Termination Date Determination.  Borrower will not designate the Termination Date, or send any written notice to any Originator in respect thereof, without the prior written consent of the Agents, except with respect to the occurrence of a Termination Date arising pursuant to Section 5.1(d) of the Receivables Sale Agreement.
(g)    Restricted Junior Payments.  Borrower will not make any Restricted Junior Payment if after giving effect thereto, Borrower’s Net Worth (as defined in the Receivables Sale Agreement) would be less than the Required Capital Amount (as defined in the Receivables Sale Agreement).
(h)    Borrower Debt.  Borrower will not incur or permit to exist any Debt or liability on account of deposits except:  (i) the Obligations, (ii) the Subordinated 

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Loans, and (iii) other current accounts payable arising in the ordinary course of business and not overdue.
(i)    ERISA Compliance.  The Loan Parties will not, and will not permit any Subsidiary of the Parent to, fail to satisfy the minimum funding standard under Section 412 of the Tax Code or Section 302 of ERISA, whether or not waived, or incur any liability under Section 4062 of ERISA to PBGC established thereunder in connection with any Plan except as would not have a Material Adverse Effect.  
ARTICLE VIII.
ADMINISTRATION AND COLLECTION
Section 8.1.    Designation of Servicer.
(a)    The servicing, administration and collection of the Receivables shall be conducted by such Person (the “Servicer”) so designated from time to time in accordance with this Section 8.1.  Converting is hereby designated as, and hereby agrees to perform the duties and obligations of, the Servicer pursuant to the terms of this Agreement.  After the occurrence of an Amortization Event, the Administrative Agent, at the direction of the Required Committed Lenders, may at any time designate as Servicer any Person to succeed Converting or any successor Servicer, provided that the Rating Agency Condition (if applicable) is satisfied.
(b)    Converting may at any time and from time to time delegate any or all of its duties and obligations as Servicer hereunder to one or more Persons.  Notwithstanding the foregoing, so long as Converting remains the Servicer hereunder:  (i) Converting shall be and remain liable to the Agents and the Lenders for the full and prompt performance of all duties and responsibilities of the Servicer hereunder and (ii) the Agents and the Lenders shall be entitled to deal exclusively with Converting in matters relating to the discharge by the Servicer of its duties and responsibilities hereunder.
Section 8.2.    Duties of Servicer.
(a)    The Servicer shall take or cause to be taken all such actions as may be necessary or advisable to collect each Receivable from time to time, all in accordance with applicable laws, rules and regulations, with reasonable care and diligence, and in accordance with the Credit and Collection Policy.
(b)    The Servicer will instruct all Obligors to pay all Collections directly to a Lock-Box or Collection Account.  The Servicer shall effect a Collection Account Agreement with each bank party to a Collection Account at any time.  The Servicer shall actively, and using all commercially reasonable efforts, monitor remittances received in each Lock-Box and Collection Account to determine if such amounts constitute Collections.  In the case of any remittance received in any Lock-Box or Collection Account that shall have been determined, to the satisfaction of the Servicer, not to constitute Collections or other proceeds of the Receivables or the Related Security, the Servicer shall promptly (but in no event later than the second Business Day following 

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identification of such amount in a Lock-Box or Collection Account) remove such amount from such Lock-Box or Collection Account and provide the Administrative Agent with written notice of such removal.  Notwithstanding anything to the contrary contained herein, all amounts on deposit in any Lock-Box or Collection Account shall be deemed to be Collections, unless removed in accordance with the immediately preceding sentence. From and after the date the Administrative Agent delivers to any Collection Bank a Collection Notice pursuant to Section 8.3, any Agent may request that the Servicer, and the Servicer thereupon promptly shall instruct all Obligors with respect to the Receivables, to remit all payments thereon to a new depositary account specified by the Administrative Agent and, at all times thereafter, Borrower and the Servicer shall not deposit or otherwise credit, and shall not permit any other Person to deposit or otherwise credit to such new depositary account any cash or payment item other than Collections.
(c)    The Servicer shall administer the Collections in accordance with the procedures described herein and in Article II.  The Servicer shall set aside and hold in trust for the account of Borrower and the Lenders their respective shares of the Collections in accordance with Article II.  The Servicer shall, upon the request of any Agent, segregate, in a manner acceptable to the Agents, all cash, checks and other instruments received by it from time to time constituting Collections from the general funds of the Servicer or Borrower prior to the remittance thereof in accordance with Article II.  If the Servicer shall be required to segregate Collections pursuant to the preceding sentence, the Servicer shall segregate and deposit with a bank designated by the Administrative Agent such allocable share of Collections of Receivables set aside for the Lenders on the first Business Day following receipt by the Servicer of such Collections, duly endorsed or with duly executed instruments of transfer.
(d)    The Servicer may, in accordance with the Credit and Collection Policy, extend the maturity of any Receivable or adjust the Outstanding Balance of any Receivable as the Servicer determines to be appropriate to maximize Collections thereof; provided, however, that such extension or adjustment shall not alter the status of such Receivable as a Delinquent Receivable or Defaulted Receivable or limit the rights of the Agents or the Lenders under this Agreement.  Notwithstanding anything to the contrary contained herein, from and after the occurrence of an Amortization Event, the Administrative Agent shall have the absolute and unlimited right to direct the Servicer to commence or settle any legal action with respect to any Receivable or to foreclose upon or repossess any Related Security.
(e)    The Servicer shall hold in trust for Borrower and the Lenders all Records that (i) evidence or relate to the Receivables, the related Contracts and Related Security or (ii) are otherwise necessary or desirable to collect the Receivables and shall, as soon as practicable upon demand of the Administrative Agent following the occurrence of an Amortization Event, deliver or make available to the Administrative Agent all such Records, at a place selected by the Administrative Agent.  The Servicer shall, as soon as practicable following receipt thereof turn over to Borrower any cash collections or other cash proceeds received with respect to Debt not constituting Receivables or proceeds of Collateral.  The Servicer shall, from time to time at the request of the Funding Agent (on behalf of any Lender), furnish to the Funding Agent 

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(promptly after any such request) a calculation of the amounts set aside for the Lenders pursuant to Article II.  The Funding Agent shall promptly provide such calculation to such Lender.
(f)    Any payment by an Obligor in respect of any indebtedness owed by it to Originator or Borrower shall, except as otherwise specified by such Obligor or otherwise required by contract or law and unless otherwise instructed by the Administrative Agent, be applied as a Collection of any Receivable of such Obligor (starting with the oldest such Receivable) to the extent of any amounts then due and payable thereunder before being applied to any other receivable or other obligation of such Obligor.
Section 8.3.    Collection Notices.  The Administrative Agent is authorized at any time after the occurrence of an Amortization Event to date and to deliver to the Collection Banks the Collection Notices.  Borrower hereby transfers to the Administrative Agent for the benefit of the Secured Parties, the exclusive ownership and control of each Lock-box and Collection Account; provided, however, that Borrower shall retain the right to direct the disposition of funds from each of the Collection Accounts until the Administrative Agent (in accordance with Section 9.2 hereof) delivers the applicable Collection Notice.  In case any authorized signatory of Borrower whose signature appears on a Collection Account Agreement shall cease to have such authority before the delivery of such notice, such Collection Notice shall nevertheless be valid as if such authority had remained in force.  Borrower hereby authorizes the Administrative Agent, and agrees that the Administrative Agent shall be entitled (i) at any time after delivery of the Collection Notices, to endorse Borrower’s name on checks and other instruments representing Collections, (ii) at any time after the occurrence of an Amortization Event, to enforce the Receivables, the related Contracts and the Related Security, and (iii) at any time after the occurrence of an Amortization Event, to take such action as shall be necessary or desirable to cause all cash, checks and other instruments constituting Collections of Receivables to come into the possession of the Administrative Agent rather than Borrower.
Section 8.4.    Responsibilities of Borrower.  Anything herein to the contrary notwithstanding, the exercise by the Administrative Agent on behalf of the Secured Parties of their rights hereunder shall not release the Servicer, any Originator or Borrower from any of their duties or obligations with respect to any Receivables or under the related Contracts.  The Lenders shall have no obligation or liability with respect to any Receivables or related Contracts, nor shall any of them be obligated to perform the obligations of Borrower.  Moreover, the ultimate responsibility for the servicing of the Receivables shall be borne by Borrower.
Section 8.5.    Monthly Reports.  (a)    The Servicer shall prepare and forward to the Funding Agent, on each Monthly Reporting Date, a Monthly Report and an electronic file of the data contained therein.  The Funding Agent shall forward such Monthly Report and electronic file to the Lenders.
    

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(b)     Any Co-Agent may request that the Funding Agent obtain a listing by Obligor of all Receivables together with an aging of such Receivables from the Servicer.  Upon receipt of such request from the Funding Agent, the Servicer shall prepare and forward to the Funding Agent a report containing such information.  The Funding Agent shall deliver such report to the relevant Co-Agent.

Section 8.6.    Servicing Fee.  As compensation for the Servicer’s servicing activities on their behalf, Borrower shall pay the Servicer the Servicing Fee, which fee shall be paid from Collections in arrears on each Settlement Date in accordance with Sections 2.2 and 2.3 herein.
ARTICLE IX. 
AMORTIZATION EVENTS
Section 9.1.    Amortization Events.  The occurrence of any one or more of the following events shall constitute an Amortization Event:
(a)    Any Loan Party or Performance Guarantor shall fail to make any payment or deposit required to be made by it under the Transaction Documents when due and, for any such payment or deposit which is not in respect of principal, such failure continues for 3 consecutive Business Days.
(b)    Any representation, warranty, certification or statement made by Performance Guarantor or any Loan Party in any Transaction Document to which it is a party or in any other document delivered pursuant thereto shall prove to have been materially incorrect when made or deemed made; provided that the materiality threshold in the preceding clause shall not be applicable with respect to any representation or warranty that itself contains a materiality threshold.
(c)    Any Loan Party shall fail to perform or observe any covenant contained in Section 7.2 or, with respect to Section 8.5, within three days of when due.
(d)    Any Loan Party or Performance Guarantor shall fail to perform or observe any other covenant or agreement under any Transaction Documents and such failure shall remain unremedied for 30 days after the earlier of (i) an Executive Officer of any of such Persons obtaining knowledge thereof, or (ii) written notice thereof shall have been given to any Loan Party or Performance Guarantor by any of the Agents.
(e)    Failure of Borrower to pay any Debt (other than the Obligations) when due or the default by Borrower in the performance of any term, provision or condition contained in any agreement under which any such Debt was created or is governed, the effect of which is to cause, or to permit the holder or holders of such Debt to cause, such Debt to become due prior to its stated maturity; or any such Debt of Borrower shall be declared to be due and payable or required to be prepaid (other than by a regularly scheduled payment) prior to the date of maturity thereof.
(f)    Failure of Performance Guarantor or the Servicer or any of their respective Subsidiaries (other than Borrower) to pay Debt in excess of $25,000,000 in 

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aggregate principal amount (hereinafter, “Material Debt”) when due; or the default by Performance Guarantor or any of its Subsidiaries (other than Borrower) in the performance of any term, provision or condition contained in any agreement under which any Material Debt was created or is governed, the effect of which is to cause, or to permit the holder or holders of such Material Debt to cause, such Material Debt to become due prior to its stated maturity; or any Material Debt of Performance Guarantor, the Servicer or any of their respective Subsidiaries (other than Borrower) shall be declared to be due and payable or required to be prepaid (other than by a regularly scheduled payment) prior to the date of maturity thereof.
(g)    An Event of Bankruptcy shall occur with respect to Performance Guarantor, any Originator or any Loan Party.
(h)    As at the end of any Calculation Period:
(i)    the three-month rolling average Delinquency Ratio shall exceed 5.75%,
(ii)    the three-month rolling average Default Ratio shall exceed 3.5%,
(iii)    the three-month rolling average Dilution Ratio shall exceed 6.5%, or
(iv)    Days Sales Outstanding shall exceed 50 days.
(i)    A Change of Control shall occur.
(j)    (i) One or more final judgments for the payment of money in an aggregate amount of $10,750 or more shall be entered against Borrower or (ii) one or more final judgments for the payment of money in an amount in excess of $25,000,000, individually or in the aggregate, shall be entered against Performance Guarantor or any of its Subsidiaries (other than Borrower) on claims not covered by insurance or as to which the insurance carrier has denied its responsibility, and such judgment shall continue unsatisfied and in effect for thirty (30) consecutive days without a stay of execution.
(k)    The “Termination Date” shall occur under the Receivables Sale Agreement as to any Originator or any Originator shall for any reason cease to transfer, or cease to have the legal capacity to transfer, or otherwise be incapable of transferring Receivables to Borrower under the Receivables Sale Agreement.
(l)    This Agreement shall terminate in whole or in part (except in accordance with its terms), or shall cease to be effective or to be the legally valid, binding and enforceable obligation of Borrower, or any Obligor shall directly or indirectly contest in any manner such effectiveness, validity, binding nature or enforceability, or the Administrative Agent for the benefit of the Lenders shall cease to have a valid and perfected first priority security interest in the Collateral.

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(m)    The Aggregate Principal shall exceed the Borrowing Limit for 2 consecutive Business Days.
(n)    The Performance Undertaking shall cease to be effective or to be the legally valid, binding and enforceable obligation of Performance Guarantor, or Performance Guarantor shall directly or indirectly contest in any manner such effectiveness, validity, binding nature or enforceability of its obligations thereunder.
(o)    The Internal Revenue Service shall file notice of a lien pursuant to Section 6323 of the Tax Code with regard to any of the Collateral and such lien shall not have been released within fifteen (15) days, or the PBGC shall, or shall indicate its intention to, file notice of a lien pursuant to Section 4068 of ERISA with regard to any of the Collateral.
(p)    Any Plan of Performance Guarantor or any of its ERISA Affiliates:
(i)    shall fail to be funded in accordance with the minimum funding standard required by applicable law, the terms of such Plan, Section 412 of the Tax Code or Section 302 of ERISA for any plan year or a waiver of such standard is sought or granted with respect to such Plan under applicable law, the terms of such Plan or Section 412 of the Tax Code or Section 303 of ERISA; or
(ii)    is being, or has been, terminated or the subject of termination proceedings under applicable law or the terms of such Plan; or
(iii)    shall require Performance Guarantor or any of its ERISA Affiliates to provide security under applicable law, the terms of such Plan, Section 401 or 412 of the Tax Code or Section 306 or 307 of ERISA; or
(iv)    results in a liability to Performance Guarantor or any of its ERISA Affiliates under applicable law, the terms of such Plan, or Title IV ERISA,
and there shall result from any such failure, waiver, termination or other event a liability to the PBGC or a Plan that would have a Material Adverse Effect. 
(q)    Any event shall occur which (i) materially and adversely impairs the ability of the Originators to originate Receivables of a credit quality that is at least equal to the credit quality of the Receivables sold or contributed to Borrower on the date of this Agreement or (ii) has, or would be reasonably expected to have, a Material Adverse Effect.
(r)    Except as otherwise permitted in Section 7.1(j), any Collection Account fails to be subject to a Collection Account Agreement at any time.
Section 9.2.    Remedies.  Upon the occurrence and during the continuation of an Amortization Event:  (i) the Administrative Agent, upon the direction of the Required Committed Lenders, shall replace the Person then acting as Servicer, (ii) the 

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Administrative Agent may (and, upon direction of the Required Committed Lenders, the Administrative Agent shall) declare the Amortization Date to have occurred, whereupon the Aggregate Commitment shall immediately terminate and the Amortization Date shall forthwith occur, all without demand, protest or further notice of any kind, all of which are hereby expressly waived by each Loan Party; provided, however, that upon the occurrence of an Amortization Event described in Section 9.1(g), the Amortization Date shall automatically occur, without demand, protest or any notice of any kind, all of which are hereby expressly waived by each Loan Party, (iii) the Administrative Agent may (and, upon the direction of the Required Committed Lenders, shall) deliver the Collection Notices to the Collection Banks, (iv) the Administrative Agent may (and, upon the direction of the Required Committed Lenders, shall) exercise all rights and remedies of a secured party upon default under the UCC and other applicable laws, and (v) the Administrative Agent may (and, upon the direction of the Required Committed Lenders, shall) notify Obligors of the Administrative Agent’s security interest in the Receivables and other Collateral.  The aforementioned rights and remedies shall be without limitation, and shall be in addition to all other rights and remedies of the Agents and the Lenders otherwise available under any other provision of this Agreement, by operation of law, at equity or otherwise, all of which are hereby expressly preserved, including, without limitation, all rights and remedies provided under the UCC, all of which rights shall be cumulative.
ARTICLE X.
INDEMNIFICATION
Section 10.1.    Indemnities by the Loan Parties.  Without limiting any other rights that the Administrative Agent, the Funding Agent or any Lender may have hereunder or under applicable law, (A) Borrower hereby agrees to indemnify (and pay upon demand to) each of the Agents, each of the Conduits, each of the Committed Lenders and each of the respective assigns, officers, directors, agents and employees of the foregoing (each, an “Indemnified Party”) from and against any and all damages, losses, claims, liabilities, costs, expenses and for all other amounts payable, including reasonable attorneys’ fees actually incurred (which attorneys may be employees of the Administrative Agent or such Lender) and disbursements (all of the foregoing being collectively referred to as “Indemnified Amounts”) awarded against or incurred by any of them arising out of or as a result of this Agreement or the acquisition, either directly or indirectly, by a Lender of an interest in the Receivables, and (B) the Servicer hereby agrees to indemnify (and pay upon demand to) each Indemnified Party for Indemnified Amounts awarded against or incurred by any of them arising out of the Servicer’s activities as Servicer hereunder excluding, however, in all of the foregoing instances under the preceding clauses (A) and (B):
(a)    Indemnified Amounts to the extent a final judgment of a court of competent jurisdiction holds that such Indemnified Amounts resulted from gross negligence or willful misconduct on the part of the Indemnified Party seeking indemnification;

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(b)    Indemnified Amounts to the extent the same includes losses in respect of Receivables that are uncollectible on account of the insolvency, bankruptcy or lack of creditworthiness of the related Obligor; or
(c)    Taxes (indemnification for which shall be covered by Section 10.2(b)) other than any Taxes that represent losses, claims, damages, etc. arising from a non-Tax claim;
provided, however, that nothing contained in this sentence shall limit the liability of any Loan Party or limit the recourse of the Lenders to any Loan Party for amounts otherwise specifically provided to be paid by such Loan Party under the terms of this Agreement.  Without limiting the generality of the foregoing indemnification, Borrower shall indemnify the Agents and the Lenders for Indemnified Amounts (including, without limitation, losses in respect of uncollectible receivables, regardless of whether reimbursement therefor would constitute recourse to such Loan Party) relating to or resulting from:
(i)    any representation or warranty made by any Loan Party or any Originator (or any officers of any such Person) under or in connection with this Agreement, any other Transaction Document or any other information or report delivered by any such Person pursuant hereto or thereto, which shall have been false or incorrect when made or deemed made;
(ii)    the failure by Borrower, the Servicer or any Originator to comply with any applicable law, rule or regulation with respect to any Receivable or Contract related thereto, or the nonconformity of any Receivable or Contract included therein with any such applicable law, rule or regulation or any failure of any Originator to keep or perform any of its obligations, express or implied, with respect to any Contract;
(iii)    any failure of Borrower, the Servicer or any Originator to perform its duties, covenants or other obligations in accordance with the provisions of this Agreement or any other Transaction Document;
(iv)    any products liability, personal injury or damage suit, or other similar claim arising out of or in connection with merchandise, insurance or services that are the subject of any Contract or any Receivable;
(v)    any dispute, claim, offset or defense (other than a defense related to the financial condition, or discharge in bankruptcy, of the Obligor) of the Obligor to the payment of any Receivable (including, without limitation, a defense based on such Receivable or the related Contract not being a legal, valid and binding obligation of such Obligor enforceable against it in accordance with its terms), or any other claim resulting from the sale of the merchandise or service related to such Receivable or the furnishing or failure to furnish such merchandise or services;

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(vi)    the commingling of Collections of Receivables at any time with other funds;
(vii)    any investigation, litigation or proceeding related to or arising from this Agreement or any other Transaction Document, the transactions contemplated hereby, the use of the proceeds of any Advance, the Collateral or any other investigation, litigation or proceeding relating to Borrower, the Servicer or any Originator in which any Indemnified Party becomes involved as a result of any of the transactions contemplated hereby;
(viii)    any inability to litigate any claim against any Obligor in respect of any Receivable as a result of such Obligor being immune from civil and commercial law and suit on the grounds of sovereignty or otherwise from any legal action, suit or proceeding;
(ix)    any Amortization Event;
(x)    any failure of Borrower to acquire and maintain legal and equitable title to, and ownership of any of the Collateral from the applicable Originator, free and clear of any Adverse Claim (other than as created hereunder); or any failure of Borrower to give reasonably equivalent value to any Originator under the Receivables Sale Agreement in consideration of the transfer by such Originator of any Receivable, or any attempt by any Person to void such transfer under statutory provisions or common law or equitable action;
(xi)    any failure to vest and maintain vested in the Administrative Agent for the benefit of the Lenders, or to transfer to the Administrative Agent for the benefit of the Secured Parties, a valid first priority perfected security interests in the Collateral, free and clear of any Adverse Claim (except as created by the Transaction Documents);
(xii)    the failure to have filed, or any delay in filing, financing statements or other similar instruments or documents under the UCC of any applicable jurisdiction or other applicable laws with respect to any Collateral, and the proceeds thereof, whether at the time of any Advance or at any subsequent time;
(xii)    any action or omission by any Loan Party which reduces or impairs the rights of the Administrative Agent or the Lenders with respect to any Collateral or the value of any Collateral;
(xiv)    any attempt by any Person to void any Advance or the Administrative Agent’s security interest in the Collateral under statutory provisions or common law or equitable action; 
(xv)    any civil penalty or fine assessed by OFAC against, and all reasonable costs and expenses (including counsel fees and disbursements) incurred in connection with defense thereof by the Administrative Agent or any 

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Lender as a result of the funding of the Commitments or the acceptance of payments due under the Transaction Documents; and
(xvi)    the failure of any Receivable included in the calculation of the Net Pool Balance as an Eligible Receivable to be an Eligible Receivable at the time so included.
Notwithstanding the foregoing, (A) the foregoing indemnification is not intended to, and shall not, constitute a guarantee of the collectibility or payment of the Receivables; and (B) nothing in this Section 10.1 shall require Borrower to indemnify the Indemnified Parties for Receivables which are not collected, not paid or otherwise uncollectible on account of the insolvency, bankruptcy, credit-worthiness or financial inability to pay of the applicable Obligor.
Section 10.2.    Increased Cost and Reduced Return
(a)    If after the date hereof, any Affected Entity shall be charged any fee, expense or increased cost on account of any Regulatory Change (i) that subjects such Affected Entity to any charge or withholding on or with respect to any Funding Agreement or such Affected Entity’s obligations under any Funding Agreement, or on or with respect to the Receivables, or changes the basis of taxation of payments to such Affected Entity of any amounts payable under any Funding Agreement (except Excluded Taxes or Indemnified Taxes) or (ii) that imposes, modifies or deems applicable any reserve, assessment, insurance charge, special deposit or similar requirement against assets of, deposits with or for the account of such Affected Entity, or credit extended by such Affected Entity pursuant to any Funding Agreement or (iii) that imposes any other condition the result of which is to increase the cost to such Affected Entity of performing its obligations under any Funding Agreement, or to reduce the rate of return on such Affected Entity’s capital as a consequence of its obligations under any Funding Agreement, or to reduce the amount of any sum received or receivable by such Affected Entity under any Funding Agreement or to require any payment calculated by reference to the amount of interests or loans held or interest received by it, then, upon demand by the applicable Co-Agent, on behalf of such Affected Entity, and receipt by Borrower of a certificate as to such amounts (to be conclusive absent manifest error), Borrower shall pay to such Co-Agent, as applicable, for the benefit of such Affected Entity, such amounts charged to such Affected Entity or such amounts to otherwise compensate such Affected Entity for such increased cost or such reduction.  Notwithstanding anything herein to the contrary, (x) the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 and all requests, rules, guidelines or directives thereunder or issued in connection therewith (collectively, “Dodd Frank Act”) (whether or not having the force of law) as well as (y) all requests, rules, guidelines or directives promulgated by the Bank for International Settlements, the Basel Committee on Banking Supervision (or any successor or similar authority) or the United States or foreign regulatory authorities, in each case pursuant to Basel II or Basel III (collectively, “Basel Accords”) (whether or not having the force of law), shall be deemed to be a “Regulatory Change” if enacted, adopted, issued, complied with, applied or implemented after the date hereof.

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(b)    (i) If the Borrower shall be required by applicable law to deduct any Taxes from any payments made to any Affected Entity, then (a) if such Tax is an Indemnified Tax, the sum payable shall be increased as necessary so that, after making all required deductions (including deductions applicable to additional sums payable under this Section 10.2), such Affected Entity receives an amount equal to the sum it would have received had no such deductions been made, (b) Borrower shall be entitled to make such deductions and (c) Borrower shall timely pay the full amount deducted to the relevant Governmental Authority in accordance with applicable law.  As soon as practicable, but in no event more than 30 days after any payment of such Indemnified Taxes by Borrower to a Governmental Authority, Borrower shall deliver to the Administrative Agent or the applicable Co-Agent the original or a certified copy of a receipt issued by such Governmental Authority evidencing such payment, a copy of the return reporting such payment or other evidence of such payment reasonably satisfactory to the Administrative Agent or such Co-Agent, as the case may be.  
(ii)    The Borrower agrees to pay any and all present or future stamp, court or documentary taxes and any other excise or property taxes or charges or similar levies which arise from any payment made under any Transaction Document or from the execution, delivery, performance, enforcement or registration of, or otherwise with respect to, any Transaction Document (except any such taxes imposed as a result of a present or former connection between the Affected Entity and the jurisdiction imposing such tax that are imposed with respect to an assignment other than a connection arising from such Affected Entity having entered into this Agreement) (hereinafter referred to as “Other Taxes”).  The Borrower shall not be required to make payment under this Section 10.2(b)(ii) to the extent paid under Section 10.1.
(iii)    If any Taxes are payable or paid by any Affected Entity (including Taxes imposed or asserted on or attributable to any amounts payable under this Section 10.2) or are required to be withheld, deducted or paid from or in respect of any sum payable under any Transaction Document to any Affected Entity, to the extent such Taxes are Indemnified Taxes or Other Taxes, the Borrower shall also pay to such Affected Entity at the time interest is paid, such additional amount that such Affected Entity reasonably determines is necessary to preserve the after-tax yield (after factoring in all taxes attributable solely and directly to income derived from the transaction effectuated by the Transaction Documents, including taxes imposed on or measured by net income) that such Affected Entity would have received if such Indemnified Taxes or Other Taxes had not been imposed.  The Borrower shall not be required to make payment under this Section 10.2(iii) to the extent paid under Section 10.1, 10.2(b)(i) or 10.2(b)(ii).
(c)    Any Affected Entity that is entitled to an exemption from or reduction of withholding Tax with respect to payments made under any Loan Document  shall deliver to the Borrower, Servicer, and Administrative Agent at the time or times reasonably requested by the Borrower, Servicer, or Administrative Agent and at the time or times prescribed by applicable law, such properly completed and executed documentation reasonably requested by the Borrower, Servicer, or Administrative Agent as will permit such payments to be made without withholding or at a reduced rate of 

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withholding.  In addition, any Affected Entity, if reasonably requested by the Borrower, Servicer, or Administrative Agent, shall deliver such other documentation prescribed by applicable law or reasonably requested by the Borrower, Servicer, or Administrative Agent as will enable the Borrower, Servicer, or Administrative Agent to determine whether or not such Affected Entity is subject to backup withholding or information reporting requirements. Each Affected Entity agrees that if any form or certification it previously delivered expires or becomes obsolete or inaccurate in any respect, it shall update such form or certification or promptly notify the Borrower, Servicer, and Administrative Agent in writing of its legal inability to do so. Without limiting the generality of the foregoing:
(i)    any Affected Entity that is a U.S. Person shall deliver to the Borrower, Servicer, and Administrative Agent on or prior to the date on which such Affected Entity becomes party to this Agreement (and from time to time thereafter upon the reasonable request of the Borrower, Servicer, and Administrative Agent), executed copies of IRS Form W-9 (or any successor form) certifying that such Affected Entity is exempt from U.S. federal backup withholding tax; 
(ii)    any Affected Entity that is not a U.S. Person shall, to the extent it is legally entitled to do so, deliver to the Borrower, Servicer, and Administrative Agent (in such number of copies as shall be requested by the recipient) on or prior to the date on which such Affected Entity becomes party to this Agreement (and from time to time thereafter upon the reasonable request of the Borrower, Servicer, and Administrative Agent), whichever of the following is applicable:
(1)    in the case of an Affected Entity claiming the benefits of an income tax treaty to which the United States is a party (x) with respect to payments of interest under any Loan Document, executed copies of IRS Form W-8BEN or  W-8BEN-E, as applicable (or any successor form) establishing an exemption from, or reduction of, U.S. federal withholding Tax pursuant to the “interest” article of such tax treaty and (y) with respect to any other applicable payments under any Loan Document, IRS Form W-8BEN or  W-8BEN-E, as applicable (or any successor form) establishing an exemption from, or reduction of, U.S. federal withholding Tax pursuant to the “business profits” or “other income” article of such tax treaty;
(2)    executed copies of IRS Form W-8ECI (or any successor form);
(3)    in the case of an Affected Entity claiming the benefits of the exemption for portfolio interest under Section 881(c) of the Tax Code, (x) a certificate satisfactory to Borrower, Servicer, and Administrative Agent to the effect that such Affected Entity is not a “bank” within the meaning of Section 881(c)(3)(A) of the Tax Code, a “10 percent shareholder” of the Borrower within the meaning of Section 881(c)(3)(B) of the Tax Code, or a “controlled foreign corporation” described in Section 

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881(c)(3)(C) of the Tax Code (a “U.S. Tax Compliance Certificate”) and (y) executed copies of IRS Form W-8BEN or  W-8BEN-E, as applicable (or any successor form); or
(4)    to the extent an Affected Entity is not the beneficial owner, executed copies of IRS Form W-8IMY (or any successor form), accompanied by IRS Form W-8ECI, IRS Form W-8BEN or  W-8BEN-E, as applicable (or any successor forms), a U.S. Tax Compliance Certificate, IRS Form W-9, and/or other certification documents from each beneficial owner, as applicable; provided that if the Affected Entity is a partnership and one or more direct or indirect partners of such Affected Entity are claiming the portfolio interest exemption, such Affected Entity may provide a U.S. Tax Compliance Certificate on behalf of each such direct and indirect partner;
(iii)    any Affected Entity (and its respective Co-Agent) shall, to the extent it is legally entitled to do so, deliver to the Borrower, Servicer, and Administrative Agent (in such number of copies as shall be requested by the recipient) on or prior to the date on which such Affected Entity becomes a Affected Entity under this Agreement (and from time to time thereafter upon the reasonable request of the Borrower, Servicer, and Administrative Agent), executed copies of any other form prescribed by applicable law as a basis for claiming exemption from or a reduction in U.S. federal withholding Tax, duly completed, together with such supplementary documentation as may be prescribed by applicable law to permit the Borrower, Servicer, or Administrative Agent to determine the withholding or deduction required to be made; and
(iv)     If a payment made to an Affected Entity under any Transaction Document would be subject to U.S. Federal withholding tax imposed by FATCA if such Affected Entity were to fail to comply with the applicable reporting requirements of FATCA (including those contained in Section 1471(b) or 1472(b) of the Tax Code, as applicable), such Affected Entity (and its respective Co-Agent) shall deliver to the Borrower, Servicer and Administrative Agent at the time or times prescribed by law and at such time or times reasonably requested by the Borrower, Servicer or the Administrative Agent such documentation prescribed by applicable law (including as prescribed by Section 1471(b)(3)(C)(i) of the Tax Code) and such additional documentation reasonably requested by the Borrower, Servicer or the Administrative Agent as may be necessary for the Borrower, Servicer or  the Administrative Agent to comply with their obligations under FATCA and to determine that such Affected Entity has complied with such Affected Entity’s obligations under FATCA or to determine the amount to deduct and withhold from such payment. Solely for purposes of this clause (c), “FATCA” shall include any amendments made to FATCA after the date of this Agreement.
(d)    If any Affected Entity receives a refund in respect of any Indemnified Taxes as to which it has been indemnified by Borrower or with respect to which Borrower has paid additional amounts, in each case pursuant to this Section, it shall promptly repay such refund to such Borrower (to the extent of amounts that have been paid by Borrower (or the Servicer, on its behalf) under this Section with respect to 

41

such refund), net of all out-of-pocket expenses (including taxes imposed with respect to such refund) of such Affected Entity and without interest (other than interest paid by the relevant taxing authority with respect to such refund); provided, however, that each Borrower (or the Servicer, on its behalf) upon the request of such Affected Entity, agrees to return such refund (plus penalties, interest or other charges) to such Affected Entity in the event such Affected Entity or the Administrative Agent is required to repay such refund. Nothing in this Section shall obligate any Affected Entity to apply for any such refund.  This paragraph shall not be construed to require any Affected Entity to make available its Tax returns (or any other information relating to its Taxes that it deems confidential) to the Borrower or any other Person.
(e)    Servicer and the Borrower acknowledge that, in connection with the funding of the Loan, or any portion thereof, by a Conduit, the Administrative Agent may be required to obtain commercial paper ratings affirmation(s).  Each of the Servicer and the Borrower agrees that it will (i) cooperate with the Administrative Agent and any rating agency involved in the issuance of such rating, (ii) amend and/or supplement the terms of this Agreement and the other Transaction Documents that define, employ or relate to the term “Borrowing Base”, “Eligible Receivable,” “Loss Reserve,” “Dilution Reserve,” “Interest Reserve,” “Servicing Reserve,” “Servicing Fee Rate,” “Required Reserve” or “Required Reserve Factor Floor”, or any defined term utilized in the definitions of such terms, in each case, as required by such rating agency in connection with the issuance of such rating (as so amended or supplemented, the “Revised Documents”), and (iii) take all actions required to ensure that (A) it is in compliance with all material provisions, representation, warranties and covenants of the Revised Documents applicable to it, (B) no Unmatured Amortization Event, Amortization Event, or any event that, with the giving of notice or the lapse of time, or both, would constitute a Unmatured Amortization Event or Amortization Event exists under the Revised Documents and (C) all other requirements under the Revised Documents relating to the funding of the Loan or the ownership of any Receivable have been complied with.  The Borrower shall pay in immediately available funds to the Administrative Agent, all costs and expenses in connection with this Section 10.2, including, without limitation, the initial fees payable to such rating agency or agencies in connection with providing such rating and all ongoing fees payable to the rating agency or agencies for their continued monitoring of such rating.
(f)    For purposes of this Section 10.2, the term “Affected Entity” shall include any assignee pursuant to Section 12.1. 
Section 10.3.    Other Costs and Expenses.  Subject to Section 7.1(d), Borrower shall pay to the Agents and the Conduits on demand all costs and out-of-pocket expenses in connection with the preparation, execution, delivery and administration of this Agreement, the transactions contemplated hereby and the other documents to be delivered hereunder, including without limitation, the reasonable fees and out-of-pocket expenses of legal counsel for the Agents and the Conduits (which such counsel may be employees of the Agents or the Conduits) with respect thereto and with respect to advising the Agents and the Conduits as to their respective rights and remedies under this Agreement.  Borrower shall pay to the Agents on demand any and all costs and expenses 

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of the Agents and the Lenders, if any, including reasonable counsel fees and expenses actually incurred in connection with the enforcement of this Agreement and the other documents delivered hereunder and in connection with any restructuring or workout of this Agreement or such documents, or the administration of this Agreement following an Amortization Event.  Notwithstanding anything to the contrary contained herein, the parties hereto agree that in no event shall the Borrower be obligated to pay the fees and expenses of more than one legal counsel in respect of the Lenders, which counsel shall be counsel for the Administrative Agent.  
ARTICLE XI. 
THE AGENTS
Section 11.1.    Authorization and Action.
(a)    Each Lender and its Co-Agent hereby irrevocably designates and appoints Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., “Rabobank Nederland”, New York Branch as Funding Agent hereunder and under the other Transaction Documents to which the Funding Agent is a party and authorizes the Funding Agent to take such action on its behalf under the provisions of the Transaction Documents and to exercise such powers and perform such duties as are expressly delegated to the Funding Agent by the terms of the Transaction Documents, together with such other powers as are reasonably incidental thereto.  Each Unaffiliated Committed Lender and each Committed Lender in any Conduit Group hereby designates the Person designated on the Lender Supplement as Co-Agent for such Unaffiliated Committed Lender or Conduit Group, as applicable, as agent for such Person  hereunder and authorizes such Person to take such actions as agent on its behalf and to exercise such powers as are delegated to the Co-Agent for such Person by the terms of this Agreement together with such powers as are reasonably incidental thereto.  Each Lender and each Co-Agent that becomes a party to this Agreement after the date hereof shall designate and appoint the Funding Agent, as its agent and authorizes the Funding Agent to take such action on its behalf under the provision of the Transaction Documents, and to exercise such powers and perform such duties as are expressly delegated to such agent by the terms of the Transaction Documents, together with such other powers as are reasonably incidental thereto.  Each Lender and its Co-Agent hereby irrevocably designates and appoints Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., “Rabobank Nederland”, New York Branch as Administrative Agent hereunder and under the Transaction Documents to which the Administrative Agent is a party, and each Lender and each Co-Agent that becomes a party to this Agreement hereafter ratifies such designation and appointment and authorizes the Administrative Agent to take such action on its behalf under the provisions of the Transaction Documents and to exercise such powers and perform such duties as are expressly delegated to the Administrative Agent by the terms of the Transaction Documents, together with such other powers as are reasonably incidental thereto.  Notwithstanding any provision to the contrary elsewhere in this Agreement, none of the Agents shall have any duties or responsibilities, except those expressly set forth in the Transaction Documents to which it is a party, or any fiduciary relationship with any Lender, and no implied covenants, functions, responsibilities, duties, obligations or liabilities on the part of such Agent shall be read 

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into any Transaction Document or otherwise exist against such Agent.  In addition, the Administrative Agent is hereby authorized by each Lender, each Co-Agent and the Funding Agent to consent to (i) any amendments or restatements to the Certificate of Incorporation of Borrower to the extent such amendments or restatements are not prohibited by Section 7.1(i)(xxix) and (ii) any amendments or modifications of the bylaws of the Borrower.
(b)    The provisions of this Article XI are solely for the benefit of the Agents and the Lenders, and none of the Loan Parties shall have any rights as a third-party beneficiary or otherwise under any of the provisions of this Article XI, except that this Article XI shall not affect any obligations which any of the Agents or Lenders may have to any of the Loan Parties under the other provisions of this Agreement.
(c)    In performing its functions and duties hereunder, (i) the Funding Agent shall act solely as the agent of the Lenders and Co-Agents and does not assume nor shall be deemed to have assumed any obligation or relationship of trust or agency with or for any of the Loan Parties or any of their respective successors and assigns, (ii) each Co-Agent shall act solely as agent for its related Committed Lender or the Lenders in its Conduit Group, as applicable, and does not assume nor shall be deemed to have assumed any obligation or relationship of trust or agency with or for any of the Loan Parties or any other Lenders or any of their respective successors or assigns, and (iii) the Administrative Agent shall act solely as the agent of the Lenders and the Co-Agents and does not assume nor shall be deemed to have assumed any obligation or relationship of trust or agency with or for any of the Loan Parties or any of their respective successors and assigns.
Section 11.2.    Delegation of Duties.  Each of the Agents may execute any of its duties under any Liquidity Agreement to which it is a party and each Transaction Document by or through agents or attorneys-in-fact and shall be entitled to advice of counsel concerning all matters pertaining to such duties.  None of the Agents shall be responsible for the negligence or misconduct of any agents or attorneys-in-fact selected by it with reasonable care.
Section 11.3.    Exculpatory Provisions.  None of the Agents nor any of their directors, officers, agents or employees shall be (i) liable for any action lawfully taken or omitted to be taken by it or them under or in connection with this Agreement or any other Transaction Document (except for its, their or such Person’s own gross negligence or willful misconduct), or (ii) responsible in any manner to any of the Lenders or other Agents for any recitals, statements, representations or warranties made by any Loan Party contained in this Agreement, any other Transaction Document or any certificate, report, statement or other document referred to or provided for in, or received under or in connection with, this Agreement, or any other Transaction Document or for the value, validity, effectiveness, genuineness, enforceability or sufficiency of this Agreement, or any other Transaction Document or any other document furnished in connection herewith or therewith, or for any failure of any Loan Party to perform its obligations hereunder or thereunder, or for the satisfaction of any condition specified in Article VI, or for the perfection, priority, condition, value or sufficiency of any collateral pledged in connection herewith.  None of the Agents shall be under any obligation to any other 

44

Agent or any Lender to ascertain or to inquire as to the observance or performance of any of the agreements or covenants contained in, or conditions of, this Agreement or any other Transaction Document, or to inspect the properties, books or records of the Loan Parties.  None of the Agents shall be deemed to have knowledge of any Amortization Event or Unmatured Amortization Event unless such Agent has received notice from Borrower, another Agent or a Lender.
Section 11.4.    Reliance by Agents.
(a)    Each of the Agents shall in all cases be entitled to rely, and shall be fully protected in relying, upon any document or conversation believed by it to be genuine and correct and to have been signed, sent or made by the proper Person or Persons and upon advice and statements of legal counsel (including, without limitation, counsel to Borrower), independent accountants and other experts selected by such Agent.  Each of the Agents shall in all cases be fully justified in failing or refusing to take any action under this Agreement or any other Transaction Document unless it shall first receive such advice or concurrence of such of the Lenders or Committed Lenders in its Conduit Group as it deems appropriate and it shall first be indemnified to its satisfaction by the Committed Lenders in its Conduit Group against any and all liability, cost and expense which may be incurred by it by reason of taking or continuing to take any such action, provided that unless and until an Agent shall have received such advice, such Agent may take or refrain from taking any action, as such Agent shall deem advisable and in the best interests of the Lenders.
(b)    Each of the Administrative Agent and the Funding Agent shall in all cases be fully protected in acting, or in refraining from acting, in accordance with a request of the Required Committed Lenders or all of the Lenders, as applicable, and such request and any action taken or failure to act pursuant thereto shall be binding upon all the Lenders.
(c)    Any action taken by any of the Agents in accordance with Section 11.4 shall be binding upon all of the Agents and the Lenders.
Section 11.5.    Non-Reliance on Other Agents and Other Lenders.  Each Lender expressly acknowledges that none of the Agents or other Lenders, nor any of their respective officers, directors, employees, agents, attorneys-in-fact or affiliates, has made any representations or warranties to it and that no act by any Agent or other Lender hereafter taken, including, without limitation, any review of the affairs of any Loan Party, shall be deemed to constitute any representation or warranty by such Agent or such other Lender.  Each Lender represents and warrants to each Agent that it has made and will make, independently and without reliance upon any Agent or any other Lender and based on such documents and information as it has deemed appropriate, its own appraisal of and investigation into the business, operations, property, prospects, financial and other conditions and creditworthiness of Borrower and made its own decision to enter into its Liquidity Agreement (if applicable), the Transaction Documents and all other documents related thereto.

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Section 11.6.    Reimbursement and Indemnification.  Each of the Committed Lenders agree to reimburse and indemnify (a) its applicable Co-Agent, (b) the Funding Agent and its officers, directors, employees, representatives and agents and (c) the Administrative Agent and its officers, directors, employees, representatives and agents ratably in accordance with their respective Commitments, to the extent not paid or reimbursed by the Loan Parties (i) for any amounts for which such Agent, acting in its capacity as Agent, is entitled to reimbursement by the Loan Parties hereunder and (ii) for any other expenses incurred by such Agent, in its capacity as Agent and acting on behalf of the Lenders, in connection with the administration and enforcement of its Liquidity Agreements and the Transaction Documents.
Section 11.7.    Agents in their Individual Capacities.  Each of the Agents and its Affiliates may make loans to, accept deposits from and generally engage in any kind of business with Borrower or any Affiliate of Borrower as though such Agent were not an Agent hereunder.  With respect to the making of Loans pursuant to this Agreement, each of the Agents shall have the same rights and powers under any Liquidity Agreement to which it is a party and the Transaction Documents in its individual capacity as any Lender and may exercise the same as though it were not an Agent, and the terms “Committed Lender,” “Lender,” “Committed Lenders” and “Lenders” shall include each of the Agents in its individual capacity.
Section 11.8.    Conflict Waivers.  Each Co-Agent acts, or may in the future act:  (i) as administrative agent for such Co-Agent’s Conduit, (ii) as issuing and paying agent for such Conduit’s Commercial Paper, (iii) to provide credit or liquidity enhancement for the timely payment for such Conduit’s Commercial Paper and (iv) to provide other services from time to time for such Conduit (collectively, the “Co-Agent Roles”).  Without limiting the generality of Sections 11.1 and 11.8, each of the other Agents and the Lenders hereby acknowledges and consents to any and all Co-Agent Roles and agrees that in connection with any Co-Agent Role, a Co-Agent may take, or refrain from taking, any action which it, in its discretion, deems appropriate, including, without limitation, in its role as administrative agent for its Conduit, the giving of notice to the Committed Lenders in its Conduit Group of a mandatory purchase pursuant to the applicable Liquidity Agreement for such Conduit Group, and hereby acknowledges that neither the applicable Co-Agent nor any of its Affiliates has any fiduciary duties hereunder to any Lender (other than its Conduit) arising out of any Co-Agent Roles.
Section 11.9.    UCC Filings.  Each of the Secured Parties hereby expressly recognizes and agrees that the Administrative Agent may be listed as the assignee or secured party of record on the various UCC filings required to be made under the Transaction Documents in order to perfect their respective interests in the Collateral, that such listing shall be for administrative convenience only in creating a record or nominee holder to take certain actions hereunder on behalf of the Secured Parties and that such listing will not affect in any way the status of the Secured Parties as the true parties in interest with respect to the Collateral.  In addition, such listing shall impose no duties on the Administrative Agent other than those expressly and specifically undertaken in accordance with this Article XI.

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Section 11.10.    Successor Administrative Agent.  The Administrative Agent, upon five (5) days’ notice to the Loan Parties, the other Agents and the Lenders, may voluntarily resign and may be removed at any time, with or without cause, by Committed Lenders holding in the aggregate at least sixty-six and two-thirds percent (66 2/3%) of the Aggregate Commitment (excluding the Commitment of Rabobank) and the Borrower.  If the Administrative Agent (other than Rabobank) shall voluntarily resign or be removed as Agent under this Agreement, then the Required Committed Lenders during such five-day period shall appoint, with the consent of Borrower from among the remaining Committed Lenders, a successor Administrative Agent, whereupon such successor Administrative Agent shall succeed to the rights, powers and duties of the Administrative Agent and the term “Administrative Agent” shall mean such successor agent, effective upon its appointment, and the former Administrative Agent’s rights, powers and duties as Administrative Agent shall be terminated, without any other or further act or deed on the part of such former Administrative Agent or any of the parties to this Agreement.  Upon resignation or replacement of any Agent in accordance with this Section 11.10, the retiring Administrative Agent shall execute such UCC-3 assignments and amendments, and assignments and amendments of any Liquidity Agreement to which it is a party and the Transaction Documents, as may be necessary to give effect to its replacement by a successor Administrative Agent.  After any retiring Administrative Agent’s resignation hereunder as Administrative Agent, the provisions of this Article XI and Article X shall inure to its benefit as to any actions taken or omitted to be taken by it while it was Administrative Agent under this Agreement.
Section 11.11.    Successor Funding Agent.  The Funding Agent, upon five (5) days’ notice to the Loan Parties, the other Agents and the Lenders, may voluntarily resign and may be removed at any time, with or without cause, by Committed Lenders holding in the aggregate at least sixty-six and two-thirds percent (66 2/3%)  of the Aggregate Commitment and the Borrower.  If the Funding Agent (other than Rabobank) shall voluntarily resign or be removed as Funding Agent under this Agreement, then the Required Committed Lenders during such five-day period shall appoint, with the consent of Borrower from among the remaining Committed Lenders, a successor Funding Agent, whereupon such successor Funding Agent shall succeed to the rights, powers and duties of the Funding Agent and the term “Funding Agent” shall mean such successor agent, effective upon its appointment, and the former Funding Agent’s rights, powers and duties as Funding Agent shall be terminated, without any other or further act or deed on the part of such former Funding Agent or any of the parties to this Agreement.  After any retiring Funding Agent’s resignation hereunder as Funding Agent, the provisions of this Article XI and Article X shall inure to its benefit as to any actions taken or omitted to be taken by it while it was Funding Agent under this Agreement.
ARTICLE XII. 
ASSIGNMENTS; PARTICIPATIONS; REMOVAL
Section 12.1.    Assignments.
(a)    Each of the Agents, the Loan Parties and the Committed Lenders hereby agrees and consents to the complete or partial assignment by each Conduit of all

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or any portion of its rights under, interest in, title to and obligations under this Agreement to the Committed Lenders in its Conduit Group pursuant to its Liquidity Agreement.
(b)    Any Committed Lender may at any time and from time to time assign to one or more Persons (each, a “Purchasing Committed Lender”) all or any part of its rights and obligations under this Agreement pursuant to an assignment agreement substantially in the form set forth in Exhibit V hereto (an “Assignment Agreement”) executed by such Purchasing Committed Lender and such selling Committed Lender; provided, however, that any assignment of a Committed Lender’s rights and obligations hereunder shall include a pro rata assignment of its rights and obligations under the applicable Liquidity Agreement (if any).  The consent of the applicable Conduit shall be required prior to the effectiveness of any such assignment by a Committed Lender in such Conduit’s Conduit Group.  Prior to the occurrence of the Amortization Date as a result of an Amortization Event, each assignee of a Committed Lender must (i) be (x) an Eligible Assignee or (y) an assignee with respect to which Borrower has provided prior written consent (such consent not to be unreasonably withheld or delayed) and (ii) agree to deliver to the applicable Co-Agent, as the case may be, promptly following any request therefor by such Person, an enforceability opinion in form and substance satisfactory to such Person.  Upon delivery of an executed Assignment Agreement to the applicable Co-Agent, such selling Committed Lender shall be released from its obligations hereunder and, if applicable, under its Liquidity Agreement to the extent of such assignment.  Thereafter the Purchasing Committed Lender shall for all purposes be a Committed Lender party to this Agreement and, if applicable, its Conduit Group’s Liquidity Agreement and shall have all the rights and obligations of a Committed Lender hereunder and thereunder to the same extent as if it were an original party hereto and thereto and no further consent or action by Borrower, the Lenders or the Agents shall be required.
(c)    [Reserved].
(d)    (i)    Notwithstanding anything to the contrary contained herein, each of the Committed Lenders agrees that in the event that it shall become a Defaulting Lender, then until such time as such Committed Lender is no longer a Defaulting Lender, to the extent permitted by applicable law, such Defaulting Lender’s right to vote in respect of any amendment, consent or waiver of the terms of this Agreement or any other Transaction Document or to direct any action or inaction of the Administrative Agent or the Funding Agent or to be taken into account in the calculation of the Required Committed Lenders shall be suspended at all times that such Committed Lender remains a Defaulting Lender; provided, however, that, except as otherwise set forth in this Section 12.1(d), the foregoing suspension shall not empower Lenders that are not Defaulting Lenders to increase a Defaulting Lender’s Commitment, decrease the rate of interest or fees applicable to, or extend the maturity date of such Defaulting Lender’s Advances or other Obligations owing to such Lender, in each case, without such Lender’s consent.  No Commitment of any Committed Lender shall be increased or otherwise affected, and except as otherwise expressly provided in this Section 12.1(d), performance by the Borrower of its obligations hereunder and under the other Transaction Documents shall not be excused or otherwise modified, as a result of the operation of this Section 12.1(d).

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(ii)    To the extent that any Committed Lender is a Defaulting Lender with respect to an Advance, the Borrower may deliver a notice to the Funding Agent specifying the date of such Advance, the identity of the Defaulting Lender and the portion of such Advance that the Defaulting Lender failed to fund, which notice shall be deemed to be an additional Borrowing Notice in respect of such unfunded portion of such Advance, and each Committed Lender (or its related Conduit, if applicable, and acting in its sole discretion) shall, to the extent of its remaining unfunded Commitment and subject to the continued fulfillment of all applicable conditions precedent set forth herein with respect to such Advance, fund its Percentage (recomputed by excluding the Commitment of Defaulting Lenders from the Aggregate Commitment) of such unfunded portion of such Advance not later than 2:30 p.m. (New York City time) on the Business Day following the date of such notice.
(iii)    Until the Defaulting Lender Excess of a Defaulting Lender has been reduced to zero, any payment of the principal of any Loan to a Defaulting Lender shall, unless the Required Committed Lenders agree otherwise, be applied first (1) ratably, to the reduction of the Loans funding any defaulted portion of Advances pursuant to Section 12.1(d)(ii) and then (2) ratably to reduce the Loans of each of the Lenders that are not Defaulting Lenders in accordance with the principal amount (if any) thereof.  Subject to the preceding sentence, any amount paid by or on behalf of the Borrower for the account of a Defaulting Lender under this Agreement or any other Transaction Document will not be paid or distributed to such Defaulting Lender, but will instead be applied to the making of payments from time to time in the following order of priority until such Defaulting Lender has ceased to be a Defaulting Lender as provided below: first, to the funding of any portion of any Advance in respect of which such Defaulting Lender has failed to fund as required by this Agreement, as determined by the Administrative Agent; second, held in a segregated subaccount of the Collection Account as cash collateral for future funding obligations of the Defaulting Lender in respect of Advances under this Agreement; and third, after the termination of the Commitments and payment in full of all Obligations, to such Defaulting Lender or as a court of competent jurisdiction may otherwise direct.
(iv)    During any period that a Committed Lender is a Defaulting Lender, the Borrower shall not accrue or be required to pay, and such Defaulting Lender shall not be entitled to receive, the Unused Fee (as defined in the Fee Letter) otherwise payable to such Defaulting Lender under this Agreement or the Transaction Documents at any time, or with respect to any period, that such Committed Lender is a Defaulting Lender.

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(v)    During any period that a Committed Lender is a Defaulting Lender, the Borrower may, by giving written notice thereof to the Administrative Agent, the Funding Agent and such Defaulting Lender, require such Defaulting Lender, at the cost and expense of the Borrower, to assign and delegate, without recourse (in accordance with and subject to the restrictions contained in, and consents required by, this Article XII), (i) all and not less than all of its interests, rights and obligations under this Agreement and the Transaction Documents to an assignee or assignees that shall assume such obligations (which assignee may be another Lender, if such other Lender accepts such assignment) in whole or (ii) all of its interests, rights and obligations under this Agreement and the Transaction Documents with respect to all prospective Commitments, including any unfunded Commitment as of the date of such assignment.  No party hereto shall have any obligation whatsoever to initiate any such complete or partial replacement or to assist in finding an assignee.  In connection with any such complete or partial assignment, such Defaulting Lender shall promptly execute all documents reasonably requested to effect such assignment, including an appropriate Assignment Agreement.  No such assignment shall be effective unless and until, in addition to the other conditions thereto set forth herein, (A) to the extent that the assignee is assuming all of the interests, rights and obligations of the Defaulting Lender, the parties to the assignment shall make such additional payments in an aggregate amount sufficient, upon distribution thereof as appropriate (which may be outright payment, purchases by the assignee of participations, or other compensating actions, including funding, with the consent of the Borrower and the Administrative Agent, the applicable Percentage of Advances previously requested but not funded by the Defaulting Lender, to each of which the applicable assignee and assignor hereby irrevocably consent), to (x) pay and satisfy in full all payment liabilities then owed by such Defaulting Lender to the Borrower or any Lender hereunder (and interest accrued thereon), and (y) acquire (and fund as appropriate) the Loans made by such Defaulting Lender or members of such Defaulting Lender Group, as applicable, (B) to the extent that the assignee is assuming all of the interests, rights and obligations of the Defaulting Lender, such Defaulting Lender or members of such Defaulting Lender Group, as applicable, shall have received payment of an amount equal to all of its Loans outstanding, accrued interest thereon, accrued fees (subject to Section 12.1(d)(iv)) and all other amounts, including any Breakage Costs, payable to it and its Affected Parties hereunder and the other Transaction Documents through (but excluding) the date of such assignment from the assignee or the Borrower, and (C) such assignment does not conflict with applicable law.  Notwithstanding the foregoing, in the event that any assignment of rights and obligations of any Defaulting Lender hereunder shall become effective under applicable law without compliance with the provisions of this paragraph, then the assignee of such interest shall be deemed to be a Defaulting Lender for all purposes of this Agreement until such compliance occurs.
(vi)    If the Borrower, Servicer, and the Administrative Agent agree in writing in their discretion that a Committed Lender that is a Defaulting 

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Lender should no longer be deemed to be a Defaulting Lender, the Administrative Agent will so notify the Lenders, the Co-Agents and the Funding Agent, whereupon as of the effective date specified in such notice and subject to any conditions set forth therein, such Committed Lender will, to the extent applicable, purchase such portion of outstanding Advances of the other Lenders and make such other adjustments as the Funding Agent may reasonably determine to be necessary to cause the interest of the Lenders in the Aggregate Principal to be on a pro rata basis in accordance with their respective Percentages, whereupon such Lender will cease to be a Defaulting Lender; provided that no adjustments will be made retroactively with respect to fees accrued or payments made by or on behalf of the Borrower or forfeited pursuant to Section 12.1(d)(iv), while such Committed Lender was a Defaulting Lender; and provided further that, except to the extent otherwise expressly agreed by the affected parties, no cure by a Committed Lender under this subsection of its status as a Defaulting Lender will constitute a waiver or release of any claim or any party hereunder arising from such Committed Lender having been a Defaulting Lender.
(vii)    The rights and remedies of the Borrower, any Agent or the other Lenders against a Defaulting Lender under this Section 12.1(d) are in addition to any other rights and remedies the Borrower, the Agents and the other Lender may have against such Defaulting Lender under this Agreement, any of the other Transaction Documents, applicable law or otherwise.
(viii)    Any Committed Lender that fails to timely fund a Loan shall be obligated to promptly (but in any event not later than 10:00 a.m. (New York City time) on the Business Day after the date of the related Advance) notify the Funding Agent, the Borrower and the Administrative Agent if any such failure is the result of an administrative error or omission by such Committed Lender or force majeure, computer malfunction, interruption of communication facilities, labor difficulties or other causes, in each case to the extent beyond such Committed Lender’s reasonable control.  If (i) the Funding Agent had been notified by the Borrower or the affected Committed Lender that a Committed Lender has failed to timely fund a Loan, (ii) if a Responsible Officer of the Funding Agent has actual knowledge or has written notice that such Committed Lender is the subject of an Event of Bankruptcy or has publicly announced that it does not intend to comply with its funding obligations under this Agreement or (iii) the Funding Agent had been notified by the Administrative Agent or the affected Committed Lender that a Committed Lender has failed timely to deliver the written confirmation contemplated by clause (a)(iii) of the definition of “Defaulting Lender”, the Funding Agent shall promptly provide notice to the Borrower, the Administrative Agent and the Co-Agents of such occurrence.
(e)    So long as no Ratings Trigger Event, Amortization Event or Unmatured Amortization Event has occurred, the Borrower may, upon 60 days prior written notice, designate any Committed Lender and the Conduit Group relating thereto 

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(if any) for removal from this facility (any such designated Lender, a “Prepaid Lender”) on a Business Day specified in such written notice which shall also be a Settlement Date (such date in respect of any Prepaid Lender, the “Prepayment Date”).  Commencing on the related Prepayment Date, any such Prepaid Lender’s Commitment shall terminate and such Prepaid Lender shall either (i) assign all of its rights and obligations hereunder to an Eligible Assignee willing to participate in this Agreement through the Scheduled Termination Date in the place of such Prepaid Lender or (ii) be entitled to payment of its Percentage (or Pro Rata Share of its Conduit Group’s Percentage, as applicable) of the Borrower’s Obligations in accordance with Section 2.2 or Section 2.3 as applicable.  In the event that any such Prepaid Lender assigns its rights and obligations pursuant to clause (i) of the immediately preceding sentence, such Prepaid Lender shall be entitled to receive payment in full, pursuant to an Assignment Agreement, of an amount equal to its Percentage (or Pro Rata Share of its Conduit Group’s Percentage, as applicable) of the Borrower’s Obligations.  For the avoidance of doubt, on and after the occurrence of an Amortization Event, amounts owed to any such Prepaid Lender hereunder shall be applied ratably with amounts owed to Lenders that are not Prepaid Lenders in accordance with Section 2.3.
(f)    No Loan Party may assign any of its rights or obligations under this Agreement without the prior written consent of each of the Agents and each of the Lenders and without satisfying the Rating Agency Condition, if applicable.
Section 12.2.    Participations.  Any Committed Lender may, in the ordinary course of its business at any time sell to one or more Persons (each, a “Participant”) participating interests in its Pro Rata Share of its Conduit Group’s Percentage of Aggregate Commitment, its Loans, its Liquidity Commitment (if applicable) or any other interest of such Committed Lender hereunder or, if applicable, under its Liquidity Agreement.  Notwithstanding any such sale by a Committed Lender of a participating interest to a Participant, such Committed Lender’s rights and obligations under this Agreement and, if applicable, such Liquidity Agreement shall remain unchanged, such Committed Lender shall remain solely responsible for the performance of its obligations hereunder and, if applicable, under its Liquidity Agreement, and the Loan Parties, the Lenders and the Agents shall continue to deal solely and directly with such Committed Lender in connection with such Committed Lender’s rights and obligations under this Agreement and, if applicable, its Liquidity Agreement.  Each Committed Lender agrees that any agreement between such Committed Lender and any such Participant in respect of such participating interest shall not restrict such Committed Lender’s right to agree to any amendment, supplement, waiver or modification to this Agreement, except for any amendment, supplement, waiver or modification described in Section 14.1(b)(i).
Section 12.3.    Register.  The Administrative Agent (as agent for the Borrower) shall maintain at its office referred to in Section 14.2 a copy of each Assignment Agreement delivered to and accepted by it and register (the “Register”) for the recordation of the names and addresses of the Lenders and the Pro Rata Share of, outstanding principal amount of all Advances owing to and Interest of, each Lender from time to time, which Register shall be available for inspection by the Borrower at any reasonable time and from time to time upon reasonable prior notice.  No assignment 

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under this Article XII shall be effective until the entries described in the preceding sentence have been made in the Register.  The entries in the Register shall be conclusive and binding for all purposes, absent manifest error, and the Borrower, the Servicer, the Lenders, the Co-Agents, the Funding Agent and the Administrative Agent may treat each Person whose name is recorded in the Register as a Lender hereunder for all purposes of this Agreement.
Section 12.4.    Participant Register.  Each Lender that sells a participation shall, acting solely for this purpose as a non-fiduciary agent of Borrower, maintain a register on which it enters the name and address of each Participant and the principal amounts of and stated interest on each Participant’s interest in the Loans or other obligations under the Loan Documents (the “Participant Register”); provided that no Lender shall have any obligation to disclose all or any portion of the Participant Register (including the identity of any Participant or any information relating to a Participant's interest in any commitments, loans, letters of credit or its other obligations under any Loan Document) to any Person except to the extent that such disclosure is necessary to establish that such commitment, loan, letter of credit or other obligation is in registered form under Section 5f.103-1(c) of the United States Treasury Regulations.  The entries in the Participant Register shall be conclusive absent manifest error, and such Lender shall treat each Person whose name is recorded in the Participant Register as the owner of such participation for all purposes of this Agreement notwithstanding any notice to the contrary.  For the avoidance of doubt, the Administrative Agent (in its capacity as Administrative Agent) shall have no responsibility for maintaining a Participant Register.
Section 12.5.    Federal Reserve.  Notwithstanding any other provision of this Agreement to the contrary, any Lender may at any time pledge or grant a security interest in all or any portion of its rights (including, without limitation, any Loan and any rights to payment of principal or interest thereon) under this Agreement (i) to secure obligations of such Lender to a Federal Reserve Bank, or (ii) to a collateral agent or a security trustee in connection with the funding by such Lender of the Loan, without notice to or consent of Borrower, Servicer or any Agent; provided that no such pledge or grant of a security interest shall release such Lender from any of its obligations hereunder, or substitute any such pledgee or grantee for such Lender as a party hereto.
ARTICLE XIII. 
SECURITY INTEREST
Section 13.1.    Grant of Security Interest.  To secure the due and punctual payment of the Obligations, whether now or hereafter existing, due or to become due, direct or indirect, or absolute or contingent, including, without limitation, all Indemnified Amounts, in each case pro rata according to the respective amounts thereof, Borrower hereby grants to the Administrative Agent, for the benefit of the Secured Parties, a security interest in, all of Borrower’s right, title and interest, whether now owned and existing or hereafter arising in and to all of the Receivables, the Related Security, the Collections, any loans or advances made by Borrower to any Person and notes evidencing such loans or advances, and all proceeds of the foregoing (collectively, the “Collateral”).  Borrower hereby authorizes the Administrative Agent to file a financing statement 

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naming Borrower as debtor or seller that describes the collateral as “all assets of the debtor whether now existing or hereafter arising” or words of similar effect.
Section 13.2.    Termination after Final Payout Date.  Each of the Secured Parties hereby authorizes the Administrative Agent, and the Administrative Agent hereby agrees, promptly after the Final Payout Date to execute and deliver to Borrower such UCC termination statements as may be necessary to terminate the Administrative Agent’s security interest in and Lien upon the Collateral, all at Borrower’s expense.  Upon the Final Payout Date, all right, title and interest of the Administrative Agent and the other Secured Parties in and to the Collateral shall terminate.
ARTICLE XIV. 
MISCELLANEOUS
Section 14.1.    Waivers and Amendments.
(a)    No failure or delay on the part of any Agent or any Lender in exercising any power, right or remedy under this Agreement shall operate as a waiver thereof, nor shall any single or partial exercise of any such power, right or remedy preclude any other further exercise thereof or the exercise of any other power, right or remedy.  The rights and remedies herein provided shall be cumulative and nonexclusive of any rights or remedies provided by law.  Any waiver of this Agreement shall be effective only in the specific instance and for the specific purpose for which given.
(b)    No provision of this Agreement may be amended, supplemented, modified or waived except in writing in accordance with the provisions of this Section 14.1(b).  The Loan Parties, the Required Committed Lenders and the Administrative Agent may enter into written modifications or waivers of any provisions of this Agreement, provided, however, that no such modification or waiver shall:
(i)    without the consent of each affected Lender, (A) extend the Scheduled Termination Date or the date of any payment or deposit of Collections by Borrower or the Servicer, (B) reduce the rate or extend the time of payment of Interest or any CP Costs (or any component of Interest or CP Costs), (C) reduce any fee payable to any Agent for the benefit of the Lenders, (D) except pursuant to Article XII hereof, change the amount of the principal of any Lender, any Committed Lender’s Pro Rata Share or any Committed Lender’s Commitment, (E) amend, modify or waive any provision of the definition of Required Committed Lenders or this Section 14.1(b), (F) consent to or permit the assignment or transfer by Borrower of any of its rights and obligations under this Agreement, (G) change the definition of “Borrowing Base,” “Eligible Receivable,” “Loss Reserve,” “Dilution Reserve,” “Interest Reserve,” “Servicing Reserve,” “Servicing Fee Rate,” “Required Reserve” or “Required Reserve Factor Floor” or (H) amend or modify any defined term (or any defined term used directly or indirectly in such defined term) used in clauses (A) through (G) above in a manner that would circumvent the intention of the restrictions set forth in such clauses; or

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(ii)    without the written consent of any affected Agent, amend, modify or waive any provision of this Agreement if the effect thereof is to affect the rights or duties of such Agent,
and any material amendment, waiver or other modification of this Agreement shall require satisfaction of the Rating Agency Condition, to the extent the Rating Agency Condition is required of any Conduit.  Notwithstanding the foregoing, (i) without the consent of the Committed Lenders, but with the consent of Borrower, any Co-Agent may direct the Administrative Agent to amend this Agreement solely to add additional Persons as Committed Lenders in respect of the related Conduit Group hereunder and (ii) the Agents, the Required Committed Lenders and the Conduits may enter into amendments to modify any of the terms or provisions of Article XI, Article XII, Section 14.13 or any other provision of this Agreement without the consent of Borrower, provided that such amendment has no negative impact upon Borrower.  Any modification or waiver made in accordance with this Section 14.1 shall apply to each of the Lenders equally and shall be binding upon Borrower, the Lenders and the Agents.
Section 14.2.    Notices.  Except as provided in this Section 14.2, all communications and notices provided for hereunder shall be in writing (including bank wire, telecopy or electronic facsimile transmission or similar writing) and shall be given to the other parties hereto at their respective addresses or telecopy numbers set forth on the signature pages hereof or at such other address or telecopy number as such Person may hereafter specify for the purpose of notice to each of the other parties hereto.  Each such notice or other communication shall be effective (i) if given by telecopy, upon the receipt thereof, (ii) if given by mail, three (3) Business Days after the time such communication is deposited in the mail with first class postage prepaid or (iii) if given by any other means, when received at the address specified in this Section 14.2; provided, however, that any notice (including any Borrowing Notice or Reduction Notice) from any Loan Party to any Agent or any Lender shall be effective only upon receipt of such notice by such Agent or Lender.  Any notice or request required to be delivered to or by a Co-Agent hereunder, shall be delivered to or by the Funding Agent, who shall promptly deliver such notice or request to the applicable Co-Agent or party.
Section 14.3.    Ratable Payments.  If (a) any Lender, whether by setoff or otherwise, has payment made to it with respect to any portion of the Obligations owing to such Lender (other than payments received pursuant to Section 10.2 or 10.3) in a greater proportion than that received by any other Lender in such Lender’s Conduit Group entitled to receive a ratable share of such Obligations, such Lender agrees, promptly upon demand, to purchase for cash without recourse or warranty a portion of such Obligations held by the other Lenders in such Lender’s Conduit Group so that after such purchase each Lender in such Conduit Group will hold its Pro Rata Share of such Obligations and (b) any Conduit Group, whether by set off or otherwise, has payment made to such Conduit Group (other than payments received pursuant to Section 10.2 or 10.3) in a greater proportion than that received by any other Conduit Group entitled to receive a ratable share of such Obligations, the Lenders in such Conduit Group agree, promptly upon demand, to purchase for cash without recourse or warranty a portion of such Obligations held by the other Conduit Groups so that after such purchase each Lender in 

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such Conduit Group, taken together, will hold its Conduit Group’s Percentage of such Obligations; provided that in the case of the preceding clauses (a) and (b), if all or any portion of such excess amount is thereafter recovered from such Lender or Conduit Group, as applicable, such purchase shall be rescinded and the purchase price restored to the extent of such recovery, but without interest.
Section 14.4.    Protection of Administrative Agent’s Security Interest.
(a)    Borrower agrees that from time to time, at its expense, it will promptly execute and deliver all instruments and documents, and take all actions, that may be necessary or desirable, or that any of the Agents may request, to perfect, protect or more fully evidence the Administrative Agent’s security interest in the Collateral, or to enable the Agents or the Lenders to exercise and enforce their rights and remedies hereunder.  At any time after the occurrence of an Amortization Event, the Administrative Agent may, or the Administrative Agent may direct Borrower or the Servicer to, notify the Obligors of Receivables, at Borrower’s expense, of the ownership or security interests of the Lenders under this Agreement and may also direct that payments of all amounts due or that become due under any or all Receivables be made directly to the Administrative Agent or its designee.  Borrower or the Servicer (as applicable) shall, at any Lender’s request, withhold the identity of such Lender in any such notification.
(b)    If any Loan Party fails to perform any of its obligations hereunder, the Administrative Agent or any Lender may (but shall not be required to) perform, or cause performance of, such obligations, and the Administrative Agent’s or such Lender’s costs and expenses incurred in connection therewith shall be payable by Borrower as provided in Section 10.3.  Each Loan Party irrevocably authorizes the Administrative Agent at any time and from time to time in the sole discretion of the Administrative Agent, and appoints the Administrative Agent as its attorney-in-fact, to act on behalf of such Loan Party (i) to execute on behalf of Borrower as debtor and to file financing statements necessary or desirable in the Administrative Agent’s sole discretion to perfect and to maintain the perfection and priority of the interest of the Lenders in the Receivables and (ii) to file a carbon, photographic or other reproduction of this Agreement or any financing statement with respect to the Receivables as a financing statement in such offices as the Administrative Agent in its sole discretion deems necessary or desirable to perfect and to maintain the perfection and priority of the Administrative Agent’s security interest in the Collateral, for the benefit of the Secured Parties.  This appointment is coupled with an interest and is irrevocable.
Section 14.5.    Confidentiality.
(a)    Each Loan Party and each Lender shall maintain and shall cause each of its employees and officers to maintain the confidentiality of the Fee Letter, the Funding Agent Fee Letter and the other confidential or proprietary information with respect to the Agents and the Conduits and their respective businesses obtained by it or them in connection with the structuring, negotiating and execution of the transactions contemplated herein, except that such Loan Party and such Lender and its officers and 

56

employees may disclose such information to such Loan Party’s and such Lender’s external accountants and attorneys and as required by any applicable law or order of any judicial or administrative proceeding.
(b)    Each of the Lenders and each of the Agents shall maintain and shall cause each of its officers, directors, employees, investors, potential investors, credit enhancers, outside accountants, attorneys and other advisors to maintain the confidentiality of any nonpublic information with respect to the Originators and the Loan Parties, except that any of the foregoing may disclose such information (i) to any party to this Agreement, (ii) to any equity provider or to any provider of a surety, guaranty or credit or liquidity enhancement to any Conduit, (iii) to the outside accountants, attorneys and other advisors of any Person described in clause (i) or (ii) above, (iv) to any prospective or actual assignee or participant of any of the Agents or any Lender, (v) to any rating agency who rates the Commercial Paper, to any Commercial Paper dealer, and to any nationally recognized statistical rating organization in compliance with Rule 17g-5 under the Securities Exchange Act of 1934 (or to any other rating agency in compliance with any similar rule or regulation in any relevant jurisdiction), (vi) to any other entity organized for the purpose of purchasing, or making loans secured by, financial assets for which any Co-Agent (or one of its Affiliates) acts as the administrative agent and to any officers, directors, employees, outside accountants and attorneys of each of the foregoing,  provided that each Person described in the foregoing clause (ii), (iii), (iv), (v) or (vi) is informed of the confidential nature of such information and, in the case of a Person described in clause (iv), agrees in writing to maintain the confidentiality of such information in accordance with this Section 14.5(b), and (vii) as required pursuant to any law, rule, regulation, direction, request or order of any judicial, administrative or regulatory authority or proceedings (whether or not having the force or effect of law).  Notwithstanding the foregoing, (x) each Conduit and its officers, directors, employees, investors, potential investors, credit enhancers, outside accountants, attorneys and other advisors shall be permitted to disclose Receivables performance information and details concerning the structure of the facility contemplated hereby in summary form and in a manner not identifying the Originators, Borrower, the Servicer, the Parent, or the Obligors to prospective investors in Commercial Paper issued by such Conduit, and (y) the Conduits, the Agents and the Lenders shall have no obligation of confidentiality in respect of any information which may be generally available to the public or becomes available to the public through no fault of theirs or their respective Affiliates.
(c)    Notwithstanding any other express or implied agreement to the contrary, the parties hereto hereby agree and acknowledge that each of them and each of their employees, representatives, and other agents may disclose to any and all persons, without limitation of any kind, the tax treatment and tax structure of the transaction and all materials of any kind (including opinions or other tax analyses) that are provided to any of them relating to such tax treatment and tax structure, except to the extent that confidentiality is reasonably necessary to comply with U.S. federal or state securities laws.  For purposes of this Section 14.5(c), the terms “tax treatment” and “tax structure” have the meanings specified in Treasury Regulation section 1.6011-4(c).

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Section 14.6.    Bankruptcy Petition.  Borrower, the Servicer, the Agents and each Committed Lender hereby covenants and agrees that, prior to the date that is one year and one day after the payment in full of all outstanding senior indebtedness of any Conduit, it will not institute against, or join any other Person in instituting against, such Conduit any bankruptcy, reorganization, arrangement, insolvency or liquidation proceedings or other similar proceeding under the laws of the United States or any state of the United States.
Section 14.7.    Limitation of Liability.  Except with respect to any claim arising out of the willful misconduct or gross negligence of any Conduit, the Agents or any Committed Lender, no claim may be made by any Loan Party or any other Person against any Conduit, the Agents or any Committed Lender or their respective Affiliates, directors, officers, employees, attorneys or agents for any special, indirect, consequential or punitive damages in respect of any claim for breach of contract or any other theory of liability arising out of or related to the transactions contemplated by this Agreement, or any act, omission or event occurring in connection therewith; and each Loan Party hereby waives, releases, and agrees not to sue upon any claim for any such damages, whether or not accrued and whether or not known or suspected to exist in its favor.
The obligations of each Conduit under this Agreement shall be payable solely out of the funds of such Conduit available for such purpose and shall be solely the corporate obligations of such Conduit.  No recourse shall be had for the payment of any amount owing in respect of this Agreement or for the payment of any fee hereunder or for any other obligation or claim arising out of or based upon this Agreement against any Agent, any Affiliate of any of the foregoing, or any stockholder, employee, officer, director, incorporator or beneficial owner of any of the foregoing.

Section 14.8.    CHOICE OF LAW.  THIS AGREEMENT SHALL BE GOVERNED AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF THE STATE OF NEW YORK, WITHOUT REGARD TO THE PRINCIPLES OF CONFLICTS OF LAWS THEREOF (EXCEPT IN THE CASE OF THE OTHER TRANSACTION DOCUMENTS, TO THE EXTENT OTHERWISE EXPRESSLY STATED THEREIN) AND EXCEPT TO THE EXTENT THAT THE PERFECTION OF THE OWNERSHIP INTEREST OF BORROWER OR THE SECURITY INTEREST OF THE ADMINISTRATIVE AGENT, FOR THE BENEFIT OF THE SECURED PARTIES, IN ANY OF THE COLLATERAL IS GOVERNED BY THE LAWS OF A JURISDICTION OTHER THAN THE STATE OF NEW YORK.
Section 14.9.    CONSENT TO JURISDICTION.  EACH PARTY TO THIS AGREEMENT HEREBY IRREVOCABLY SUBMITS TO THE NON-EXCLUSIVE JURISDICTION OF ANY UNITED STATES FEDERAL OR NEW YORK STATE COURT SITTING IN NEW YORK, NEW YORK, IN ANY ACTION OR PROCEEDING ARISING OUT OF OR RELATING TO THIS AGREEMENT OR ANY DOCUMENT EXECUTED BY SUCH PERSON PURSUANT TO THIS AGREEMENT, AND EACH SUCH PARTY HEREBY IRREVOCABLY AGREES THAT ALL CLAIMS IN RESPECT OF SUCH ACTION OR PROCEEDING MAY BE HEARD AND DETERMINED IN ANY SUCH COURT AND IRREVOCABLY 

58

WAIVES ANY OBJECTION IT MAY NOW OR HEREAFTER HAVE AS TO THE VENUE OF ANY SUCH SUIT, ACTION OR PROCEEDING BROUGHT IN SUCH A COURT OR THAT SUCH COURT IS AN INCONVENIENT FORUM. NOTHING HEREIN SHALL LIMIT THE RIGHT OF ANY AGENT OR ANY LENDER TO BRING PROCEEDINGS AGAINST ANY LOAN PARTY IN THE COURTS OF ANY OTHER JURISDICTION. ANY JUDICIAL PROCEEDING BY ANY LOAN PARTY AGAINST ANY AGENT OR ANY LENDER OR ANY AFFILIATE OF ANY AGENT OR ANY LENDER INVOLVING, DIRECTLY OR INDIRECTLY, ANY MATTER IN ANY WAY ARISING OUT OF, RELATED TO, OR CONNECTED WITH THIS AGREEMENT OR ANY DOCUMENT EXECUTED BY SUCH LOAN PARTY PURSUANT TO THIS AGREEMENT SHALL BE BROUGHT ONLY IN A COURT IN NEW YORK, NEW YORK.
Section 14.10.    WAIVER OF JURY TRIAL.  EACH PARTY HERETO HEREBY WAIVES TRIAL BY JURY IN ANY JUDICIAL PROCEEDING INVOLVING, DIRECTLY OR INDIRECTLY, ANY MATTER (WHETHER SOUNDING IN TORT, CONTRACT OR OTHERWISE) IN ANY WAY ARISING OUT OF, RELATED TO, OR CONNECTED WITH THIS AGREEMENT, ANY DOCUMENT EXECUTED BY ANY LOAN PARTY PURSUANT TO THIS AGREEMENT OR THE RELATIONSHIP ESTABLISHED HEREUNDER OR THEREUNDER.
Section 14.11.    Integration; Binding Effect; Survival of Terms.
(a)    This Agreement and each other Transaction Document contain the final and complete integration of all prior expressions by the parties hereto with respect to the subject matter hereof and shall constitute the entire agreement among the parties hereto with respect to the subject matter hereof superseding all prior oral or written understandings.
(b)    This Agreement shall be binding upon and inure to the benefit of the parties hereto and their respective successors and permitted assigns (including any trustee in bankruptcy).  This Agreement shall create and constitute the continuing obligations of the parties hereto in accordance with its terms and shall remain in full force and effect until terminated in accordance with its terms; provided, however, that the rights and remedies with respect to (i) any breach of any representation and warranty made by any Loan Party pursuant to Article V, (ii) the indemnification and payment provisions of Article X, and Sections 14.5 and 14.6 shall be continuing and shall survive any termination of this Agreement.
Section 14.12.    Counterparts; Severability; Section References.  This Agreement may be executed in any number of counterparts and by different parties hereto in separate counterparts, each of which when so executed shall be deemed to be an original and all of which when taken together shall constitute one and the same Agreement.  Any provisions of this Agreement which are 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 

59

provision in any other jurisdiction.  Unless otherwise expressly indicated, all references herein to “Article,” “Section,” “Schedule” or “Exhibit” shall mean articles and sections of, and schedules and exhibits to, this Agreement.
Section 14.13.    Release of Certain Defaulted Receivables.  From time to time upon not less than 15 days’ prior written notice to the Agents, the Borrower or the Servicer may identify an Obligor which is a debtor in a proceeding under the federal Bankruptcy Code whose Receivables will be sold for fair market value to the Servicer or the applicable Originator; provided that (i) the aggregate Outstanding Balance of all Receivables distributed or sold in any one period beginning June 1 and ending on May 31 of the following year may not exceed 2.5% of the average aggregate Outstanding Balance of all Receivables during 12 months ended immediately prior to such period, and (ii) no Unmatured Amortization Event or Amortization Event exists and is continuing as of the date of distribution or sale, each of the Agents and the Lenders agrees that any distribution or sale made in accordance with this Section 14.13 shall be made free and clear of their security interests therein and liens thereon
Section 14.14.    Patriot Act Notice.  Each Lender and each Agent (for itself and not on behalf of any other party) hereby notifies the Loan Parties that, pursuant to the requirements of the Patriot Act, it is required to obtain, verify and record information that identifies each Loan Party, which information includes the name and address of each Loan Party and other information that will allow such Lender or such Agent, as applicable, to identify such Loan Party in accordance with the Patriot Act.  
Section 14.15.  Release of Excluded Receivables.  In connection with the designation of an Obligor pursuant to, and in accordance with, Section 1.8(a) of the Receivables Sale Agreement, the Excluded Receivables and any proceeds thereof relating to such Obligor shall be deemed released from the lien created hereunder in favor of the Administrative Agent for the benefit of the Secured Parties without further action on the part of any Party hereto; provided, that no event has occurred and is continuing, or would result from such release that will constitute an Amortization Event or an Unmatured Amortization Event.  The Administrative Agent agrees, at the expense and request of the Borrower, to take such actions, or permit the Servicer to take such actions, as are reasonably necessary and appropriate to release, and/or more fully evidence the release, of the lien in such Excluded Receivables created hereunder.
Section 14.16.        Lender Consent.  In accordance with Section 7.1(b) of the Receivables Sale Agreement, the Administrative Agent and the Committed Lenders hereby consent and agrees to the terms and provisions of the Receivables Sale Agreement and the transaction contemplated thereby on the date hereof.

<signature pages follow>

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IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed and delivered by their duly authorized officers as of the date hereof.
ROCK-TENN FINANCIAL, INC., AS BORROWER

By: /s/ Bradley A. Hasten                        
Name: Bradley A. Hasten
Title:  Assistant Secretary 

Address:      504 Thrasher Street
Norcross, Georgia  30071
Attn:  John D. Stakel
Phone:    (678) 291-7901
Fax:        (770) 246-4642

All notices delivered pursuant to Section 9.2, any requests for
indemnification delivered pursuant to Article X and any notices 
relating to an Amortization Event or Unmatured Amortization 
Event shall also be sent to:

Address:      504 Thrasher Street
Norcross, Georgia  30071
Attn:  General Counsel
Phone:    (678) 291-7456
Fax:        (770) 263-3582

ROCK-TENN CONVERTING COMPANY, AS SERVICER

By: /s/    John D. Stakel                        
Name:  John D. Stakel
Title:   Senior Vice President and Treasurer 

Address:      504 Thrasher Street
Norcross, Georgia  30071
Attn:  John D. Stakel
Phone:    (678) 291-7901
Fax:        (770) 246-4642

All notices delivered pursuant to Section 9.2, any requests for
indemnification delivered pursuant to Article X and any notices 
relating to an Amortization Event or Unmatured Amortization 
Event shall also be sent to:

Address:      504 Thrasher Street
Norcross, Georgia  30071
Attn:  General Counsel
Phone:    (678) 291-7456
Fax:        (770) 263-3582

Exhibit I-2

COÖPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A., “RABOBANK NEDERLAND”, NEW YORK BRANCH, AS ADMINISTRATIVE AGENT, AS FUNDING AGENT, AS A CO-AGENT AND AS A COMMITTED LENDER

By: /s/ Stephen G. Adams                            
Name: Stephen G. Adams
Title:  Managing Director 

By: /s/ Martin Snyder                            
Name:  Martin Snyder 
Title:    Vice President 

Address:      Securitization – Middle Office
Rabobank International
245 Park Avenue
New York, NY 10167
Phone:     (212) 916-7932
Fax:         (914) 287-2254
		
	E-mail: 
	naconduit@rabobank.com

Exhibit I-3

NIEUW AMSTERDAM RECEIVABLES CORPORATION, 
AS A CONDUIT

By: /s/ Damian A. Perez__________________________________
Name:  Damian A. Perez 
Title:    Vice President 

Title:  
Address:    Nieuw Amsterdam Receivables Corp.
c/o Global Securitization Services, LLC
68 South Service Road, Suite 120
Melville, NY  11747
Attention: JR Angelo
Phone:     (631) 930-7202
Fax:         (212) 302-8767
Email:        jrangelo@gssnyc.com; ddeangelis@gssnyc.com

TD BANK, N.A., 
AS A CO-AGENT AND AS A COMMITTED LENDER 

By: /s/ Steve Levi___________________________________
Name:  Steve Levi
Title:    Senior Vice President 

Address:    77 King Street West, 19th Floor
Toronto, Ontario M5K 1A2
Attention: Terry Pachouris / Paul Koven
Phone:        (416) 308-7544 / 416-983-6656
Email:        Terry.Pachouris@tdsecurities.com; 
Paul.Koven@tdsecurities.com

ROYAL BANK OF CANADA, AS A CO-AGENT AND AS A COMMITTED LENDER

By : _/s/ Janine D. Marsini____________________________________ 
        Name : Janine D. Marsini
        Title:   Authorized Signatory 

By : /s/ Kevin P. Wilson_______________________________ 
        Name : Kevin P. Wilson
        Title:    Authorized Signatory 

Address :    Royal Bank of Canada
Three World Financial Center
200 Vesey Street
New York, New York 10281-8098
Attention:  Securitization Finance Managing Director
Phone:      (212) 428-6537
Fax:        (212) 428-2304
Email:      conduit_management@rbccm.com

THUNDER BAY FUNDING, LLC, AS A CONDUIT

By : _/s/ Janine D. Marsini________________________________ 
        Name : Janine D. Marsini
        Title:   Authorized Signatory 

Address :    Royal Bank of Canada
Three World Financial Center
200 Vesey Street
New York, New York 10281-8098
Attention:  Securitization Finance Managing Director
Phone:     (212) 428-6537
Fax:        (212) 428-2304
Email:               conduit_funding@rbccm.com

THE BANK OF TOKYO-MITSUBISHI UFJ, LTD., NEW YORK BRANCH, AS A CO-AGENT

By: _/s/ Richard Gregory Hurst_______________________
       Name: Richard Gregory Hurst  
       Title:   Managing Director 

THE BANK OF TOKYO-MITSUBISHI UFJ, LTD., NEW YORK BRANCH, AS A COMMITTED LENDER

By: _/s/ R. Mumick_________________________________
       Name: R. Mumick 
       Title:  Director 

Address:    The Bank of Tokyo-Mitsubishi UFJ, Ltd., New York Branch
1251 Avenue of the Americas, 12th Floor
New York, NY 10020
Attention:  Andrea Alkins
Phone:     (201) 413-8097
Email:         securitization_reporting@us.mufg.jp

GOTHAM FUNDING CORP.,
AS A CONDUIT

By: _/s/ John L. Fridlington_____________________________
       Name: John L. Fridlington  
       Title:  Vice President 

Address:    The Bank of Tokyo-Mitsubishi UFJ, Ltd., 
New York Branch
1251 Avenue of the Americas, 12th Floor
New York, NY 10020
Attention:  John Donoghue / Aditya Reddy
Phone:     (212) 413-8097 /  (212) 782-6957
Email:      securitization_reporting@us.mufg.jp; 
areddy@us.mufg.jp

SMBC NIKKO SECURITIES AMERICA, INC., AS A CO-AGENT

By: /s/ Naoya Miyagaki______________________________
       Name: Naoya Miyagaki
       Title:   President 

Address:    277 Park Avenue, 6th Floor
New York, NY 10172
Attention:  Clara Yip
Phone:           (212) 224-5321
Email:            nyasgops@smbc-si.com

SUMITOMO MITSUI BANKING CORPORATION, 
AS A COMMITTED LENDER

By: _/s/ James D. Weinstein___________________________
       Name: James D. Weinstein
       Title:  Managing Director 

Address:    277 Park Avenue, 4th Floor
New York, NY 10172
Attention:  Takashi Murata 
Phone:           (212) 224-4693
Email:            Takashi_Murata@smbcgroup.com 

MANHATTAN ASSET FUNDING COMPANY LLC, AS A CONDUIT

By: _/s/ Michael R. Newell________________________________
       Name:  Michael R. Newell
       Title:   Vice President 

Address:    c/o SMBC Nikko Securities America, Inc.
277 Park Avenue, 6th Floor
New York, NY 10172
Attention:  Neil Bautista / Akiyuki
Phone:           (212) 224-5373 / (212) 224-5340
Email:            nbautista@smbcnikko-si.com; 
ataguchi@smbcnikko-si.com

FIFTH THIRD BANK, AS A CO-AGENT AND AS A COMMITTED LENDER

By: _/s/ Andrew D. Jones________________________
       Name:  Andrew W. Jones 
       Title:    Vice President 

Address:    38 Fountain Square Plaza
MD 109046
Cincinnati, OH 45263
Attention:    Andrew Jones / Patrick Berning
Phone:            (513) 534-0836 / (513) 534-4661
Email:             andrew.jones@53.com; Patrick.Berning@53.com

SUNTRUST BANK, AS A CO-AGENT AND AS A COMMITTED LENDER

By: _/s/ Michael Peden_____________________________ 
      Name:  Michael Peden
      Title:    Vice President 

Address:    3333 Peachtree Road, NF 10-E
Atlanta, GA 30326
Attention:    Michael Peden
Phone:             (404) 926-5499
Fax:                 (404) 926-5100
Email:        strh.afg@suntrust.com

Exhibit I-1

PNC BANK, N.A.,
AS A CO-AGENT AND AS A COMMITTED LENDER

By: /s/ Mark Falcione______________________________________
       Name:  Mark Falcione
       Title:   Executive Vice President 

Address:    225 Fifth Avenue
Pittsburgh, PA 15222
Attention:        William Falcon
Phone:             (412) 762-5442
Email:              William.falcon@pnc.com

Exhibit I-2

BANK OF NOVA SCOTIA,
AS A CO-AGENT AND AS A COMMITTED LENDER

By: /s/ Darren Ward______________________________________
       Name: Darren Ward
       Title:   Director 

Address:    Bank of Nova Scotia
40 King Street West, 55th Floor 
Toronto, Ontario, Canada  M5H 1H1
Attention:        Paula J. Czach
Phone:             (416) 865-6311 
Email:              paula.czach@scotiabank.com 

Address:     Bank of Nova Scotia 
250 Vesey Street, 23rd Floor 
New York, NY 10281
Attention:    Darren Ward 
Phone:     (212) 225-5264
Email:         Darren.ward@scotiabank.com 

LIBERTY STREET FUNDING 
AS A CO-AGENT AND AS A COMMITTED LENDER

By: _/s/ Frank B. Bilotta_____________________________________
       Name:  Frank B. Bilotta
       Title:   Vice President 

Address:    Liberty Street Funding LLC 
114 West 47th Street, Suite 2310
New York, NY 10036
Phone:        (212) 302-8767

Exhibit I-3

EXHIBIT I

DEFINITIONS

As used in this Agreement, the following terms shall have the following meanings (such meanings to be equally applicable to both the singular and plural forms of the terms defined):
“Adjusted Dilution Ratio” means, at any time, the rolling average of the Dilution Ratio for the 12 Calculation Periods then most recently ended.
“Adjusted Federal Funds Rate” means, for each Settlement Period, the weighted daily average of (a) a rate per annum equal to the Federal Funds Rate on each day of such Settlement Period, plus (b) the Market Spread  per annum on each day of such Settlement Period, plus (c) the Applicable Percentage per annum for each day on such Settlement Period.  For purposes of determining the Adjusted Federal Funds Rate for any day, changes in the Federal Funds Rate shall be effective on the date of each such change.
“Adjusted Federal Funds Rate Loan” means a Loan which bears interest at the Adjusted Federal Funds Rate.
“Advance” means a borrowing hereunder consisting of the aggregate amount of the several Loans made on the same Borrowing Date.
“Adverse Claim” means a Lien.
“Affected Entity” means (i) any Funding Source, (ii) any agent, administrator or manager of a Conduit, or (iii) any bank holding company in respect of any of the foregoing.
“Affiliate” means, with respect to any Person, any other Person directly or indirectly controlling, controlled by, or under direct or indirect common control with, such Person or any Subsidiary of such Person.  A Person shall be deemed to control another Person if (a) the controlling Person owns 10-50% of any class of voting securities of the controlled Person only if it also possesses, directly or indirectly, the power to direct or cause the direction of the management or policies of the controlled Person, whether through ownership of stock, by contract or otherwise, or (b) if the controlling Person owns more than 50% of any class of voting securities of the controlled Person.
“Agents” has the meaning set forth in the preamble to this Agreement.
“Aggregate Commitment” means, on any date of determination, the aggregate amount of the Committed Lenders’ Commitments to make Loans hereunder.  As of September, 15, 2014, the Aggregate Commitment is $700,000,000.
“Aggregate Principal” means, on any date of determination, the aggregate outstanding principal amount of all Advances outstanding on such date.

Exhibit I-1

“Aggregate Reduction” has the meaning specified in Section 1.3.
“Agreement” means this Sixth Amended and Restated Credit and Security Agreement, as it may be amended or modified and in effect from time to time.
“Allocation Limit” has the meaning set forth in Section 1.1(a).
“Alternate Base Rate” means for any day, (a) the rate per annum equal to the higher as of such day of (i) the Prime Rate, or (ii) one-half of one percent (0.50%) above the Federal Funds Rate plus (b) plus the Applicable Percentage per annum.  For purposes of determining the Alternate Base Rate for any day, changes in the Prime Rate or the Federal Funds Rate shall be effective on the date of each such change.  In addition, the Alternate Base Rate shall be rounded, if necessary, to the next higher 1/16 of 1%.
“Alternate Base Rate Loan” means a Loan which bears interest at the Alternate Base Rate or the Default Rate.
“Amortization Date” means the earliest to occur of (i) the day on which any of the conditions precedent set forth in Section 6.2 (other than Section 6.2(d)(ii)(B)) are not satisfied, (ii) the Business Day immediately prior to the occurrence of an Amortization Event described in Section 9.1(g), (iii) the Business Day specified in a written notice from the Administrative Agent following the occurrence of any other Amortization Event, and (iv) the date which is 10 Business Days after the Administrative Agent’s receipt of written notice from Borrower that it wishes to terminate the facility evidenced by this Agreement.
“Amortization Event” has the meaning specified in Article IX.
“Applicable Percentage” has the meaning set forth in the Fee Letter.
“Assignment Agreement” has the meaning set forth in Section 12.1(b).
“Authorized Officer” means, with respect to any Person, its president, corporate controller, treasurer or chief financial officer.
“Bankruptcy Code” means the Bankruptcy Code of 1978, as amended and in effect from time to time (11 U.S.C. § 101 et seq.) and any successor statute thereto.
“Basel Accords” has the meaning provided in Section 10.2(a).
 “Borrower” has the meaning set forth in the preamble to this Agreement.
“Borrowing Base” means, on any date of determination, the Net Pool Balance as of the last day of the period covered by the most recent Monthly Report, minus the Required Reserve as of the last day of the period covered by the most recent Monthly Report, and minus Deemed Collections that have occurred since the most recent Cut-Off Date to the extent that such Deemed Collections exceed the Dilution Reserve.

Exhibit I-2

“Borrowing Date” means a Business Day on which an Advance is made hereunder.
“Borrowing Limit” has the meaning set forth in Section 1.1(a)(i).
“Borrowing Notice” has the meaning set forth in Section 1.2.
“Broken Funding Costs” means for any CP Rate Loan or LIBO Rate Loan which:  (a) in the case of a CP Rate Loan, has its principal reduced without compliance by Borrower with the notice requirements hereunder, (b) in the case of a CP Rate Loan or a LIBO Rate Loan, does not become subject to an Aggregate Reduction following the delivery of any Reduction Notice, (c) in the case of a CP Rate Loan, is assigned under the applicable Liquidity Agreement or (d) in the case of a LIBO Rate Loan, is terminated or reduced prior to the last day of its Interest Period, whether voluntarily or due to the occurrence of the Amortization Date, an amount equal to the excess, if any, of (i) the CP Costs or Interest (as applicable) that would have accrued during the remainder of the Interest Periods or the tranche periods for Commercial Paper determined by the Administrative Agent to relate to such Loan (as applicable) subsequent to the date of such reduction, assignment or termination (or in respect of clause (b) above, the date such Aggregate Reduction was designated to occur pursuant to the Reduction Notice) of the principal of such Loan if such reduction, assignment or termination had not occurred or such Reduction Notice had not been delivered, over (ii) the sum of (x) to the extent all or a portion of such principal is allocated to another Loan, the amount of CP Costs or Interest actually accrued during the remainder of such period on such principal for the new Loan, and (y) to the extent such principal is not allocated to another Loan, the income, if any, actually received during the remainder of such period by the holder of such Loan from investing the portion of such principal not so allocated.  In the event that the amount paid by the Borrower to any Lender or Lenders as Broken Funding Costs on any date exceeds the amount resulting from the calculation described in the immediately preceding sentence, the relevant Lender or Lenders agree to pay to Borrower the amount of such excess.
“Business Day” means any day on which banks are not authorized or required to close in New York, New York or Atlanta, Georgia, and, if the applicable Business Day relates to any computation or payment to be made with respect to the LIBO Rate, any day on which dealings in dollar deposits are carried on in the London interbank market.
“Calculation Period” means each calendar month or portion thereof which elapses during the term of the Agreement.  The first Calculation Period shall commence on the date of the initial Advance hereunder and the final Calculation Period shall terminate on the Final Payout Date.
“Canadian Receivable” means any Eligible Receivable denominated and payable in United States Dollars, the Obligor of which is organized under the laws of, or has its chief executive office in Canada (or any political subdivision thereof).

Exhibit I-3

“Canadian Receivable Excess” means the amount, if any, by which the aggregate Outstanding Balance of all Canadian Receivables exceeds 2.5% of the Outstanding Balance of all Eligible Receivables.
 “Change of Control” has the meaning provided in the Receivables Sale Agreement.
“Co-Agent” means with respect to each Lender, the agent appointed to act on behalf of such Lender in the applicable Lender Supplement.
“Collateral” has the meaning set forth in Section 13.1.
“Collection Account” has the meaning provided in the Receivables Sale Agreement.
“Collection Account Agreement” has the meaning provided in the Receivables Sale Agreement.
“Collection Bank” means, at any time, any of the banks holding one or more Collection Accounts.
“Collection Notice” means a notice from the Administrative Agent to a Collection Bank in the form attached to each Collection Account Agreement.
“Collections” has the meaning provided in the Receivables Sale Agreement.
“Commercial Paper” means promissory notes of any Conduit issued by such Conduit, in each case, in the commercial paper market.
“Commitment” means, for each Committed Lender, the commitment of such Committed Lender to make (i) in the case of an Unaffiliated Committed Lender, its Percentage of Loans to Borrower hereunder or (ii) in the case of a Committed Lender in a Conduit Group, its Pro Rata Share of such Conduit Group’s Percentage of Loans to Borrower hereunder in the event the applicable Conduit elects not to fund any Advance, in either case, in an aggregate principal amount at any one time outstanding not to exceed the amount set forth opposite such Committed Lender’s name on Schedule A to this Agreement.
“Committed Lenders” means (i) each Unaffiliated Committed Lender and (ii) with respect to each Conduit Group, the banks or other financial institutions and their respective successors and permitted assigns under each Conduit Group’s Liquidity Agreement.
“Conduit” means any Lender that is designated as the Conduit in the Lender Supplement or in the Assignment Agreement pursuant to which it became a party to this Agreement, and any assignee of such Lender to the extent of the portion of such Percentage assumed by such assignee pursuant to its respective Assignment Agreement.

Exhibit I-4

“Conduit Group” means, collectively, (i) a Conduit or Conduits, as the case may be, (ii) the Committed Lenders with respect to such Conduit or Conduits and (iii) the applicable Co-Agent for such Conduit or Conduits.
“Contingent Obligation” of a Person means any agreement, undertaking or arrangement by which such Person assumes, guarantees, endorses, contingently agrees to purchase or provide funds for the payment of, or otherwise becomes or is contingently liable upon, the obligation or liability of any other Person, or agrees to maintain the net worth or working capital or other financial condition of any other Person, or otherwise assures any creditor of such other Person against loss, including, without limitation, any comfort letter, operating agreement, take-or-pay contract or application for a letter of credit.
“Contra Receivable” any Eligible Receivable of an Obligor that has accounts payable by the applicable Originator or by a wholly-owned Subsidiary of such Originator (thus giving rise to a potential offset against such Receivables).
“Contra Receivables Excess” means the amount, if any, by which the aggregate Outstanding Balance of all Contra Receivables exceeds 10.0% of the Outstanding Balance of all Eligible Receivables.
“Contract” has the meaning provided in the Receivables Sale Agreement.
“Contractual Dilution Amount” means, as of any Cut-Off Date, the product of (i) 1.25 and (ii) the highest aggregate amount of cash discounts granted in any calendar month during the previous twelve completed calendar months.
“CP Costs” means:
(a)    for a Pool Funded Conduit, for each day, the sum of, without duplication, (i) discount or interest accrued on such Conduit’s Pooled Commercial Paper at the applicable CP Rate on such day, plus (ii) any and all accrued commissions in respect of its placement agents and its Commercial Paper dealers, and issuing and paying agent fees incurred, in respect of such Conduit’s Pooled Commercial Paper for such day, plus (iii) other costs associated with funding small or odd-lot amounts with respect to all receivable purchase or financing facilities which are funded by such Conduit’s Pooled Commercial Paper for such day, minus (iv) any accrual of income net of expenses received by or on behalf of such Conduit on such day from investment of collections received under all receivable purchase or financing facilities funded substantially with such Conduit’s Pooled Commercial Paper, minus (v) any payment received on such day net of expenses in respect of such Conduit’s Broken Funding Costs related to the prepayment of any investment of such Conduit pursuant to the terms of any receivable purchase or financing facilities funded substantially with its Pooled Commercial Paper.  In addition to the foregoing costs, if Borrower (or the Servicer, on Borrower’s behalf) shall request any Advance during any period of time determined by a Co-Agent in its sole discretion to result in incrementally higher CP Costs applicable to its Conduit’s Loan included in such Advance, the principal associated with any such Loan of such Conduit 

Exhibit I-5

shall, during such period, be deemed to be funded by such Conduit in a special pool (which may include capital associated with other receivable purchase or financing facilities) for purposes of determining such additional CP Costs applicable only to such special pool and charged each day during such period against such principal; and
(b)    for a Conduit that is not a Pool Funded Conduit, for each day, the sum of (x) discount or interest accrued on its Related Commercial Paper at the applicable CP Rate on such day, plus (y) any and all accrued commissions and fees of placement agents, dealers and issuing and paying agents incurred in respect of such Related Commercial Paper for such day, plus (z) other costs associated with funding small or odd-lot amounts with respect to all receivable purchase facilities which are funded by Pooled Commercial Paper for such day.
“CP Rate” means, for any CP Tranche Period of any Conduit,
(a)    for any CP Rate Loans funded by a Pool Funded Conduit, a rate per annum that, when applied to the outstanding principal balance of such CP Rate Loans for the actual number of days elapsed in such CP Tranche Period, would result in an amount of accrued interest equivalent to such Conduit’s CP Costs for such CP Tranche Period; and
(b)    for any CP Rate Loans funded by a Conduit that is not a Pool Funded Conduit, a rate per annum equal to the sum of (i) the rate or, if more than one rate, the weighted average of the rates, determined by converting to an interest-bearing equivalent rate per annum the discount rate (or rates) at which such Conduit’s Related Commercial Paper outstanding during such CP Tranche Period has been or may be sold by any placement agent or commercial paper dealer selected by such Conduit’s Co-Agent, plus (ii) the commissions and charges charged by such placement agent or commercial paper dealer with respect to such Related Commercial Paper, expressed as a percentage of the face amount thereof and converted to an interest-bearing equivalent rate per annum.
“CP Rate Loan” means, for each Loan of a Conduit prior to the time, if any, when (i) it is refinanced with a Liquidity Funding pursuant to the Liquidity Agreement, or (ii) the occurrence of an Amortization Event and the commencement of the accrual of Interest thereon at the Default Rate.
“CP Tranche Period” means with respect to any Loan of any Conduit, a period of days from 1 Business Day up to the number of days (not to exceed 60 days, in the case of a Loan that is not funded with Pooled Commercial Paper) necessary to extend such period to include the next Settlement Date, commencing on a Business Day, which period is either (i) requested by Borrower and agreed to by such Conduit or such Conduit’s Co-Agent or (ii) in the absence of such request and agreement, selected by such Conduit or such Conduit’s Co-Agent (it being understood that the goal shall be to select a period which ends on or as close to the next Settlement Date as possible).
“Credit and Collection Policy” has the meaning provided in the Receivables Sale Agreement. 

Exhibit I-6

“Cut-Off Date” means the last day of a Calculation Period.
“Days Sales Outstanding” means, as of any Cut-Off Date, an amount equal to the product of (x) 91, multiplied by (y) the amount obtained by dividing (i) the aggregate outstanding balance of Receivables as of such Cut-Off Date, by (ii) the aggregate amount of Receivables created during the three (3) Calculation Periods including and immediately preceding such Cut-Off Date.
“Debt” has the meaning provided in the Receivables Sale Agreement.
“Deemed Collections” means Collections deemed received by Borrower under Section 1.4(a).
“Default Horizon Ratio” means, as of any Cut-Off Date, the ratio (expressed as a decimal) computed by dividing (i) the aggregate sales generated by the Originators during the period ending on such Cut-Off Date and consisting of three (3) Calculation Periods plus the related Specified Period, by (ii) the Net Pool Balance as of such Cut-off Date.
“Default Rate” means a rate per annum equal to the sum of (i) the Prime Rate plus (ii) 2.00%, changing when and as the Prime Rate changes.
“Default Ratio” means, as of any Cut-Off Date, the ratio (expressed as a percentage) computed by dividing (x) the total amount of Receivables which became Defaulted Receivables during the Calculation Period that includes such Cut-Off Date, by (y) the aggregate sales generated by the Originators during the Calculation Period occurring 4 months plus the Specified Period prior to the Calculation Period ending on such Cut-Off Date.
“Defaulted Receivable” means a Receivable: (i) (x) as to which no payment, or part thereof, remains unpaid for 91 days or more from the original due date for such payment and (y) the Obligor thereof has suffered an Event of Bankruptcy; (ii) (x) as to which no payment, or part thereof, remains unpaid for 91 days or more from the original due date for such payment and (y) which, consistent with the Credit and Collection Policy, would be written off Borrower’s books as uncollectible; or (iii) as to which any payment, or part thereof, remains unpaid for 91 days or more from the original due date for such payment.
“Defaulting Lender” means (a) any Committed Lender that (i) has failed to perform any of its funding obligations hereunder within one Business Day of the date required to be funded by it hereunder (other than failures to fund solely as a result of (A) a bona fide dispute as to whether the conditions to borrowing were satisfied on the relevant Advance date, but only for such time as such Committed Lender is continuing to engage in good faith discussions regarding the determination or resolution of such dispute, (B) a failure to disburse due to an administrative error or omission by such Committed Lender, or (C) a failure to disburse due to force majeure, computer malfunctions, interruption or communication facilities, labor difficulties or other causes, in each case to the extent beyond such Committed Lender’s reasonable control), (ii) has 

Exhibit I-7

notified the Borrower, the Funding Agent or the Administrative Agent that it does not intent to comply with its funding obligations under this Agreement, or (iii) has failed to confirm in writing that it intends to comply with its funding obligation under this Agreement, by the date requested by the Administrative Agent in writing following the Administrative Agent’s determination that it has a reasonable basis to believe that such Committed Lender will not comply with its funding obligations under this Agreement, (b) any Committed Lender that is the subject of an Event of Bankruptcy or (c) any assignee of a Defaulting Lender under applicable law as contemplated in the last sentence of Section 12.1(d)(v).
“Defaulting Lender Excess” means, with respect to any Defaulting Lender at any time, the excess, if any, at such time of (i) an amount equal to such Defaulting Lender’s Percentage multiplied by the Aggregate Principal (calculated as if any other Defaulting Lenders had funded all of their respective Loans) over (ii) the aggregate principal amount of all Loans made by such Defaulting Lender.
“Defaulting Lender Group” means any Conduit Group that includes a Defaulting Lender.
“Delinquency Ratio” means, as of any Cut-Off Date, a percentage equal to (i) the aggregate Outstanding Balance of all Receivables that were Delinquent Receivables on such Cut-Off Date divided by (ii) the aggregate sales generated by the Originators during the Calculation Period occurring three (3) months prior to the Calculation Period ending on such Cut-Off Date.
“Delinquent Receivable” means a Receivable, (i) as to which any payment, or part thereof, remains unpaid for 31-60 days from the original due date for such payment, or (ii) which is delinquent under the Credit and Collection Policy.
“Dilution” means the amount of any reduction or cancellation of the Outstanding Balance of a Receivable as described in Section 1.4(a).
“Dilution Horizon Ratio” means, as of any Cut-off Date, a ratio (expressed as a decimal), computed by dividing (i) the aggregate sales generated by the Originators during the Calculation Period ending on such Cut-Off Date, by (ii) the Net Pool Balance as of such Cut-Off Date.
“Dilution Ratio” means, as of any Cut-Off Date, a ratio (expressed as a percentage), computed by dividing (i) the total amount of decreases in Outstanding Balances due to Dilutions (other than cash discounts) during the Calculation Period ending on such Cut-Off Date, by (ii) the aggregate sales generated by the Originators during such Calculation Period.
“Dilution Reserve” means, for any Calculation Period, the product (expressed as a percentage) of:

Exhibit I-8

(a)    the sum of (i) 2.00 times the Adjusted Dilution Ratio as of the most recent Cut-Off Date, plus (ii) the Dilution Volatility Component as of the most recent Cut-Off Date, times
(b)    the Dilution Horizon Ratio as of the most recent Cut-Off Date.
“Dilution Volatility Component” means the product (expressed as a percentage) of (i) the difference between (a) the highest three (3)-month rolling average Dilution Ratio over the past 12 Calculation Periods and (b) the Adjusted Dilution Ratio, and (ii) a fraction, the numerator of which is equal to the amount calculated in (i)(a) of this definition and the denominator of which is equal to the amount calculated in (i)(b) of this definition.
“Dodd Frank Act” has the meaning provided in Section 10.2(a). 
 “Eligible Assignee” means a commercial bank having a combined capital and surplus of at least $250,000,000 with a rating of its (or its parent holding company’s) short-term securities equal to or higher than (i) A-1 by S&P and (ii) P-1 by Moody’s.
“Eligible Foreign Receivable” means an Eligible Receivable that is a Foreign Receivable.
“Eligible Receivable” means, at any time, a Receivable:
(a)    the Obligor of which is not an Affiliate of any of the parties hereto,
(b)    (i) which by its terms is due and payable not greater than 180 days from the original invoice date thereof and (ii) which is not a Defaulted Receivable,
(c)    which is not owing from an Obligor as to which more than 50% of the aggregate Outstanding Balance of all Receivables owing from such Obligor are Defaulted Receivables,
(d)    which has not had its payment terms extended more than once,
(e)    which is an “account” within the meaning of Article 9 of the UCC of all applicable jurisdictions,
(f)    which is denominated and payable only in United States dollars in the United States,
(g)    which arises under a Contract which, together with such Receivable, is in full force and effect and constitutes the legal, valid and binding obligation of the related Obligor enforceable against such Obligor in accordance with its terms subject to no offset, counterclaim or other defense; provided, however, that if such dispute, offset, counterclaim or defense affects only a portion of the Outstanding Balance of such Receivable then such Receivable may be deemed an Eligible Receivable to the extent of the portion of such Outstanding Balance which is not so affected,

Exhibit I-9

(h)    which arises under a Contract which (A) does not require the Obligor under such Contract to consent to the transfer, sale, pledge or assignment of the rights and duties of the applicable Originator or any of its assignees under such Contract and (B) does not contain a confidentiality provision that purports to restrict the ability of any Lender to exercise its rights under this Agreement, including, without limitation, its right to review the Contract,
(i)    which arises under a Contract that contains an obligation to pay a specified sum of money, contingent only upon the sale of goods or the provision of services by the applicable Originator,
(j)    which, together with the Contract related thereto, does not contravene any law, rule or regulation applicable thereto (including, without limitation, any law, rule and regulation relating to truth in lending, fair credit billing, fair credit reporting, equal credit opportunity, fair debt collection practices and privacy) and with respect to which no part of the Contract related thereto is in violation of any such law, rule or regulation,
(k)    which satisfies all applicable requirements of the Credit and Collection Policy,
(l)    which was generated in the ordinary course of the applicable Originator’s business,
(m)    which arises solely from the sale of goods or the provision of services to the related Obligor by the applicable Originator, and not by any other Person (in whole or in part),
(n)    which is not subject to any dispute, counterclaim, right of rescission, set-off, counterclaim or any other defense (including defenses arising out of violations of usury laws) of the applicable Obligor against the applicable Originator or any other Adverse Claim, and the Obligor thereon holds no right as against such Originator to cause such Originator to repurchase the goods or merchandise the sale of which shall have given rise to such Receivable (except with respect to sale discounts effected pursuant to the Contract, or defective goods returned in accordance with the terms of the Contract); provided, however, that if such dispute, offset, counterclaim or defense affects only a portion of the Outstanding Balance of such Receivable, then such Receivable may be deemed an Eligible Receivable to the extent of the portion of such Outstanding Balance which is not so affected; provided, further, that Receivables of any Obligor which has any accounts payable by the applicable Originator or by a wholly-owned Subsidiary of such Originator (thus giving rise to a potential offset against such Receivables) may be treated as Eligible Receivables to the extent that the Obligor of such Receivables has agreed pursuant to a written agreement in form and substance satisfactory to the Administrative Agent, that such Receivables shall not be subject to such offset; and provided, further, however, that so long as the long term unsecured senior debt ratings assigned to Parent by S&P and Moody’s are at least “BB” and “Ba2”, respectively, the Receivables of an Obligor which has accounts payable by the applicable Originator or by a wholly-owned Subsidiary of such Originator (thus giving rise to a 

Exhibit I-10

potential offset against such Receivables), but which otherwise satisfy the criteria set forth in this clause (n), shall be deemed to satisfy this clause (n) unless such Receivables are subject to a contractual netting arrangement allowing such Obligor to offset against such Receivables.
(o)    as to which the applicable Originator has satisfied and fully performed all obligations on its part with respect to such Receivable required to be fulfilled by it, and no further action is required to be performed by any Person with respect thereto other than payment thereon by the applicable Obligor,
(p)    as to which each of the representations and warranties contained in Sections 5.1(i), (j), (r), (s), (t) and (u) is true and correct,
(q)    all right, title and interest to and in which has been validly transferred by the applicable Originator directly to Borrower under and in accordance with the Receivables Sale Agreement, and Borrower has good and marketable title thereto free and clear of any Adverse Claim, and
(r)    which is not originated on a “billed but not shipped,” “bill and hold,”  “guaranteed sale,” “sale and return,” “sale on approval,” “progress billed,” “consignment” or similar basis.
“Equity Interests” has the meaning provided in the Receivables Sale Agreement.
“ERISA” has the meaning provided in the Receivables Sale Agreement.
“ERISA Affiliate” has the meaning provided in the Receivables Sale Agreement.
“ERISA Event” has the meaning provided in the Receivables Sale Agreement.
“Event of Bankruptcy” shall be deemed to have occurred with respect to a Person if either:
(a)    a case or other proceeding shall be commenced, without the application or consent of such Person, in any court, seeking the liquidation, reorganization, debt arrangement, dissolution, winding up, or composition or readjustment of debts of such Person, the appointment of a trustee, receiver, custodian, liquidator, assignee, sequestrator or the like for such Person or all or substantially all of its assets, or any similar action with respect to such Person under any law relating to bankruptcy, insolvency, reorganization, winding up or composition or adjustment of debts, and such case or proceeding shall continue undismissed, or unstayed and in effect, for a period of 60 consecutive days; or an order for relief in respect of such Person shall be entered in an involuntary case under the federal bankruptcy laws or other similar laws now or hereafter in effect; or
(b)    such Person shall commence a voluntary case or other proceeding under any applicable bankruptcy, insolvency, reorganization, debt arrangement, dissolution or other similar law now or hereafter in effect, or shall consent to the appointment of or 

Exhibit I-11

taking possession by a receiver, liquidator, assignee, trustee (other than a trustee under a deed of trust, indenture or similar instrument), custodian, sequestrator (or other similar official) for, such Person or for any substantial part of its property, or shall make any general assignment for the benefit of creditors, or shall be adjudicated insolvent, or admit in writing its inability to pay its debts generally as they become due, or, if a corporation or similar entity, its board of directors shall vote to implement any of the foregoing.
“Excess Terms Allowance” means the sum of (a) the amount, if any, by which the aggregate Outstanding Balance of all Eligible Receivables with payment terms that are greater than 90 days but less than 121 days (excluding, so long as a Unilever Trigger Event has not occurred, the Outstanding Balance of all Eligible Receivables with payment terms that are greater than 90 days but less than 121 days and with respect to which [Unilever] is the Obligor) exceeds 5.0% of the Outstanding Balance of all Eligible Receivables, and (b) the amount, if any, by which the aggregate Outstanding Balance of all Eligible Receivables with payment terms that are greater than 120 days but less than 180 days (excluding, so long as a Unilever Trigger Event has not occurred, the Outstanding Balance of all Eligible Receivables with payment terms that are greater than 120 days but less than 180 days and with respect to which [Unilever] is the Obligor) exceeds 4.0% of the Outstanding Balance of all Eligible Receivables.
“Excluded Taxes” means (i) Taxes imposed on or measured by such Affected Entity’s net income (however denominated), and franchise Taxes and branch profit Taxes imposed on it, by the jurisdiction under the laws of which such Affected Entity is organized or any political subdivision thereof, or imposed as a result of a present or future connection between such Affected Entity and the jurisdiction imposing such Tax (other than connections arising from such Affected Entity having executed, delivered, become a party to, performed its obligations under, received payments under, received or perfected a security interest under, or engaged in any other transaction pursuant to or enforced this Agreement) (ii) in the case of a Foreign Lender, any U.S. federal withholding tax that is imposed on amounts payable to such Foreign Lender at the time such Foreign Lender becomes a party to this Agreement (or designates a new lending office) except to the extent such amounts were payable to such Foreign Lender’s assignor immediately before such Foreign Lender became a party to this Agreement or to such Foreign Lender immediately before it changed its lending office, (iii) Taxes attributable to such Affected Entity’s failure to comply with Section 10.2(c), and (iv) any U.S. federal withholding Taxes imposed under FATCA.
“Executive Officer” has the meaning provided in the Receivables Sale Agreement.
“Facility Account” means Borrower’s account no. 8800849666 at SunTrust Bank.
“Facility Fee” has the meaning provided in the Fee Letter.
“Facility Termination Date” means the earliest of (a) the Scheduled Termination Date and (b) the Amortization Date.

Exhibit I-12

“FATCA” means Sections 1471 through 1474 of the Tax Code, as of the date of this Agreement (or any amended or successor version that is substantively comparable and not materially more onerous to comply with), any current or future regulations promulgated thereunder or official interpretations thereof, and any agreements entered into pursuant to Section 1471(b)(1) of the Tax Code or any fiscal or regulatory legislation, rules or practices adopted pursuant to any intergovernmental agreement entered into in connection with the implementation of such Sections of the Tax Code.
“Federal Funds Rate” means, for any period, a fluctuating interest rate per annum for each day during such period equal to (a) the weighted average of the rates on overnight federal funds transactions with members of the Federal Reserve System arranged by federal funds brokers, as published for such day (or, if such day is not a Business Day, for the preceding Business Day) by the Federal Reserve Bank of New York in the Composite Closing Quotations for U.S. Government Securities; or (b) if such rate is not so published for any day which is a Business Day, the average of the quotations at approximately 11:30 a.m. (New York City time) for such day on such transactions received by the Administrative Agent from three federal funds brokers of recognized standing selected by it.
“Fee Letter” means that certain amended and restated fee letter dated as of the date hereof among Parent, Borrower and the Agents, as it may be amended or modified and in effect from time to time.
“Final Payout Date” means the date on which all Obligations have been paid in full and the Aggregate Commitment has been terminated.
“Finance Charges” has the meaning provided in the Receivables Sale Agreement.
“Foreign Lender” means any Lender that is organized under the laws of a jurisdiction other than that in which Borrower is located.  For purposes of this definition, the United States of America, each State thereof and the District of Columbia shall be deemed to constitute a single jurisdiction.
“Foreign Receivable” means any Receivable denominated and payable in United States Dollars, the Obligor of which is organized under the laws of, or has its chief executive office in, any jurisdiction other than the United States or Canada (or any political subdivision thereof).
“Foreign Receivable Excess” means the amount, if any, by which the aggregate Outstanding Balance of all Eligible Foreign Receivables (excluding, so long as a Unilever Trigger Event has not occurred, the Outstanding Balance of all Eligible Foreign Receivables with respect to which [Unilever] is the Obligor) exceeds 5.0% of the Outstanding Balance of all Eligible Receivables.
“Funding Account” means Funding Agent’s account no. RABO 11.1 at Deutsche Bank and as referenced in the Lender Supplement.

Exhibit I-13

“Funding Agent” means Rabobank, or any successor funding agent appointed hereunder pursuant to Section 11.1.
“Funding Agent Fee Letter” means that certain fee letter dated as of May 27, 2011 among Parent, Borrower and Rabobank, as it may be amended or modified and in effect from time to time.
“Funding Agreement” means (i) this Agreement, (ii) the Liquidity Agreement and (iii) any other agreement or instrument executed by any Funding Source with or for the benefit of a Conduit.
“Funding Source” means (i) each Committed Lender and (ii) any insurance company, bank or other funding entity providing liquidity, credit enhancement or back-up purchase support or facilities to a Conduit.
“GAAP” means generally accepted accounting principles in effect in the United States of America as of the date of this Agreement.
“Government Receivable” means any Eligible Receivable, the Obligor of which is a government or a governmental subdivision or agency.
“Government Receivables Excess” means the amount, if any, by which the aggregate Outstanding Balance of all Government Receivables exceeds 2.5% of the Outstanding Balance of all Eligible Receivables.
“Governmental Authority” means any nation or government, any state or other political subdivision thereof and any entity exercising executive, legislative, judicial, taxing, regulatory or administrative functions of or pertaining to government (including any supra-national bodies such as the European Union or the European Central Bank).
“Indemnified Amounts” has the meaning specified in Section 10.1.
“Indemnified Party” has the meaning specified in Section 10.1.
“Indemnified Taxes” means Taxes other than Excluded Taxes.
“Independent Director” means a director of Borrower who (A) is not at the time of initial appointment or at any time during the continuation of his or her appointment as an Independent Director and has not been at any time during the five (5) years preceding such appointment:  (i) an equity holder, director (other than an Independent Director), officer, employee, member, manager, attorney or partner of Borrower or any of its Affiliates; (ii) a customer, supplier or other person who derives more than 1% of its purchases or revenues from its activities with Borrower or any of its Affiliates; (iii) a person or other entity controlling or under common control with any such equity holder, partner, member, customer, supplier or other person; (iv) a member of the immediate family of any such equity holder, director, officer, employee, member, manager, partner, customer, supplier or other person; or (v) a trustee in bankruptcy for Borrower or any of its Affiliates and (B) has, (i) prior experience as an Independent Director for a 

Exhibit I-14

corporation or limited liability company whose charter documents required the unanimous consent of all “independent directors” thereof before such corporation or limited liability company could consent to the institution of bankruptcy or insolvency proceedings against it or could file a petition seeking relief under any applicable federal or state law relating to bankruptcy and (ii) at least three years of employment experience and who is provided by CT Corporation, Corporation Service Company, Global Securitization Services, LLC, National Registered Agents, Inc., Wilmington Trust Company, Lord Securities Corporation or, if none of those companies is then providing professional “independent directors”, another nationally recognized company reasonably approved by the Administrative Agent.  As used herein, the term “control” means the possession, directly or indirectly, of the power to direct or cause the direction of management, policies or activities of a person or entity, whether through ownership of voting securities, by contract or otherwise.
“Interest” means for each respective Interest Period relating to Loans of the Committed Lenders, an amount equal to the product of the applicable Interest Rate for each Loan multiplied by the principal of such Loan for each day elapsed during such Interest Period, annualized (a) in the case of an Interest Period for the LIBOR Rate, on a 360-day basis and (b) in the case of an Interest Period for the Alternate Base Rate or the Adjusted Federal Funds Rate, on a 365-day (or 366-day, when appropriate) basis.
“Interest Period” means, with respect to any Loan held by a Committed Lender:
(a)    if Interest for such Loan is calculated on the basis of the LIBO Rate, a period of one, two, three or six months, or such other period as may be mutually agreeable to the applicable Co-Agent and Borrower, commencing on a Business Day selected by Borrower or such Co-Agent pursuant to this Agreement.  Such Interest Period shall end on the day in the applicable succeeding calendar month which corresponds numerically to the beginning day of such Interest Period, provided, however, that if there is no such numerically corresponding day in such succeeding month, such Interest Period shall end on the last Business Day of such succeeding month; or
(b)    if Interest for such Loan is calculated on the basis of the Alternate Base Rate or the Adjusted Federal Funds Rate, a period commencing on a Business Day selected by Borrower and agreed to by the applicable Co-Agent, provided that no such period shall exceed one month.
If any Interest Period would end on a day which is not a Business Day, such Interest Period shall end on the next succeeding Business Day, provided, however, that in the case of Interest Periods corresponding to the LIBO Rate, if such next succeeding Business Day falls in a new month, such Interest Period shall end on the immediately preceding Business Day.  In the case of any Interest Period for any Loan which commences before the Amortization Date and would otherwise end on a date occurring after the Amortization Date, such Interest Period shall end on the Amortization Date.  The duration of each Interest Period which commences after the Amortization Date shall be of such duration as selected by the applicable Co-Agent.

Exhibit I-15

“Interest Rate” means, with respect to each Loan of the Committed Lenders, the LIBO Rate, the Adjusted Federal Funds Rate, the Alternate Base Rate or the Default Rate, as applicable.
“Interest Reserve” means, for any Calculation Period, the product (expressed as a percentage) of (i) 1.5 times (ii) the Alternate Base Rate as of the most recent Cut-Off Date, less the Applicable Percentage per annum as of such date times (iii) a fraction the numerator of which is the Days Sales Outstanding as of the most recent Cut-Off Date and the denominator of which is 360.
“Lender” means each Conduit and each Committed Lender.
“Lender Supplement” means, with respect to any Lender, the information set forth in Schedule C to this Agreement in respect of such Lender, as it may be amended or otherwise modified from time to time by such Lender or the Lenders named therein.
“LIBO Rate” means, (x) for TD Bank, N.A., LMIR, and (y) for Lenders other than TD Bank, N.A.,  for any Interest Period, (i) the rate per annum determined on the basis of the offered rate for deposits in U.S. dollars of amounts equal or comparable to the principal amount of the related Loan offered for a term comparable to such Interest Period, which rates appear on a Bloomberg L.P. terminal, displayed under the address “US0001M <Index> Q <Go>“ effective as of 11:00 A.M., London time, two Business Days prior to the first day of such Interest Period, provided that if no such offered rates appear on such page, the LIBO Rate for such Interest Period will be the arithmetic average (rounded upwards, if necessary, to the next higher 1/100th of 1%) of rates quoted by not less than two major banks in New York, New York, selected by the Administrative Agent, at approximately 10:00 a.m.(New York City time), two Business Days prior to the first day of such Interest Period, for deposits in U.S. dollars offered by leading European banks for a period comparable to such Interest Period in an amount comparable to the principal amount of such Loan, divided by one minus the maximum aggregate reserve requirement (including all basic, supplemental, marginal or other reserves) which is imposed against the Administrative Agent in respect of Eurocurrency liabilities, as defined in Regulation D of the Board of Governors of the Federal Reserve System as in effect from time to time (expressed as a decimal), applicable to such Interest Period plus (ii) the Applicable Percentage per annum.  The LIBO Rate shall be rounded, if necessary, to the next higher 1/16 of 1%.
“LIBO Rate Loan” means a Loan which bears interest at the LIBO Rate.
“LIBOR Market Index Rate” means, for any day, the one-month Eurodollar Rate for U.S. dollar deposits as reported on the Reuters Screen LIBOR01 Page or any other page that may replace such page from time to time for the purpose of displaying offered rates of leading banks for London interbank deposits in United States dollars, as of 11:00 a.m. (London time) on such date, or if such day is not a Business Day, then the immediately preceding Business Day (or if not so reported, then as determined by the Administrative Agent from another recognized source for interbank quotation), in each case, changing when and as such rate changes.

Exhibit I-16

“Lien” has the meaning specified in the Receivables Sale Agreement.
“Liquidity Agreement” means the liquidity asset purchase agreement between the Conduit of any Conduit Group and the Committed Lenders of such Conduit Group.
“Liquidity Commitment” means, as to each Committed Lender in any Conduit Group, its commitment to such Conduit Group’s Conduit under the Liquidity Agreements, (which shall equal 102% of such Conduit Group’s Percentage of the Aggregate Commitment hereunder).
“Liquidity Funding” means (a) a purchase made by any Committed Lender pursuant to its Liquidity Commitment of all or any portion of, or any undivided interest in, an applicable Conduit’s Loans, or (b) any Loan made by a Committed Lender in lieu of such Conduit pursuant to Section 1.1.
“Liquidity Termination Date” means, as to any Conduit, except as otherwise set forth in this Agreement, the date on which the Liquidity Agreement between such Conduit and the related Committed Lenders in its Conduit Group terminates.
“LMIR” means, on any date of determination, a rate per annum equal to the LIBOR Market Index Rate plus the Applicable Percentage.
“Loan” means any loan made by a Lender to Borrower pursuant to this Agreement (including, without limitation, any Liquidity Funding).  Each Loan shall either be a CP Rate Loan, an Alternate Base Rate Loan, an Adjusted Federal Funds Rate Loan or a LIBO Rate Loan, selected in accordance with the terms of this Agreement.
“Loan Parties” has the meaning set forth in the preamble to this Agreement.
“Lock-Box” has the meaning provided in the Receivables Sale Agreement.
“Loss Reserve” means, for any Calculation Period, the product (expressed as a percentage) of (a) 2.00, times (b) the highest three-month rolling average Default Ratio during the 12 Calculation Periods ending on the most recent Cut-Off Date (except, in respect of the Calculation Periods occurring in October 2012 through March 2013, the higher of (x) the three-month rolling average Default Ratio for the Calculation Period occurring in September 2012 or (y) the three-month rolling average Default Ratio for such Calculation Period) times (c) the Default Horizon Ratio as of the most recent Cut-Off Date.
 “Market Spread” means, on any date of determination, the positive difference between the Federal Funds Rate on such date of determination, and the 1-month LIBO Rate effective as of 11:00 A.M., London time, on such date of determination (and not as in effect two Business Days prior thereto).
“Material Adverse Effect” means (i) any material adverse effect on the business, operations, financial condition or assets of the Parent and its Restricted Subsidiaries, 

Exhibit I-17

taken as a whole, (ii) any material adverse effect on the ability of any Loan Party to perform its obligations under the Transaction Documents to which it is a party, (iii) any material adverse effect on the legality, validity or enforceability of the Agreement or any other Transaction Document, (iv) any material adverse effect on the Administrative Agent’s interest in the Receivables generally or in any significant portion of the Receivables, the Related Security or Collections with respect thereto, or (v) any material adverse effect on the collectability of the Receivables generally or of any material portion of the Receivables.
“Monthly Report” means a report, in substantially the form of Exhibit VI hereto (appropriately completed), furnished by the Servicer to the Administrative Agent pursuant to Section 8.5.
“Monthly Reporting Date” means the 25th day of each month after the date of this Agreement (or if any such day is not a Business Day, the next succeeding Business Day thereafter).
“Moody’s” means Moody’s Investors Service, Inc.
“Multiemployer Plan” means any employee benefit plan of the type described in Section 4001(a)(3) of ERISA, to which the Performance Guarantor, the Loan Parties or any of its ERISA Affiliates makes or is obligated to make contributions, or during the preceding five (5) plan years, has made or been obligated to make contributions. 
“Net Pool Balance” means, at any time, the aggregate Outstanding Balance of all Eligible Receivables at such time reduced by (i) the aggregate amount by which the Outstanding Balance of all Eligible Receivables of each Obligor and its Affiliates exceeds the Obligor Concentration Limit for such Obligor, (ii) the Excess Terms Allowance, (iii) the Foreign Receivable Excess, (iv) the Contractual Dilution Amount, (v) the Volume Rebate Accrual Amount, (vi) the Government Receivables Excess, (vii) the Sales Tax Receivables Excess, (viii) the Canadian Receivables Excess and (ix) the Contra Receivables Excess.
“Obligations” means, at any time, any and all obligations of either of the Loan Parties to any of the Secured Parties arising under or in connection with the Transaction Documents, whether now existing or hereafter arising, due or accrued, absolute or contingent, including, without limitation, obligations in respect of Aggregate Principal, CP Costs, Interest, fees under the Fee Letter, fees under the Funding Agent Fee Letter, Broken Funding Costs and Indemnified Amounts.
“Obligor” means a Person obligated to make payments pursuant to a Contract.
“Obligor Concentration Limit” means, at any time, in relation to the aggregate Outstanding Balance of Receivables owed by any single Obligor and its Affiliates (if any), the applicable concentration limit set forth below for Obligors who have short term unsecured debt ratings currently assigned to them by S&P and Moody’s (or in the absence thereof, the long term unsecured senior debt ratings set forth below):

Exhibit I-18

	
			
	

Short Term Rating
(S&P/Moody’s)
	Long Term Rating
(S&P/Moody’s)
	Maximum
Allowable % of Eligible Receivables

	A-1+/P-1
	Aaa to Aa2/AAA to AA
	10.0%

	A-1/P-1
	Aa3 to A2/AA- to A
	8.0%

	A-2/P-2
	A3 to Baa1/A- to BBB+
	5.0%

	A-3/P-3
	Baa2 to Baa3/BBB to BBB-
	4.0%

	Below A-3/P3 or Not Rated
	Below Baa3/BBB- or Not Rated
	2.5%

; provided, however, that (a) if any Obligor has a split short term rating by S&P and Moody’s or a split long term rating by S&P and Moody’s, the applicable short term rating or long term rating, as applicable, will be the lower of the two, (b) if any Obligor is not rated by either S&P or Moody’s, the applicable Obligor Concentration Limit shall be the one set forth in the last line of the table above, and (c) subject to satisfaction of the Rating Agency Condition and/or an increase in the percentage set forth in clause (a)(i) of the definition of “Required Reserve”, upon Borrower’s request from time to time, the Co-Agents may agree to a higher percentage of Eligible Receivables for a particular Obligor and its Affiliates (each such higher percentage, a “Special Concentration Limit”), it being understood that any Special Concentration Limit may be cancelled by any Co-Agent upon not less than five (5) Business Days’ written notice to the Loan Parties.  As of September, 15, 2014, the Co-Agents agree that a Special Concentration Limit of 5.0% shall apply for Quality Packaging Specialists, Inc.
“OFAC” means the U.S. Department of the Treasury’s Office of Foreign Assets Control.
“Originator” means each of Rock-Tenn Company of Texas, a Georgia corporation, Rock-Tenn Converting Company, a Georgia corporation, Rock-Tenn Mill Company, LLC, a Georgia limited liability company, Rock-Tenn – Solvay, LLC, a Delaware limited liability company, PCPC, Inc., a California corporation, Waldorf Corporation, a Delaware corporation, RockTenn – Southern Container, LLC, a Delaware limited liability company and RockTenn CP, LLC, a Delaware limited liability company; provided, however, that in the event that any such Originator is merged into, or sells or distributes substantially all its assets to, another direct or indirect wholly-owned subsidiary of the Parent, it shall no longer be an Originator, but the surviving or transferee entity shall succeed to the rights and obligations of such Originator and be deemed an Originator hereunder.
“Other Taxes” has the meaning set forth in Section 10.2(b).
“Outstanding Balance” of any Receivable at any time means the then outstanding principal balance thereof, including, for the avoidance of doubt, any amount allocable to sales tax.

Exhibit I-19

“Parent” means Rock-Tenn Company, a Georgia corporation.
“Parent Credit Agreement” means that Credit Agreement, dated as of May 27, 2011, by and among Rock-Tenn Company, Rock-Tenn Company of Canada, the guarantors from time to time party thereto, the lenders from time to time party thereto, Wells Fargo Bank, National Association, as Administrative Agent and as Collateral Agent, and Bank of America, N.A., as Canadian Agent, as the same may be amended from time to time in accordance with the terms thereof.
“Participant” has the meaning set forth in Section 12.2.
“Participant Register” has the meaning set forth in Section 12.4.
“Payment Account” means, with respect to each Co-Agent, the account designated by such Co-Agent for receipt of payments hereunder and identified on the Lender Supplement.
“PBGC” has the meaning provided in the Receivables Sale Agreement.
“Percentage” means for (i) each Conduit Group, the ratio (expressed as a percentage) of the aggregate Commitments of the Committed Lenders in such Conduit Group to the Aggregate Commitment and (ii) each Unaffiliated Committed Lender, the ratio (expressed as a percentage) of its Commitment to the Aggregate Commitment.
“Performance Guarantor” means Parent.
“Performance Undertaking” means that certain Fourth Amended and Restated Performance Undertaking, dated as of December 21, 2012, by Performance Guarantor in favor of Borrower, substantially in the form of Exhibit VII, as the same may be amended, restated or otherwise modified from time to time.
“Person” means an individual, partnership, corporation (including a business trust), limited liability company, joint stock company, trust, unincorporated association, joint venture or other entity, or a government or any political subdivision or agency thereof.
 “Plan” means any employee benefit plan (as defined in Section 3(3) of ERISA) which is covered by ERISA and with respect to which Performance Guarantor, the Loan Parties or any of their respective ERISA Affiliates is (or, if such plan were terminated at such time, would under Section 4069 of ERISA be deemed to be) an “employer” as defined in Section 3(5) of ERISA. 
“Pooled Commercial Paper” means, for each of the Pool Funded Conduits, the Commercial Paper of such Pool Funded Conduit subject to any particular pooling arrangement by such Conduit, but excluding Related Commercial Paper issued by any Pool Funded Conduit for a tenor and in an amount specifically requested by any Person with any agreement effected by such Pool Funded Conduit.

Exhibit I-20

“Pool Funded Conduits” means, at any time, the Conduits that have notified the Loan Parties that they will be pool-funding their Loans.
“Prepaid Lender” has the meaning set forth in Section 12.1(e).
“Prepaid Lender Amount” means, in respect of any Prepaid Lender and any Settlement Date prior to the Amortization Date, an amount calculated as the product of (a) such Prepaid Lender’s Percentage and (b) amounts available for application pursuant to clause “fifth” of Section 2.2.
“Prepayment Date” has the meaning set forth in Section 12.1(e).
“Prime Rate” means for each Lender, the rate of interest per annum publicly announced from time to time by its Co-Agent as its prime commercial lending rate or base rate in effect at its principal office for loans in the United States of America, with each change in the Prime Rate being effective on the date such change is publicly announced as effective (it being understood and agreed that the Prime Rate is a reference rate used by such Co-Agent in determining interest rates on certain loans and is not intended to be the lowest rate of interest charged on any extension of credit by any Agent or Lender to any debtor).
“Pro Rata Share” means, with respect to each Conduit Group on any date of determination, the ratio which the Liquidity Commitment of a Committed Lender in such Conduit Group bears to the sum of the Liquidity Commitments of all Committed Lenders in such Conduit Group.
“Proposed Reduction Date” has the meaning set forth in Section 1.3.
“Purchasing Committed Lender” has the meaning set forth in Section 12.1(b).
“Rabobank” has the meaning set forth in the preamble to this Agreement.
“Rating Agency Condition” means, if applicable, that a Conduit has received written notice from S&P or Moody’s or any other rating agency then rating such Conduit’s Commercial Paper that the execution and delivery of, or an amendment, a change or a waiver of, this Agreement or the Receivables Sale Agreement will not result in a withdrawal or downgrade of the then current ratings on such Conduit’s Commercial Paper or, if applicable, the conditions required for post-closing review as described in a letter or letters from S&P or Moody’s or such other rating agency.
“Ratings Trigger Event” means, as of any date of determination, the lowering of the rating with regard to the long-term debt of the Parent to (or below) (i) BB by S&P, or (ii) Ba2 by Moody’s.
“Receivable” has the meaning provided in the Receivables Sale Agreement. 
“Receivables Sale Agreement” means that certain Fourth Amended and Restated Receivables Sale Agreement, dated as of the date hereof, among Parent, the Originators 

Exhibit I-21

and Borrower, as the same may be amended, restated or otherwise modified from time to time.
“Records” has the meaning provided in the Receivables Sale Agreement.
“Reduction Notice” has the meaning set forth in Section 1.3.
“Register” has the meaning set forth in Section 12.3.
“Regulatory Change” means after the date of this Agreement (i) change in, or the adoption of, any United States (federal, state or municipal) or foreign laws, regulations (including Regulation D) or accounting principles, (ii) any interpretations, directives or requests of or under any United States (federal, state or municipal) or foreign laws, regulations (whether or not having the force of law) or accounting principles by any court, governmental or monetary authority, or accounting board or authority (whether or not part of government) charged with the establishment, interpretation or administration thereof or (iii) the compliance, application or implementation by any Affected Entity with any of the foregoing subclauses (i) or (ii) or the Dodd Frank Act or the Basel Accords, both as defined in Section 10.2(a) of this Agreement.
 “Related Commercial Paper” means, for any period with respect to any Conduit, any Commercial Paper of such Conduit issued or deemed issued for purposes of financing or maintaining any Loan by such Conduit (including any discount, yield, or interest thereon) outstanding on any day during such period.
“Related Security” means, with respect to any Receivable:  (i) all of Borrower’s interest in the Related Security (under and as defined in the Receivables Sale Agreement), (ii) all of Borrower’s right, title and interest in, to and under the Receivables Sale Agreement in respect of such Receivable, (iii) all of Borrower’s right, title and interest in, to and under the Performance Undertaking, and (iv) all proceeds of any of the foregoing.
“Required Committed Lenders” means Committed Lenders holding in the aggregate more than fifty percent (50%) of the Aggregate Commitment; provided, however, that if any Committed Lender shall be a Defaulting Lender at such time, then there shall be excluded from the determination of Required Lenders, such Committed Lender’s Commitments.
 “Required Data” means ongoing information regarding the Collateral required to be provided by the Borrower or the Servicer to the Administrative Agent at the request of the Administrative Agent, including in connection with any Lender’s regulatory capital requirements. 
“Required Notice Period” means two (2) Business Days.
“Required Reserve” means, on any day during a Calculation Period, the product of (a) (i) the greater of (A) the Required Reserve Factor Floor and (B) the sum of the Loss Reserve and the Dilution Reserve, plus (ii) the Interest Reserve and the Servicing 

Exhibit I-22

Reserve, times (b) the Net Pool Balance as of the Cut-Off Date immediately preceding such Calculation Period.
“Required Reserve Factor Floor” means, for any Calculation Period, the sum (expressed as a percentage) of (a) 12.5% plus (b) the product of the Adjusted Dilution Ratio and the Dilution Horizon Ratio, in each case, as of the most recent Cut-Off Date.
“Restricted Junior Payment” means (i) any dividend or other distribution, direct or indirect, on account of any shares of any class of capital stock of Borrower now or hereafter outstanding, except a dividend payable solely in shares of that class of stock or in any junior class of stock of Borrower, (ii) any redemption, retirement, sinking fund or similar payment, purchase or other acquisition for value, direct or indirect, of any shares of any class of capital stock of Borrower now or hereafter outstanding, (iii) any payment or prepayment of principal of, premium, if any, or interest, fees or other charges on or with respect to, and any redemption, purchase, retirement, defeasance, sinking fund or similar payment and any claim for rescission with respect to the Subordinated Loans (as defined in the Receivables Sale Agreement), (iv) any payment made to redeem, purchase, repurchase or retire, or to obtain the surrender of, any outstanding warrants, options or other rights to acquire shares of any class of capital stock of Borrower now or hereafter outstanding, and (v) any payment of management fees by Borrower (except for reasonable management fees to any Originator or its Affiliates in reimbursement of actual management services performed).
“Risk Retention Letter” means that certain Risk Retention Letter, dated as of the date hereof, from the Parent and the Originators to the Agent, as the same may be amended, restated or otherwise modified from time to time.
“S&P” means Standard and Poor’s Ratings Services, a Standard and Poor’s Financial Services LLC business.
“Sales Tax Receivable” means any portion of the Outstanding Balance of an Eligible Receivable that is allocable to sales tax.
“Sales Tax Receivables Excess” means the amount, if any, by which the aggregate Outstanding Balance of all Sales Tax Receivables exceeds 2.0% of the Outstanding Balance of all Eligible Receivables. 
 
“Sanctioned Country” means a country subject to a sanctions program administered and enforced by OFAC. 

“Sanctioned Person” At any time, (a) any Person listed in any Sanctions-related list of designated Persons maintained by OFAC, (b) any Person operating, organized or resident in a Sanctioned Country or (c) any Person controlled by such Person.  

“Scheduled Termination Date” means October 24, 2017.
“Secured Parties” means the Indemnified Parties.

Exhibit I-23

“Servicer” means at any time the Person (which may be the Administrative Agent) then authorized pursuant to Article VIII to service, administer and collect Receivables.
“Servicing Fee” means, for each day in a Calculation Period:
(a)    an amount equal to (i) the Servicing Fee Rate (or, at any time while Converting or one of its Affiliates is the Servicer, such lesser percentage as may be agreed between Borrower and the Servicer on an arms’ length basis based on then prevailing market terms for similar services), times (ii) the aggregate Outstanding Balance of all Receivables at the close of business on the Cut-Off Date immediately preceding such Calculation Period, times (iii) 1/360; or
(b)    on and after the Servicer’s reasonable request made at any time when Converting or one of its Affiliates is no longer acting as Servicer hereunder, an alternative amount specified by the successor Servicer not exceeding (i) 110% of such Servicer’s reasonable costs and expenses of performing its obligations under this Agreement during the preceding Calculation Period, divided by (ii) the number of days in the current Calculation Period.
“Servicing Fee Rate” means 0.75% per annum.
“Servicing Reserve” means, for any Calculation Period, the product (expressed as a percentage) of (a) 1.5 times (b) the Servicing Fee Rate times (c) a fraction, the numerator of which is the Days Sales Outstanding for the most recent Cut-Off Date and the denominator of which is 360.
“Settlement Date” means (A) with respect to all Loans, the 2nd Business Day after each Monthly Reporting Date, and (B) in addition, with respect to Loans of the Committed Lenders, the last day of the relevant Interest Period.
“Settlement Period” means the immediately preceding Calculation Period (or portion thereof).
“Side Letter to the Receivables Sale Agreement” means that side letter, dated as of the date of this Agreement, addressed to the Agent and signed by the Borrower, the Servicer and each Originator.
“Specified Period” means, with respect to any Cut-off Date, the period of time (reported in months) equal in duration to the weighted average payment terms of the Receivables, as reported on the most recent Monthly Report.
“SSCC Acquisition” has the meaning set forth in the Receivables Sale Agreement.
“Subsidiary” of a Person means (i) any corporation more than 50% of the outstanding securities having ordinary voting power of which shall at the time be owned or controlled, directly or indirectly, by such Person or by one or more of its Subsidiaries 

Exhibit I-24

or by such Person and one or more of its Subsidiaries, or (ii) any partnership, association, limited liability company, joint venture or similar business organization more than 50% of the ownership interests having ordinary voting power of which shall at the time be so owned or controlled.
“Tax Code” means the Internal Revenue Code of 1986, as the same may be amended from time to time.
“Taxes” means any and all present or future taxes, levies, imposts, duties, deductions, withholdings, assessments, fees or other charges imposed by any Governmental Authority, including any interest, additions to tax or penalties applicable thereto.
“Termination Date” has the meaning set forth in the Receivables Sale Agreement.
“Terminating Tranche” has the meaning set forth in Section 4.3(b).
“Transaction Documents” means, collectively, this Agreement, each Borrowing Notice, the Receivables Sale Agreement, each Collection Account Agreement, the Performance Undertaking, the Fee Letter, the Risk Retention Letter, the Funding Agent Fee Letter, each Subordinated Note (as defined in the Receivables Sale Agreement) and all other instruments, documents and agreements executed and delivered in connection herewith.
“UCC” means the Uniform Commercial Code as from time to time in effect in the specified jurisdiction.
“Unaffiliated Committed Lender” means each Committed Lender that is not related to a Conduit Group.
“Unmatured Amortization Event” means an event which, with the passage of time or the giving of notice, or both, would constitute an Amortization Event.
“Unilever Trigger Event” means, as of any date of determination, the occurrence of (i) a Ratings Trigger Event or (ii) the lowering of the rating with regard to the long-term debt of [Unilever] below (i) A by S&P, or (ii) A2 by Moody’s, or, in either case, the withdrawal of such rating.
“U.S. Tax Compliance Certificate” has the meaning set forth in Section 10.2(c).
“Volume Rebate” means, with respect to any Receivable, a rebate or refund as described in Section 1.4(a)(iii).
“Volume Rebate Accrual Amount” means (i) on any date of determination prior to the occurrence of a Ratings Trigger Event, an amount equal to the product of (x) the aggregate amount of all Volume Rebates that have accrued as of or on such date of determination and (y) Volume Rebate Reserve Percentage and (ii) on any date of 

Exhibit I-25

determination following the occurrence a Ratings Trigger Event, the aggregate amount of all Volume Rebates that have accrued as of or on such date of determination.
“Volume Rebate Reserve Percentage” means, with respect to any date of determination in any calendar month, the percentage specified in respect of such calendar month in the table below or such other percentage designated by the Administrative Agent on the basis of the most recent accountant’s due diligence report and communicated to the Borrower in writing by the Administrative Agent.
	
		
	 Calendar Month
	Volume Rebate Reserve Percentage

	January
	82%

	February
	69%

	March
	65%

	April
	78%

	May
	70%

	June
	77%

	July
	76%

	August
	72%

	September
	56%

	October
	73%

	November
	73%

	December
	61%

 
All accounting terms not specifically defined herein shall be construed in accordance with GAAP.  All terms used in Article 9 of the UCC in the State of New York, and not specifically defined herein, are used herein as defined in such Article 9.
 

Exhibit I-26

EXHIBIT II-A

FORM OF BORROWING NOTICE

---

ROCK-TENN FINANCIAL, INC.

BORROWING NOTICE
dated ______________, 20__
for Borrowing on ________________, 20__

[Applicable Co-Agent]

Attention:  [________________]

Ladies and Gentlemen:

Reference is made to the Sixth Amended and Restated Credit and Security Agreement dated as of September, 15, 2014 (as amended, supplemented or otherwise modified from time to time, the “Credit Agreement”) among Rock-Tenn Financial, Inc. (“Borrower”), Rock-Tenn Converting Company, as initial Servicer, the Lenders and Co-Agents from time to time party thereto and Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., “Rabobank Nederland”, New York Branch, as Administrative Agent and Funding Agent.  Capitalized terms defined in the Credit Agreement are used herein with the same meanings.
1.    The [Servicer, on behalf of] Borrower hereby certifies, represents and warrants to the Agents and the Lenders that on and as of the Borrowing Date (as hereinafter defined):
(a)    all applicable conditions precedent set forth in Article VI of the Credit Agreement have been satisfied;
(b)    each of its representations and warranties contained in Section 5.1 of the Credit Agreement will be true and correct, in all material respects, as if made on and as of the Borrowing Date;
(c)    no event will have occurred and is continuing, or would result from the requested Purchase, that constitutes an Amortization Event or Unmatured Amortization Event;
(d)    the Facility Termination Date has not occurred; and
(e)    after giving effect to the Loans comprising the Advance requested below, the Aggregate Principal will not exceed the Borrowing Limit.

Exhibit II-A-1

2.    The [Servicer, on behalf of] Borrower hereby requests that the Lenders make an Advance on ___________, 20__ (the “Borrowing Date”) as follows:
(a)    Aggregate Amount of Advance:  $_____________
		
	(i)
	[Conduit Group]’s Percentage of Advance:  $[___________________]

		
	(ii)
	[Unaffiliated Committed Lender]’s Percentage of Advance:  $[___________________]

(b)    To the extent any portion of an Advance is funded by Committed Lenders, [Servicer on behalf of] Borrower requests that the applicable Committed Lender(s) make [an Alternate Base Rate Loan] [an Adjusted Federal Funds Rate Loan] [that converts into] a LIBO Rate Loan with an Interest Period of _____ months on the third Business Day after the Borrowing Date)].
3.  Please disburse the proceeds of the Loans as follows:
		
	(i)
	[Conduit Group]:  [Apply $________ to payment of principal and interest of existing Loans due on the Borrowing Date].  [Apply $______ to payment of fees due on the Borrowing Date]. [Wire transfer $________ to account no. ________ at ___________ Bank, in [city, state], ABA No. __________, Reference:  ________].

		
	(ii)
	[Unaffiliated Committed Lender]:  [Apply $________ to payment of principal and interest of existing Loans due on the Borrowing Date].  [Apply $______ to payment of fees due on the Borrowing Date]. [Wire transfer $________ to account no. ________ at ___________ Bank, in [city, state], ABA No. __________, Reference:  ________].

Exhibit II-A-2

IN WITNESS WHEREOF, the [Servicer, on behalf of] Borrower has caused this Borrowing Notice to be executed and delivered as of this ____ day of ___________, _____.
[ROCK-TENN CONVERTING COMPANY, as Servicer, on behalf of:] ROCK-TENN FINANCIAL, INC., as Borrower

By:                        
Name:
Title:
 

Exhibit II-A-3

EXHIBIT II-B

FORM OF REDUCTION NOTICE

---

ROCK-TENN FINANCIAL, INC.

REDUCTION NOTICE
dated ______________, 20__
for reduction to occur on ________________, 20__

[Applicable Co-Agent]
Attention:  [________________]
Ladies and Gentlemen:

Reference is made to the Sixth Amended and Restated Credit and Security Agreement dated as of September, 15, 2014 (as amended, supplemented or otherwise modified from time to time, the “Credit Agreement”) among Rock-Tenn Financial, Inc. (“Borrower”), Rock-Tenn Converting Company, as initial Servicer, the Lenders and Co-Agents from time to time party thereto and Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., “Rabobank Nederland”, New York Branch, as Administrative Agent and Funding Agent.  Capitalized terms defined in the Credit Agreement are used herein with the same meanings.
You are hereby irrevocably notified that Borrower wishes to make an Aggregate Reduction in the amount of $_____________ on ___________, 20__ (the “Proposed Reduction Date”).
[______________]’s Percentage of such Aggregate Reduction will be  $[_______________.]
The undersigned agrees and acknowledges that any payments to the Agents or the Lenders must be made by 12:00 p.m. (New York City time).
IN WITNESS WHEREOF, the [Servicer, on behalf of] Borrower has caused this Reduction Notice to be executed and delivered as of the date set forth above.
[ROCK-TENN CONVERTING COMPANY, as Servicer, on behalf of:] ROCK-TENN FINANCIAL, INC., as Borrower

By:                        

Exhibit II-B-1

Name:
Title:

iii

EXHIBIT III-A

PLACES OF BUSINESS OF THE LOAN PARTIES AND PARENT; LOCATIONS OF RECORDS; FEDERAL EMPLOYER IDENTIFICATION NUMBER(S)

ROCK-TENN FINANCIAL, INC.
Place of Business:  504 Thrasher Street, Norcross, GA 30071
Locations of Records:  504 Thrasher Street, Norcross, GA 30071
Federal Employer Identification Number: 58-2579090
Legal, Trade and Assumed Names:  None
Organizational Identification Number: 3309598

ROCK-TENN COMPANY
Place of Business:  504 Thrasher Street, Norcross, GA 30071
Locations of Records:  504 Thrasher Street, Norcross, GA 30071
Federal Employer Identification Number: 62-0342590
Legal, Trade and Assumed Names:  None
Organizational Identification Number: J518706

ROCK-TENN CONVERTING COMPANY
Place of Business:  504 Thrasher Street, Norcross, GA 30071
Locations of Records:  504 Thrasher Street, Norcross, GA 30071
Federal Employer Identification Number: 58-1271825
Legal, Trade and Assumed Names:  Alliance, a Rock-Tenn Company; Voxgrafica; Livingston Box, a Rock-Tenn Company (unofficial trade name in Alabama); Fold-Pak
Organizational Identification Number: J518594

Exhibit III-A-1

 
EXHIBIT III-B

TITLE IV ERISA PLANS

Plans of the Parent and its Subsidiaries subject to Title IV of ERISA

		
	(1)
	Defined Benefit Plans Maintained*

		
	a.
	The RTS Packaging, LLC Consolidated Pension Plan 

		
	b.
	The Rock-Tenn Company Consolidated Pension Plan

(2)    Multiemployer Defined Benefit Plans To Which Contributions Are Made

The Paper Industry Union Management Pension Fund

Plans of Rock-Tenn Company and its Subsidiaries subject to Title IV of ERISA

(1)    Defined Benefit Plans Maintained*

		
	a.
	Rock-Tenn Company Pension Plan for Certain Hourly Employees 

		
	b.
	Rock-Tenn Company Pension Plan for Certain Salaried Employees

    
		
	(2)
	Multiemployer Defined Benefit Plans To Which Contributions Are or Were Made

Central Pension Fund (IUOE) (current)
Central States Teamsters Southeast and Southwest Areas Pension Fund (current)
Graphic Communications International Union Employer Retirement Fund (last     contribution was made on 07/31/2010)
Graphic Communications International Union Supplemental Retirement and Disability Fund (last contribution was made on 06/30/2006)
IAM National Pension Fund (current)
IUE-CWA Pension Fund (current)
New York State Teamsters Pension Fund (last contribution was made on 12/31/2007)
Paper Industry Union Management Pension Fund (current)
Local 375 Pension Fund (Philadelphia - USW) (last contribution was made on 12/31/2009)
Suburban Teamsters of Northern Illinois Pension Fund (last contribution was made on 06/30/2006)
UNITE HERE National Retirement Fund (current)
United Food and Commercial Workers International Union Industry Pension Fund (last contribution was made on 06/30/2006)
Western Conference of Teamsters Pension Trust (current)    

*Plans that have been merged into plans listed above are not separately listed.    

Exhibit III-B-1

EXHIBIT IV
FORM OF COMPLIANCE CERTIFICATE

		
	To:
	Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., “Rabobank Nederland”, New York Branch, as Administrative Agent

This Compliance Certificate is furnished pursuant to that certain Sixth Amended and Restated Credit and Security Agreement dated as of September, 15, 2014 (as amended, supplemented or otherwise modified from time to time, the “Credit Agreement”) among Rock-Tenn Financial, Inc. (“Borrower”), Rock-Tenn Converting Company (the “Servicer”), the Lenders and Co-Agents from time to time party thereto and Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., “Rabobank Nederland”, New York Branch, as Administrative Agent and Funding Agent.
THE UNDERSIGNED HEREBY CERTIFIES THAT:
1.    I am the duly elected _________________ of Borrower.
2.    I have reviewed the terms of the Credit Agreement and I have made, or have caused to be made under my supervision, a detailed review of the transactions and conditions of Performance Guarantor and its Subsidiaries during the accounting period covered by the attached financial statements.
3.    The examinations described in paragraph 2 did not disclose, and I have no knowledge of, the existence of any condition or event which constitutes an Amortization Event or Unmatured Amortization Event, as each such term is defined under the Credit Agreement, during or at the end of the accounting period covered by the attached financial statements or as of the date of this Certificate[, except as set forth in paragraph 5 below].
4.    Schedule I attached hereto sets forth financial data and computations evidencing the compliance with certain covenants of the Credit Agreement, all of which data and computations are true, complete and correct.
[5.    Described below are the exceptions, if any, to paragraph 3 by listing, in detail, the nature of the condition or event, the period during which it has existed and the action which Borrower has taken, is taking, or proposes to take with respect to each such condition or event:  ____________________]

Exhibit IV-1

The foregoing certifications, together with the computations set forth in Schedule I hereto and the financial statements delivered with this Compliance Certificate in support hereof, are made and delivered as of ______________, 20__.

By:                    
Name:
Title:

Exhibit IV-2

SCHEDULE I TO COMPLIANCE CERTIFICATE
A.    Schedule of Compliance with Section 7.1(a)(iii) of the Credit Agreement.  Unless otherwise defined herein, the terms used in this Compliance Certificate have the meanings ascribed thereto in the Agreement.
This schedule relates to the month ended: _______________
 

Exhibit IV-3

EXHIBIT V
FORM OF ASSIGNMENT AGREEMENT
THIS ASSIGNMENT AGREEMENT (this “Assignment Agreement”) is entered into as of the ___ day of ____________, ____, by and between _____________________ (“Assignor”) and __________________ (“Assignee”).

PRELIMINARY STATEMENTS

A.    This Assignment Agreement is being executed and delivered in accordance with Section 12.1(b) of that certain Sixth Amended and Restated Credit and Security Agreement dated as of September, 15, 2014 (as amended, supplemented or otherwise modified from time to time, the “Credit Agreement”) among Rock-Tenn Financial, Inc., as Borrower, Rock-Tenn Converting Company, as initial Servicer, the Lenders and Co-Agents from time to time party thereto and Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., “Rabobank Nederland”, New York Branch, as Administrative Agent and Funding Agent, and that applicable Liquidity Agreement.  Capitalized terms used and not otherwise defined herein are used with the meanings set forth or incorporated by reference in the Credit Agreement.
B.    Assignor is a Committed Lender party to the Credit Agreement [and the Liquidity Agreement dated as of ________ by and among _____________ (the “Liquidity Agreement”)], and Assignee wishes to become a Committed Lender thereunder; and
C.    Assignor is selling and assigning to Assignee an undivided ____________% (the “Transferred Percentage”) interest in all of Assignor’s rights and obligations under the Transaction Documents [and the Liquidity Agreement], including, without limitation, Assignor’s Commitment[, Assignor’s Liquidity Commitment] and (if applicable) Assignor’s Loans as set forth herein.
AGREEMENT

The parties hereto hereby agree as follows:
1.    The sale, transfer and assignment effected by this Assignment Agreement shall become effective (the “Effective Date”) two (2) Business Days (or such other date selected by the Administrative Agent in its sole discretion) following the date on which a notice substantially in the form of Schedule II to this Assignment Agreement (“Effective Notice”) is delivered by the applicable Co-Agent to the Conduit in the Assignor’s Conduit Group, Assignor and Assignee.  From and after the Effective Date, Assignee shall be a Committed Lender party to the Credit Agreement for all purposes thereof as if Assignee were an original party thereto and Assignee agrees to be bound by all of the terms and provisions contained therein.

Exhibit V-1

2.    If Assignor has no outstanding principal under the Credit Agreement [or its Liquidity Agreement], on the Effective Date, Assignor shall be deemed to have hereby transferred and assigned to Assignee, without recourse, representation or warranty (except as provided in paragraph 6 below), and the Assignee shall be deemed to have hereby irrevocably taken, received and assumed from Assignor, the Transferred Percentage of Assignor’s Commitment [and Liquidity Commitment] and all rights and obligations associated therewith under the terms of the Credit Agreement [and its Liquidity Agreement], including, without limitation, the Transferred Percentage of Assignor’s future funding obligations under the Credit Agreement [and its Liquidity Agreement].
3.    If Assignor has any outstanding principal under the Credit Agreement [and its Liquidity Agreement], at or before 12:00 noon, local time of Assignor, on the Effective Date Assignee shall pay to Assignor, in immediately available funds, an amount equal to the sum of (i) the Transferred Percentage of the outstanding principal of Assignor’s Loans [and, without duplication, Assignor’s Percentage Interests (as defined in the Liquidity Agreement)] (such amount, being hereinafter referred to as the “Assignee’s Principal”); (ii) all accrued but unpaid (whether or not then due) Interest attributable to Assignee’s Principal; and (iii) accruing but unpaid fees and other costs and expenses payable in respect of Assignee’s Principal for the period commencing upon each date such unpaid amounts commence accruing, to and including the Effective Date (the “Assignee’s Acquisition Cost”); whereupon, Assignor shall be deemed to have sold, transferred and assigned to Assignee, without recourse, representation or warranty (except as provided in paragraph 6 below), and Assignee shall be deemed to have hereby irrevocably taken, received and assumed from Assignor, the Transferred Percentage of Assignor’s Commitment, Liquidity Commitment, Loans (if applicable) [and Percentage Interests (if applicable)] and all related rights and obligations under the Transaction Documents [and its Liquidity Agreement], including, without limitation, the Transferred Percentage of Assignor’s future funding obligations under the Credit Agreement [and its Liquidity Agreement].
4.    Concurrently with the execution and delivery hereof, Assignor will provide to Assignee copies of all documents requested by Assignee which were delivered to Assignor pursuant to the Credit Agreement [or its Liquidity Agreement].
5.    Each of the parties to this Assignment Agreement agrees that at any time and from time to time upon the written request of any other party, it will execute and deliver such further documents and do such further acts and things as such other party may reasonably request in order to effect the purposes of this Assignment Agreement.
6.    By executing and delivering this Assignment Agreement, Assignor and Assignee confirm to and agree with each other, the Agents and the Committed Lenders as follows:  (a) other than the representation and warranty that it has not created any Adverse Claim upon any interest being transferred hereunder, Assignor makes no representation or warranty and assumes no responsibility with respect to any statements, warranties or representations made by any other Person in or in connection with any of the Transaction Documents [or its Liquidity Agreement] or the execution, legality, 

Exhibit V-2

validity, enforceability, genuineness, sufficiency or value of Assignee, the Credit Agreement[, its Liquidity Agreement] or any other instrument or document furnished pursuant thereto or the perfection, priority, condition, value or sufficiency of any Collateral; (b) Assignor makes no representation or warranty and assumes no responsibility with respect to the financial condition of Borrower, any Obligor, any Affiliate of Borrower or the performance or observance by Borrower, any Obligor, any Affiliate of Borrower of any of their respective obligations under the Transaction Documents or any other instrument or document furnished pursuant thereto or in connection therewith; (c) Assignee confirms that it has received a copy of each of the Transaction Documents [and the Liquidity Agreement], and other documents and information as it has requested and deemed appropriate to make its own credit analysis and decision to enter into this Assignment Agreement; (d) Assignee will, independently and without reliance upon the Agents, Conduits, Borrower or any other Committed Lender or Lender and based on such documents and information as it shall deem appropriate at the time, continue to make its own credit decisions in taking or not taking action under the Transaction Documents [and the Liquidity Agreement]; (e) Assignee appoints and authorizes the Administrative Agent to take such action as agent on its behalf and to exercise such powers under the Transaction Documents [and the Liquidity Agreement] as are delegated to the Administrative Agent by the terms thereof, together with such powers as are reasonably incidental thereto; and (f) Assignee agrees that it will perform in accordance with their terms all of the obligations which, by the terms of [its Liquidity Agreement,] the Credit Agreement and the other Transaction Documents, are required to be performed by it as a Committed Lender or, when applicable, as a Lender.
7.    Each party hereto represents and warrants to and agrees with the Administrative Agent and the Funding Agent that it is aware of and will comply with the provisions of the Credit Agreement, including, without limitation, Sections 14.5 and 14.6 thereof.
8.    Schedule I hereto sets forth the revised Commitment and Liquidity Commitment of Assignor and the Commitment and Liquidity Commitment of Assignee, as well as administrative information with respect to Assignee.
9.    THIS ASSIGNMENT AGREEMENT SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK.
10.    Assignee hereby covenants and agrees that, prior to the date which is one year and one day after the payment in full of all senior indebtedness for borrowed money of the Conduit in the Assignor’s Conduit Group, it will not institute against, or join any other Person in instituting against, such Conduit any bankruptcy, reorganization, arrangement, insolvency or liquidation proceedings or other similar proceeding under the laws of the United States or any state of the United States.

Exhibit V-3

IN WITNESS WHEREOF, the parties hereto have caused this Assignment Agreement to be executed by their respective duly authorized officers of the date hereof.
[ASSIGNOR]

By:  _________________________
Title:

[ASSIGNEE]

By:  __________________________
Title:
 

Exhibit V-4

SCHEDULE I TO ASSIGNMENT AGREEMENT

LIST OF LENDING OFFICES, ADDRESSES
FOR NOTICES AND COMMITMENT AMOUNTS

Date:  _____________, ______

Transferred Percentage:    ____________%

	
							
	 
	A-1
	A-2
	B-1
	B-2
	C-1
	C-2

	Assignor
	Commitment (prior to giving effect to the Assignment Agreement)
	Commitment (after giving effect to the Assignment Agreement)
	Outstanding principal (if any)
	Ratable Share of Outstanding principal
	Liquidity Commitment (prior to giving effect to the Assignment Agreement)
	Liquidity Commitment (after giving effect to the Assignment Agreement)

	 
	 
	 
	 
	 
	 
	 

	
							
	 
	A-1
	A-2
	B-1
	B-2
	C-1
	C-2

	Assignee
	Commitment (prior to giving effect to the Assignment Agreement)
	Commitment (after giving effect to the Assignment Agreement)
	Outstanding principal (if any)
	Ratable Share of Outstanding principal
	Liquidity Commitment (prior to giving effect to the Assignment Agreement)
	Liquidity Commitment (after giving effect to the Assignment Agreement)

	 
	 
	 
	 
	 
	 
	 

Address for Notices
            
            
Attention:
Phone:
Fax:

Exhibit V-5

SCHEDULE II TO ASSIGNMENT AGREEMENT

EFFECTIVE NOTICE

		
	TO:
	            , Assignor 
             
            

		
	TO:
	            , Assignor 
             
            

The undersigned, as Administrative Agent under the Sixth Amended and Restated Credit and Security Agreement dated as of September 15, 2014 (as amended, supplemented or otherwise modified from time to time, the “Credit Agreement”) among Rock-Tenn Financial, Inc. (“Borrower”), Rock-Tenn Converting Company, as initial Servicer, the Lenders and Co-Agents from time to time party thereto and Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., “Rabobank Nederland”, New York Branch, as Administrative Agent and Funding Agent, hereby acknowledges receipt of executed counterparts of a completed Assignment Agreement dated as of ____________, 20__ between __________________, as Assignor, and __________________, as Assignee.  Terms defined in such Assignment Agreement are used herein as therein defined.
1.    Pursuant to such Assignment Agreement, you are advised that the Effective Date will be ______________, ____.
2.    Each of the undersigned hereby consents to the Assignment Agreement as required by Section 12.1(b) of the Credit Agreement.
[3.  Pursuant to such Assignment Agreement, the Assignee is required to pay $____________ to Assignor at or before 12:00 noon (local time of Assignor) on the Effective Date in immediately available funds.]
Very truly yours,

COÖPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A., “RABOBANK NEDERLAND”, NEW YORK BRANCH, as Administrative Agent 

By:                         
Title:                        

Exhibit V-6

[INSERT APPLICABLE CONDUIT’S NAME]

By:                         
Title:                        

Exhibit V-7

EXHIBIT VI
FORM OF MONTHLY REPORT
See attached.
 

Exhibit VI-1

EXHIBIT VII
FORM OF PERFORMANCE UNDERTAKING
THIS FOURTH AMENDED AND RESTATED PERFORMANCE UNDERTAKING (this “Undertaking”), dated as of December 21, 2012, is executed by Rock-Tenn Company, a Georgia corporation (the “Performance Guarantor” or “Parent”), in favor of Rock-Tenn Financial, Inc., a Delaware corporation (together with its successors and assigns, “Recipient”).
RECITALS

1.    Rock-Tenn Company of Texas, a Georgia corporation, Rock-Tenn Converting Company, a Georgia corporation, Rock-Tenn Mill Company, LLC, a Georgia limited liability company, Rock-Tenn – Solvay, LLC, a Delaware limited liability company, PCPC, Inc., a California corporation, Waldorf Corporation, a Delaware corporation, Rock-Tenn – Southern Container, LLC, a Delaware limited liability company and RockTenn CP, LLC, a Delaware limited liability company (collectively, the “Existing Originators” and, together with any other entity satisfying the definition of “Originator” contained in the Sale Agreement (as hereinafter defined), the “Originators”), Parent and Recipient have entered into a Fifth Amended and Restated Receivables Sale Agreement, dated as of September 15, 2014 (as amended, restated or otherwise modified from time to time, the “Sale Agreement”), pursuant to which the Originators, subject to the terms and conditions contained therein, are selling all of their respective right, title and interest in and to certain accounts receivable to Recipient.
2.    Performance Guarantor owns one hundred percent (100%) of the capital stock of each of the Originators and Recipient, and each of the Originators and Performance Guarantor is expected to receive substantial direct and indirect benefits from their sale of receivables to Recipient pursuant to the Sale Agreement (which benefits are hereby acknowledged).
3.    As an inducement for Recipient to acquire Originators’ accounts receivable pursuant to the Sale Agreement, Performance Guarantor has agreed to guaranty the due and punctual performance (a) by Originators of their obligations under the Sale Agreement, and (b) by each Originator of its Servicing Related Obligations (as hereinafter defined).
4.    Performance Guarantor wishes to guaranty the due and punctual performance by Originators of the obligations described in clause 3 above as provided herein and wishes to amend and restate the existing Fourth Amended and Restated Performance Undertaking, dated as of December 21, 2012, by Performance Guarantor in favor of Recipient.

Exhibit VII-1
19576916.15 

AGREEMENT

NOW, THEREFORE, Performance Guarantor hereby agrees as follows:
Section 1.  Definitions.  Capitalized terms used herein and not defined herein shall the respective meanings assigned thereto in the Sale Agreement or the Credit and Security Agreement (as hereinafter defined).  In addition:
“Agreements” means the Sale Agreement and the Credit and Security Agreement.
 “Credit and Security Agreement” means that certain Sixth Amended and Restated Credit and Security Agreement, dated as of September 15, 2014 by and among Recipient, as Borrower, Rock-Tenn Converting Company, as Servicer, the Lenders and Co-Agents from time to time party thereto and Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., “Rabobank Nederland”, New York Branch, as Administrative Agent and Funding Agent, as amended, restated or otherwise modified from time to time in accordance with the terms thereof.
 “Guaranteed Obligations” means, collectively:
(a)    all covenants, agreements, terms, conditions and indemnities to be performed and observed by any Originator under and pursuant to the Sale Agreement and each other document executed and delivered by any Originator pursuant to the Sale Agreement, including, without limitation, the due and punctual payment of all sums which are or may become due and owing by any Originator under the Sale Agreement, whether for fees, expenses (including reasonable counsel fees), indemnified amounts or otherwise, whether upon any termination or for any other reason; and
(b)    all Servicing Related Obligations.
“Servicing Related Obligations” means, collectively, all obligations of Rock-Tenn Converting Company as Servicer under the Credit and Security Agreement or which arise pursuant to Sections 8.2, 8.3 or 14.4(a) of the Credit and Security Agreement as a result of its termination as Servicer.
Section 2.    Guaranty of Performance of Guaranteed Obligations.  Performance Guarantor hereby guarantees to Recipient, the full and punctual payment and performance by each Originator of its respective Guaranteed Obligations.  This Undertaking is an absolute, unconditional and continuing guaranty of the full and punctual performance of all Guaranteed Obligations of each Originator under the Agreements and each other document executed and delivered by any Originator pursuant to the Agreements and is in no way conditioned upon any requirement that Recipient first attempt to collect any amounts owing by any Originator to Recipient, the Agents or the Lenders from any other Person or resort to any collateral security, any balance of any deposit account or credit on the books of Recipient, the Agents or any Lender in favor of any Originator or any other Person or other means of obtaining payment.  Should any Originator default in the payment or performance of any of its Guaranteed Obligations, 

Exhibit VII-2

Recipient (or its assigns) may cause the immediate performance by Performance Guarantor of the Guaranteed Obligations and cause any payment Guaranteed Obligations to become forthwith due and payable to Recipient (or its assigns), without demand or notice of any nature (other than as expressly provided herein), all of which are hereby expressly waived by Performance Guarantor.  Notwithstanding the foregoing, this Undertaking is not a guarantee of the collection of any of the Receivables and Performance Guarantor shall not be responsible for any Guaranteed Obligations to the extent the failure to perform such Guaranteed Obligations by any Originator results from Receivables being uncollectible on account of the insolvency, bankruptcy or lack of creditworthiness of the related Obligor; provided that nothing herein shall relieve any Originator from performing in full its Guaranteed Obligations under the Agreements or Performance Guarantor of its undertaking hereunder with respect to the full performance of such duties.
Section 3.    Performance Guarantor’s Further Agreements to Pay.  Performance Guarantor further agrees, as the principal obligor and not as a guarantor only, to pay to Recipient (and its assigns), forthwith upon demand in funds immediately available to Recipient, all reasonable costs and expenses (including court costs and reasonable legal expenses) incurred or expended by Recipient in connection with the Guaranteed Obligations, this Undertaking and the enforcement thereof, together with interest on amounts recoverable under this Undertaking from the time when such amounts become due until payment, at a rate of interest (computed for the actual number of days elapsed based on a 360 day year) equal to the Prime Rate plus 2% per annum, such rate of interest changing when and as the Prime Rate changes.
Section 4.    Waivers by Performance Guarantor.  Performance Guarantor waives notice of acceptance of this Undertaking, notice of any action taken or omitted by Recipient (or its assigns) in reliance on this Undertaking, and any requirement that Recipient (or its assigns) be diligent or prompt in making demands under this Undertaking, giving notice of any Termination Event, Amortization Event, other default or omission by any Originator or asserting any other rights of Recipient under this Undertaking.  Performance Guarantor warrants that it has adequate means to obtain from each Originator, on a continuing basis, information concerning the financial condition of such Originator, and that it is not relying on Recipient to provide such information, now or in the future.  Performance Guarantor also irrevocably waives all defenses (i) that at any time may be available in respect of the Obligations by virtue of any statute of limitations, valuation, stay, moratorium law or other similar law now or hereafter in effect or (ii) that arise under the law of suretyship, including impairment of collateral.  Recipient (and its assigns) shall be at liberty, without giving notice to or obtaining the assent of Performance Guarantor and without relieving Performance Guarantor of any liability under this Undertaking, to deal with each Originator and with each other party who now is or after the date hereof becomes liable in any manner for any of the Guaranteed Obligations, in such manner as Recipient in its sole discretion deems fit, and to this end Performance Guarantor agrees that the validity and enforceability of this Undertaking, including without limitation, the provisions of Section 7 hereof, shall not be impaired or affected by any of the following:  (a) any extension, modification or renewal of, or indulgence with respect to, or substitutions for, the Guaranteed Obligations or any 

Exhibit VII-3

part thereof or any agreement relating thereto at any time; (b) any failure or omission to enforce any right, power or remedy with respect to the Guaranteed Obligations or any part thereof or any agreement relating thereto, or any collateral securing the Guaranteed Obligations or any part thereof; (c) any waiver of any right, power or remedy or of any Termination Event, Amortization Event, or default with respect to the Guaranteed Obligations or any part thereof or any agreement relating thereto; (d) any release, surrender, compromise, settlement, waiver, subordination or modification, with or without consideration, of any other obligation of any person or entity with respect to the Guaranteed Obligations or any part thereof; (e) the enforceability or validity of the Guaranteed Obligations or any part thereof or the genuineness, enforceability or validity of any agreement relating thereto or with respect to the Guaranteed Obligations or any part thereof; (f) the application of payments received from any source to the payment of any payment Obligations of any Originator or any part thereof or amounts which are not covered by this Undertaking even though Recipient (or its assigns) might lawfully have elected to apply such payments to any part or all of the payment Obligations of such Originator or to amounts which are not covered by this Undertaking; (g) the existence of any claim, setoff or other rights which Performance Guarantor may have at any time against any Originator in connection herewith or any unrelated transaction; (h) any assignment or transfer of the Guaranteed Obligations or any part thereof; or (i) any failure on the part of any Originator to perform or comply with any term of the Agreements or any other document executed in connection therewith or delivered thereunder, all whether or not Performance Guarantor shall have had notice or knowledge of any act or omission referred to in the foregoing clauses (a) through (i) of this Section 4.
Section 5.    Unenforceability of Guaranteed Obligations Against Originators.  Notwithstanding (a) any change of ownership of any Originator or the insolvency, bankruptcy or any other change in the legal status of any Originator; (b) the change in or the imposition of any law, decree, regulation or other governmental act which does or might impair, delay or in any way affect the validity, enforceability or the payment when due of the Guaranteed Obligations; (c) the failure of any Originator or Performance Guarantor to maintain in full force, validity or effect or to obtain or renew when required all governmental and other approvals, licenses or consents required in connection with the Guaranteed Obligations or this Undertaking, or to take any other action required in connection with the performance of all obligations pursuant to the Guaranteed Obligations or this Undertaking; or (d) if any of the moneys included in the Guaranteed Obligations have become irrecoverable from any Originator for any other reason other than final payment in full of the payment Obligations in accordance with their terms, this Undertaking shall nevertheless be binding on Performance Guarantor.  This Undertaking shall be in addition to any other guaranty or other security for the Guaranteed Obligations, and it shall not be rendered unenforceable by the invalidity of any such other guaranty or security.  In the event that acceleration of the time for payment of any of the Guaranteed Obligations is stayed upon the insolvency, bankruptcy or reorganization of any Originator or for any other reason with respect to any Originator, all such amounts then due and owing with respect to the Guaranteed Obligations under the terms of the Agreements, or any other agreement evidencing, securing or otherwise executed in connection with the Guaranteed Obligations, shall be immediately due and payable by Performance Guarantor.

Exhibit VII-4

Section 6.    Representations and Warranties.  Performance Guarantor hereby represents and warrants to Recipient that:
(a)    Existence and Standing.  Performance Guarantor is a corporation duly organized, validly existing and in good standing under the laws of its state of incorporation.  Performance Guarantor is duly qualified to do business and is in good standing as a foreign corporation, and has and holds all corporate power and all governmental licenses, authorizations, consents and approvals required to carry on its business in each jurisdiction in which its business is conducted except where the failure to so qualify or so hold would not reasonably be expected to have a Material Adverse Effect.
(b)    Authorization, Execution and Delivery; Binding Effect.  The execution and delivery by Performance Guarantor of this Undertaking, and the performance of its obligations hereunder, are within its corporate powers and authority and have been duly authorized by all necessary corporate action on its part.  This Undertaking has been duly executed and delivered by Performance Guarantor.  This Undertaking constitutes the legal, valid and binding obligation of Performance Guarantor enforceable against Performance Guarantor in accordance with their respective terms, except as such enforcement may be limited by applicable bankruptcy, insolvency, reorganization or other similar laws relating to or limiting creditors’ rights generally and by general principles of equity (regardless of whether enforcement is sought in a proceeding in equity or at law).
(c)    No Conflict; Government Consent.  The execution and delivery by Performance Guarantor of this Undertaking, and the performance of its obligations hereunder do not contravene or violate (i) its certificate or articles of incorporation or by-laws, (ii) any law, rule or regulation applicable to it, (iii) any restrictions under any agreement, contract or instrument to which it is a party or by which it or any of its property is bound, or (iv) any order, writ, judgment, award, injunction or decree binding on or affecting it or its property, and do not result in the creation or imposition of any Adverse Claim on assets of Performance Guarantor or its Subsidiaries (except as created hereunder) except, in any case, where such contravention or violation would not reasonably be expected to have a Material Adverse Effect.  With respect to the transactions contemplated under this Undertaking and the Agreements, the Performance Guarantor and each of its Subsidiaries is in compliance in all material respects with all laws, rules and regulations promulgated by the U.S. Treasury Department Office of Foreign Assets Control pursuant to the International Emergency Economic Powers Act, 50 U.S.C. §§ 1701 et. seq., The Trading with the Enemy Act, 50 U.S.C. App. 1 et seq., and any Executive Order promulgated thereunder (including, without limitation, having in full force and effect any required licenses thereunder).
(d)    Financial Statements.  The consolidated financial statements of Performance Guarantor and its consolidated Subsidiaries dated as of September 30, 2010 heretofore delivered to Recipient have been prepared in accordance with generally accepted accounting principles consistently applied and fairly present in all material respects the consolidated financial condition and results of operations of Performance 

Exhibit VII-5

Guarantor and its consolidated Subsidiaries as of such dates and for the periods ended on such dates.  Since the later of (i) September 30, 2012 and (ii) the last time this representation was made or deemed made, no event has occurred which would reasonably be expected to have a Material Adverse Effect.
(e)    Taxes.  Performance Guarantor has filed all material United States federal tax returns and all other material tax returns which are required to be filed and have paid all taxes due pursuant to said returns or pursuant to any assessment received by Performance Guarantor or any of its Subsidiaries, except such taxes, if any, as are being contested in good faith and as to which adequate reserves have been provided.  No federal or state tax liens have been filed and, to the actual knowledge of Performance Guarantor, no claims are being asserted with respect to any such taxes.  The charges, accruals and reserves on the books of Performance Guarantor in respect of any taxes or other governmental charges are adequate in all material respects.
(f)    Litigation and Contingent Obligations.  Except as disclosed in the filings made by Performance Guarantor with the Securities and Exchange Commission, there are no actions, suits or proceedings pending or, to the best of Performance Guarantor’s knowledge threatened against or affecting Performance Guarantor or any of its properties, in or before any court, arbitrator or other body, that could reasonably be expected to have a material adverse effect on (i) the business, properties, condition (financial or otherwise) or results of operations of Performance Guarantor and its Subsidiaries taken as a whole, (ii) the ability of Performance Guarantor to perform its obligations under this Undertaking, or (iii) the validity or enforceability of any of this Undertaking or the rights or remedies of Recipient hereunder.  Performance Guarantor does not have any material Contingent Obligations not provided for or disclosed in the financial statements referred to in Section 6(d).
(g)    ERISA. (i) Identification of Plans.  Except as disclosed on Exhibit III-B of the Credit and Security Agreement, as of the closing date or as of the last date Exhibit III-B of the Credit and Security Agreement was updated to reflect the establishment of a new Plan, None of the Performance Guarantor, its Restricted Subsidiaries or any of their respective ERISA Affiliates maintains or contributes to, or has during the past seven (7) years maintained or contributed to, any material Plan that is subject to Title IV of ERISA.
(ii)    Compliance.  Each Plan maintained by the Performance Guarantor, its Restricted Subsidiaries and any of their respective ERISA Affiliates has at all times been maintained, by its terms and in operation, in compliance with all applicable laws, and the Performance Guarantor and its Restricted Subsidiaries are subject to no tax or penalty with respect to any Plan of such Person or any ERISA Affiliate thereof, including, without limitation, any tax or penalty under Title I or Title IV of ERISA or under Chapter 43 of the Tax Code, or any tax or penalty resulting from a loss of deduction under Sections 162, 404, or 419 of the Tax Code, where the failure to comply with such laws, and such taxes and penalties, together with all other liabilities referred to in this Section 6(g) (taken as a whole), would in the aggregate have a Material Adverse Effect; 

Exhibit VII-6

(iii)    Liabilities.  None of the Performance Guarantor, its Restricted Subsidiaries or any of their respective ERISA Affiliates is subject to any liabilities (including withdrawal liabilities) with respect to any Plans of the Performance Guarantor, its Restricted Subsidiaries or any of their respective ERISA Affiliates, including, without limitation, any liabilities arising from Titles I or IV of ERISA, other than obligations to fund benefits under an ongoing Plan and to pay current contributions, expenses and premiums with respect to such Plans, where such liabilities, together with all other liabilities referred to in this Section 6(g) (taken as a whole), would in the aggregate have a Material Adverse Effect. 
(iv)    Funding.  The Performance Guarantor and its Restricted Subsidiaries, with respect to any Plan which is subject to Title IV of ERISA, each of their respective ERISA Affiliates, have made full and timely payment of all amounts (A) required to be contributed under the terms of each Plan and applicable law, and (B) required to be paid as expenses (including PBGC or other premiums) of each Plan, where the failure to pay such amounts (when taken as a whole, including any penalties attributable to such amounts) would have a Material Adverse Effect.  None the Performance Guarantor, its Restricted Subsidiaries or any of their respective ERISA Affiliates is subject to any liabilities with respect to post-retirement medical benefits in any amounts which, together with all other liabilities referred to in this Section 6(g) (taken as a whole), would have a Material Adverse Effect if such amounts were then due and payable.  
(v)    ERISA Event.  No ERISA Event has occurred or is reasonably expected to occur, except for such ERISA Events that individually or in the aggregate would not have a Material Adverse Effect. 
Section 7.    Subrogation; Subordination.  Notwithstanding anything to the contrary contained herein, until the Guaranteed Obligations are paid in full Performance Guarantor:  (a) will not enforce or otherwise exercise any right of subrogation to any of the rights of Recipient, the Agents or any Lender against any Originator, (b) hereby waives all rights of subrogation (whether contractual, under Section 509 of the United States Bankruptcy Code, at law or in equity or otherwise) to the claims of Recipient, the Agents and the Lenders against any Originator and all contractual, statutory or legal or equitable rights of contribution, reimbursement, indemnification and similar rights and “claims” (as that term is defined in the United States Bankruptcy Code) which Performance Guarantor might now have or hereafter acquire against any Originator that arise from the existence or performance of Performance Guarantor’s obligations hereunder, (c) will not claim any setoff, recoupment or counterclaim against any Originator in respect of any liability of Performance Guarantor to such Originator and (d) waives any benefit of and any right to participate in any collateral security which may be held by Recipient, the Agents or the Lenders.  The payment of any amounts due with respect to any indebtedness of any Originator now or hereafter owed to Performance Guarantor is hereby subordinated to the prior payment in full of all of the Guaranteed Obligations.  Performance Guarantor agrees that, after the occurrence of any default in the payment or performance of any of the Guaranteed Obligations, Performance Guarantor will not demand, sue for or otherwise attempt to collect any such indebtedness 

Exhibit VII-7

of any Originator to Performance Guarantor until all of the Guaranteed Obligations shall have been paid and performed in full.  If, notwithstanding the foregoing sentence, Performance Guarantor shall collect, enforce or receive any amounts in respect of such indebtedness while any Obligations are still unperformed or outstanding, such amounts shall be collected, enforced and received by Performance Guarantor as trustee for Recipient (and its assigns) and be paid over to Recipient (or its assigns) on account of the Guaranteed Obligations without affecting in any manner the liability of Performance Guarantor under the other provisions of this Undertaking.  The provisions of this Section 7 shall be supplemental to and not in derogation of any rights and remedies of Recipient under any separate subordination agreement which Recipient may at any time and from time to time enter into with Performance Guarantor.
Section 8.    Termination of Performance Undertaking.  Performance Guarantor’s obligations hereunder shall continue in full force and effect until all Obligations are finally paid and satisfied in full and the Credit and Security Agreement is terminated, provided that this Undertaking shall continue to be effective or shall be reinstated, as the case may be, if at any time payment or other satisfaction of any of the Guaranteed Obligations is rescinded or must otherwise be restored or returned upon the bankruptcy, insolvency, or reorganization of any Originator or otherwise, as though such payment had not been made or other satisfaction occurred, whether or not Recipient (or its assigns) is in possession of this Undertaking.  No invalidity, irregularity or unenforceability by reason of the Bankruptcy Code or any insolvency or other similar law, or any law or order of any government or agency thereof purporting to reduce, amend or otherwise affect the Guaranteed Obligations shall impair, affect, be a defense to or claim against the obligations of Performance Guarantor under this Undertaking.
Section 9.    Effect of Bankruptcy.  This Performance Undertaking shall survive the insolvency of any Originator and the commencement of any case or proceeding by or against any Originator under the Bankruptcy Code or other federal, state or other applicable bankruptcy, insolvency or reorganization statutes.  No automatic stay under the Bankruptcy Code with respect to any Originator or other federal, state or other applicable bankruptcy, insolvency or reorganization statutes to which any Originator is subject shall postpone the obligations of Performance Guarantor under this Undertaking.
Section 10.    Setoff.  Regardless of the other means of obtaining payment of any of the Guaranteed Obligations, Recipient (and its assigns) is hereby authorized at any time and from time to time, without notice to Performance Guarantor (any such notice being expressly waived by Performance Guarantor) and to the fullest extent permitted by law, to set off and apply any deposits and other sums against the obligations of Performance Guarantor under this Undertaking, whether or not Recipient (or any such assign) shall have made any demand under this Undertaking and although such Obligations may be contingent or unmatured.
Section 11.    Taxes.  All payments to be made by Performance Guarantor hereunder shall be made free and clear of any deduction or withholding.  Subject to the requirements and limitations of Section 10.2 of the Credit and Security Agreement, if Performance 

Exhibit VII-8

Guarantor is required by law to make any deduction or withholding on account of tax or otherwise from any such payment, the sum due from it in respect of such payment shall be increased to the extent necessary to ensure that, after the making of such deduction or withholding, Recipient receives a net sum equal to the sum which it would have received had no deduction or withholding been made.
Section 12.    Further Assurances.  Performance Guarantor agrees that it will from time to time, at the request of Recipient (or its assigns), provide information relating to the business and affairs of Performance Guarantor as Recipient may reasonably request.  Performance Guarantor also agrees to do all such things and execute all such documents as Recipient (or its assigns) may reasonably consider necessary or desirable to give full effect to this Undertaking and to perfect and preserve the rights and powers of Recipient hereunder.
Section 13.    Successors and Assigns.  This Performance Undertaking shall be binding upon Performance Guarantor, its successors and permitted assigns, and shall inure to the benefit of and be enforceable by Recipient and its successors and assigns.  Performance Guarantor may not assign or transfer any of its obligations hereunder without the prior written consent of each of Recipient and each Agent. Without limiting the generality of the foregoing sentence, Recipient may assign or otherwise transfer the Agreements, any other documents executed in connection therewith or delivered thereunder or any other agreement or note held by them evidencing, securing or otherwise executed in connection with the Guaranteed Obligations, or sell participations in any interest therein, to any other entity or other person, and such other entity or other person shall thereupon become vested, to the extent set forth in the agreement evidencing such assignment, transfer or participation, with all the rights in respect thereof granted to the Recipient herein.
Section 14.    Amendments and Waivers.  No amendment or waiver of any provision of this Undertaking nor consent to any departure by Performance Guarantor therefrom shall be effective unless the same shall be in writing and signed by Recipient, the Agents and Performance Guarantor.  No failure on the part of Recipient to exercise, and no delay in exercising, any right hereunder shall operate as a waiver thereof; nor shall any single or partial exercise of any right hereunder preclude any other or further exercise thereof or the exercise of any other right.
Section 15.    Notices.  All notices and other communications provided for hereunder shall be made in writing and shall be addressed as follows:  if to Performance Guarantor, at the address set forth beneath its signature hereto, and if to Recipient, at the addresses set forth beneath its signature hereto, or at such other addresses as each of Performance Guarantor or any Recipient may designate in writing to the other.  Each such notice or other communication shall be effective (1) if given by telecopy, upon the receipt thereof, (2) if given by mail, three (3) Business Days after the time such communication is deposited in the mail with first class postage prepaid or (3) if given by any other means, when received at the address specified in this Section 15.

Exhibit VII-9

Section 16.    GOVERNING LAW.  THIS UNDERTAKING SHALL BE CONSTRUED IN ACCORDANCE WITH THE INTERNAL LAWS (AND NOT THE LAW OF CONFLICTS) OF THE STATE OF NEW YORK.
Section 17.    CONSENT TO JURISDICTION.  EACH PARTY TO THIS UNDERTAKING HEREBY IRREVOCABLY SUBMITS TO THE NON-EXCLUSIVE JURISDICTION OF ANY UNITED STATES FEDERAL OR NEW YORK STATE COURT SITTING IN NEW YORK, NEW YORK, IN ANY ACTION OR PROCEEDING ARISING OUT OF OR RELATING TO THIS UNDERTAKING OR ANY DOCUMENT EXECUTED BY SUCH PERSON PURSUANT TO THIS UNDERTAKING, AND EACH SUCH PARTY HEREBY IRREVOCABLY AGREES THAT ALL CLAIMS IN RESPECT OF SUCH ACTION OR PROCEEDING MAY BE HEARD AND DETERMINED IN ANY SUCH COURT AND IRREVOCABLY WAIVES ANY OBJECTION IT MAY NOW OR HEREAFTER HAVE AS TO THE VENUE OF ANY SUCH SUIT, ACTION OR PROCEEDING BROUGHT IN SUCH A COURT OR THAT SUCH COURT IS AN INCONVENIENT FORUM. NOTHING HEREIN SHALL LIMIT THE RIGHT OF ANY AGENT OR ANY LENDER TO BRING PROCEEDINGS AGAINST ANY LOAN PARTY IN THE COURTS OF ANY OTHER JURISDICTION. ANY JUDICIAL PROCEEDING BY ANY LOAN PARTY AGAINST ANY AGENT OR ANY LENDER OR ANY AFFILIATE OF ANY AGENT OR ANY LENDER INVOLVING, DIRECTLY OR INDIRECTLY, ANY MATTER IN ANY WAY ARISING OUT OF, RELATED TO, OR CONNECTED WITH THIS UNDERTAKING OR ANY DOCUMENT EXECUTED BY SUCH LOAN PARTY PURSUANT TO THIS UNDERTAKING SHALL BE BROUGHT ONLY IN A COURT IN NEW YORK, NEW YORK.
Section 18.    Bankruptcy Petition.  Performance Guarantor hereby covenants and agrees that, prior to the date that is one year and one day after the payment in full of all outstanding senior Debt of Recipient, it will not institute against, or join any other Person in instituting against, Recipient any bankruptcy, reorganization, arrangement, insolvency or liquidation proceedings or other similar proceeding under the laws of the United States or any state of the United States.
Section 19.    Miscellaneous.  This Undertaking constitutes the entire agreement of Performance Guarantor with respect to the matters set forth herein. The rights and remedies herein provided are cumulative and not exclusive of any remedies provided by law or any other agreement, and this Undertaking shall be in addition to any other guaranty of or collateral security for any of the Guaranteed Obligations.  The provisions of this Undertaking are severable, and in any action or proceeding involving any state corporate law, or any state or federal bankruptcy, insolvency, reorganization or other law affecting the rights of creditors generally, if the obligations of Performance Guarantor hereunder would otherwise be held or determined to be avoidable, invalid or unenforceable on account of the amount of Performance Guarantor’s liability under this Undertaking, then, notwithstanding any other provision of this Undertaking to the contrary, the amount of such liability shall, without any further action by Performance Guarantor or Recipient, be automatically limited and reduced to the highest amount that is valid and enforceable as determined in such action or proceeding.  Any provisions of 

Exhibit VII-10

this Undertaking which are 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.  Unless otherwise specified, references herein to “Section” shall mean a reference to sections of this Undertaking.
IN WITNESS WHEREOF, Performance Guarantor has caused this Undertaking to be executed and delivered as of the date first above written.
ROCK-TENN COMPANY

By:                         
Name:                         
Title:                         

Address for Notices:

		
	Address:
	504 Thrasher Street 
Norcross, Georgia  30071 
Attn:    John D. Stakel 
Phone:    (678) 291-7901 
Fax:    (770) 246-4642

Exhibit VII-11

SCHEDULE A

COMMITMENTS OF COMMITTED LENDERS

	
		
	COMMITTED LENDER
	COMMITMENT

	 
	 

	Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., New York Branch
	$128,000,000

	
		
	COMMITTED LENDER
	COMMITMENT

	 
	 

	TD Bank, N.A.
	$100,000,000

	
		
	COMMITTED LENDER
	COMMITMENT

	 
	 

	Royal Bank of Canada
	$70,000,000

	
		
	COMMITTED LENDER
	COMMITMENT

	 
	 

	The Bank of Tokyo-Mitsubishi UFJ, Ltd., New York Branch
	$71,000,000

	
		
	COMMITTED LENDER
	COMMITMENT

	 
	 

	Sumitomo Mitsui Banking Corporation
	$71,000,000

	
		
	COMMITTED LENDER
	COMMITMENT

	 
	 

	Fifth Third Bank
	$44,000,000

	
		
	COMMITTED LENDER
	COMMITMENT

	 
	 

	SunTrust Bank
	$70,000,000

	
		
	COMMITTED LENDER
	COMMITMENT

	 
	 

	PNC Bank, N.A.
	$75,000,000

	
		
	COMMITTED LENDER
	COMMITMENT

	 
	 

	Bank of Nova Scotia
	$71,000,000

Schedule A-1

SCHEDULE B

DOCUMENTS TO BE DELIVERED TO THE ADMINISTRATIVE AGENT 
ON OR PRIOR TO EFFECTIVENESS OF THIS AGREEMENT

[Closing Document Checklist to be Inserted]

Schedule B-1

SCHEDULE C
LENDER SUPPLEMENT

	
		
	Lender Group:
	Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., “Rabobank Nederland”, New York Branch

	Co-Agent
	Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., “Rabobank Nederland”, New York Branch

	Address for Borrowing Notices:
	Securitization – Middle Office
Rabobank International
245 Park Avenue
New York, NY 10167
Phone: (212) 916-7932
Fax: (914) 287-2254
E-mail: naconduit@rabobank.com

With a copy to:

Nieuw Amsterdam Receivables Corp.
c/o Global Securitization Services, LLC
68 South Service Road, Suite 120
Melville, NY  11747
Attention: Bill Pierce
Phone: (631) 930-7226
Fax: (212) 302-8767
Email: nieuwam@gssnyc.com

	Conduit(s):
	Nieuw Amsterdam Receivables Corporation

	 
	 

	Committed Lender:
	Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., “Rabobank Nederland”, New York Branch

	 
	 

	Percentage:  

	18.2857%

	 
	 

Schedule C-1

	
		
	Address for correspondence to the Administrative Agent or Funding Agent:
	Securitization – Middle Office
Rabobank International
245 Park Avenue
New York, NY 10167
Phone: (212) 916-7932
Fax: (914) 287-2254
E-mail: naconduit@rabobank.com

With a copy to:

Nieuw Amsterdam Receivables Corp.
c/o Global Securitization Services, LLC
68 South Service Road, Suite 120
Melville, NY  11747
Attention JR Angelo
Phone: (631) 930-7202
Fax: (212) 302-8767
jrangelo@gssnyc.com
ddeangelis@gssnyc.com

	 
	 

Schedule C-2

	
		
	Wire Information:

Payment of Ongoing Fees:

Payment of Upfront Fees:

Funding Account Payment Instructions:
	

Nieuw Amsterdam Receivables Corporation

Fed ABA    021-001-033
Fed Bank    Deutsche Bank Trust Company Americas
Account No.    
Account Name    NYLTD Funds Control
REF:    PORT RABO09.1 // NieuwAm // Rock Tenn

Fed ABA    021-000-021
Fed Bank    JPMorgan Chase Bank, N.A.
Account No.    
Swift Address:    CHASUS33
FAO:    Rabobank International, New York Branch
REF:    Nieuw Amsterdam // Rock Tenn
Attn:    Scott Babrowsky

Fed ABA    021-001-033
Fed Bank    Deutsche Bank Trust Company Americas
Account No.    
Account Name    NYLTD Funds Control
REF:    PORT RABO11.1//Rabo Agent Account

Schedule C-3

	
		
	Lender Group:
	TD Bank, N.A.

	Co-Agent
	TD Bank, N.A.

	Address for Notices:
	77 King Street West
19th Floor
Toronto, Ontario M5K 1A2
Attention: Terry Pachouris
Phone:      416-308-7544
Email:     Terry.Pachouris@tdsecurities.com

77 King Street West
19th Floor
Toronto, Ontario M5K 1A2
Attention: Paul Koven
Phone:      416-983-6656
Email:     Paul.Koven@tdsecurities.com

	Conduit(s):
	N/A

	Address for Notices and Investing Office:
	N/A

	 
	 

	Committed Lender:
	TD Bank, N.A.

	 
	 

	Percentage:  

	14.2857%

	 
	 

	Address for Notices and Investing Office:
	TD Bank, N.A.

77 King Street West
19th Floor
Toronto, Ontario M5K 1A2
Attention: Terry Pachouris
Phone:      416-308-7544
Email:     Terry.Pachouris@tdsecurities.com

77 King Street West
19th Floor
Toronto, Ontario M5K 1A2
Attention: Paul Koven
Phone:      416-983-6656
Email:     Paul.Koven@tdsecurities.com

	 
	 

Schedule C-4

	
		
	Wire Information:

Payment of Ongoing and Upfront Fees:

	TD Bank, N.A.

    
Fed ABA    ABA #31101266 
Fed Bank    TD Bank, N. A.
Account No.    
Account Name    Participation Loan WIP
Attention:     Investor Processing
REF:    Rock-Tenn Financial

Schedule C-5

	
		
	Lender Group:
	Royal Bank of Canada

	Co-Agent
	Royal Bank of Canada

	Address for Notices:
	Royal Bank of Canada
Three World Financial Center 
200 Vesey Street 
New York, New York 10281-8098
Attention:  Securitization Finance Managing Director 
Phone:       212-428-6537
Email:       conduit_management@rbccm.com
                 

	Conduit(s):
	Thunder Bay Funding, LLC

	Address for Notices and Investing Office:
	Royal Bank of Canada 
Three World Financial Center 
200 Vesey Street 
New York, New York 10281-8098
Attention: Securitization Finance Managing Director
Phone:       212-428-6537
Email:       conduit_funding@rbccm.com

With a copy to:

c/o Global Securitization Services, LLC 
68 South Service Road, Suite 120
Melville, New York  11747
Attention:  Kevin Burns 
Phone:      631-587-4700

	 
	 

	Committed Lender:
	Royal Bank of Canada

	 
	 

	Percentage:  

	10.0000%

	 
	 

Schedule C-6

	
		
	Address for Notices and Investing Office:
	Royal Bank of Canada
Three World Financial Center 
200 Vesey Street 
New York, New York  10281-8098
Attention:  Securitization Finance Managing Director 
Phone:      212-428-2304
Email:      conduit_management@rbccm.com

	 
	 

	Wire Information:

Payment of Ongoing Fees

Payment of Upfront
	Thunder Bay Funding, LLC

Fed ABA    021-001-033
Fed Bank    Deutsche Bank Trust Company Americas
Account No.    
Account Name    Thunder Bay Funding, LLC
Attention:     Kim Sukdeo
REF:    Rock-Tenn

Royal Bank of Canada

Fed ABA    JP Morgan Chase, New York
Fed Bank    21000021
Account No.    Royal Bank of Canada New York
Account Name    
Attention:     Upfront Rock-Tenn
Other Instructions:    For Further Credit to Account 
REF:    Upfront Fee Rock-Tenn

Schedule C-7

	
		
	Lender Group:
	The Bank of Tokyo-Mitsubishi UFJ, Ltd., New York Branch

	Co-Agent
	The Bank of Tokyo-Mitsubishi UFJ, Ltd., New York Branch

	Address for Notices:
	The Bank of Tokyo-Mitsubishi UFJ, Ltd., 
New York Branch
1251 Avenue of the Americas
12th Floor
New York, NY 10020
Attention:  Andrea Alkins
Phone:      201-413-8097
Email:      securitization_reporting@us.mufg.jp

	Conduit(s):
	Gotham Funding Corp.

	Address for Notices and Investing Office:
	John Donoghue
Vice President
1251 Avenue of Americas
12th Floor
New York, NY 10020
Phone: 212-413-8138
Fax: 212-782-6448
securitization_reporting@us.mufg.jp

Aditya Reddy 
Managing Director
1251 Avenue of Americas
12th Floor
New York, NY 10020
Phone: 212-782-6957
Fax: 212-782-6448
areddy@us.mufg.jp

	Committed Lender:
	The Bank of Tokyo-Mitsubishi UFJ, Ltd., New York Branch

	 
	 

	Percentage:  

	[10.14__]%

	 
	 

Schedule C-8

	
		
	Address for Notices and Investing Office:
	The Bank of Tokyo-Mitsubishi UFJ, Ltd., 
New York Branch
1251 Avenue of the Americas, 12th Floor
New York, NY 10020
Attention:  Andrea Alkins
Phone:      (201) 413-8097
Email:       securitization_reporting@us.mufg.jp

	 
	 

	Wire Information:

Payment of Upfront and Ongoing Fees:
	Gotham Funding Corp.

Fed ABA    026-009-632
Fed Bank    Bank of Tokyo-Mitsubishi UFJ NY Branch
Account No.    
Account Name    Gotham Funding Corp.
REF:    Rock-Tenn

Schedule C-9

	
		
	Lender Group:
	SMBC Nikko Securities America, Inc.

	Co-Agent
	SMBC Nikko Securities America, Inc.

	Address for Notices:
	SMBC Nikko Securities America, Inc.

277 Park Avenue, 5th Floor
New York, NY 10172
Attention:  Clara Yip
Phone:       212-224-5321
Email:        nyasgops@smbc-si.com

	Conduit(s):
	Manhattan Asset Funding Company LLC

	Address for Notices

Address for Investing Office:
	Neil Bautista
Vice President/ SMBC Nikko Securities America, Inc.
277 Park Avenue, 5th Floor
New York, NY 10172
Phone: (212) 224-5373
Fax:  (212) 224-4929
Email: nbautista@smbcnikko-si.com

Akiyuki Taguchi
Assistant Vice President/ SMBC Nikko Securities America, Inc.
277 Park Avenue, 5th Floor
New York, NY 10172
Phone: (212) 224-5340
Fax:  (212) 224-4929
Email: ataguchi@smbcnikko-si.com

Anna Falzon
277 Park Avenue, 5th Floor
New York, NY 10172
Phone: (212) 224-5352
Fax:  (212) 224-4929
Email: nyasgops@smbc-si.com

Denise Cooper
277 Park Avenue, 5th Floor
New York, NY 10172
Phone: (212) 224-5056
Fax:  (212) 224-4929
Email: nyasgops@smbc-si.com

 

	 
	 

	 
	 

Schedule C-10

	
		
	Committed Lender:
	Sumitomo Mitsui Banking Corporation

	 
	 

	Percentage:  

	[10.14__]%

	 
	 

	Address for Notices and Investing Office:
	Sumitomo Mitsui Banking Corporation
c/o SMBC Nikko Securities America, Inc.
277 Park Avenue, 4th Floor
New York, NY 10172
Attention: Takashi Murata 
Phone:  (212) 224-4693
Email: Takashi_Murata@smbcgroup.com 

	 
	 

	Wire Information:

Payment of Ongoing Fees

Payment of Upfront Fees

	

Manhattan Asset Funding Company LLC 

Fed ABA    021-001-033
Fed Bank    Deutsche Bank Trust Company Americas
Account No.    
Attention:     PORT MANHAFC.3
REF:    Trust and Securities Services

SMBC Nikko Securities America, Inc.

Fed ABA    021-000-021
Fed Bank    JPMorgan Chase Bank
Account No.    
Account Name    SMBC Nikko Securities America, Inc.
Attention:     
REF:    Rock-Tenn

Schedule C-11

	
		
	Lender Group:
	Fifth Third Bank

	Co-Agent
	Fifth Third Bank

	Address for Notices:
	Fifth Third Bank

38 Fountain Square Plaza
MD 109046
Cincinnati, OH 45263
Attention:    Andrew Jones
Phone:         (513) 534-0836
Email:          andrew.jones@53.com

	 
	38 Fountain Square Plaza
MD 109046
Cincinnati, OH 45263
Attention:    Patrick Berning
Phone:         (513) 534-4661
Email:         Patrick.Berning@53.com

	 
	 

	Percentage:  

	6.2857%

	 
	 

	Address for Notices and Investing Office:
	Fifth Third Bank

Fifth Third Bank
38 Fountain Square Plaza
MD 109046
Cincinnati, OH 45263
Attention:    Andrew Jones
Phone:         (513) 534-0836
Fax:             (513) 534-0319
Email:          andrew.jones@53.com

38 Fountain Square Plaza
MD 109047
Attention:   Asset Securitization Operations
Phone:        (513) 534-2612
Fax:             (513) 534-0319
Email:          53.Securitization.Bancorp@53.com

	 
	 

Schedule C-12

	
		
	Wire Information:
	Fifth Third Bank 

Fed ABA    042000314
Fed Bank    Fifth Third Bank
Account No.    
Account Name    Commercial Loan Wires
Attention:     Asset Securitization Ops
REF:    Rock-Tenn Securitization

	 
	 

    

Schedule C-13

	
		
	Lender Group:
	SunTrust Bank

	Co-Agent
	SunTrust Bank

	Address for Notices:
	SunTrust Bank

3333 Peachtree Road, NE 10-E
Atlanta, GA 30326
Attention:    Michael Peden
Phone:         (404) 926-5499
Fax:             (404) 926-5100
Email:          three.pillars@suntrust.com

3333 Peachtree Road, NE 10-E
Atlanta, GA 30326
Attention:    Kyle Shenton
Phone:         (404) 926-5490
Fax:             (404) 926-5100
Email:          kyle.shenton@suntrust.com

	 
	 

	Committed Lender:
	SunTrust Bank

	 
	 

	Percentage:  

	10.0000%

	 
	 

	Address for Notices and Investing Office:
	SunTrust Bank

3333 Peachtree Road, NE 10-E
Atlanta, GA 30326
Attention:    David Morley
Phone:         (855) 526-1412
Fax:             (404) 495-2171
Email:          strh.afg@suntrust.com

	 
	

Schedule C-14

	
		
	Wire Information:

Payment of Ongoing Fees:

Payment of  Upfront Fees:

	SunTrust Bank
 

Fed ABA    061000104
Fed Bank    SunTrust Bank
Account No.    
Account Name    STB Agency Services Operating Acct
Attention:     Doug Weltz
REF:    Rock-Tenn

Fed ABA    061000104
Fed Bank    SunTrust Bank
Account No.    
Account Name    STB Agency Services Operating Acct
Attention:     Doug Weltz
REF:    Rock-Tenn

Schedule C-15

	
		
	Lender Group:
	PNC Bank, N.A.

	Co-Agent
	PNC Bank, N.A.

	Address for Notices:
	PNC Bank, N.A.

225 Fifth Avenue
Pittsburgh, PA 15222
Attention:    William Falcon
Phone:         (412) 762-5442
Email:          william.falcon@pnc.com

	Conduits: 

	Market Street Funding LLC

	Committed Lender

Percentage:  

	PNC Bank, N.A.

10.7142%

	 
	 

	Address for Notices and Investing Office:
	PNC Bank
One PNC Plaza
249 Fifth Avenue
Pittsburgh, PA  15222
Attention:  Tony Stahley
Phone:         (412 ) 768-2266
Fax:             (412) 762-9184
Email:          tony.stahley@pnc.com
                     pncconduitgroup@pnc.com
                     lauren.asaro@pnc.com

	Wire Information:
	For Payment of Interest, Principal, and Fees

Fed ABA    043000096
Fed Bank    PNC Bank, NA
Account No.    
Account Name    Market Street Funding LLC
Attention:     Tony Stahley
REF:    Rock-Tenn

Schedule C-16

	
		
	Lender Group:
	Bank of Nova Scotia

	Co-Agent
	Bank of Nova Scotia

	Address for Notices:
	Bank of Nova Scotia 
40 King Street West, 55th Floor 
Toronto, Ontario, Canada  M5H 1H1
Attention:        Paula J. Czach
Phone:             (416) 865-6311 
Email:              paula.czach@scotiabank.com 

Bank of Nova Scotia 
250 Vesey Street, 23rd Floor
New York, NY 10281
Attention:   Darren Ward 
Phone:    (212) 225-5264
Email:    Darren.ward@scotiabank.com 

	Conduit(s):

Address for Notices:

Committed Lender:
Percentage:
	Liberty Street Funding 

Liberty Street Funding LLC
114 West 47th Street, Suite 2310
New York, NY 10036
Phone:  (212) 302-8767

Bank of Nova Scotia 

[10.14__]%

	

Wire Information:
	Fed ABA    026 - 002532
Fed Bank    The Bank of Nova Scotia - New York Agency 
Account No.    
Account Name    Liberty Street Funding LLC 
REF:    Rock-Tenn

	 
	 

Schedule C-17Exhibit 10.2 Amendment to Agreement

Exhibit 10.2

“***” = CONFIDENTIAL PORTIONS OF THIS DOCUMENT HAVE BEEN OMITTED AND HAVE BEEN SEPARATELY FILED WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION FOR CONFIDENTIAL TREATMENT UNDER RULE 24B-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED.

AMENDMENT 4 TO 
MASTER AGREEMENT

This Amendment 4 (“Amendment”) to the Master Agreement dated August 19, 2008, between Health Net, Inc. (“Health Net”), a Delaware corporation with its principal place of business located at 21650 Oxnard Street, Woodland Hills, CA 91367 and International Business Machines Corporation (“Supplier”), a New York corporation with a place of business located at Route 100, Somers, NY 10589, as amended, (“Master Agreement”) is entered into as of March 1, 2014 (the “Amendment 4 Commencement Date”). 

RECITALS

WHEREAS, Health Net and Supplier are Parties to the Master Agreement; and

WHEREAS, the Master Agreement was currently scheduled to expire on February 14, 2014; and

WHEREAS, Health Net recently exercised two of its renewal options under Section 4.2 of the Master Agreement, which extended the expiration date of the Master Agreement; and

WHEREAS, this Amendment documents the Parties’ intent to amend certain terms of the Master Agreement, including extending the Term for two years beyond the original expiration date, modifying the scope of Services, pricing and certain other terms, and agreeing that Health Net’s exercise of the renewal option is null and void and resetting the number of renewal options that Health Net has to the number originally set forth in the Master Agreement, all as further described herein. 

NOW, THEREFORE, in accordance with Section 25.3 of the Master Agreement, and in consideration of the mutual covenants, conditions and promises set forth herein, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Parties agree to the foregoing and as follows:

		
	1.
	Incorporation of Recitals; Definitions. The foregoing recitals are hereby incorporated into this Amendment and made a part hereof.  Defined terms used in this Amendment shall have the same meaning as in the Agreement unless otherwise specifically defined herein.

		
	2.
	This Amendment incorporates the following changes to the Master Agreement:

		
	A.
	The Master Agreement is hereby modified as follows:

		
	1.
	Section 4.1 of the Master Agreement is replaced with the following:

The term of this Agreement shall commence on the Effective Date and expire on February 29, 2016 unless it is terminated earlier or is extended pursuant to the terms of this Agreement (such period, together with all extensions thereof, the “Term”). It is understood and agreed that the terms and conditions in effect during Contract Year 5 shall be in effect during Contract Years 6 and 7. 
		
	2.
	For clarity, the Parties agree that (i) the extension options exercised by Health Net pursuant to Section 4.2 of the Master Agreement are revoked by Health Net and null and void, and shall be treated as though Health Net never exercised such extension options, and (ii) as of the Amendment 4 Commencement Date, Health Net has three (3) extension options of up to six (6) months each, that it may exercise, as described in the last sentence of Section 4.2 of the Master Agreement. The number 

Health Net/IBM Confidential         Amendment 4        Page 1

of such extension options and the notice period for exercising such options are subject to Section 16.1(i) as added by this Amendment 4.
		
	3.
	The following is added to the end of Section 16.1(c) of the Master Agreement:

Health Net waives its right to terminate this Agreement pursuant to this subparagraph (c) in connection with any Critical Service Level failure that may have occurred prior to the start of the Amendment 4 Commencement Date.
		
	4.
	The following is hereby added as Section 16.1(i) of the Master Agreement:

(i) Termination Due to Failure to Achieve Amendment 4 Milestones. If Supplier fails to complete the Projects described on Exhibit A-14 (the “Backlog Projects”) or any required milestones for such Projects by their respective Committed Dates set forth on Exhibit A-14 (“Committed Dates”), subject to Section 8.3, then by providing Supplier notice no later than September 1, 2014, Health Net may immediately terminate all provisions within this Amendment 4 (except as set forth below) at no additional charge. If Health Net elects to so terminate this Amendment 4, the last sentence of Section 4.2 shall be replaced by the following sentences: Health Net shall have five (5) such extension options of up to six (6) months each (each a “Renewal Term”). At the time of terminating Amendment 4, Health Net may exercise the first two such extension options (extending the Term from February 14, 2014 to a date not later than February 28, 2015), by providing notice of such exercise to Supplier, and the three month notice requirement for exercising the extension options is waived.
		
	5.
	The following new Section 2.21(c) shall be added to Schedule A (Services):

(c) The Parties will cooperate in good faith to develop the following:
(i) A schedule of server refresh obligations during the original initial term of the Agreement that were not performed by Supplier, showing the dates by which such refresh obligations will be performed. The charges for Supplier’s performance of these refresh obligations (which consist of providing labor to support the refresh of equipment for which Health Net has financial responsibility) has been paid to Supplier in the Annual Service Charge paid during the initial term of the Agreement.
(ii) A schedule of refresh obligations for workstations and servers to be performed by Supplier during Contract Years 6 and 7, showing the dates by which such refresh obligations will be performed. The charges for Supplier’s provision of labor to support such workstation and server refresh obligations are covered in the Annual Service Charge to be paid to Supplier during Contract Years 6 and 7.
		
	6.
	Subsection 2.1(a), Amount at Risk, in Section 2 (Definitions) of Schedule B (Service Levels) is deleted in its entirety and replaced with the following:

Health Net/IBM Confidential         Amendment 4        Page 2

(a) “Amount at Risk” means an amount equal to ***percent (***%) of the aggregate monthly charges payable by Health Net under this Agreement. The Parties shall exclude from the aggregate monthly charges payable by Health Net the following components of the charges: 

		
	7.
	The following is hereby added as Section 5.6 to Schedule B.

5.6 Amendment 4 Additional Service Levels 
		
	(a)
	Within 30 days after the execution of Amendment 4, the Parties will develop additional Service Levels for the categories set forth below (the “Amendment 4 Service Levels”) in accordance subsection (b) below. These new Service Levels will be effective on September 1, 2014: 

		
	(i)
	Project Service Levels that address the following (the “Project SLAs”):

		
	(1)
	Turnaround time for intake, design and estimation of project requests

		
	(2)
	Delivery of projects and project milestones within a ***% variance of the written price estimate provided by Supplier upon which HN based its decision to proceed with the project 

		
	(3)
	Delivery of projects and project milestones within a ***% variance of the written schedule estimate provided by Supplier upon which HN based its decision to proceed with the project 

		
	(4)
	Quality of Supplier deliverables and artifacts, which will be measured based upon when a deliverable does not meet its specifications *** times.

These Project SLAs shall not be Critical Service Levels (i.e., not subject to payment of Service Level Credits), however, amounts paid for Projects shall be counted in the Amount at Risk calculation. Health Net shall have the right to designate Project Service Levels as Top *** Critical Service Levels pursuant to Section 16.1(c) of the Master Agreement, and if Health Net does so, notwithstanding any term in the Agreement to the contrary including Section 16.1(c), and regardless of any Weighting Factors that may have been assigned by Health Net to the Project SLAs pursuant to the provisions of Section 16.1(c), Supplier’s failure to achieve such Project SLAs will not result in any Service Level Credits to Health Net.

Health Net/IBM Confidential         Amendment 4        Page 3

		
	(ii)
	Business Functions Service Levels (a replacement of the current General System Availability Service Level Number 4 on Exhibit B-1 with “Top Business Function” SLAs to better reflect the end user experience), including the joint plan to identify the “Top Business Function” applications, associated servers, end users and locations.

		
	(b)
	The Amendment 4 Service Levels will be established within thirty (30) days after the execution of Amendment 4 using the following process.

		
	(i)
	If Gartner has published a “Suggested” service level prior to March 1, 2014, the Amendment 4 Service Level shall be set using such standard.

		
	(ii)
	If Gartner has not published a “Suggested” service level prior to March 1, 2014, Health Net shall establish the Amendment 4 Service Level, as long as the standard so established by Health Net is reasonable. 

		
	(iii)
	Supplier shall have the right to object to the reasonableness of the Service Level set by Health Net by sending written notice to Health Net. If Supplier so objects, KPMG will determine whether such Service Level is reasonable. 

		
	1.
	If KPMG determines that the Service Level set by Health Net is reasonable, then it will become the Amendment 4 Service Level, and Supplier shall pay KPMG’s fees relating to this effort. 

		
	2.
	If KPMG determines that the Service Level set by Health Net is not reasonable, then (i) KPMG shall so notify Health Net and Supplier, (ii) Health Net shall pay KPMG’s fees relating to this effort, and (iii) clause (iv) below shall apply. 

		
	(iv)
	In the event that Supplier objects to the reasonableness of a Service Level established by Health Net per clause (ii) that KPMG determines is not reasonable per clause (iii)(2), then Health Net shall have the right to propose an alternative reasonable Service Level as set forth in Section (ii), in which event clauses (ii) and (iii) will apply until a Service Level has been established. 

		
	(v)
	Notwithstanding any term in the Agreement to the contrary including Section 16.1(c), and regardless of any Weighting Factors that may be assigned by Health Net to any Project SLAs established pursuant to this Amendment 4, Supplier’s failure to achieve such Project SLAs will not result in any Service Level Credits to Health Net if such failure by Supplier was the cause of Supplier’s forfeiture of any of the specific Targets (defined below). For the avoidance of doubt and in furtherance of greater clarity, all SLAs contemplated in this Amendment 4 shall be subject to Service Level Credits during the Renewal Terms.

		
	8.
	The current subsection (b) of Section 4.1 (Annual Services Charges) of Schedule C (Charges) is deleted and replaced by the following: 

(b) The Annual Services Charge (inclusive of the charges for the Work Orders set forth in Exhibit C-3) shall fully compensate Supplier for providing and supporting (i) the volume of RUs set forth in the Resource Baselines; and (ii) the services set forth in the Work Orders identified in such Exhibit. If the quantity of RUs consumed by Health Net within any Resource Category in any ***  is more or less than the quantity of RUs specified in such Resource Baseline, an ARC or RRC, respectively, shall be applicable as provided in Section 4.2, except as provided otherwise for particular Resource Units or in particular circumstances. The ARCs represent compensation for the additional related Services provided. The RRCs represent credits for under-utilization of the related Services. 

		
	9.
	Subsections (a) through (f) of Section 4.3 (ARC and RRC Deadbands) of Schedule C are deleted in their entirety. 

Health Net/IBM Confidential         Amendment 4        Page 4

		
	10.
	Subsection (b) of Section 4.5 (Minimum Commitment) of Schedule C is deleted in its entirety. Further, there shall be no Minimum Commitment during any of the Renewal Terms.

		
	11.
	The following new Sections 5.2(h) - 5.2(k) are hereby added to Schedule C:

(h) During the first 60 days after the Amendment 4 Commencement Date, there shall be no limit on the amount of the Baseline Project Pool that Supplier may use to perform work on Backlog Projects. During the period of May 1 through May 31, 2014, Supplier may use up to ***percent (***%) of the Baseline Project Pool to perform work on Backlog Projects. In no event after May 31, 2014 shall Supplier use more than ***percent (***%) of the Baseline Project Pool to perform work on Backlog Projects unless Supplier has first received Health Net’s written consent to expressly do so. Any additional Project Hours (including those performed by project manager and technical solution architects) that Supplier may require in order to complete Backlog Projects by their respective Committed Dates will be provided at no additional charge to Health Net. Notwithstanding the foregoing, Supplier shall work diligently to timely provide all Services, and Supplier’s efforts on Backlog Projects shall not compromise its efforts on the other Projects or Services.  Further, Backlog Projects are part of the Health Net Project Pipeline.
(i) Except for the express refresh obligations for which Health Net has financial responsibility under this Agreement, and subject to Section 2.21(a)(iii)(B) of Schedule A, all Supplier Personnel engaged in fulfilling Supplier’s Hardware and Software refresh and currency requirements under this Agreement are the financial responsibility of IBM. For purposes of clarity and by way of example and not limitation, Hardware and Software refresh and currency Services shall not be deemed a Project and the hours for Supplier Personnel used therein shall not be counted as chargeable Project Hours unless such Hardware and Software refresh and currency Services are expressly described in one or more of the Backlog Projects. 
(j) Beginning as of the execution date of Amendment 4, except for information regarding Network-related project services, which will be reported in the month following the month in which the Network project services were performed, Supplier must provide the following information in the week following the week in which the services were performed:
		
	(i)
	Input Project Hours spent/projected by Project and role into PlanView on a *** basis  

		
	(ii)
	Status of IBM activities delivered for the Project to the Health Net Project Manager

		
	(iii)
	Projected timeline to complete the Project as well as any adjustments delivered to the Health Net Project Manager

		
	(iv)
	Dependencies that Supplier has on Health Net for timely completion of the Project delivered to the Health Net Project Manager 

		
	(v)
	Supplier shall also promptly provide to Health Net any additional information and backup documentation reasonably requested by Health Net that is relevant to the calculation of the credit described in Section 5.2(d) of Schedule C.

Health Net will be responsible for providing all required access to the Plan View application for each Project no less than one week prior to the data entry deadline. If access is delayed by Health Net, input deadlines will be two weeks after the access is granted for affected Projects.

Health Net/IBM Confidential         Amendment 4        Page 5

In the event Supplier identifies Project Hours that were not inputted within the required timeframes, Supplier may request a waiver from Health Net to approve such additional hours. Granting of such waiver shall be at the sole discretion of Health Net and must be in writing and signed by Health Net’s Director of IT Production Support or V.P. of Information Systems (which may be provided electronically via PDF) to be effective.  If Health Net issues a waiver, Supplier must input the required information within ten (10) days after Supplier’s receipt of such waiver.  

If Supplier fails to input or provide data for which a waiver was provided within such ten (10) day period, then none of those hours shall be deducted from the total of Project Hours available to Health Net, nor may such hours be chargeable to Health Net. 
		
	12.
	(k) For the purpose of clarity and the avoidance of doubt, the parties acknowledge that Amendment 4 is not intended to resolve the pending dispute relating to the calculation of any credit that may be owed pursuant to this Section 5.2 (Baseline Project Pool). The current table at the end of Section 6.1 (Introduction) of Section 6 (Hardware Services Charges) of Schedule C is deleted in its entirety and replaced with the following new table:

	
									
	 
	Contract Year

	 
	CY1
	CY2
	CY3
	CY4
	CY5
	CY6
	CY7

	HSC Allocation (1)
	$***
	$***
	$***
	$***
	$***
	$***
	$***

	(1) That portion of the HSC that pertains to the purchase of the Equipment described in Items # 17, 18 and 19 of Exhibit A-1 (Refresh) is as follows:
Contract Year 1 = $***
Contract Year 2 = $***
Contract Year 3 = $***
Contract Year 4 = $***
Contract Year 5 = $***

		
	13.
	The current subparagraph (a) and the first paragraph of subparagraph (b) of Subsection 8.1 (Cost of Living Adjustment (COLA)) to Section 8 (Adjustments to Charges) of Schedule C are deleted in their entirety and replaced with the following:

(a)Each calendar year beginning January 1, 2010 for the T&M Rates and January 1. 2015 for all other Rates and Charges, Supplier shall have the right to increase (i) the Annual Services Charge, (ii) the ARC/RRC Rates, and (iii) the T&M Rates (collectively, the “Adjustable Charges”) using the Inflation Factor defined below (each adjustment, a “COLA”). Supplier shall not increase the Adjustable Charges for T&M Rates prior to January 1, 2010 and shall not increase the Adjustable Charges for all other Rates and Charges prior to January 1, 2015. 
(b)Subject to Section 8.1(d) below, the “Inflation Factor” for each calendar year beginning in 2010 for the T&M Rates and in 2015 for all other Rates and Charges shall be equal to ***percent (***%) times the percentage increase in the Consumer Price Index (rounded to two digits to the right of the decimal point) (i) from December 31, 2008 (the “T&M Base Year Index”) to December 31 of the year immediately preceding the year in which the COLA is to be made on the T&M Rates; and (ii) from December 31, 2013 (the “Other Rates and Charges Base Year Index”) to December 31 of the year immediately preceding the year in which the COLA is to be made on all other Rates and Charges. If the Inflation Factor is a negative number, no adjustment shall be made. In calculating adjustments hereunder, the Inflation Factor shall be applied to the Adjustable Charges as set forth in this Agreement on the Amendment 4 Commencement Date.

Health Net/IBM Confidential         Amendment 4        Page 6

		
	14.
	*** [Represents 2.5 pages of material pursuant to a request for confidential treatment under Rule 24b-2 of the Securities Exchange Act of 1934 which has been filed separately with the Securities and Exchange Commission]

		
	15.
	The following is hereby added as a new Section 8.12 to Schedule C:

8.12 VOIP 
Prior to this Amendment 4, Supplier submitted a proposal to deliver the VoIP project utilizing both New Services and Project Team resources. Health Net will evaluate and meet with Supplier to discuss the proposal. If Health Net determines that Supplier’s proposal is competitively priced and satisfies all other Health Net requirement, then Health Net and Supplier will engage in another round of scope and architecture discussions to further reduce the cost of the Project while still meeting the objectives. 

		
	16.
	For the avoidance of doubt and in furtherance of greater clarity, as it relates to Exhibits C-2 and C-4, the parties acknowledge their intent is to modify only the baselines and rates for IT services as a result of this Amendment.

		
	3.
	Attachments: 

Amendment 4 Exhibit C-2
Amendment 4 Exhibit C-3
Amendment 4 Exhibit C-4
Amendment 4 Exhibit C-8 
Exhibit A-14

4.    Miscellaneous. Both parties agree to work in good faith and to deal fairly with one another in performing all of the tasks and obligations contemplated by the Agreement and this Amendment. Except as expressly amended herein, the terms and conditions of the Master Agreement shall remain unchanged and in full force and effect, including without limitation Supplier’s obligations to perform during the new Term the Services included within the Annual Service Charge during the original Term. In the event of any conflict or inconsistency between the provisions of the Master Agreement and the provisions of this Amendment, the provisions of this Amendment shall control. All terms used herein but not defined herein that are defined in the Master Agreement shall have the same meaning for purposes hereof as they do for purposes of the Master Agreement. This Amendment shall be binding upon and shall inure to the benefit of the Parties and their respective beneficiaries, successors and assigns.

IN WITNESS WHEREOF, the Parties have executed this Amendment to the Master Services Agreement as of the Amendment 4 Commencement Date.

	
		
	HEALTH NET, INC.

By:   /s/ Robert Bushey, Vice President, 
         Strategic Sourcing and Procurement

Date: May 21, 2014

	INTERNATIONAL BUSINESS
MACHINES CORPORATION

By:   /s/ George Cruser, General Manager

Date: May 21, 2014

Health Net/IBM Confidential         Amendment 4        Page 7

EXHIBIT C-2
RESOURCE BASELINES
***
[Represents 132 pages of material pursuant to a request for confidential treatment under Rule 24b-2 of the Securities Exchange Act of 1934 which has been filed separately with the Securities and Exchange Commission]

Health Net/IBM Confidential         Amendment 4        Page 8

EXHIBIT C-3
ANNUAL SERVICES CHARGE
***
[Represents 5 pages of material pursuant to a request for confidential treatment under Rule 24b-2 of the Securities Exchange Act of 1934 which has been filed separately with the Securities and Exchange Commission]

Health Net/IBM Confidential         Amendment 4        Page 9

EXHIBIT C-4
ARC/RRC RATES
***
[Represents 86 pages of material pursuant to a request for confidential treatment under Rule 24b-2 of the Securities Exchange Act of 1934 which has been filed separately with the Securities and Exchange Commission]

Health Net/IBM Confidential         Amendment 4        Page 10

EXHIBIT C-8
TERMINATION CHARGES
***
[Represents 1.5 pages of material pursuant to a request for confidential treatment under Rule 24b-2 of the Securities Exchange Act of 1934 which has been filed separately with the Securities and Exchange Commission]

Health Net/IBM Confidential         Amendment 4        Page 11

EXHIBIT A-14
BACKLOG PROJECTS and SCHEDULE A IMPROVEMENTS

Health Net/IBM Confidential         Amendment 4        Page 12

	
				
	RFS
	Title
	Committed Dates
	Milestone and Comments

	09-160
	HNFS Secure Remote Computing
	05/30/14
	Date is a milestone to develop a solution for the Lotus Notes issue

	09-190
	WLS and ESB Updates NEW
	09/30/14
	 

	10-056
	ODW Database Move
	07/15/14
	 

	10-168
	Corp SQL Cluster Upgrade
	09/30/14
	 

	10-178
	T-3 Information Warehouse 
	04/01/14
	complete

	10-286
	McAfee TPE implementation
	09/30/14
	 

	10-306
	Network IPS / NAC
	06/30/14
	 

	11-056
	Oracle V72.4 RDB Upgrade HP Upgrade
	09/30/14
	 

	11-067
	HNFS Customer Contact Center Modern (pega) (Confirm Roll-out schedule)
	04/11/14
	complete

	11-091
	Windows 7 Enterprise
	07/30/14
	 

	11-116
	HNFS SQL storage space
	03/15/14
	complete

	11-121
	Commercial Two Factor Authentication
	07/01/14
	 

	11-154
	Add Xendesktop for DR
	06/01/14
	 

	11-170
	UpgradeApache
	04/01/14
	complete

	11-173
	Upgrade AIX
	06/18/14
	 

	11-211
	Healthnet.com Redesign
	05/11/14
	 

	11-222
	SAS Upgrade
	09/01/14
	 

	12-032
	ISP - DB/Oracle Work Stream
	07/30/14
	 

	12-038
	BO 5.x to BOXI 3.1 Migration
	07/31/14
	 

	12-049
	ISP - NETQoS analysis
	07/30/14
	 

	12-054
	ISP - Omnibus Deployment 
	07/31/14
	 

	12-085
	EOL/EOS Network hardware
	08/15/14
	 

	12-092
	Dual Eligible Reporting
	04/01/14
	complete

	12-093
	ISP - MyArchive solution
	07/31/14
	 

	12-106
	InfoSec Scanning Servers
	06/09/14
	 

Health Net/IBM Confidential         Amendment 4        Page 13

	
				
	RFS
	Title
	Committed Dates
	Milestone and Comments

	12-110
	Informatica
	09/30/14
	 

	12-126
	Add ODW to DR
	06/01/14
	 

	12-127
	Add Re-platformed Informatica to DR
	07/30/14
	 

	12-133
	Add OCOE to DR
	06/01/14
	 

	12-149
	DMZ Mailgate Replacement
	05/15/14
	Date is a milestone for the completion of disk drive removal 

	12-154
	Commercial Oracle DB Upgrades
	08/15/14
	 

	12-166
	SAP Storage Growth Request
	06/01/14
	 

	12-171
	DUALS 13R2 ABS and Surround Implementation (April Complete)
	04/17/14
	Date is a milestone for the last deliverables completed (HN go live with IVR, pcr03 storage installed)

	12-177
	Refresh SVC 1
	07/15/14
	 

	12-185
	RDB Schema Move
	09/30/14
	 

	13-007
	Commercial Domain Controller Expansion
	03/15/14
	complete

	13-008
	Federal Domain Controller Expansion
	05/19/14
	Date is a milestone for the promotion of the first domain controller (assumes encryption fixed)

	13-012
	Migrate Medi-Cal to ABS 
	07/31/14
	 

	13-013
	Replace InTrust with ChangeAdvisor
	08/04/14
	Milestone completion on 8/4 will be that Change Advisor is live.

	13-015
	Transition Security Operations Center
	06/30/14
	 

	13-037
	RHEL VMS for Pega AES Monitoring
	04/30/14
	Complete

	13-040
	Update DNS Infrastructure
	09/30/14
	Date is a milestone for requirements as currently scoped, but excludes decom.

	13-047
	AMES Access Administration
	05/01/14
	 

	13-048
	HP ALM 11x Upgrade (Currency)
	08/11/14
	Health Net must sign the work order by 4/30

	13-050
	Health Net Boulder firewall upgrade
	10/31/14
	 

	13-052
	Add Storage to Oakland
	06/30/14
	 

Health Net/IBM Confidential         Amendment 4        Page 14

	
				
	RFS
	Title
	Committed Dates
	Milestone and Comments

	13-064
	VMS 10gE Solution
	07/29/14
	 

	13-070
	Deploy cisco phones in WH
	06/30/14
	 

	13-072
	Vacate and Decom RC-APP47
	06/09/14
	 

	13-073
	Resource IQ Data Rehosting
	05/30/14
	 

	13-075
	i-Series Encryption
	09/30/14
	 

	13-079
	WR Entrendex to FormWorks 5.0 Migration
	07/15/14
	 

	13-080
	HEDIS Data Retention/Legal Hold
	05/16/14
	 

	13-081
	CalPERS 2014 Implementation
	04/01/14
	Complete

	13-083
	HNFS Management Traffic Routing
	03/15/14
	Complete

	13-084
	Upgrade Citrix Environment to Windows Server 2008 PUB - Health Net Project Template
	09/30/14
	 

	13-086
	TR Currency CDS Server Refresh
	05/31/14
	Date is a milstone for IBM to turn over servers to application team

	13-090
	Woodland Hills Tape Library Expansion
	04/14/14
	Complete

	13-091
	Rancho Cordova Tape Library Expansion
	03/15/14
	complete

	13-094
	Macess Upgrade Project
	09/06/14
	 

	13-101
	HN RC-APP11 Virtual Server Upgrade
	05/15/14
	Date is a milestone for IBM to turn over servers to application team

	13-104
	Zavanta common share relocation to Boulder
	04/15/14
	complete

	13-112
	Bulk decommission - Physical
	05/05/14
	complete

	13-113
	Bulk decommission - Virtual
	05/05/14
	complete

	13-114
	Solution Commercial Rightfax for DR
	06/01/14
	 

	13-115
	Solution and Add Federal Rightfax for DR
	06/01/14
	 

	13-118
	MR Replatform
	05/15/14
	complete

	13-119
	Decom Set 2 SALSA
	04/01/14
	Complete

	13-120
	Decom WH Citrix
	04/01/14
	Complete

	13-122
	Solution and add Federal NAS to DR
	08/01/14
	 

Health Net/IBM Confidential         Amendment 4        Page 15

	
				
	RFS
	Title
	Committed Dates
	Milestone and Comments

	13-123
	Fresno Move
	07/14/14
	 

	13-124
	Migrate and Decom WH-IVRSW01
	09/15/14
	 

	13-127
	Upgrade Sysgem to SEM v3.x
	06/01/14
	Date is a milstone for IBM to turn over servers to application team

	13-168
	Civer Psych Data Archival
	05/23/14
	 

	13-169
	Additional Storage for Core Dump Files
	07/01/14
	 

	13-171
	TR Accruent RC-APP30 Vacate and Decom
	07/15/14
	 

	13-172
	Upgrade RightFax Application to v10
	08/15/14
	 

	13-173
	 Pega AES Acquisition - HNFS
	09/01/14
	 

	14-003
	SHP & ABS - Provider & Directories
	09/30/14
	 

	14-005
	PGBA TR3960 Redundant Hold Time Project
	06/30/14
	 

	14-006
	Expand Testing Environments Requirements (part of Medi-Cal Migration)
	06/27/14
	Date is a milestone for solution implementation as currently scoped, but excludes decom.

	14-008
	Internal Mail Gate Replacement
	09/30/14
	 

	14-009
	TR FS MAPINFO Server Refresh
	05/01/14
	Cancelled , moved to refresh 98-034 

	14-011
	FilemakerPro Upgrade
	08/30/14
	 

	14-012
	CQM PQI SQL Database
	06/15/14
	 

	14-013
	Adding PAOS UAT Environment
	05/01/14
	Complete

	14-014
	Shadow Software Version Upgrade
	07/15/14
	 

	14-015
	Aerojet Redesign
	09/30/14
	Date is a milestone for requirements as currently scoped, but excludes decom.

	98-019
	(Currency) Upgrade zOS to v1.12
	09/30/14
	 

	98-025
	(Currency) Riverbed Steelhead Network Appliance upgrade
	07/31/14
	 

Health Net/IBM Confidential         Amendment 4        Page 16

	
				
	RFS
	Schedule A Description
	Committed Dates
	Milestone and Comments

	12-142
	2011 ISA Remedation Program
	05/16/14
	Date is a milestone for all items listed on the worksheet "12-142 2011 ISA Detail"  

	99-006
	ISP Monitoring Tools Deployment
	07/30/14
	 

	99-002
	ISP BUR Move Backups to Backend Network
	04/30/14
	Complete 

	10-273
	2011 Tech Refresh  
	07/31/14
	 

	99-008
	ISA 2012 Remediation
	05/16/14
	Date is a milestone for all items listed on the worksheet "99-008 2012 ISA Detail"      

	99-009
	ISP ITCAM Implementation (formally 99-008)
	04/21/14
	complete

	98-013
	DB2 on zOs Upgrade
	09/30/14
	 

	98-012
	TR CURRENCY RC-APP42 Refresh
	06/30/14
	 

	98-015
	TR Currency BLD-SQLCL1011 Refresh
	06/15/14
	Date is a milestone for IBM to handover servers to HN per the scope of the BTI WO

	98-016
	TR Currency RC SCCM Refresh
	05/30/14
	 

	98-018
	TR Currency Upgrade RC-APP08 Refresh
	05/30/14
	 

	99-029
	XP Storage Array Microcode Upgrades
	08/31/14
	 

	99-031
	Secondary Power Remediation
	07/15/14
	 

	99-032
	HPSE installation on servers
	07/15/14
	 

	99-033
	SVC Firmware Upgrade
	07/30/14
	 

	99-035
	TDP Deployment for SQL
	07/15/14
	 

	99-036
	LAN Free on Large Unix Servers
	07/15/14
	 

	98-024
	TR ABS CAP Refresh
	06/30/14
	Date is a milestone for IBM to turn over servers to application team

	98-020
	TR Intranet Content OS Refresh
	05/30/14
	Date is a milestone for IBM to turn over servers to application team

	98-021
	TR MAGIC SQL migration and decommission
	05/30/14
	Date is a milestone for IBM to turn over servers to application team

	98-022
	Decom Set 1
	05/21/14
	 

	98-023
	Upgrade Vmware vSphere to v5.1
	09/30/14
	 

Health Net/IBM Confidential         Amendment 4        Page 17

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	299
	IBM
	WIP - CMR
	ISA001079
	High
	167.238.169.7
	bld-hn-dnscache01

	ISA2011
	17562
	IBM
	WIP
	ISA001560
	Low
	167.238.169.5
	bld-hn-dnsgm

	ISA2011
	17563
	IBM
	WIP
	ISA001563
	Low
	167.238.169.5
	bld-hn-dnsgm

	ISA2011
	26325
	IBM
	WIP
	ISA001212
	Medium
	167.238.202.13
	bld-hn-vcs-prd.hncorp

	ISA2011
	26274
	IBM
	WIP
	ISA001147
	High
	167.238.202.5
	FED-STG2

	ISA2011
	26275
	IBM
	WIP
	ISA001148
	High
	167.238.202.5
	FED-STG2

	ISA2011
	26276
	IBM
	WIP
	ISA001149
	High
	167.238.202.5
	FED-STG2

	ISA2011
	26278
	IBM
	WIP
	ISA001157
	Medium
	167.238.202.5
	FED-STG2

	ISA2011
	26277
	IBM
	WIP
	ISA001156
	High
	167.238.202.5
	FED-STG2

	ISA2011
	26279
	IBM
	WIP
	ISA001147
	High
	167.238.202.6
	RC-RAX25

	ISA2011
	26280
	IBM
	WIP
	ISA001148
	High
	167.238.202.6
	RC-RAX25

	ISA2011
	26281
	IBM
	WIP
	ISA001149
	High
	167.238.202.6
	RC-RAX25

	ISA2011
	26283
	IBM
	WIP
	ISA001157
	Medium
	167.238.202.6
	RC-RAX25

	ISA2011
	26282
	IBM
	WIP
	ISA001156
	High
	167.238.202.6
	RC-RAX25

	ISA2011
	26268
	IBM
	WIP
	ISA001157
	Medium
	167.238.202.34
	Vlan 111 / LB-DATA-PROD-2 to LB Vlan 912

	ISA2011
	13376
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.79
	167.238.143.79

	ISA2011
	17231
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.79
	167.238.143.79

	ISA2011
	17228
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.79
	167.238.143.79

	ISA2011
	13189
	IBM
	WIP
	ISA001473
	Medium
	167.238.143.79
	167.238.143.79

	ISA2011
	13286
	IBM
	WIP
	ISA001474
	Medium
	167.238.143.79
	167.238.143.79

	ISA2011
	13441
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.79
	167.238.143.79

	ISA2011
	17229
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.79
	167.238.143.79

	ISA2011
	297
	IBM
	WIP
	ISA001010
	Medium
	141.177.178.39
	BCM40.localdomain

	ISA2011
	12468
	IBM
	WIP - Pending HN
	ISA001474
	Medium
	167.238.141.112
	bld-hnc-dns02

Health Net/IBM Confidential         Amendment 4        Page 18

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	12469
	IBM
	WIP - Pending HN
	ISA001474
	Medium
	167.238.178.163
	bld-hnc-dnsgm-node1

	ISA2011
	12470
	IBM
	WIP - Pending HN
	ISA001474
	Medium
	167.238.178.121
	bld-hnc-dnsgm-node2

	ISA2011
	12471
	IBM
	WIP - Pending HN
	ISA001474
	Medium
	167.238.169.26
	bld-hn-dns01-n2

	ISA2011
	300
	IBM
	WIP
	ISA001079
	High
	167.238.169.5
	bld-hn-dnsgm

	ISA2011
	26254
	IBM
	WIP
	ISA001147
	High
	167.238.202.2
	BLD-HN-MSE-8000

	ISA2011
	26259
	IBM
	WIP
	ISA001147
	High
	167.238.202.3
	BLD-HN-MSE-8000

	ISA2011
	26264
	IBM
	WIP
	ISA001147
	High
	167.238.202.34
	BLD-HN-MSE-8000

	ISA2011
	26255
	IBM
	WIP
	ISA001148
	High
	167.238.202.2
	BLD-HN-MSE-8000

	ISA2011
	26260
	IBM
	WIP
	ISA001148
	High
	167.238.202.3
	BLD-HN-MSE-8000

	ISA2011
	26265
	IBM
	WIP
	ISA001148
	High
	167.238.202.34
	BLD-HN-MSE-8000

	ISA2011
	26256
	IBM
	WIP
	ISA001149
	High
	167.238.202.2
	BLD-HN-MSE-8000

	ISA2011
	26261
	IBM
	WIP
	ISA001149
	High
	167.238.202.3
	BLD-HN-MSE-8000

	ISA2011
	26266
	IBM
	WIP
	ISA001149
	High
	167.238.202.34
	BLD-HN-MSE-8000

	ISA2011
	26258
	IBM
	WIP
	ISA001157
	Medium
	167.238.202.2
	BLD-HN-MSE-8000

	ISA2011
	26263
	IBM
	WIP
	ISA001157
	Medium
	167.238.202.3
	BLD-HN-MSE-8000

	ISA2011
	26257
	IBM
	WIP
	ISA001156
	High
	167.238.202.2
	BLD-HN-MSE-8000

	ISA2011
	26262
	IBM
	WIP
	ISA001156
	High
	167.238.202.3
	BLD-HN-MSE-8000

	ISA2011
	26267
	IBM
	WIP
	ISA001156
	High
	167.238.202.34
	Vlan 111 / LB-DATA-PROD-2 to LB Vlan 912

	ISA2011
	13150
	IBM
	WIP - Pending HN
	ISA001473
	Medium
	167.238.131.27
	167.238.131.27

	ISA2011
	13247
	IBM
	WIP - Pending HN
	ISA001474
	Medium
	167.238.131.27
	167.238.131.27

	ISA2011
	12512
	IBM
	WIP - Pending HN
	ISA001477
	Medium
	167.238.167.67
	content

	ISA2011
	10410
	IBM
	WIP - Pending HN
	ISA001169
	High
	167.238.244.239
	hn-p01-hvd188

	ISA2011
	12679
	IBM
	WIP - Pending HN
	ISA001477
	Medium
	167.238.137.80
	hnweb-pgdev

	ISA2011
	12680
	IBM
	WIP - Pending HN
	ISA001477
	Medium
	167.238.129.158
	hnweb-pgprd

	ISA2011
	12682
	IBM
	WIP - Pending HN
	ISA001477
	Medium
	167.238.137.81
	hnweb-pgsbx

Health Net/IBM Confidential         Amendment 4        Page 19

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	12683
	IBM
	WIP - Pending HN
	ISA001477
	Medium
	167.238.137.83
	hnweb-pgstg

	ISA2011
	12684
	IBM
	WIP - Pending HN
	ISA001477
	Medium
	167.238.137.82
	hnweb-pguat

	ISA2011
	18078
	IBM
	WIP - Pending HN
	ISA001574
	Medium
	167.238.179.12
	RC-C14-E1-3

	ISA2011
	18076
	IBM
	WIP - Pending HN
	ISA001574
	Medium
	167.238.172.14
	RC-C14-E1-3

	ISA2011
	18077
	IBM
	WIP - Pending HN
	ISA001563
	Low
	167.238.179.12
	RC-C14-E1-3

	ISA2011
	18075
	IBM
	WIP - Pending HN
	ISA001563
	Low
	167.238.172.14
	RC-C14-E1-3

	ISA2011
	26890
	IBM
	WIP - Pending HN
	ISA001210
	Low
	167.238.129.107
	securevendor

	ISA2011
	13347
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.122
	167.238.143.122

	ISA2011
	27108
	IBM
	WIP
	ISA001470
	High
	167.238.178.13
	167.238.178.13

	ISA2011
	13457
	IBM
	WIP
	ISA001477
	Medium
	167.238.148.44
	BCK4

	ISA2011
	18566
	IBM
	WIP
	ISA001573
	High
	167.238.166.159
	BLD-APPADDM01

	ISA2011
	18567
	IBM
	WIP
	ISA001574
	Medium
	167.238.166.159
	BLD-APPADDM01

	ISA2011
	18564
	IBM
	WIP
	ISA001560
	Low
	167.238.166.159
	BLD-APPADDM01

	ISA2011
	18565
	IBM
	WIP
	ISA001563
	Low
	167.238.166.159
	BLD-APPADDM01

	ISA2011
	18570
	IBM
	WIP
	ISA001573
	High
	167.238.166.160
	BLD-APPADDM02

	ISA2011
	18571
	IBM
	WIP
	ISA001574
	Medium
	167.238.166.160
	BLD-APPADDM02

	ISA2011
	18568
	IBM
	WIP
	ISA001560
	Low
	167.238.166.160
	BLD-APPADDM02

	ISA2011
	18569
	IBM
	WIP
	ISA001563
	Low
	167.238.166.160
	BLD-APPADDM02

	ISA2011
	26314
	IBM
	WIP
	ISA001470
	High
	167.238.156.109
	bld-devnas01

	ISA2011
	17310
	IBM
	WIP
	ISA001573
	High
	167.238.178.101
	BLD-DEVNAS01-RIB

	ISA2011
	17311
	IBM
	WIP
	ISA001574
	Medium
	167.238.178.101
	BLD-DEVNAS01-RIB

	ISA2011
	17308
	IBM
	WIP
	ISA001567
	Medium
	167.238.178.101
	BLD-DEVNAS01-RIB

	ISA2011
	17307
	IBM
	WIP
	ISA001563
	Low
	167.238.178.101
	BLD-DEVNAS01-RIB

	ISA2011
	17306
	IBM
	WIP
	ISA001559
	Low
	167.238.178.101
	BLD-DEVNAS01-RIB

	ISA2011
	26150
	IBM
	WIP
	ISA001472
	High
	167.238.178.101
	BLD-DEVNAS01-RIB

	ISA2011
	17309
	IBM
	WIP
	ISA001571
	Medium
	167.238.178.101
	BLD-DEVNAS01-RIB

Health Net/IBM Confidential         Amendment 4        Page 20

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17891
	IBM
	WIP
	ISA001573
	High
	167.238.154.28
	BLD-FSPRDNAS01

	ISA2011
	17897
	IBM
	WIP
	ISA001574
	Medium
	167.238.154.28
	BLD-FSPRDNAS01

	ISA2011
	17887
	IBM
	WIP
	ISA001567
	Medium
	167.238.154.28
	BLD-FSPRDNAS01

	ISA2011
	17881
	IBM
	WIP
	ISA001563
	Low
	167.238.154.28
	BLD-FSPRDNAS01

	ISA2011
	17876
	IBM
	WIP
	ISA001559
	Low
	167.238.154.28
	BLD-FSPRDNAS01

	ISA2011
	17889
	IBM
	WIP
	ISA001571
	Medium
	167.238.154.28
	BLD-FSPRDNAS01

	ISA2011
	26323
	IBM
	WIP
	ISA001212
	Medium
	167.238.169.5
	bld-hn-dnsgm

	ISA2011
	26329
	IBM
	WIP
	ISA001741
	Medium
	167.238.156.108
	bld-prdnas01

	ISA2011
	26328
	IBM
	WIP
	ISA001470
	High
	167.238.156.108
	bld-prdnas01

	ISA2011
	17304
	IBM
	WIP
	ISA001573
	High
	167.238.178.100
	BLD-PRDNAS01-RIB

	ISA2011
	17305
	IBM
	WIP
	ISA001574
	Medium
	167.238.178.100
	BLD-PRDNAS01-RIB

	ISA2011
	17302
	IBM
	WIP
	ISA001567
	Medium
	167.238.178.100
	BLD-PRDNAS01-RIB

	ISA2011
	17301
	IBM
	WIP
	ISA001563
	Low
	167.238.178.100
	BLD-PRDNAS01-RIB

	ISA2011
	17300
	IBM
	WIP
	ISA001559
	Low
	167.238.178.100
	BLD-PRDNAS01-RIB

	ISA2011
	17303
	IBM
	WIP
	ISA001571
	Medium
	167.238.178.100
	BLD-PRDNAS01-RIB

	ISA2011
	17904
	IBM
	WIP
	ISA001562
	High
	167.238.143.150
	BLDR-INF-PRD101-LOM

	ISA2011
	23593
	IBM
	WIP
	ISA001570
	High
	167.238.143.150
	BLDR-INF-PRD101-LOM

	ISA2011
	17908
	IBM
	WIP
	ISA001573
	High
	167.238.143.150
	BLDR-INF-PRD101-LOM

	ISA2011
	17909
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.150
	BLDR-INF-PRD101-LOM

	ISA2011
	17906
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.150
	BLDR-INF-PRD101-LOM

	ISA2011
	17905
	IBM
	WIP
	ISA001563
	Low
	167.238.143.150
	BLDR-INF-PRD101-LOM

	ISA2011
	17903
	IBM
	WIP
	ISA001559
	Low
	167.238.143.150
	BLDR-INF-PRD101-LOM

	ISA2011
	17907
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.150
	BLDR-INF-PRD101-LOM

	ISA2011
	17911
	IBM
	WIP
	ISA001562
	High
	167.238.143.151
	BLDR-INF-PRD102-LOM

	ISA2011
	23594
	IBM
	WIP
	ISA001570
	High
	167.238.143.151
	BLDR-INF-PRD102-LOM

	ISA2011
	17915
	IBM
	WIP
	ISA001573
	High
	167.238.143.151
	BLDR-INF-PRD102-LOM

Health Net/IBM Confidential         Amendment 4        Page 21

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17916
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.151
	BLDR-INF-PRD102-LOM

	ISA2011
	17913
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.151
	BLDR-INF-PRD102-LOM

	ISA2011
	17912
	IBM
	WIP
	ISA001563
	Low
	167.238.143.151
	BLDR-INF-PRD102-LOM

	ISA2011
	17910
	IBM
	WIP
	ISA001559
	Low
	167.238.143.151
	BLDR-INF-PRD102-LOM

	ISA2011
	17914
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.151
	BLDR-INF-PRD102-LOM

	ISA2011
	17918
	IBM
	WIP
	ISA001562
	High
	167.238.143.152
	BLDR-INF-PRD103-LOM

	ISA2011
	23595
	IBM
	WIP
	ISA001570
	High
	167.238.143.152
	BLDR-INF-PRD103-LOM

	ISA2011
	17922
	IBM
	WIP
	ISA001573
	High
	167.238.143.152
	BLDR-INF-PRD103-LOM

	ISA2011
	17923
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.152
	BLDR-INF-PRD103-LOM

	ISA2011
	17920
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.152
	BLDR-INF-PRD103-LOM

	ISA2011
	17919
	IBM
	WIP
	ISA001563
	Low
	167.238.143.152
	BLDR-INF-PRD103-LOM

	ISA2011
	17917
	IBM
	WIP
	ISA001559
	Low
	167.238.143.152
	BLDR-INF-PRD103-LOM

	ISA2011
	17921
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.152
	BLDR-INF-PRD103-LOM

	ISA2011
	17925
	IBM
	WIP
	ISA001562
	High
	167.238.143.153
	BLDR-INF-PRD104-LOM

	ISA2011
	23596
	IBM
	WIP
	ISA001570
	High
	167.238.143.153
	BLDR-INF-PRD104-LOM

	ISA2011
	17929
	IBM
	WIP
	ISA001573
	High
	167.238.143.153
	BLDR-INF-PRD104-LOM

	ISA2011
	17927
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.153
	BLDR-INF-PRD104-LOM

	ISA2011
	17926
	IBM
	WIP
	ISA001563
	Low
	167.238.143.153
	BLDR-INF-PRD104-LOM

	ISA2011
	17924
	IBM
	WIP
	ISA001559
	Low
	167.238.143.153
	BLDR-INF-PRD104-LOM

	ISA2011
	14078
	IBM
	WIP
	ISA001477
	Medium
	167.238.141.184
	BLD-VM71

	ISA2011
	14081
	IBM
	WIP
	ISA001477
	Medium
	167.238.141.186
	BLD-VM72

	ISA2011
	14083
	IBM
	WIP
	ISA001477
	Medium
	167.238.141.210
	BLD-VM73

	ISA2011
	14085
	IBM
	WIP
	ISA001477
	Medium
	167.238.141.212
	BLD-VM74

	ISA2011
	19991
	IBM
	WIP
	ISA001573
	High
	167.238.180.33
	BO-DEVAPP1

	ISA2011
	20003
	IBM
	WIP
	ISA001573
	High
	167.238.180.34
	BO-DEVAPP2

	ISA2011
	20011
	IBM
	WIP
	ISA001573
	High
	167.238.167.49
	BO-PRDAPP1

Health Net/IBM Confidential         Amendment 4        Page 22

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	20017
	IBM
	WIP
	ISA001573
	High
	167.238.167.50
	BO-PRDAPP2

	ISA2011
	20023
	IBM
	WIP
	ISA001573
	High
	167.238.167.51
	BO-PRDAPP3

	ISA2011
	20029
	IBM
	WIP
	ISA001573
	High
	167.238.167.52
	BO-PRDAPP4

	ISA2011
	20035
	IBM
	WIP
	ISA001573
	High
	167.238.167.53
	BO-PRDAPP5

	ISA2011
	20041
	IBM
	WIP
	ISA001573
	High
	167.238.167.54
	BO-PRDAPP6

	ISA2011
	26693
	IBM
	WIP
	ISA001741
	Medium
	167.238.156.123
	CAT

	ISA2011
	26714
	IBM
	WIP
	ISA001741
	Medium
	167.238.156.121
	CAT

	ISA2011
	26733
	IBM
	WIP
	ISA001741
	Medium
	167.238.156.122
	CAT

	ISA2011
	26742
	IBM
	WIP
	ISA001741
	Medium
	167.238.156.120
	CAT

	ISA2011
	26898
	IBM
	WIP
	ISA001741
	Medium
	167.238.156.124
	CAT

	ISA2011
	27123
	IBM
	WIP
	ISA001741
	Medium
	167.238.156.125
	CAT

	ISA2011
	27377
	IBM
	WIP
	ISA001741
	Medium
	167.238.156.64
	CAT

	ISA2011
	17223
	IBM
	WIP
	ISA001573
	High
	167.238.143.77
	cat-lom

	ISA2011
	17224
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.77
	cat-lom

	ISA2011
	17221
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.77
	cat-lom

	ISA2011
	17219
	IBM
	WIP
	ISA001560
	Low
	167.238.143.77
	cat-lom

	ISA2011
	17220
	IBM
	WIP
	ISA001563
	Low
	167.238.143.77
	cat-lom

	ISA2011
	17218
	IBM
	WIP
	ISA001559
	Low
	167.238.143.77
	cat-lom

	ISA2011
	17222
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.77
	cat-lom

	ISA2011
	20080
	IBM
	WIP
	ISA001573
	High
	167.238.144.54
	ccs-cvs1-lom

	ISA2011
	20174
	IBM
	WIP
	ISA001573
	High
	167.238.144.48
	ccs-prdsm1-lom

	ISA2011
	17727
	IBM
	WIP
	ISA001573
	High
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	20124
	IBM
	WIP
	ISA001573
	High
	167.238.144.38
	ccs-tstsm1-lom

	ISA2011
	20148
	IBM
	WIP
	ISA001573
	High
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	15128
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.28
	cmsprdapp5-lom

	ISA2011
	15129
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.28
	cmsprdapp5-lom

Health Net/IBM Confidential         Amendment 4        Page 23

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	23565
	IBM
	WIP - Pending HN
	ISA001570
	High
	167.238.143.138
	COM-PRD14

	ISA2011
	17236
	IBM
	WIP
	ISA001563
	Low
	167.238.143.87
	com-prdapp10-lom

	ISA2011
	17166
	IBM
	WIP
	ISA001563
	Low
	167.238.143.57
	com-prdapp11-lom

	ISA2011
	13431
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.57
	com-prdapp11-lom

	ISA2011
	17167
	IBM
	WIP
	ISA001563
	Low
	167.238.143.58
	com-prdapp12-lom

	ISA2011
	13432
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.58
	com-prdapp12-lom

	ISA2011
	17168
	IBM
	WIP
	ISA001563
	Low
	167.238.143.59
	com-prdapp13-lom

	ISA2011
	13433
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.59
	com-prdapp13-lom

	ISA2011
	16923
	IBM
	WIP - Pending HN
	ISA001573
	High
	167.238.143.139
	COM-PRDAPP15

	ISA2011
	16924
	IBM
	WIP - Pending HN
	ISA001574
	Medium
	167.238.143.139
	COM-PRDAPP15

	ISA2011
	16922
	IBM
	WIP - Pending HN
	ISA001571
	Medium
	167.238.143.139
	COM-PRDAPP15

	ISA2011
	13374
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.72
	com-prdapp1-lom

	ISA2011
	17216
	IBM
	WIP
	ISA001563
	Low
	167.238.143.72
	com-prdapp1-lom

	ISA2011
	13439
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.72
	com-prdapp1-lom

	ISA2011
	13342
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.101
	com-prdapp2-lom

	ISA2011
	16732
	IBM
	WIP
	ISA001563
	Low
	167.238.143.101
	com-prdapp2-lom

	ISA2011
	13408
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.101
	com-prdapp2-lom

	ISA2011
	27425
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.52
	COM-PRDAPP3

	ISA2011
	13351
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.14
	com-prdapp3-lom

	ISA2011
	16930
	IBM
	WIP
	ISA001573
	High
	167.238.143.14
	com-prdapp3-lom

	ISA2011
	16931
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.14
	com-prdapp3-lom

	ISA2011
	16928
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.14
	com-prdapp3-lom

	ISA2011
	16926
	IBM
	WIP
	ISA001560
	Low
	167.238.143.14
	com-prdapp3-lom

	ISA2011
	16927
	IBM
	WIP
	ISA001563
	Low
	167.238.143.14
	com-prdapp3-lom

	ISA2011
	16925
	IBM
	WIP
	ISA001559
	Low
	167.238.143.14
	com-prdapp3-lom

	ISA2011
	16929
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.14
	com-prdapp3-lom

Health Net/IBM Confidential         Amendment 4        Page 24

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	13350
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.13
	com-prdapp4-lom

	ISA2011
	16895
	IBM
	WIP
	ISA001573
	High
	167.238.143.13
	com-prdapp4-lom

	ISA2011
	16896
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.13
	com-prdapp4-lom

	ISA2011
	16893
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.13
	com-prdapp4-lom

	ISA2011
	16891
	IBM
	WIP
	ISA001560
	Low
	167.238.143.13
	com-prdapp4-lom

	ISA2011
	16892
	IBM
	WIP
	ISA001563
	Low
	167.238.143.13
	com-prdapp4-lom

	ISA2011
	16890
	IBM
	WIP
	ISA001559
	Low
	167.238.143.13
	com-prdapp4-lom

	ISA2011
	16894
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.13
	com-prdapp4-lom

	ISA2011
	17153
	IBM
	WIP
	ISA001562
	High
	167.238.143.55
	com-prdapp5-lom

	ISA2011
	23583
	IBM
	WIP
	ISA001570
	High
	167.238.143.55
	com-prdapp5-lom

	ISA2011
	13364
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.55
	com-prdapp5-lom

	ISA2011
	17157
	IBM
	WIP
	ISA001573
	High
	167.238.143.55
	com-prdapp5-lom

	ISA2011
	17158
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.55
	com-prdapp5-lom

	ISA2011
	17155
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.55
	com-prdapp5-lom

	ISA2011
	17154
	IBM
	WIP
	ISA001563
	Low
	167.238.143.55
	com-prdapp5-lom

	ISA2011
	17152
	IBM
	WIP
	ISA001559
	Low
	167.238.143.55
	com-prdapp5-lom

	ISA2011
	13429
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.55
	com-prdapp5-lom

	ISA2011
	17156
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.55
	com-prdapp5-lom

	ISA2011
	17160
	IBM
	WIP
	ISA001562
	High
	167.238.143.56
	com-prdapp6-lom

	ISA2011
	23584
	IBM
	WIP
	ISA001570
	High
	167.238.143.56
	com-prdapp6-lom

	ISA2011
	13365
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.56
	com-prdapp6-lom

	ISA2011
	17164
	IBM
	WIP
	ISA001573
	High
	167.238.143.56
	com-prdapp6-lom

	ISA2011
	17165
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.56
	com-prdapp6-lom

	ISA2011
	17162
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.56
	com-prdapp6-lom

	ISA2011
	17161
	IBM
	WIP
	ISA001563
	Low
	167.238.143.56
	com-prdapp6-lom

	ISA2011
	17159
	IBM
	WIP
	ISA001559
	Low
	167.238.143.56
	com-prdapp6-lom

Health Net/IBM Confidential         Amendment 4        Page 25

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	13430
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.56
	com-prdapp6-lom

	ISA2011
	17163
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.56
	com-prdapp6-lom

	ISA2011
	13354
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.20
	com-prdapp9-lom

	ISA2011
	16951
	IBM
	WIP
	ISA001573
	High
	167.238.143.20
	com-prdapp9-lom

	ISA2011
	16952
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.20
	com-prdapp9-lom

	ISA2011
	16949
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.20
	com-prdapp9-lom

	ISA2011
	16947
	IBM
	WIP
	ISA001560
	Low
	167.238.143.20
	com-prdapp9-lom

	ISA2011
	16948
	IBM
	WIP
	ISA001563
	Low
	167.238.143.20
	com-prdapp9-lom

	ISA2011
	16946
	IBM
	WIP
	ISA001559
	Low
	167.238.143.20
	com-prdapp9-lom

	ISA2011
	16950
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.20
	com-prdapp9-lom

	ISA2011
	13360
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.42
	com-prddmz1-lom

	ISA2011
	17044
	IBM
	WIP
	ISA001563
	Low
	167.238.143.42
	com-prddmz1-lom

	ISA2011
	13425
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.42
	com-prddmz1-lom

	ISA2011
	13361
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.43
	com-prddmz2-lom

	ISA2011
	17045
	IBM
	WIP
	ISA001563
	Low
	167.238.143.43
	com-prddmz2-lom

	ISA2011
	13346
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.12
	com-prdweb1-lom

	ISA2011
	16853
	IBM
	WIP
	ISA001573
	High
	167.238.143.12
	com-prdweb1-lom

	ISA2011
	16854
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.12
	com-prdweb1-lom

	ISA2011
	16851
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.12
	com-prdweb1-lom

	ISA2011
	16849
	IBM
	WIP
	ISA001560
	Low
	167.238.143.12
	com-prdweb1-lom

	ISA2011
	16850
	IBM
	WIP
	ISA001563
	Low
	167.238.143.12
	com-prdweb1-lom

	ISA2011
	16848
	IBM
	WIP
	ISA001559
	Low
	167.238.143.12
	com-prdweb1-lom

	ISA2011
	16852
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.12
	com-prdweb1-lom

	ISA2011
	13369
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.60
	com-prdweb2-lom

	ISA2011
	17169
	IBM
	WIP
	ISA001563
	Low
	167.238.143.60
	com-prdweb2-lom

	ISA2011
	13353
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.18
	com-preapp1-lom

Health Net/IBM Confidential         Amendment 4        Page 26

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	16944
	IBM
	WIP
	ISA001573
	High
	167.238.143.18
	com-preapp1-lom

	ISA2011
	16945
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.18
	com-preapp1-lom

	ISA2011
	16942
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.18
	com-preapp1-lom

	ISA2011
	16940
	IBM
	WIP
	ISA001560
	Low
	167.238.143.18
	com-preapp1-lom

	ISA2011
	16941
	IBM
	WIP
	ISA001563
	Low
	167.238.143.18
	com-preapp1-lom

	ISA2011
	16939
	IBM
	WIP
	ISA001559
	Low
	167.238.143.18
	com-preapp1-lom

	ISA2011
	16943
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.18
	com-preapp1-lom

	ISA2011
	13357
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.25
	com-preapp2-lom

	ISA2011
	16986
	IBM
	WIP
	ISA001573
	High
	167.238.143.25
	com-preapp2-lom

	ISA2011
	16987
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.25
	com-preapp2-lom

	ISA2011
	16984
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.25
	com-preapp2-lom

	ISA2011
	16982
	IBM
	WIP
	ISA001560
	Low
	167.238.143.25
	com-preapp2-lom

	ISA2011
	16983
	IBM
	WIP
	ISA001563
	Low
	167.238.143.25
	com-preapp2-lom

	ISA2011
	16981
	IBM
	WIP
	ISA001559
	Low
	167.238.143.25
	com-preapp2-lom

	ISA2011
	16985
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.25
	com-preapp2-lom

	ISA2011
	16755
	IBM
	WIP
	ISA001573
	High
	167.238.143.11
	com-preapp3-lom

	ISA2011
	16756
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.11
	com-preapp3-lom

	ISA2011
	16753
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.11
	com-preapp3-lom

	ISA2011
	16751
	IBM
	WIP
	ISA001560
	Low
	167.238.143.11
	com-preapp3-lom

	ISA2011
	16752
	IBM
	WIP
	ISA001563
	Low
	167.238.143.11
	com-preapp3-lom

	ISA2011
	16750
	IBM
	WIP
	ISA001559
	Low
	167.238.143.11
	com-preapp3-lom

	ISA2011
	16754
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.11
	com-preapp3-lom

	ISA2011
	13355
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.21
	com-preapp4-lom

	ISA2011
	16958
	IBM
	WIP
	ISA001573
	High
	167.238.143.21
	com-preapp4-lom

	ISA2011
	16959
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.21
	com-preapp4-lom

	ISA2011
	16956
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.21
	com-preapp4-lom

Health Net/IBM Confidential         Amendment 4        Page 27

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	16954
	IBM
	WIP
	ISA001560
	Low
	167.238.143.21
	com-preapp4-lom

	ISA2011
	16955
	IBM
	WIP
	ISA001563
	Low
	167.238.143.21
	com-preapp4-lom

	ISA2011
	16953
	IBM
	WIP
	ISA001559
	Low
	167.238.143.21
	com-preapp4-lom

	ISA2011
	16957
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.21
	com-preapp4-lom

	ISA2011
	17202
	IBM
	WIP
	ISA001562
	High
	167.238.143.69
	com-preapp5-lom

	ISA2011
	23587
	IBM
	WIP
	ISA001570
	High
	167.238.143.69
	com-preapp5-lom

	ISA2011
	17206
	IBM
	WIP
	ISA001573
	High
	167.238.143.69
	com-preapp5-lom

	ISA2011
	17207
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.69
	com-preapp5-lom

	ISA2011
	17204
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.69
	com-preapp5-lom

	ISA2011
	17203
	IBM
	WIP
	ISA001563
	Low
	167.238.143.69
	com-preapp5-lom

	ISA2011
	17201
	IBM
	WIP
	ISA001559
	Low
	167.238.143.69
	com-preapp5-lom

	ISA2011
	17205
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.69
	com-preapp5-lom

	ISA2011
	6609
	IBM
	WIP
	ISA001481
	Medium
	167.238.171.44
	COM-PREAPP6

	ISA2011
	17214
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.70
	com-preapp6-lom

	ISA2011
	17211
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.70
	com-preapp6-lom

	ISA2011
	17210
	IBM
	WIP
	ISA001563
	Low
	167.238.143.70
	com-preapp6-lom

	ISA2011
	17212
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.70
	com-preapp6-lom

	ISA2011
	13363
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.53
	com-preweb1-lom

	ISA2011
	17151
	IBM
	WIP
	ISA001563
	Low
	167.238.143.53
	com-preweb1-lom

	ISA2011
	13352
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.17
	com-preweb2-lom

	ISA2011
	16937
	IBM
	WIP
	ISA001573
	High
	167.238.143.17
	com-preweb2-lom

	ISA2011
	16938
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.17
	com-preweb2-lom

	ISA2011
	16935
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.17
	com-preweb2-lom

	ISA2011
	16933
	IBM
	WIP
	ISA001560
	Low
	167.238.143.17
	com-preweb2-lom

	ISA2011
	16934
	IBM
	WIP
	ISA001563
	Low
	167.238.143.17
	com-preweb2-lom

	ISA2011
	16932
	IBM
	WIP
	ISA001559
	Low
	167.238.143.17
	com-preweb2-lom

Health Net/IBM Confidential         Amendment 4        Page 28

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	16936
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.17
	com-preweb2-lom

	ISA2011
	13358
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.26
	com-preweb3-lom

	ISA2011
	16993
	IBM
	WIP
	ISA001573
	High
	167.238.143.26
	com-preweb3-lom

	ISA2011
	16994
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.26
	com-preweb3-lom

	ISA2011
	16991
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.26
	com-preweb3-lom

	ISA2011
	16989
	IBM
	WIP
	ISA001560
	Low
	167.238.143.26
	com-preweb3-lom

	ISA2011
	16990
	IBM
	WIP
	ISA001563
	Low
	167.238.143.26
	com-preweb3-lom

	ISA2011
	16988
	IBM
	WIP
	ISA001559
	Low
	167.238.143.26
	com-preweb3-lom

	ISA2011
	16992
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.26
	com-preweb3-lom

	ISA2011
	13359
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.36
	com-preweb4-lom

	ISA2011
	17042
	IBM
	WIP
	ISA001573
	High
	167.238.143.36
	com-preweb4-lom

	ISA2011
	17043
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.36
	com-preweb4-lom

	ISA2011
	17040
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.36
	com-preweb4-lom

	ISA2011
	17038
	IBM
	WIP
	ISA001560
	Low
	167.238.143.36
	com-preweb4-lom

	ISA2011
	17039
	IBM
	WIP
	ISA001563
	Low
	167.238.143.36
	com-preweb4-lom

	ISA2011
	17037
	IBM
	WIP
	ISA001559
	Low
	167.238.143.36
	com-preweb4-lom

	ISA2011
	17041
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.36
	com-preweb4-lom

	ISA2011
	20206
	IBM
	WIP
	ISA001573
	High
	167.238.173.25
	CPR-DEVAPP01

	ISA2011
	25782
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.136
	EDIPRD1

	ISA2011
	25783
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.135
	EDIPRD1

	ISA2011
	25791
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.139
	EDIPRD2

	ISA2011
	13343
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.102
	edi-prdapp3-lom

	ISA2011
	16733
	IBM
	WIP
	ISA001563
	Low
	167.238.143.102
	edi-prdapp3-lom

	ISA2011
	13409
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.102
	edi-prdapp3-lom

	ISA2011
	13344
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.103
	edi-prdapp4-lom

	ISA2011
	16734
	IBM
	WIP
	ISA001563
	Low
	167.238.143.103
	edi-prdapp4-lom

Health Net/IBM Confidential         Amendment 4        Page 29

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	13410
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.103
	edi-prdapp4-lom

	ISA2011
	17781
	IBM
	WIP
	ISA001573
	High
	167.238.144.59
	em-prdddom9

	ISA2011
	17782
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.59
	em-prdddom9

	ISA2011
	17779
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.59
	em-prdddom9

	ISA2011
	17777
	IBM
	WIP
	ISA001560
	Low
	167.238.144.59
	em-prdddom9

	ISA2011
	17778
	IBM
	WIP
	ISA001563
	Low
	167.238.144.59
	em-prdddom9

	ISA2011
	17776
	IBM
	WIP
	ISA001559
	Low
	167.238.144.59
	em-prdddom9

	ISA2011
	17780
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.59
	em-prdddom9

	ISA2011
	17062
	IBM
	WIP
	ISA001562
	High
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	23576
	IBM
	WIP
	ISA001570
	High
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	17070
	IBM
	WIP
	ISA001573
	High
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	17071
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	17066
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	17063
	IBM
	WIP
	ISA001563
	Low
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	17072
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	17069
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	17067
	IBM
	WIP
	ISA001568
	High
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	17060
	IBM
	WIP
	ISA001559
	Low
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	17064
	IBM
	WIP
	ISA001564
	High
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	17061
	IBM
	WIP
	ISA001561
	High
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	17068
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	17065
	IBM
	WIP
	ISA001565
	High
	167.238.143.46
	ep-intsm1-lom

	ISA2011
	17176
	IBM
	WIP
	ISA001562
	High
	167.238.143.65
	ep-prdsm1-lom

	ISA2011
	23585
	IBM
	WIP
	ISA001570
	High
	167.238.143.65
	ep-prdsm1-lom

	ISA2011
	17184
	IBM
	WIP
	ISA001573
	High
	167.238.143.65
	ep-prdsm1-lom

	ISA2011
	17185
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.65
	ep-prdsm1-lom

Health Net/IBM Confidential         Amendment 4        Page 30

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17180
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.65
	ep-prdsm1-lom

	ISA2011
	17177
	IBM
	WIP
	ISA001563
	Low
	167.238.143.65
	ep-prdsm1-lom

	ISA2011
	17186
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.65
	ep-prdsm1-lom

	ISA2011
	17183
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.65
	ep-prdsm1-lom

	ISA2011
	17181
	IBM
	WIP
	ISA001568
	High
	167.238.143.65
	ep-prdsm1-lom

	ISA2011
	17174
	IBM
	WIP
	ISA001559
	Low
	167.238.143.65
	ep-prdsm1-lom

	ISA2011
	17178
	IBM
	WIP
	ISA001564
	High
	167.238.143.65
	ep-prdsm1-lom

	ISA2011
	17175
	IBM
	WIP
	ISA001561
	High
	167.238.143.65
	ep-prdsm1-lom

	ISA2011
	17182
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.65
	ep-prdsm1-lom

	ISA2011
	17179
	IBM
	WIP
	ISA001565
	High
	167.238.143.65
	ep-prdsm1-lom

	ISA2011
	17189
	IBM
	WIP
	ISA001562
	High
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	23586
	IBM
	WIP
	ISA001570
	High
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	17197
	IBM
	WIP
	ISA001573
	High
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	17198
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	17193
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	17190
	IBM
	WIP
	ISA001563
	Low
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	17199
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	17196
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	17194
	IBM
	WIP
	ISA001568
	High
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	17187
	IBM
	WIP
	ISA001559
	Low
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	17191
	IBM
	WIP
	ISA001564
	High
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	17188
	IBM
	WIP
	ISA001561
	High
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	17195
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	17192
	IBM
	WIP
	ISA001565
	High
	167.238.143.66
	ep-prdsm2-lom

	ISA2011
	20422
	IBM
	WIP
	ISA001573
	High
	167.238.173.40
	EP-STGCM1

	ISA2011
	20423
	IBM
	WIP
	ISA001574
	Medium
	167.238.173.40
	EP-STGCM1

Health Net/IBM Confidential         Amendment 4        Page 31

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	20420
	IBM
	WIP
	ISA001560
	Low
	167.238.173.40
	EP-STGCM1

	ISA2011
	20421
	IBM
	WIP
	ISA001563
	Low
	167.238.173.40
	EP-STGCM1

	ISA2011
	17127
	IBM
	WIP
	ISA001562
	High
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	23581
	IBM
	WIP
	ISA001570
	High
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	17135
	IBM
	WIP
	ISA001573
	High
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	17136
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	17131
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	17128
	IBM
	WIP
	ISA001563
	Low
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	17137
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	17134
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	17132
	IBM
	WIP
	ISA001568
	High
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	17125
	IBM
	WIP
	ISA001559
	Low
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	17129
	IBM
	WIP
	ISA001564
	High
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	17126
	IBM
	WIP
	ISA001561
	High
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	17133
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	17130
	IBM
	WIP
	ISA001565
	High
	167.238.143.51
	ep-stgsm1-lom

	ISA2011
	17140
	IBM
	WIP
	ISA001562
	High
	167.238.143.52
	ep-stgsm2-lom

	ISA2011
	23582
	IBM
	WIP
	ISA001570
	High
	167.238.143.52
	ep-stgsm2-lom

	ISA2011
	17148
	IBM
	WIP
	ISA001573
	High
	167.238.143.52
	ep-stgsm2-lom

	ISA2011
	17149
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.52
	ep-stgsm2-lom

	ISA2011
	17144
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.52
	ep-stgsm2-lom

	ISA2011
	17141
	IBM
	WIP
	ISA001563
	Low
	167.238.143.52
	ep-stgsm2-lom

	ISA2011
	17150
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.52
	ep-stgsm2-lom

	ISA2011
	17147
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.52
	ep-stgsm2-lom

	ISA2011
	17145
	IBM
	WIP
	ISA001568
	High
	167.238.143.52
	ep-stgsm2-lom

	ISA2011
	17138
	IBM
	WIP
	ISA001559
	Low
	167.238.143.52
	ep-stgsm2-lom

Health Net/IBM Confidential         Amendment 4        Page 32

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17142
	IBM
	WIP
	ISA001564
	High
	167.238.143.52
	ep-stgsm2-lom

	ISA2011
	17139
	IBM
	WIP
	ISA001561
	High
	167.238.143.52
	ep-stgsm2-lom

	ISA2011
	17146
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.52
	ep-stgsm2-lom

	ISA2011
	17143
	IBM
	WIP
	ISA001565
	High
	167.238.143.52
	ep-stgsm2-lom

	ISA2011
	15118
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.24
	fed-prd1-lom

	ISA2011
	15119
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.24
	fed-prd1-lom

	ISA2011
	15150
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.25
	fed-prd2-lom

	ISA2011
	15151
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.25
	fed-prd2-lom

	ISA2011
	14170
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.17
	fed-pre1-lom

	ISA2011
	14171
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.17
	fed-pre1-lom

	ISA2011
	14174
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.18
	fed-pre2-lom

	ISA2011
	14175
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.18
	fed-pre2-lom

	ISA2011
	14178
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.46
	fed-stg1-lom

	ISA2011
	14179
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.46
	fed-stg1-lom

	ISA2011
	14182
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.47
	fed-stg2-lom

	ISA2011
	14183
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.47
	fed-stg2-lom

	ISA2011
	17802
	IBM
	WIP
	ISA001563
	Low
	167.238.143.33
	fed-tstapp1

	ISA2011
	12660
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.33
	fed-tstapp1

	ISA2011
	26549
	IBM
	WIP - Pending HN
	ISA001226
	Medium
	167.238.132.14
	HNNE

	ISA2011
	27701
	IBM
	WIP - Pending HN
	ISA001226
	Medium
	167.238.132.11
	HNNE

	ISA2011
	26800
	IBM
	WIP
	ISA001226
	Medium
	167.238.132.12
	HNNE

	ISA2011
	8955
	IBM
	WIP - Pending HN
	ISA001454
	High
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8928
	IBM
	WIP - Pending HN
	ISA001376
	Low
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8929
	IBM
	WIP - Pending HN
	ISA001377
	Low
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8930
	IBM
	WIP - Pending HN
	ISA001378
	High
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8941
	IBM
	WIP - Pending HN
	ISA001405
	Low
	167.238.168.29
	HNPS-PRD2

Health Net/IBM Confidential         Amendment 4        Page 33

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	8935
	IBM
	WIP - Pending HN
	ISA001393
	High
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8942
	IBM
	WIP - Pending HN
	ISA001406
	High
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8943
	IBM
	WIP - Pending HN
	ISA001407
	High
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8944
	IBM
	WIP - Pending HN
	ISA001408
	Low
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8934
	IBM
	WIP - Pending HN
	ISA001392
	Medium
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8931
	IBM
	WIP - Pending HN
	ISA001379
	High
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8936
	IBM
	WIP - Pending HN
	ISA001394
	High
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8945
	IBM
	WIP - Pending HN
	ISA001409
	Medium
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8939
	IBM
	WIP - Pending HN
	ISA001397
	Medium
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8938
	IBM
	WIP - Pending HN
	ISA001396
	Low
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8937
	IBM
	WIP - Pending HN
	ISA001395
	Low
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8940
	IBM
	WIP - Pending HN
	ISA001398
	Low
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8933
	IBM
	WIP - Pending HN
	ISA001382
	Medium
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8932
	IBM
	WIP - Pending HN
	ISA001381
	Medium
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8927
	IBM
	WIP - Pending HN
	ISA001375
	High
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8946
	IBM
	WIP - Pending HN
	ISA001440
	Medium
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8953
	IBM
	WIP - Pending HN
	ISA001447
	Medium
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8949
	IBM
	WIP - Pending HN
	ISA001443
	Low
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8948
	IBM
	WIP - Pending HN
	ISA001442
	High
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8954
	IBM
	WIP - Pending HN
	ISA001448
	Medium
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8951
	IBM
	WIP - Pending HN
	ISA001445
	Medium
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8952
	IBM
	WIP - Pending HN
	ISA001446
	Medium
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8947
	IBM
	WIP - Pending HN
	ISA001441
	Low
	167.238.168.29
	HNPS-PRD2

	ISA2011
	8950
	IBM
	WIP - Pending HN
	ISA001444
	Medium
	167.238.168.29
	HNPS-PRD2

	ISA2011
	26919
	IBM
	WIP
	ISA001741
	Medium
	167.238.156.145
	HOLLY

	ISA2011
	27716
	IBM
	WIP
	ISA001741
	Medium
	167.238.156.28
	HOLLY

Health Net/IBM Confidential         Amendment 4        Page 34

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17241
	IBM
	WIP
	ISA001562
	High
	167.238.143.99
	holly-lom

	ISA2011
	23589
	IBM
	WIP
	ISA001570
	High
	167.238.143.99
	holly-lom

	ISA2011
	17245
	IBM
	WIP
	ISA001573
	High
	167.238.143.99
	holly-lom

	ISA2011
	17246
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.99
	holly-lom

	ISA2011
	17243
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.99
	holly-lom

	ISA2011
	17242
	IBM
	WIP
	ISA001563
	Low
	167.238.143.99
	holly-lom

	ISA2011
	17240
	IBM
	WIP
	ISA001559
	Low
	167.238.143.99
	holly-lom

	ISA2011
	17244
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.99
	holly-lom

	ISA2011
	12458
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.51
	Http://bld-fedrc01/login.asp

	ISA2011
	27720
	IBM
	WIP
	ISA001741
	Medium
	167.238.168.21
	IBMTOOL-NIM01

	ISA2011
	20659
	IBM
	WIP - Pending HN
	ISA001573
	High
	167.238.169.187
	IM-PRD1

	ISA2011
	20660
	IBM
	WIP - Pending HN
	ISA001573
	High
	167.238.169.186
	IM-PRD1

	ISA2011
	20661
	IBM
	WIP - Pending HN
	ISA001573
	High
	167.238.169.188
	IM-PRD1

	ISA2011
	20662
	IBM
	WIP - Pending HN
	ISA001574
	Medium
	167.238.169.187
	IM-PRD1

	ISA2011
	20663
	IBM
	WIP - Pending HN
	ISA001574
	Medium
	167.238.169.186
	IM-PRD1

	ISA2011
	20664
	IBM
	WIP - Pending HN
	ISA001574
	Medium
	167.238.169.188
	IM-PRD1

	ISA2011
	20653
	IBM
	WIP - Pending HN
	ISA001560
	Low
	167.238.169.187
	IM-PRD1

	ISA2011
	20654
	IBM
	WIP - Pending HN
	ISA001560
	Low
	167.238.169.186
	IM-PRD1

	ISA2011
	20655
	IBM
	WIP - Pending HN
	ISA001560
	Low
	167.238.169.188
	IM-PRD1

	ISA2011
	20656
	IBM
	WIP - Pending HN
	ISA001563
	Low
	167.238.169.187
	IM-PRD1

	ISA2011
	20657
	IBM
	WIP - Pending HN
	ISA001563
	Low
	167.238.169.186
	IM-PRD1

	ISA2011
	20658
	IBM
	WIP - Pending HN
	ISA001563
	Low
	167.238.169.188
	IM-PRD1

	ISA2011
	25839
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.187
	IM-PRD1

	ISA2011
	25840
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.186
	IM-PRD1

	ISA2011
	25841
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.188
	IM-PRD1

	ISA2011
	20671
	IBM
	WIP - Pending HN
	ISA001573
	High
	167.238.169.190
	IM-PRD2

Health Net/IBM Confidential         Amendment 4        Page 35

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	20672
	IBM
	WIP - Pending HN
	ISA001573
	High
	167.238.169.189
	IM-PRD2

	ISA2011
	20673
	IBM
	WIP - Pending HN
	ISA001573
	High
	167.238.169.191
	IM-PRD2

	ISA2011
	20674
	IBM
	WIP - Pending HN
	ISA001574
	Medium
	167.238.169.190
	IM-PRD2

	ISA2011
	20675
	IBM
	WIP - Pending HN
	ISA001574
	Medium
	167.238.169.189
	IM-PRD2

	ISA2011
	20676
	IBM
	WIP - Pending HN
	ISA001574
	Medium
	167.238.169.191
	IM-PRD2

	ISA2011
	20665
	IBM
	WIP - Pending HN
	ISA001560
	Low
	167.238.169.190
	IM-PRD2

	ISA2011
	20666
	IBM
	WIP - Pending HN
	ISA001560
	Low
	167.238.169.189
	IM-PRD2

	ISA2011
	20667
	IBM
	WIP - Pending HN
	ISA001560
	Low
	167.238.169.191
	IM-PRD2

	ISA2011
	20668
	IBM
	WIP - Pending HN
	ISA001563
	Low
	167.238.169.190
	IM-PRD2

	ISA2011
	20669
	IBM
	WIP - Pending HN
	ISA001563
	Low
	167.238.169.189
	IM-PRD2

	ISA2011
	20670
	IBM
	WIP - Pending HN
	ISA001563
	Low
	167.238.169.191
	IM-PRD2

	ISA2011
	25857
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.190
	IM-PRD2

	ISA2011
	25858
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.189
	IM-PRD2

	ISA2011
	25859
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.191
	IM-PRD2

	ISA2011
	25653
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.175.118
	IM-STG1

	ISA2011
	25659
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.175.120
	IM-STG1

	ISA2011
	25869
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.175.119
	IM-STG1

	ISA2011
	25665
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.175.121
	IM-STG2

	ISA2011
	25671
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.175.123
	IM-STG2

	ISA2011
	25875
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.175.122
	IM-STG2

	ISA2011
	17075
	IBM
	WIP
	ISA001562
	High
	167.238.143.47
	ivr-prdapp1-lom

	ISA2011
	23577
	IBM
	WIP
	ISA001570
	High
	167.238.143.47
	ivr-prdapp1-lom

	ISA2011
	17083
	IBM
	WIP
	ISA001573
	High
	167.238.143.47
	ivr-prdapp1-lom

	ISA2011
	17084
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.47
	ivr-prdapp1-lom

	ISA2011
	17079
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.47
	ivr-prdapp1-lom

	ISA2011
	17076
	IBM
	WIP
	ISA001563
	Low
	167.238.143.47
	ivr-prdapp1-lom

Health Net/IBM Confidential         Amendment 4        Page 36

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17085
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.47
	ivr-prdapp1-lom

	ISA2011
	17082
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.47
	ivr-prdapp1-lom

	ISA2011
	17080
	IBM
	WIP
	ISA001568
	High
	167.238.143.47
	ivr-prdapp1-lom

	ISA2011
	17073
	IBM
	WIP
	ISA001559
	Low
	167.238.143.47
	ivr-prdapp1-lom

	ISA2011
	17077
	IBM
	WIP
	ISA001564
	High
	167.238.143.47
	ivr-prdapp1-lom

	ISA2011
	17074
	IBM
	WIP
	ISA001561
	High
	167.238.143.47
	ivr-prdapp1-lom

	ISA2011
	17081
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.47
	ivr-prdapp1-lom

	ISA2011
	17078
	IBM
	WIP
	ISA001565
	High
	167.238.143.47
	ivr-prdapp1-lom

	ISA2011
	17088
	IBM
	WIP
	ISA001562
	High
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	23578
	IBM
	WIP
	ISA001570
	High
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	17096
	IBM
	WIP
	ISA001573
	High
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	17097
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	17092
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	17089
	IBM
	WIP
	ISA001563
	Low
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	17098
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	17095
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	17093
	IBM
	WIP
	ISA001568
	High
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	17086
	IBM
	WIP
	ISA001559
	Low
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	17090
	IBM
	WIP
	ISA001564
	High
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	17087
	IBM
	WIP
	ISA001561
	High
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	17094
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	17091
	IBM
	WIP
	ISA001565
	High
	167.238.143.48
	ivr-prdapp2-lom

	ISA2011
	17101
	IBM
	WIP
	ISA001562
	High
	167.238.143.49
	ivr-prdapp3-lom

	ISA2011
	23579
	IBM
	WIP
	ISA001570
	High
	167.238.143.49
	ivr-prdapp3-lom

	ISA2011
	17109
	IBM
	WIP
	ISA001573
	High
	167.238.143.49
	ivr-prdapp3-lom

	ISA2011
	17110
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.49
	ivr-prdapp3-lom

Health Net/IBM Confidential         Amendment 4        Page 37

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17105
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.49
	ivr-prdapp3-lom

	ISA2011
	17102
	IBM
	WIP
	ISA001563
	Low
	167.238.143.49
	ivr-prdapp3-lom

	ISA2011
	17111
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.49
	ivr-prdapp3-lom

	ISA2011
	17108
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.49
	ivr-prdapp3-lom

	ISA2011
	17106
	IBM
	WIP
	ISA001568
	High
	167.238.143.49
	ivr-prdapp3-lom

	ISA2011
	17099
	IBM
	WIP
	ISA001559
	Low
	167.238.143.49
	ivr-prdapp3-lom

	ISA2011
	17103
	IBM
	WIP
	ISA001564
	High
	167.238.143.49
	ivr-prdapp3-lom

	ISA2011
	17100
	IBM
	WIP
	ISA001561
	High
	167.238.143.49
	ivr-prdapp3-lom

	ISA2011
	17107
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.49
	ivr-prdapp3-lom

	ISA2011
	17104
	IBM
	WIP
	ISA001565
	High
	167.238.143.49
	ivr-prdapp3-lom

	ISA2011
	17114
	IBM
	WIP
	ISA001562
	High
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	23580
	IBM
	WIP
	ISA001570
	High
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	17122
	IBM
	WIP
	ISA001573
	High
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	17123
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	17118
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	17115
	IBM
	WIP
	ISA001563
	Low
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	17124
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	17121
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	17119
	IBM
	WIP
	ISA001568
	High
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	17112
	IBM
	WIP
	ISA001559
	Low
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	17116
	IBM
	WIP
	ISA001564
	High
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	17113
	IBM
	WIP
	ISA001561
	High
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	17120
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	17117
	IBM
	WIP
	ISA001565
	High
	167.238.143.50
	ivr-prdapp4-lom

	ISA2011
	17049
	IBM
	WIP
	ISA001562
	High
	167.238.143.45
	ivr-tstapp1-lom

	ISA2011
	23575
	IBM
	WIP
	ISA001570
	High
	167.238.143.45
	ivr-tstapp1-lom

Health Net/IBM Confidential         Amendment 4        Page 38

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17057
	IBM
	WIP
	ISA001573
	High
	167.238.143.45
	ivr-tstapp1-lom

	ISA2011
	17058
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.45
	ivr-tstapp1-lom

	ISA2011
	17053
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.45
	ivr-tstapp1-lom

	ISA2011
	17050
	IBM
	WIP
	ISA001563
	Low
	167.238.143.45
	ivr-tstapp1-lom

	ISA2011
	17059
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.45
	ivr-tstapp1-lom

	ISA2011
	17056
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.45
	ivr-tstapp1-lom

	ISA2011
	17054
	IBM
	WIP
	ISA001568
	High
	167.238.143.45
	ivr-tstapp1-lom

	ISA2011
	17047
	IBM
	WIP
	ISA001559
	Low
	167.238.143.45
	ivr-tstapp1-lom

	ISA2011
	17051
	IBM
	WIP
	ISA001564
	High
	167.238.143.45
	ivr-tstapp1-lom

	ISA2011
	17048
	IBM
	WIP
	ISA001561
	High
	167.238.143.45
	ivr-tstapp1-lom

	ISA2011
	17055
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.45
	ivr-tstapp1-lom

	ISA2011
	17052
	IBM
	WIP
	ISA001565
	High
	167.238.143.45
	ivr-tstapp1-lom

	ISA2011
	14266
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.22
	jive-prdapp1-lom

	ISA2011
	14267
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.22
	jive-prdapp1-lom

	ISA2011
	14270
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.23
	jive-prdweb1-lom

	ISA2011
	14271
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.23
	jive-prdweb1-lom

	ISA2011
	17938
	IBM
	WIP
	ISA001573
	High
	167.238.193.29
	jmps-prd02

	ISA2011
	17939
	IBM
	WIP
	ISA001574
	Medium
	167.238.193.29
	jmps-prd02

	ISA2011
	17937
	IBM
	WIP
	ISA001563
	Low
	167.238.193.29
	jmps-prd02

	ISA2011
	26153
	IBM
	WIP
	ISA001212
	Medium
	167.238.178.17
	Merlin-rib

	ISA2011
	26750
	IBM
	WIP - Pending HN
	ISA001226
	Medium
	167.238.132.41
	NOCTURNE

	ISA2011
	27833
	IBM
	WIP - Pending HN
	ISA001226
	Medium
	167.238.132.52
	NOCTURNE

	ISA2011
	16883
	IBM
	WIP
	ISA001562
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	23562
	IBM
	WIP
	ISA001570
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	16887
	IBM
	WIP
	ISA001573
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	16888
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

Health Net/IBM Confidential         Amendment 4        Page 39

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	16885
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	16882
	IBM
	WIP
	ISA001560
	Low
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	16884
	IBM
	WIP
	ISA001563
	Low
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	16889
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	16881
	IBM
	WIP
	ISA001559
	Low
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	16886
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	27845
	IBM
	WIP - Pending HN
	ISA001226
	Medium
	167.238.132.15
	OPUS

	ISA2011
	17010
	IBM
	WIP
	ISA001562
	High
	167.238.143.31
	orac-dev03-lom

	ISA2011
	23571
	IBM
	WIP
	ISA001570
	High
	167.238.143.31
	orac-dev03-lom

	ISA2011
	17014
	IBM
	WIP
	ISA001573
	High
	167.238.143.31
	orac-dev03-lom

	ISA2011
	17015
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.31
	orac-dev03-lom

	ISA2011
	17012
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.31
	orac-dev03-lom

	ISA2011
	17011
	IBM
	WIP
	ISA001563
	Low
	167.238.143.31
	orac-dev03-lom

	ISA2011
	17009
	IBM
	WIP
	ISA001559
	Low
	167.238.143.31
	orac-dev03-lom

	ISA2011
	17013
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.31
	orac-dev03-lom

	ISA2011
	17024
	IBM
	WIP
	ISA001562
	High
	167.238.143.34
	orac-dev04-lom

	ISA2011
	23573
	IBM
	WIP
	ISA001570
	High
	167.238.143.34
	orac-dev04-lom

	ISA2011
	17028
	IBM
	WIP
	ISA001573
	High
	167.238.143.34
	orac-dev04-lom

	ISA2011
	17029
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.34
	orac-dev04-lom

	ISA2011
	17026
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.34
	orac-dev04-lom

	ISA2011
	17025
	IBM
	WIP
	ISA001563
	Low
	167.238.143.34
	orac-dev04-lom

	ISA2011
	17023
	IBM
	WIP
	ISA001559
	Low
	167.238.143.34
	orac-dev04-lom

	ISA2011
	17027
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.34
	orac-dev04-lom

	ISA2011
	17017
	IBM
	WIP
	ISA001562
	High
	167.238.143.32
	orac-dev05-lom

	ISA2011
	23572
	IBM
	WIP
	ISA001570
	High
	167.238.143.32
	orac-dev05-lom

	ISA2011
	17021
	IBM
	WIP
	ISA001573
	High
	167.238.143.32
	orac-dev05-lom

Health Net/IBM Confidential         Amendment 4        Page 40

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17022
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.32
	orac-dev05-lom

	ISA2011
	17019
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.32
	orac-dev05-lom

	ISA2011
	17018
	IBM
	WIP
	ISA001563
	Low
	167.238.143.32
	orac-dev05-lom

	ISA2011
	17016
	IBM
	WIP
	ISA001559
	Low
	167.238.143.32
	orac-dev05-lom

	ISA2011
	17020
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.32
	orac-dev05-lom

	ISA2011
	17031
	IBM
	WIP
	ISA001562
	High
	167.238.143.35
	orac-dev06-lom

	ISA2011
	23574
	IBM
	WIP
	ISA001570
	High
	167.238.143.35
	orac-dev06-lom

	ISA2011
	17035
	IBM
	WIP
	ISA001573
	High
	167.238.143.35
	orac-dev06-lom

	ISA2011
	17036
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.35
	orac-dev06-lom

	ISA2011
	17033
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.35
	orac-dev06-lom

	ISA2011
	17032
	IBM
	WIP
	ISA001563
	Low
	167.238.143.35
	orac-dev06-lom

	ISA2011
	17030
	IBM
	WIP
	ISA001559
	Low
	167.238.143.35
	orac-dev06-lom

	ISA2011
	17034
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.35
	orac-dev06-lom

	ISA2011
	16968
	IBM
	WIP - Pending HN
	ISA001562
	High
	167.238.143.23
	orac-prd03-lom

	ISA2011
	23567
	IBM
	WIP
	ISA001570
	High
	167.238.143.23
	orac-prd03-lom

	ISA2011
	16972
	IBM
	WIP
	ISA001573
	High
	167.238.143.23
	orac-prd03-lom

	ISA2011
	16973
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.23
	orac-prd03-lom

	ISA2011
	16970
	IBM
	WIP - Pending HN
	ISA001567
	Medium
	167.238.143.23
	orac-prd03-lom

	ISA2011
	16969
	IBM
	WIP - Pending HN
	ISA001563
	Low
	167.238.143.23
	orac-prd03-lom

	ISA2011
	16967
	IBM
	WIP
	ISA001559
	Low
	167.238.143.23
	orac-prd03-lom

	ISA2011
	16971
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.23
	orac-prd03-lom

	ISA2011
	16996
	IBM
	WIP
	ISA001562
	High
	167.238.143.27
	orac-prd04-lom

	ISA2011
	23569
	IBM
	WIP
	ISA001570
	High
	167.238.143.27
	orac-prd04-lom

	ISA2011
	17000
	IBM
	WIP
	ISA001573
	High
	167.238.143.27
	orac-prd04-lom

	ISA2011
	17001
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.27
	orac-prd04-lom

	ISA2011
	16998
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.27
	orac-prd04-lom

Health Net/IBM Confidential         Amendment 4        Page 41

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	16997
	IBM
	WIP
	ISA001563
	Low
	167.238.143.27
	orac-prd04-lom

	ISA2011
	16995
	IBM
	WIP
	ISA001559
	Low
	167.238.143.27
	orac-prd04-lom

	ISA2011
	16999
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.27
	orac-prd04-lom

	ISA2011
	26763
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.68
	ORAC-PRD05

	ISA2011
	27860
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.56
	ORAC-PRD05

	ISA2011
	16975
	IBM
	WIP
	ISA001562
	High
	167.238.143.24
	orac-prd05-lom

	ISA2011
	23568
	IBM
	WIP
	ISA001570
	High
	167.238.143.24
	orac-prd05-lom

	ISA2011
	16979
	IBM
	WIP
	ISA001573
	High
	167.238.143.24
	orac-prd05-lom

	ISA2011
	16980
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.24
	orac-prd05-lom

	ISA2011
	16977
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.24
	orac-prd05-lom

	ISA2011
	16976
	IBM
	WIP
	ISA001563
	Low
	167.238.143.24
	orac-prd05-lom

	ISA2011
	16974
	IBM
	WIP
	ISA001559
	Low
	167.238.143.24
	orac-prd05-lom

	ISA2011
	16978
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.24
	orac-prd05-lom

	ISA2011
	17003
	IBM
	WIP
	ISA001562
	High
	167.238.143.29
	orac-prd06-lom

	ISA2011
	23570
	IBM
	WIP
	ISA001570
	High
	167.238.143.29
	orac-prd06-lom

	ISA2011
	17007
	IBM
	WIP
	ISA001573
	High
	167.238.143.29
	orac-prd06-lom

	ISA2011
	17008
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.29
	orac-prd06-lom

	ISA2011
	17005
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.29
	orac-prd06-lom

	ISA2011
	17004
	IBM
	WIP
	ISA001563
	Low
	167.238.143.29
	orac-prd06-lom

	ISA2011
	17002
	IBM
	WIP
	ISA001559
	Low
	167.238.143.29
	orac-prd06-lom

	ISA2011
	17006
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.29
	orac-prd06-lom

	ISA2011
	16905
	IBM
	WIP
	ISA001562
	High
	167.238.143.136
	orac-prd08-lom

	ISA2011
	23564
	IBM
	WIP
	ISA001570
	High
	167.238.143.136
	orac-prd08-lom

	ISA2011
	16909
	IBM
	WIP
	ISA001573
	High
	167.238.143.136
	orac-prd08-lom

	ISA2011
	16906
	IBM
	WIP
	ISA001563
	Low
	167.238.143.136
	orac-prd08-lom

	ISA2011
	16904
	IBM
	WIP
	ISA001559
	Low
	167.238.143.136
	orac-prd08-lom

Health Net/IBM Confidential         Amendment 4        Page 42

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	20916
	IBM
	WIP
	ISA001574
	Medium
	167.238.168.15
	P570-HMC01

	ISA2011
	27918
	IBM
	WIP - Pending HN
	ISA001226
	Medium
	167.238.132.17
	PRELUDE

	ISA2011
	13362
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.44
	psa-devapp1-lom

	ISA2011
	17046
	IBM
	WIP
	ISA001563
	Low
	167.238.143.44
	psa-devapp1-lom

	ISA2011
	26791
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.209
	PSA-PRDAPP1

	ISA2011
	17232
	IBM
	WIP
	ISA001563
	Low
	167.238.143.83
	psa-prdapp1-lom

	ISA2011
	17215
	IBM
	WIP
	ISA001563
	Low
	167.238.143.71
	psa-tstapp1-lom

	ISA2011
	6648
	IBM
	WIP
	ISA001487
	High
	141.177.12.182
	RC-DARE2K3EE

	ISA2011
	18328
	IBM
	WIP
	ISA001563
	Low
	141.177.50.175
	rc-tsm01-hmc.hnfs

	ISA2011
	13460
	IBM
	WIP
	ISA001477
	Medium
	167.238.148.49
	RED2

	ISA2011
	13459
	IBM
	WIP
	ISA001477
	Medium
	167.238.148.46
	RED4

	ISA2011
	22903
	IBM
	WIP
	ISA001573
	High
	167.238.156.89
	RIMMER

	ISA2011
	17254
	IBM
	WIP
	ISA001573
	High
	167.238.154.40
	SAN Sw2 A (4)

	ISA2011
	17255
	IBM
	WIP
	ISA001574
	Medium
	167.238.154.40
	SAN Sw2 A (4)

	ISA2011
	17252
	IBM
	WIP
	ISA001560
	Low
	167.238.154.40
	SAN Sw2 A (4)

	ISA2011
	17253
	IBM
	WIP
	ISA001563
	Low
	167.238.154.40
	SAN Sw2 A (4)

	ISA2011
	17250
	IBM
	WIP
	ISA001573
	High
	167.238.154.39
	SAN Sw2 B (3)

	ISA2011
	17251
	IBM
	WIP
	ISA001574
	Medium
	167.238.154.39
	SAN Sw2 B (3)

	ISA2011
	17248
	IBM
	WIP
	ISA001560
	Low
	167.238.154.39
	SAN Sw2 B (3)

	ISA2011
	17249
	IBM
	WIP
	ISA001563
	Low
	167.238.154.39
	SAN Sw2 B (3)

	ISA2011
	18336
	IBM
	WIP
	ISA001573
	High
	167.238.154.11
	san_fabric_a

	ISA2011
	18337
	IBM
	WIP
	ISA001574
	Medium
	167.238.154.11
	san_fabric_a

	ISA2011
	18334
	IBM
	WIP
	ISA001560
	Low
	167.238.154.11
	san_fabric_a

	ISA2011
	18335
	IBM
	WIP
	ISA001563
	Low
	167.238.154.11
	san_fabric_a

	ISA2011
	18340
	IBM
	WIP
	ISA001573
	High
	167.238.154.12
	san_fabric_b

	ISA2011
	18341
	IBM
	WIP
	ISA001574
	Medium
	167.238.154.12
	san_fabric_b

Health Net/IBM Confidential         Amendment 4        Page 43

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	18338
	IBM
	WIP
	ISA001560
	Low
	167.238.154.12
	san_fabric_b

	ISA2011
	18339
	IBM
	WIP
	ISA001563
	Low
	167.238.154.12
	san_fabric_b

	ISA2011
	13370
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.61
	sap-jes1-lom

	ISA2011
	17170
	IBM
	WIP
	ISA001563
	Low
	167.238.143.61
	sap-jes1-lom

	ISA2011
	13371
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.62
	sap-jpd1-lom

	ISA2011
	17171
	IBM
	WIP
	ISA001563
	Low
	167.238.143.62
	sap-jpd1-lom

	ISA2011
	13375
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.73
	sap-jpp1-lom

	ISA2011
	17217
	IBM
	WIP
	ISA001563
	Low
	167.238.143.73
	sap-jpp1-lom

	ISA2011
	13372
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.63
	sap-jpq1-lom

	ISA2011
	17172
	IBM
	WIP
	ISA001563
	Low
	167.238.143.63
	sap-jpq1-lom

	ISA2011
	13373
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.64
	sap-jxd1-lom

	ISA2011
	17173
	IBM
	WIP
	ISA001563
	Low
	167.238.143.64
	sap-jxd1-lom

	ISA2011
	28430
	IBM
	WIP - Pending HN
	ISA001226
	Medium
	167.238.132.36
	SPIRIT

	ISA2011
	18377
	IBM
	WIP
	ISA001573
	High
	167.238.154.15
	svc_node_1

	ISA2011
	18375
	IBM
	WIP
	ISA001560
	Low
	167.238.154.15
	svc_node_1

	ISA2011
	18376
	IBM
	WIP
	ISA001563
	Low
	167.238.154.15
	svc_node_1

	ISA2011
	18381
	IBM
	WIP
	ISA001573
	High
	167.238.154.57
	svc-node7

	ISA2011
	18379
	IBM
	WIP
	ISA001560
	Low
	167.238.154.57
	svc-node7

	ISA2011
	28438
	IBM
	WIP - Pending HN
	ISA001226
	Medium
	167.238.132.13
	SYMPHONY

	ISA2011
	13377
	IBM
	WIP - Pending HN
	ISA001476
	Medium
	167.238.143.84
	sys-mgtapp1-lom

	ISA2011
	17233
	IBM
	WIP
	ISA001563
	Low
	167.238.143.84
	sys-mgtapp1-lom

	ISA2011
	23099
	IBM
	WIP
	ISA001574
	Medium
	167.238.176.47
	T3-DEVAPP1

	ISA2011
	23102
	IBM
	WIP
	ISA001574
	Medium
	167.238.176.53
	T3-DEVWEB1

	ISA2011
	23111
	IBM
	WIP
	ISA001574
	Medium
	167.238.176.54
	T3-INTAPP1

	ISA2011
	23114
	IBM
	WIP
	ISA001574
	Medium
	167.238.176.72
	T3-INTWEB2

	ISA2011
	15132
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.55
	t3-presm01-lom

Health Net/IBM Confidential         Amendment 4        Page 44

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	15133
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.55
	t3-presm01-lom

	ISA2011
	15136
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.56
	t3-presm02-lom

	ISA2011
	15137
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.56
	t3-presm02-lom

	ISA2011
	23148
	IBM
	WIP
	ISA001574
	Medium
	167.238.176.75
	T3-QAAPP1

	ISA2011
	23165
	IBM
	WIP
	ISA001574
	Medium
	167.238.176.46
	T3WEB-DEVAPP1

	ISA2011
	18395
	IBM
	WIP
	ISA001573
	High
	167.238.154.13
	tan_fabric_a

	ISA2011
	18396
	IBM
	WIP
	ISA001574
	Medium
	167.238.154.13
	tan_fabric_a

	ISA2011
	18393
	IBM
	WIP
	ISA001560
	Low
	167.238.154.13
	tan_fabric_a

	ISA2011
	18394
	IBM
	WIP
	ISA001563
	Low
	167.238.154.13
	tan_fabric_a

	ISA2011
	18399
	IBM
	WIP
	ISA001573
	High
	167.238.154.14
	tan_fabric_b

	ISA2011
	18400
	IBM
	WIP
	ISA001574
	Medium
	167.238.154.14
	tan_fabric_b

	ISA2011
	18397
	IBM
	WIP
	ISA001560
	Low
	167.238.154.14
	tan_fabric_b

	ISA2011
	18398
	IBM
	WIP
	ISA001563
	Low
	167.238.154.14
	tan_fabric_b

	ISA2011
	23190
	IBM
	WIP - Pending HN
	ISA001573
	High
	167.238.175.154
	TELLY

	ISA2011
	23191
	IBM
	WIP - Pending HN
	ISA001573
	High
	167.238.175.155
	TELLY

	ISA2011
	23192
	IBM
	WIP - Pending HN
	ISA001573
	High
	167.238.175.158
	TELLY

	ISA2011
	23193
	IBM
	WIP - Pending HN
	ISA001574
	Medium
	167.238.175.154
	TELLY

	ISA2011
	23194
	IBM
	WIP - Pending HN
	ISA001574
	Medium
	167.238.175.155
	TELLY

	ISA2011
	23195
	IBM
	WIP - Pending HN
	ISA001574
	Medium
	167.238.175.158
	TELLY

	ISA2011
	23184
	IBM
	WIP - Pending HN
	ISA001560
	Low
	167.238.175.155
	TELLY

	ISA2011
	23185
	IBM
	WIP - Pending HN
	ISA001560
	Low
	167.238.175.154
	TELLY

	ISA2011
	23186
	IBM
	WIP - Pending HN
	ISA001560
	Low
	167.238.175.158
	TELLY

	ISA2011
	23187
	IBM
	WIP - Pending HN
	ISA001563
	Low
	167.238.175.154
	TELLY

	ISA2011
	23188
	IBM
	WIP - Pending HN
	ISA001563
	Low
	167.238.175.155
	TELLY

	ISA2011
	23189
	IBM
	WIP - Pending HN
	ISA001563
	Low
	167.238.175.158
	TELLY

	ISA2011
	16726
	IBM
	WIP
	ISA001562
	High
	167.238.143.100
	toaster-lom

Health Net/IBM Confidential         Amendment 4        Page 45

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	23552
	IBM
	WIP
	ISA001570
	High
	167.238.143.100
	toaster-lom

	ISA2011
	16730
	IBM
	WIP
	ISA001573
	High
	167.238.143.100
	toaster-lom

	ISA2011
	16731
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.100
	toaster-lom

	ISA2011
	16728
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.100
	toaster-lom

	ISA2011
	16727
	IBM
	WIP
	ISA001563
	Low
	167.238.143.100
	toaster-lom

	ISA2011
	16725
	IBM
	WIP
	ISA001559
	Low
	167.238.143.100
	toaster-lom

	ISA2011
	16729
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.100
	toaster-lom

	ISA2011
	27128
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.247
	web-prdnfs2

	ISA2011
	28517
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.244
	WEB-PRDNFS2

	ISA2011
	28518
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.245
	WEB-PRDNFS2

	ISA2011
	28519
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.246
	WEB-PRDNFS2

	ISA2011
	28520
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.243
	WEB-PRDNFS2

	ISA2011
	28521
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.180
	WEB-PRDNFS2

	ISA2011
	28522
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.10
	WEB-PRDNFS2

	ISA2011
	25694
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.247
	web-prdnfs2

	ISA2011
	25902
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.244
	WEB-PRDNFS2

	ISA2011
	25903
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.245
	WEB-PRDNFS2

	ISA2011
	25904
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.246
	WEB-PRDNFS2

	ISA2011
	25905
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.243
	WEB-PRDNFS2

	ISA2011
	25906
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.180
	WEB-PRDNFS2

	ISA2011
	25907
	IBM
	WIP - Pending HN
	ISA001462
	Medium
	167.238.169.10
	WEB-PRDNFS2

	ISA2011
	16759
	IBM
	WIP
	ISA001562
	High
	167.238.143.113
	web-presm1-lom

	ISA2011
	23553
	IBM
	WIP
	ISA001570
	High
	167.238.143.113
	web-presm1-lom

	ISA2011
	16767
	IBM
	WIP
	ISA001573
	High
	167.238.143.113
	web-presm1-lom

	ISA2011
	16768
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.113
	web-presm1-lom

	ISA2011
	16763
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.113
	web-presm1-lom

Health Net/IBM Confidential         Amendment 4        Page 46

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	16760
	IBM
	WIP
	ISA001563
	Low
	167.238.143.113
	web-presm1-lom

	ISA2011
	16769
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.113
	web-presm1-lom

	ISA2011
	16766
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.113
	web-presm1-lom

	ISA2011
	16764
	IBM
	WIP
	ISA001568
	High
	167.238.143.113
	web-presm1-lom

	ISA2011
	16757
	IBM
	WIP
	ISA001559
	Low
	167.238.143.113
	web-presm1-lom

	ISA2011
	16761
	IBM
	WIP
	ISA001564
	High
	167.238.143.113
	web-presm1-lom

	ISA2011
	16758
	IBM
	WIP
	ISA001561
	High
	167.238.143.113
	web-presm1-lom

	ISA2011
	16765
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.113
	web-presm1-lom

	ISA2011
	16762
	IBM
	WIP
	ISA001565
	High
	167.238.143.113
	web-presm1-lom

	ISA2011
	16772
	IBM
	WIP
	ISA001562
	High
	167.238.143.114
	web-presm2-lom

	ISA2011
	23554
	IBM
	WIP
	ISA001570
	High
	167.238.143.114
	web-presm2-lom

	ISA2011
	16780
	IBM
	WIP
	ISA001573
	High
	167.238.143.114
	web-presm2-lom

	ISA2011
	16781
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.114
	web-presm2-lom

	ISA2011
	16776
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.114
	web-presm2-lom

	ISA2011
	16773
	IBM
	WIP
	ISA001563
	Low
	167.238.143.114
	web-presm2-lom

	ISA2011
	16782
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.114
	web-presm2-lom

	ISA2011
	16779
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.114
	web-presm2-lom

	ISA2011
	16777
	IBM
	WIP
	ISA001568
	High
	167.238.143.114
	web-presm2-lom

	ISA2011
	16770
	IBM
	WIP
	ISA001559
	Low
	167.238.143.114
	web-presm2-lom

	ISA2011
	16774
	IBM
	WIP
	ISA001564
	High
	167.238.143.114
	web-presm2-lom

	ISA2011
	16771
	IBM
	WIP
	ISA001561
	High
	167.238.143.114
	web-presm2-lom

	ISA2011
	16778
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.114
	web-presm2-lom

	ISA2011
	16775
	IBM
	WIP
	ISA001565
	High
	167.238.143.114
	web-presm2-lom

	ISA2011
	16785
	IBM
	WIP
	ISA001562
	High
	167.238.143.115
	web-presm3-lom

	ISA2011
	23555
	IBM
	WIP
	ISA001570
	High
	167.238.143.115
	web-presm3-lom

	ISA2011
	16793
	IBM
	WIP
	ISA001573
	High
	167.238.143.115
	web-presm3-lom

Health Net/IBM Confidential         Amendment 4        Page 47

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	16794
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.115
	web-presm3-lom

	ISA2011
	16789
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.115
	web-presm3-lom

	ISA2011
	16786
	IBM
	WIP
	ISA001563
	Low
	167.238.143.115
	web-presm3-lom

	ISA2011
	16795
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.115
	web-presm3-lom

	ISA2011
	16792
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.115
	web-presm3-lom

	ISA2011
	16790
	IBM
	WIP
	ISA001568
	High
	167.238.143.115
	web-presm3-lom

	ISA2011
	16783
	IBM
	WIP
	ISA001559
	Low
	167.238.143.115
	web-presm3-lom

	ISA2011
	16787
	IBM
	WIP
	ISA001564
	High
	167.238.143.115
	web-presm3-lom

	ISA2011
	16784
	IBM
	WIP
	ISA001561
	High
	167.238.143.115
	web-presm3-lom

	ISA2011
	16791
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.115
	web-presm3-lom

	ISA2011
	16788
	IBM
	WIP
	ISA001565
	High
	167.238.143.115
	web-presm3-lom

	ISA2011
	16798
	IBM
	WIP
	ISA001562
	High
	167.238.143.116
	web-presm4-lom

	ISA2011
	23556
	IBM
	WIP
	ISA001570
	High
	167.238.143.116
	web-presm4-lom

	ISA2011
	16806
	IBM
	WIP
	ISA001573
	High
	167.238.143.116
	web-presm4-lom

	ISA2011
	16807
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.116
	web-presm4-lom

	ISA2011
	16802
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.116
	web-presm4-lom

	ISA2011
	16799
	IBM
	WIP
	ISA001563
	Low
	167.238.143.116
	web-presm4-lom

	ISA2011
	16808
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.116
	web-presm4-lom

	ISA2011
	16805
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.116
	web-presm4-lom

	ISA2011
	16803
	IBM
	WIP
	ISA001568
	High
	167.238.143.116
	web-presm4-lom

	ISA2011
	16796
	IBM
	WIP
	ISA001559
	Low
	167.238.143.116
	web-presm4-lom

	ISA2011
	16800
	IBM
	WIP
	ISA001564
	High
	167.238.143.116
	web-presm4-lom

	ISA2011
	16797
	IBM
	WIP
	ISA001561
	High
	167.238.143.116
	web-presm4-lom

	ISA2011
	16804
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.116
	web-presm4-lom

	ISA2011
	16801
	IBM
	WIP
	ISA001565
	High
	167.238.143.116
	web-presm4-lom

	ISA2011
	16811
	IBM
	WIP
	ISA001562
	High
	167.238.143.117
	web-presm5-lom

Health Net/IBM Confidential         Amendment 4        Page 48

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	23557
	IBM
	WIP
	ISA001570
	High
	167.238.143.117
	web-presm5-lom

	ISA2011
	16819
	IBM
	WIP
	ISA001573
	High
	167.238.143.117
	web-presm5-lom

	ISA2011
	16820
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.117
	web-presm5-lom

	ISA2011
	16815
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.117
	web-presm5-lom

	ISA2011
	16812
	IBM
	WIP
	ISA001563
	Low
	167.238.143.117
	web-presm5-lom

	ISA2011
	16821
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.117
	web-presm5-lom

	ISA2011
	16818
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.117
	web-presm5-lom

	ISA2011
	16816
	IBM
	WIP
	ISA001568
	High
	167.238.143.117
	web-presm5-lom

	ISA2011
	16809
	IBM
	WIP
	ISA001559
	Low
	167.238.143.117
	web-presm5-lom

	ISA2011
	16813
	IBM
	WIP
	ISA001564
	High
	167.238.143.117
	web-presm5-lom

	ISA2011
	16810
	IBM
	WIP
	ISA001561
	High
	167.238.143.117
	web-presm5-lom

	ISA2011
	16817
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.117
	web-presm5-lom

	ISA2011
	16814
	IBM
	WIP
	ISA001565
	High
	167.238.143.117
	web-presm5-lom

	ISA2011
	16824
	IBM
	WIP
	ISA001562
	High
	167.238.143.118
	web-stgsm1-lom

	ISA2011
	23558
	IBM
	WIP
	ISA001570
	High
	167.238.143.118
	web-stgsm1-lom

	ISA2011
	16832
	IBM
	WIP
	ISA001573
	High
	167.238.143.118
	web-stgsm1-lom

	ISA2011
	16833
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.118
	web-stgsm1-lom

	ISA2011
	16828
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.118
	web-stgsm1-lom

	ISA2011
	16825
	IBM
	WIP
	ISA001563
	Low
	167.238.143.118
	web-stgsm1-lom

	ISA2011
	16834
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.118
	web-stgsm1-lom

	ISA2011
	16831
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.118
	web-stgsm1-lom

	ISA2011
	16829
	IBM
	WIP
	ISA001568
	High
	167.238.143.118
	web-stgsm1-lom

	ISA2011
	16822
	IBM
	WIP
	ISA001559
	Low
	167.238.143.118
	web-stgsm1-lom

	ISA2011
	16826
	IBM
	WIP
	ISA001564
	High
	167.238.143.118
	web-stgsm1-lom

	ISA2011
	16823
	IBM
	WIP
	ISA001561
	High
	167.238.143.118
	web-stgsm1-lom

	ISA2011
	16830
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.118
	web-stgsm1-lom

Health Net/IBM Confidential         Amendment 4        Page 49

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	16827
	IBM
	WIP
	ISA001565
	High
	167.238.143.118
	web-stgsm1-lom

	ISA2011
	16837
	IBM
	WIP
	ISA001562
	High
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	23559
	IBM
	WIP
	ISA001570
	High
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	16845
	IBM
	WIP
	ISA001573
	High
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	16846
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	16841
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	16838
	IBM
	WIP
	ISA001563
	Low
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	16847
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	16844
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	16842
	IBM
	WIP
	ISA001568
	High
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	16835
	IBM
	WIP
	ISA001559
	Low
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	16839
	IBM
	WIP
	ISA001564
	High
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	16836
	IBM
	WIP
	ISA001561
	High
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	16843
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	16840
	IBM
	WIP
	ISA001565
	High
	167.238.143.119
	web-stgsm2-lom

	ISA2011
	16857
	IBM
	WIP
	ISA001562
	High
	167.238.143.120
	web-uatsm1-lom

	ISA2011
	23560
	IBM
	WIP
	ISA001570
	High
	167.238.143.120
	web-uatsm1-lom

	ISA2011
	16865
	IBM
	WIP
	ISA001573
	High
	167.238.143.120
	web-uatsm1-lom

	ISA2011
	16866
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.120
	web-uatsm1-lom

	ISA2011
	16861
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.120
	web-uatsm1-lom

	ISA2011
	16858
	IBM
	WIP
	ISA001563
	Low
	167.238.143.120
	web-uatsm1-lom

	ISA2011
	16867
	IBM
	WIP
	ISA001575
	Medium
	167.238.143.120
	web-uatsm1-lom

	ISA2011
	16864
	IBM
	WIP
	ISA001572
	Medium
	167.238.143.120
	web-uatsm1-lom

	ISA2011
	16862
	IBM
	WIP
	ISA001568
	High
	167.238.143.120
	web-uatsm1-lom

	ISA2011
	16855
	IBM
	WIP
	ISA001559
	Low
	167.238.143.120
	web-uatsm1-lom

	ISA2011
	16859
	IBM
	WIP
	ISA001564
	High
	167.238.143.120
	web-uatsm1-lom

Health Net/IBM Confidential         Amendment 4        Page 50

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	16856
	IBM
	WIP
	ISA001561
	High
	167.238.143.120
	web-uatsm1-lom

	ISA2011
	16863
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.120
	web-uatsm1-lom

	ISA2011
	16860
	IBM
	WIP
	ISA001565
	High
	167.238.143.120
	web-uatsm1-lom

	ISA2011
	10710
	IBM
	WIP
	ISA001169
	High
	167.238.178.19
	Wolfman-rib

	ISA2011
	13458
	IBM
	WIP
	ISA001477
	Medium
	167.238.148.45
	WOOKIE

	ISA2011
	26817
	IBM
	WIP
	ISA001470
	High
	167.238.154.19
	XP # 4

	ISA2011
	13146
	IBM
	WIP
	ISA001473
	Medium
	141.177.228.1
	141.177.228.1

	ISA2011
	13398
	IBM
	WIP
	ISA001477
	Medium
	141.177.228.1
	141.177.228.1

	ISA2011
	13147
	IBM
	WIP
	ISA001473
	Medium
	141.177.232.1
	141.177.232.1

	ISA2011
	13400
	IBM
	WIP
	ISA001477
	Medium
	141.177.232.1
	141.177.232.1

	ISA2011
	16871
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.122
	167.238.143.122

	ISA2011
	13467
	IBM
	WIP
	ISA001477
	Medium
	167.238.168.19
	167.238.168.19

	ISA2011
	28028
	IBM
	WIP
	ISA001182
	High
	167.238.128.32
	BLD-DOM-IM01

	ISA2011
	13609
	IBM
	WIP
	ISA001476
	Medium
	167.238.171.20
	BLD-FS-RAX01

	ISA2011
	13610
	IBM
	WIP
	ISA001476
	Medium
	167.238.188.214
	BLD-FS-RAX01

	ISA2011
	13611
	IBM
	WIP
	ISA001477
	Medium
	167.238.171.20
	BLD-FS-RAX01

	ISA2011
	13612
	IBM
	WIP
	ISA001477
	Medium
	167.238.188.214
	BLD-FS-RAX01

	ISA2011
	13616
	IBM
	WIP
	ISA001476
	Medium
	167.238.171.21
	BLD-FS-RAX02

	ISA2011
	13617
	IBM
	WIP
	ISA001476
	Medium
	167.238.188.215
	BLD-FS-RAX02

	ISA2011
	13618
	IBM
	WIP
	ISA001477
	Medium
	167.238.171.21
	BLD-FS-RAX02

	ISA2011
	13619
	IBM
	WIP
	ISA001477
	Medium
	167.238.188.215
	BLD-FS-RAX02

	ISA2011
	13643
	IBM
	WIP
	ISA001477
	Medium
	167.238.142.179
	BLD-FS-SQLCL11

	ISA2011
	13657
	IBM
	WIP
	ISA001476
	Medium
	167.238.177.100
	BLD-FS-SQLTST01

	ISA2011
	13658
	IBM
	WIP
	ISA001477
	Medium
	167.238.177.100
	BLD-FS-SQLTST01

	ISA2011
	26321
	IBM
	WIP
	ISA001212
	Medium
	167.238.169.26
	bld-hn-dns01-n2

	ISA2011
	19074
	IBM
	WIP
	ISA001573
	High
	167.238.128.205
	BLD-TKLM01

Health Net/IBM Confidential         Amendment 4        Page 51

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	19072
	IBM
	WIP
	ISA001560
	Low
	167.238.128.205
	BLD-TKLM01

	ISA2011
	19073
	IBM
	WIP
	ISA001563
	Low
	167.238.128.205
	BLD-TKLM01

	ISA2011
	19078
	IBM
	WIP
	ISA001573
	High
	167.238.128.206
	BLD-TKLM02

	ISA2011
	19076
	IBM
	WIP
	ISA001560
	Low
	167.238.128.206
	BLD-TKLM02

	ISA2011
	19077
	IBM
	WIP
	ISA001563
	Low
	167.238.128.206
	BLD-TKLM02

	ISA2011
	19983
	IBM
	WIP
	ISA001559
	Low
	167.238.180.33
	BO-DEVAPP1

	ISA2011
	19984
	IBM
	WIP
	ISA001559
	Low
	167.238.173.32
	BO-DEVAPP1

	ISA2011
	19985
	IBM
	WIP
	ISA001560
	Low
	167.238.180.33
	BO-DEVAPP1

	ISA2011
	19986
	IBM
	WIP
	ISA001560
	Low
	167.238.173.32
	BO-DEVAPP1

	ISA2011
	19987
	IBM
	WIP
	ISA001563
	Low
	167.238.180.33
	BO-DEVAPP1

	ISA2011
	19988
	IBM
	WIP
	ISA001563
	Low
	167.238.173.32
	BO-DEVAPP1

	ISA2011
	19995
	IBM
	WIP
	ISA001559
	Low
	167.238.180.34
	BO-DEVAPP2

	ISA2011
	19996
	IBM
	WIP
	ISA001559
	Low
	167.238.173.33
	BO-DEVAPP2

	ISA2011
	19997
	IBM
	WIP
	ISA001560
	Low
	167.238.180.34
	BO-DEVAPP2

	ISA2011
	19998
	IBM
	WIP
	ISA001560
	Low
	167.238.173.33
	BO-DEVAPP2

	ISA2011
	19999
	IBM
	WIP
	ISA001563
	Low
	167.238.180.34
	BO-DEVAPP2

	ISA2011
	20000
	IBM
	WIP
	ISA001563
	Low
	167.238.173.33
	BO-DEVAPP2

	ISA2011
	20007
	IBM
	WIP
	ISA001559
	Low
	167.238.167.49
	BO-PRDAPP1

	ISA2011
	20008
	IBM
	WIP
	ISA001560
	Low
	167.238.167.49
	BO-PRDAPP1

	ISA2011
	20009
	IBM
	WIP
	ISA001563
	Low
	167.238.167.49
	BO-PRDAPP1

	ISA2011
	20013
	IBM
	WIP
	ISA001559
	Low
	167.238.167.50
	BO-PRDAPP2

	ISA2011
	20014
	IBM
	WIP
	ISA001560
	Low
	167.238.167.50
	BO-PRDAPP2

	ISA2011
	20015
	IBM
	WIP
	ISA001563
	Low
	167.238.167.50
	BO-PRDAPP2

	ISA2011
	20019
	IBM
	WIP
	ISA001559
	Low
	167.238.167.51
	BO-PRDAPP3

	ISA2011
	20020
	IBM
	WIP
	ISA001560
	Low
	167.238.167.51
	BO-PRDAPP3

	ISA2011
	20021
	IBM
	WIP
	ISA001563
	Low
	167.238.167.51
	BO-PRDAPP3

Health Net/IBM Confidential         Amendment 4        Page 52

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	20025
	IBM
	WIP
	ISA001559
	Low
	167.238.167.52
	BO-PRDAPP4

	ISA2011
	20026
	IBM
	WIP
	ISA001560
	Low
	167.238.167.52
	BO-PRDAPP4

	ISA2011
	20027
	IBM
	WIP
	ISA001563
	Low
	167.238.167.52
	BO-PRDAPP4

	ISA2011
	20031
	IBM
	WIP
	ISA001559
	Low
	167.238.167.53
	BO-PRDAPP5

	ISA2011
	20032
	IBM
	WIP
	ISA001560
	Low
	167.238.167.53
	BO-PRDAPP5

	ISA2011
	20033
	IBM
	WIP
	ISA001563
	Low
	167.238.167.53
	BO-PRDAPP5

	ISA2011
	20037
	IBM
	WIP
	ISA001559
	Low
	167.238.167.54
	BO-PRDAPP6

	ISA2011
	20038
	IBM
	WIP
	ISA001560
	Low
	167.238.167.54
	BO-PRDAPP6

	ISA2011
	20039
	IBM
	WIP
	ISA001563
	Low
	167.238.167.54
	BO-PRDAPP6

	ISA2011
	20043
	IBM
	WIP
	ISA001559
	Low
	167.238.136.67
	BO-STGAPP1

	ISA2011
	20044
	IBM
	WIP
	ISA001560
	Low
	167.238.136.67
	BO-STGAPP1

	ISA2011
	20045
	IBM
	WIP
	ISA001563
	Low
	167.238.136.67
	BO-STGAPP1

	ISA2011
	20049
	IBM
	WIP
	ISA001559
	Low
	167.238.136.68
	BO-STGAPP2

	ISA2011
	20050
	IBM
	WIP
	ISA001560
	Low
	167.238.136.68
	BO-STGAPP2

	ISA2011
	20051
	IBM
	WIP
	ISA001563
	Low
	167.238.136.68
	BO-STGAPP2

	ISA2011
	20057
	IBM
	WIP
	ISA001573
	High
	167.238.136.107
	BOXI-DEVAPP1

	ISA2011
	20055
	IBM
	WIP
	ISA001560
	Low
	167.238.136.107
	BOXI-DEVAPP1

	ISA2011
	20056
	IBM
	WIP
	ISA001563
	Low
	167.238.136.107
	BOXI-DEVAPP1

	ISA2011
	20061
	IBM
	WIP
	ISA001573
	High
	167.238.167.179
	BOXI-PRDAPP1

	ISA2011
	20059
	IBM
	WIP
	ISA001560
	Low
	167.238.167.179
	BOXI-PRDAPP1

	ISA2011
	20060
	IBM
	WIP
	ISA001563
	Low
	167.238.167.179
	BOXI-PRDAPP1

	ISA2011
	20098
	IBM
	WIP
	ISA001563
	Low
	167.238.144.14
	ccs-preweb1-lom

	ISA2011
	20162
	IBM
	WIP
	ISA001573
	High
	167.238.177.75
	CMSDEVWEB1

	ISA2011
	20163
	IBM
	WIP
	ISA001574
	Medium
	167.238.177.75
	CMSDEVWEB1

	ISA2011
	20161
	IBM
	WIP
	ISA001563
	Low
	167.238.177.75
	CMSDEVWEB1

	ISA2011
	20178
	IBM
	WIP
	ISA001562
	High
	167.238.144.107
	CMSPRDAPP4

Health Net/IBM Confidential         Amendment 4        Page 53

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	23646
	IBM
	WIP
	ISA001570
	High
	167.238.144.107
	CMSPRDAPP4

	ISA2011
	20182
	IBM
	WIP
	ISA001573
	High
	167.238.144.107
	CMSPRDAPP4

	ISA2011
	20183
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.107
	CMSPRDAPP4

	ISA2011
	20180
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.107
	CMSPRDAPP4

	ISA2011
	20179
	IBM
	WIP
	ISA001563
	Low
	167.238.144.107
	CMSPRDAPP4

	ISA2011
	20177
	IBM
	WIP
	ISA001559
	Low
	167.238.144.107
	CMSPRDAPP4

	ISA2011
	20181
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.107
	CMSPRDAPP4

	ISA2011
	23129
	IBM
	WIP
	ISA001563
	Low
	167.238.144.27
	cmsprdapp4-lom

	ISA2011
	23135
	IBM
	WIP
	ISA001573
	High
	167.238.144.28
	cmsprdapp5-lom

	ISA2011
	23136
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.28
	cmsprdapp5-lom

	ISA2011
	23133
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.28
	cmsprdapp5-lom

	ISA2011
	23131
	IBM
	WIP
	ISA001560
	Low
	167.238.144.28
	cmsprdapp5-lom

	ISA2011
	23132
	IBM
	WIP
	ISA001563
	Low
	167.238.144.28
	cmsprdapp5-lom

	ISA2011
	23130
	IBM
	WIP
	ISA001559
	Low
	167.238.144.28
	cmsprdapp5-lom

	ISA2011
	23134
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.28
	cmsprdapp5-lom

	ISA2011
	20193
	IBM
	WIP
	ISA001573
	High
	167.238.177.86
	CMSTSTSBY

	ISA2011
	20194
	IBM
	WIP
	ISA001574
	Medium
	167.238.177.86
	CMSTSTSBY

	ISA2011
	20192
	IBM
	WIP
	ISA001563
	Low
	167.238.177.86
	CMSTSTSBY

	ISA2011
	20196
	IBM
	WIP
	ISA001573
	High
	167.238.177.81
	CMSTSTWEB1

	ISA2011
	20197
	IBM
	WIP
	ISA001574
	Medium
	167.238.177.81
	CMSTSTWEB1

	ISA2011
	20195
	IBM
	WIP
	ISA001563
	Low
	167.238.177.81
	CMSTSTWEB1

	ISA2011
	20199
	IBM
	WIP
	ISA001573
	High
	167.238.177.20
	CMSTSTWEB2

	ISA2011
	20200
	IBM
	WIP
	ISA001574
	Medium
	167.238.177.20
	CMSTSTWEB2

	ISA2011
	20198
	IBM
	WIP
	ISA001563
	Low
	167.238.177.20
	CMSTSTWEB2

	ISA2011
	17567
	IBM
	WIP
	ISA001563
	Low
	167.238.171.44
	COM-PREAPP6

	ISA2011
	17209
	IBM
	WIP
	ISA001562
	High
	167.238.143.70
	com-preapp6-lom

Health Net/IBM Confidential         Amendment 4        Page 54

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	23588
	IBM
	WIP
	ISA001570
	High
	167.238.143.70
	com-preapp6-lom

	ISA2011
	17213
	IBM
	WIP
	ISA001573
	High
	167.238.143.70
	com-preapp6-lom

	ISA2011
	17208
	IBM
	WIP
	ISA001559
	Low
	167.238.143.70
	com-preapp6-lom

	ISA2011
	17234
	IBM
	WIP
	ISA001563
	Low
	167.238.143.85
	eft-prdftp1-lom

	ISA2011
	17235
	IBM
	WIP
	ISA001563
	Low
	167.238.143.86
	eft-prdftp2-lom

	ISA2011
	15142
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.44
	em-prdarch4-lom

	ISA2011
	23181
	IBM
	WIP
	ISA001563
	Low
	167.238.144.44
	em-prdarch4-lom

	ISA2011
	15140
	IBM
	WIP
	ISA001473
	Medium
	167.238.144.44
	em-prdarch4-lom

	ISA2011
	15143
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.44
	em-prdarch4-lom

	ISA2011
	15146
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.45
	em-prdarch5-lom

	ISA2011
	23182
	IBM
	WIP
	ISA001563
	Low
	167.238.144.45
	em-prdarch5-lom

	ISA2011
	15144
	IBM
	WIP
	ISA001473
	Medium
	167.238.144.45
	em-prdarch5-lom

	ISA2011
	15147
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.45
	em-prdarch5-lom

	ISA2011
	13381
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.88
	em-prdarch6-lom

	ISA2011
	17237
	IBM
	WIP
	ISA001563
	Low
	167.238.143.88
	em-prdarch6-lom

	ISA2011
	13446
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.88
	em-prdarch6-lom

	ISA2011
	12647
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.59
	em-prdddom9

	ISA2011
	12648
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.59
	em-prdddom9

	ISA2011
	20184
	IBM
	WIP
	ISA001563
	Low
	167.238.144.40
	em-prddom5-lom

	ISA2011
	14115
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.42
	em-prddom7-lom

	ISA2011
	14113
	IBM
	WIP
	ISA001473
	Medium
	167.238.144.42
	em-prddom7-lom

	ISA2011
	14116
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.42
	em-prddom7-lom

	ISA2011
	14111
	IBM
	WIP
	ISA001473
	Medium
	167.238.144.43
	em-prddom8-lom

	ISA2011
	17788
	IBM
	WIP
	ISA001573
	High
	167.238.143.30
	EM-TSTDOM3

	ISA2011
	17789
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.30
	EM-TSTDOM3

	ISA2011
	17786
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.30
	EM-TSTDOM3

Health Net/IBM Confidential         Amendment 4        Page 55

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17784
	IBM
	WIP
	ISA001560
	Low
	167.238.143.30
	EM-TSTDOM3

	ISA2011
	17785
	IBM
	WIP
	ISA001563
	Low
	167.238.143.30
	EM-TSTDOM3

	ISA2011
	17783
	IBM
	WIP
	ISA001559
	Low
	167.238.143.30
	EM-TSTDOM3

	ISA2011
	17787
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.30
	EM-TSTDOM3

	ISA2011
	14157
	IBM
	WIP
	ISA001477
	Medium
	167.238.167.71
	EP-PRDCM1

	ISA2011
	14159
	IBM
	WIP
	ISA001477
	Medium
	167.238.167.72
	EP-PRDCM2

	ISA2011
	14161
	IBM
	WIP
	ISA001477
	Medium
	167.238.167.73
	EP-PRDCM3

	ISA2011
	14163
	IBM
	WIP
	ISA001477
	Medium
	167.238.167.37
	EP-PRDCM4

	ISA2011
	14165
	IBM
	WIP
	ISA001477
	Medium
	167.238.173.40
	EP-STGCM1

	ISA2011
	23115
	IBM
	WIP
	ISA001563
	Low
	167.238.144.24
	fed-prd1-lom

	ISA2011
	20461
	IBM
	WIP
	ISA001562
	High
	167.238.144.106
	FED-PRD2

	ISA2011
	23648
	IBM
	WIP
	ISA001570
	High
	167.238.144.106
	FED-PRD2

	ISA2011
	20465
	IBM
	WIP
	ISA001573
	High
	167.238.144.106
	FED-PRD2

	ISA2011
	20466
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.106
	FED-PRD2

	ISA2011
	20463
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.106
	FED-PRD2

	ISA2011
	20462
	IBM
	WIP
	ISA001563
	Low
	167.238.144.106
	FED-PRD2

	ISA2011
	20460
	IBM
	WIP
	ISA001559
	Low
	167.238.144.106
	FED-PRD2

	ISA2011
	20464
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.106
	FED-PRD2

	ISA2011
	23183
	IBM
	WIP
	ISA001563
	Low
	167.238.144.25
	fed-prd2-lom

	ISA2011
	20467
	IBM
	WIP
	ISA001563
	Low
	167.238.144.17
	fed-pre1-lom

	ISA2011
	20468
	IBM
	WIP
	ISA001563
	Low
	167.238.144.18
	fed-pre2-lom

	ISA2011
	20469
	IBM
	WIP
	ISA001563
	Low
	167.238.144.46
	fed-stg1-lom

	ISA2011
	27038
	IBM
	WIP
	ISA001469
	High
	167.238.202.4
	FED-STG2

	ISA2011
	27118
	IBM
	WIP
	ISA001470
	High
	167.238.202.4
	FED-STG2

	ISA2011
	20470
	IBM
	WIP
	ISA001563
	Low
	167.238.144.47
	fed-stg2-lom

	ISA2011
	26108
	IBM
	WIP
	ISA001212
	Medium
	167.238.148.37
	FELINE

Health Net/IBM Confidential         Amendment 4        Page 56

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17830
	IBM
	WIP
	ISA001573
	High
	167.238.146.30
	FSLOGIN1

	ISA2011
	17831
	IBM
	WIP
	ISA001574
	Medium
	167.238.146.30
	FSLOGIN1

	ISA2011
	17828
	IBM
	WIP
	ISA001567
	Medium
	167.238.146.30
	FSLOGIN1

	ISA2011
	17826
	IBM
	WIP
	ISA001560
	Low
	167.238.146.30
	FSLOGIN1

	ISA2011
	17827
	IBM
	WIP
	ISA001563
	Low
	167.238.146.30
	FSLOGIN1

	ISA2011
	17825
	IBM
	WIP
	ISA001559
	Low
	167.238.146.30
	FSLOGIN1

	ISA2011
	17829
	IBM
	WIP
	ISA001571
	Medium
	167.238.146.30
	FSLOGIN1

	ISA2011
	26538
	IBM
	WIP
	ISA001212
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	14254
	IBM
	WIP
	ISA001477
	Medium
	167.238.168.21
	IBMTOOL-NIM01

	ISA2011
	20688
	IBM
	WIP
	ISA001574
	Medium
	167.238.136.78
	INF-DEVAPP1

	ISA2011
	20685
	IBM
	WIP
	ISA001560
	Low
	167.238.136.78
	INF-DEVAPP1

	ISA2011
	20686
	IBM
	WIP
	ISA001563
	Low
	167.238.136.78
	INF-DEVAPP1

	ISA2011
	20692
	IBM
	WIP
	ISA001574
	Medium
	167.238.136.81
	INF-DEVAPP4

	ISA2011
	20689
	IBM
	WIP
	ISA001560
	Low
	167.238.136.81
	INF-DEVAPP4

	ISA2011
	20690
	IBM
	WIP
	ISA001563
	Low
	167.238.136.81
	INF-DEVAPP4

	ISA2011
	20696
	IBM
	WIP
	ISA001574
	Medium
	167.238.166.121
	INF-PRDAPP6

	ISA2011
	20693
	IBM
	WIP
	ISA001560
	Low
	167.238.166.121
	INF-PRDAPP6

	ISA2011
	20694
	IBM
	WIP
	ISA001563
	Low
	167.238.166.121
	INF-PRDAPP6

	ISA2011
	20700
	IBM
	WIP
	ISA001574
	Medium
	167.238.167.12
	INF-PRDAPP8

	ISA2011
	20697
	IBM
	WIP
	ISA001560
	Low
	167.238.167.12
	INF-PRDAPP8

	ISA2011
	20698
	IBM
	WIP
	ISA001563
	Low
	167.238.167.12
	INF-PRDAPP8

	ISA2011
	20704
	IBM
	WIP
	ISA001574
	Medium
	167.238.136.82
	INF-QAAPP1

	ISA2011
	20701
	IBM
	WIP
	ISA001560
	Low
	167.238.136.82
	INF-QAAPP1

	ISA2011
	20702
	IBM
	WIP
	ISA001563
	Low
	167.238.136.82
	INF-QAAPP1

	ISA2011
	20708
	IBM
	WIP
	ISA001574
	Medium
	167.238.136.88
	INF-STGAPP5

	ISA2011
	20705
	IBM
	WIP
	ISA001560
	Low
	167.238.136.88
	INF-STGAPP5

Health Net/IBM Confidential         Amendment 4        Page 57

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	20706
	IBM
	WIP
	ISA001563
	Low
	167.238.136.88
	INF-STGAPP5

	ISA2011
	20712
	IBM
	WIP
	ISA001574
	Medium
	167.238.173.36
	INF-STGAPP6

	ISA2011
	20709
	IBM
	WIP
	ISA001560
	Low
	167.238.173.36
	INF-STGAPP6

	ISA2011
	20710
	IBM
	WIP
	ISA001563
	Low
	167.238.173.36
	INF-STGAPP6

	ISA2011
	10493
	IBM
	WIP
	ISA001169
	High
	141.177.173.164
	ISGS-L0301

	ISA2011
	10526
	IBM
	WIP
	ISA001169
	High
	141.177.111.225
	ISL-I17998

	ISA2011
	20761
	IBM
	WIP
	ISA001563
	Low
	167.238.144.22
	jive-prdapp1-lom

	ISA2011
	20762
	IBM
	WIP
	ISA001563
	Low
	167.238.144.23
	jive-prdweb1-lom

	ISA2011
	20792
	IBM
	WIP
	ISA001573
	High
	167.238.169.107
	LOGSERVER2

	ISA2011
	20793
	IBM
	WIP
	ISA001574
	Medium
	167.238.169.107
	LOGSERVER2

	ISA2011
	20791
	IBM
	WIP
	ISA001563
	Low
	167.238.169.107
	LOGSERVER2

	ISA2011
	17953
	IBM
	WIP
	ISA001573
	High
	167.238.143.82
	master-lom

	ISA2011
	17954
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.82
	master-lom

	ISA2011
	17951
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.82
	master-lom

	ISA2011
	17949
	IBM
	WIP
	ISA001560
	Low
	167.238.143.82
	master-lom

	ISA2011
	17950
	IBM
	WIP
	ISA001563
	Low
	167.238.143.82
	master-lom

	ISA2011
	17948
	IBM
	WIP
	ISA001559
	Low
	167.238.143.82
	master-lom

	ISA2011
	17952
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.82
	master-lom

	ISA2011
	26876
	IBM
	WIP
	ISA001226
	Medium
	167.238.132.40
	NOCTURNE

	ISA2011
	20875
	IBM
	WIP
	ISA001562
	High
	167.238.144.12
	orac-dev01-lom

	ISA2011
	23649
	IBM
	WIP
	ISA001570
	High
	167.238.144.12
	orac-dev01-lom

	ISA2011
	20879
	IBM
	WIP
	ISA001573
	High
	167.238.144.12
	orac-dev01-lom

	ISA2011
	20880
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.12
	orac-dev01-lom

	ISA2011
	20877
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.12
	orac-dev01-lom

	ISA2011
	20874
	IBM
	WIP
	ISA001559
	Low
	167.238.144.12
	orac-dev01-lom

	ISA2011
	20878
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.12
	orac-dev01-lom

Health Net/IBM Confidential         Amendment 4        Page 58

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	20882
	IBM
	WIP
	ISA001562
	High
	167.238.144.13
	orac-dev02-lom

	ISA2011
	23650
	IBM
	WIP
	ISA001570
	High
	167.238.144.13
	orac-dev02-lom

	ISA2011
	20886
	IBM
	WIP
	ISA001573
	High
	167.238.144.13
	orac-dev02-lom

	ISA2011
	20887
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.13
	orac-dev02-lom

	ISA2011
	20884
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.13
	orac-dev02-lom

	ISA2011
	20881
	IBM
	WIP
	ISA001559
	Low
	167.238.144.13
	orac-dev02-lom

	ISA2011
	20885
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.13
	orac-dev02-lom

	ISA2011
	12745
	IBM
	WIP
	ISA001477
	Medium
	167.238.190.100
	ORAC-DEV09

	ISA2011
	12821
	IBM
	WIP
	ISA001477
	Medium
	167.238.157.98
	ORAC-DEV09

	ISA2011
	12827
	IBM
	WIP
	ISA001477
	Medium
	167.238.157.95
	ORAC-DEV09

	ISA2011
	14311
	IBM
	WIP
	ISA001477
	Medium
	167.238.157.90
	ORAC-DEV09

	ISA2011
	12377
	IBM
	WIP
	ISA001477
	Medium
	167.238.157.96
	ORAC-DEV10

	ISA2011
	12380
	IBM
	WIP
	ISA001477
	Medium
	167.238.157.97
	ORAC-DEV10

	ISA2011
	12824
	IBM
	WIP
	ISA001477
	Medium
	167.238.157.99
	ORAC-DEV10

	ISA2011
	13473
	IBM
	WIP
	ISA001477
	Medium
	167.238.190.102
	ORAC-DEV10

	ISA2011
	14314
	IBM
	WIP
	ISA001477
	Medium
	167.238.157.93
	ORAC-DEV10

	ISA2011
	20186
	IBM
	WIP
	ISA001562
	High
	167.238.144.11
	orac-prd01-lom

	ISA2011
	23647
	IBM
	WIP
	ISA001570
	High
	167.238.144.11
	orac-prd01-lom

	ISA2011
	20190
	IBM
	WIP
	ISA001573
	High
	167.238.144.11
	orac-prd01-lom

	ISA2011
	20191
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.11
	orac-prd01-lom

	ISA2011
	20188
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.11
	orac-prd01-lom

	ISA2011
	20185
	IBM
	WIP
	ISA001559
	Low
	167.238.144.11
	orac-prd01-lom

	ISA2011
	20189
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.11
	orac-prd01-lom

	ISA2011
	23138
	IBM
	WIP
	ISA001562
	High
	167.238.144.30
	orac-prd02-lom

	ISA2011
	23676
	IBM
	WIP
	ISA001570
	High
	167.238.144.30
	orac-prd02-lom

	ISA2011
	23142
	IBM
	WIP
	ISA001573
	High
	167.238.144.30
	orac-prd02-lom

Health Net/IBM Confidential         Amendment 4        Page 59

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	23143
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.30
	orac-prd02-lom

	ISA2011
	23140
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.30
	orac-prd02-lom

	ISA2011
	23137
	IBM
	WIP
	ISA001559
	Low
	167.238.144.30
	orac-prd02-lom

	ISA2011
	23141
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.30
	orac-prd02-lom

	ISA2011
	16910
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.136
	orac-prd08-lom

	ISA2011
	16907
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.136
	orac-prd08-lom

	ISA2011
	16908
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.136
	orac-prd08-lom

	ISA2011
	12388
	IBM
	WIP
	ISA001477
	Medium
	167.238.169.87
	Orac-prd09

	ISA2011
	12830
	IBM
	WIP
	ISA001477
	Medium
	167.238.169.225
	ORAC-PRD09

	ISA2011
	14317
	IBM
	WIP
	ISA001477
	Medium
	167.238.169.140
	ORAC-PRD09

	ISA2011
	12385
	IBM
	WIP
	ISA001477
	Medium
	167.238.169.86
	Orac-prd10

	ISA2011
	12833
	IBM
	WIP
	ISA001477
	Medium
	167.238.169.226
	ORAC-PRD10

	ISA2011
	12836
	IBM
	WIP
	ISA001477
	Medium
	167.238.169.63
	ORAC-PRD10

	ISA2011
	14320
	IBM
	WIP
	ISA001477
	Medium
	167.238.169.144
	ORAC-PRD10

	ISA2011
	20889
	IBM
	WIP
	ISA001562
	High
	167.238.144.104
	orac-stg01-lom

	ISA2011
	23651
	IBM
	WIP
	ISA001570
	High
	167.238.144.104
	orac-stg01-lom

	ISA2011
	20893
	IBM
	WIP
	ISA001573
	High
	167.238.144.104
	orac-stg01-lom

	ISA2011
	20894
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.104
	orac-stg01-lom

	ISA2011
	20891
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.104
	orac-stg01-lom

	ISA2011
	20888
	IBM
	WIP
	ISA001559
	Low
	167.238.144.104
	orac-stg01-lom

	ISA2011
	20892
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.104
	orac-stg01-lom

	ISA2011
	20896
	IBM
	WIP
	ISA001562
	High
	167.238.144.105
	orac-stg02-lom

	ISA2011
	23652
	IBM
	WIP
	ISA001570
	High
	167.238.144.105
	orac-stg02-lom

	ISA2011
	20900
	IBM
	WIP
	ISA001573
	High
	167.238.144.105
	orac-stg02-lom

	ISA2011
	20901
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.105
	orac-stg02-lom

	ISA2011
	20898
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.105
	orac-stg02-lom

Health Net/IBM Confidential         Amendment 4        Page 60

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	20895
	IBM
	WIP
	ISA001559
	Low
	167.238.144.105
	orac-stg02-lom

	ISA2011
	20899
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.105
	orac-stg02-lom

	ISA2011
	26205
	IBM
	WIP
	ISA001458
	High
	167.238.188.210
	P570-01-VIO01

	ISA2011
	10641
	IBM
	WIP
	ISA001160
	High
	167.238.188.210
	P570-01-VIO01

	ISA2011
	14322
	IBM
	WIP
	ISA001477
	Medium
	167.238.168.15
	P570-HMC01

	ISA2011
	17892
	IBM
	WIP
	ISA001573
	High
	167.238.154.29
	PRELUDE

	ISA2011
	17898
	IBM
	WIP
	ISA001574
	Medium
	167.238.154.29
	PRELUDE

	ISA2011
	17888
	IBM
	WIP
	ISA001567
	Medium
	167.238.154.29
	PRELUDE

	ISA2011
	17882
	IBM
	WIP
	ISA001563
	Low
	167.238.154.29
	PRELUDE

	ISA2011
	17877
	IBM
	WIP
	ISA001559
	Low
	167.238.154.29
	PRELUDE

	ISA2011
	26607
	IBM
	WIP
	ISA001472
	High
	167.238.154.29
	PRELUDE

	ISA2011
	17890
	IBM
	WIP
	ISA001571
	Medium
	167.238.154.29
	PRELUDE

	ISA2011
	27944
	IBM
	WIP
	ISA001211
	High
	141.177.196.159
	RC1-RDR02

	ISA2011
	27999
	IBM
	WIP
	ISA001458
	High
	167.238.181.27
	RC-APP92

	ISA2011
	28167
	IBM
	WIP
	ISA001472
	High
	167.238.128.43
	RC-HN-CA01

	ISA2011
	28168
	IBM
	WIP
	ISA001472
	High
	167.238.181.65
	RC-HN-CA01

	ISA2011
	28271
	IBM
	WIP
	ISA001472
	High
	167.238.156.74
	RC-WEB55

	ISA2011
	6934
	IBM
	WIP
	ISA001112
	High
	167.238.154.40
	SAN Sw2 A (4)

	ISA2011
	1852
	IBM
	WIP - Pending HN
	ISA001079
	High
	167.238.154.40
	SAN Sw2 A (4)

	ISA2011
	6933
	IBM
	WIP
	ISA001112
	High
	167.238.154.39
	SAN Sw2 B (3)

	ISA2011
	1851
	IBM
	WIP - Pending HN
	ISA001079
	High
	167.238.154.39
	SAN Sw2 B (3)

	ISA2011
	1643
	IBM
	WIP - Pending HN
	ISA001079
	High
	167.238.154.11
	san_fabric_a

	ISA2011
	1645
	IBM
	WIP - Pending HN
	ISA001079
	High
	167.238.154.12
	san_fabric_b

	ISA2011
	13436
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.62
	sap-jpd1-lom

	ISA2011
	13438
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.64
	sap-jxd1-lom

	ISA2011
	12988
	IBM
	WIP
	ISA001476
	Medium
	167.238.154.15
	svc_node_1

Health Net/IBM Confidential         Amendment 4        Page 61

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	12987
	IBM
	WIP
	ISA001474
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	12989
	IBM
	WIP
	ISA001477
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	12991
	IBM
	WIP
	ISA001476
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	12990
	IBM
	WIP
	ISA001474
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	12992
	IBM
	WIP
	ISA001477
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	23091
	IBM
	WIP
	ISA001562
	High
	167.238.144.103
	t3-devapp01-lom

	ISA2011
	23675
	IBM
	WIP
	ISA001570
	High
	167.238.144.103
	t3-devapp01-lom

	ISA2011
	23095
	IBM
	WIP
	ISA001573
	High
	167.238.144.103
	t3-devapp01-lom

	ISA2011
	23096
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.103
	t3-devapp01-lom

	ISA2011
	23093
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.103
	t3-devapp01-lom

	ISA2011
	23090
	IBM
	WIP
	ISA001559
	Low
	167.238.144.103
	t3-devapp01-lom

	ISA2011
	23094
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.103
	t3-devapp01-lom

	ISA2011
	23121
	IBM
	WIP
	ISA001573
	High
	167.238.144.33
	t3-lab1-lom

	ISA2011
	23122
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.33
	t3-lab1-lom

	ISA2011
	23119
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.33
	t3-lab1-lom

	ISA2011
	23117
	IBM
	WIP
	ISA001560
	Low
	167.238.144.33
	t3-lab1-lom

	ISA2011
	23118
	IBM
	WIP
	ISA001563
	Low
	167.238.144.33
	t3-lab1-lom

	ISA2011
	23116
	IBM
	WIP
	ISA001559
	Low
	167.238.144.33
	t3-lab1-lom

	ISA2011
	23120
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.33
	t3-lab1-lom

	ISA2011
	26107
	IBM
	WIP
	ISA001212
	Medium
	167.238.143.68
	t3-prdsm01

	ISA2011
	14149
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.58
	t3-prdsm02-lom

	ISA2011
	20316
	IBM
	WIP
	ISA001563
	Low
	167.238.144.58
	t3-prdsm02-lom

	ISA2011
	14147
	IBM
	WIP
	ISA001473
	Medium
	167.238.144.58
	t3-prdsm02-lom

	ISA2011
	14150
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.58
	t3-prdsm02-lom

	ISA2011
	23144
	IBM
	WIP
	ISA001563
	Low
	167.238.144.55
	t3-presm01-lom

	ISA2011
	23145
	IBM
	WIP
	ISA001563
	Low
	167.238.144.56
	t3-presm02-lom

Health Net/IBM Confidential         Amendment 4        Page 62

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	15139
	IBM
	WIP
	ISA001477
	Medium
	167.238.176.75
	T3-QAAPP1

	ISA2011
	23150
	IBM
	WIP
	ISA001562
	High
	167.238.144.100
	t3-tstapp01-lom

	ISA2011
	23677
	IBM
	WIP
	ISA001570
	High
	167.238.144.100
	t3-tstapp01-lom

	ISA2011
	23154
	IBM
	WIP
	ISA001573
	High
	167.238.144.100
	t3-tstapp01-lom

	ISA2011
	23155
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.100
	t3-tstapp01-lom

	ISA2011
	23152
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.100
	t3-tstapp01-lom

	ISA2011
	23149
	IBM
	WIP
	ISA001559
	Low
	167.238.144.100
	t3-tstapp01-lom

	ISA2011
	23153
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.100
	t3-tstapp01-lom

	ISA2011
	23157
	IBM
	WIP
	ISA001562
	High
	167.238.144.101
	t3-tstapp02-lom

	ISA2011
	23678
	IBM
	WIP
	ISA001570
	High
	167.238.144.101
	t3-tstapp02-lom

	ISA2011
	23161
	IBM
	WIP
	ISA001573
	High
	167.238.144.101
	t3-tstapp02-lom

	ISA2011
	23162
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.101
	t3-tstapp02-lom

	ISA2011
	23159
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.101
	t3-tstapp02-lom

	ISA2011
	23156
	IBM
	WIP
	ISA001559
	Low
	167.238.144.101
	t3-tstapp02-lom

	ISA2011
	23160
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.101
	t3-tstapp02-lom

	ISA2011
	18387
	IBM
	WIP
	ISA001562
	High
	167.238.144.102
	T3-TSTAPP03

	ISA2011
	23597
	IBM
	WIP
	ISA001570
	High
	167.238.144.102
	T3-TSTAPP03

	ISA2011
	18391
	IBM
	WIP
	ISA001573
	High
	167.238.144.102
	T3-TSTAPP03

	ISA2011
	18392
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.102
	T3-TSTAPP03

	ISA2011
	18389
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.102
	T3-TSTAPP03

	ISA2011
	18386
	IBM
	WIP
	ISA001559
	Low
	167.238.144.102
	T3-TSTAPP03

	ISA2011
	18390
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.102
	T3-TSTAPP03

	ISA2011
	23166
	IBM
	WIP
	ISA001560
	Low
	167.238.193.100
	T3WEB-PRDAPP1

	ISA2011
	23170
	IBM
	WIP
	ISA001560
	Low
	167.238.193.101
	T3WEB-PRDAPP2

	ISA2011
	23174
	IBM
	WIP
	ISA001560
	Low
	167.238.193.102
	T3WEB-PRDAPP3

	ISA2011
	1790
	IBM
	WIP - Pending HN
	ISA001079
	High
	167.238.154.13
	tan_fabric_a

Health Net/IBM Confidential         Amendment 4        Page 63

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	1792
	IBM
	WIP - Pending HN
	ISA001079
	High
	167.238.154.14
	tan_fabric_b

	ISA2011
	28454
	IBM
	WIP
	ISA001469
	High
	141.177.184.134
	tig-hnc-dc01-rib

	ISA2011
	28455
	IBM
	WIP
	ISA001470
	High
	141.177.184.134
	tig-hnc-dc01-rib

	ISA2011
	13298
	IBM
	WIP
	ISA001474
	Medium
	167.238.148.31
	TSM-PRD10

	ISA2011
	13452
	IBM
	WIP
	ISA001477
	Medium
	167.238.148.31
	TSM-PRD10

	ISA2011
	12370
	IBM
	WIP
	ISA001477
	Medium
	141.177.32.199
	TSM-RC01

	ISA2011
	2607
	IBM
	WIP - Pending HN
	ISA001013
	High
	167.238.138.35
	GREEN1

	ISA2011
	2619
	IBM
	WIP - Pending HN
	ISA001079
	High
	167.238.138.35
	GREEN1

	ISA2011
	2610
	IBM
	WIP - Pending HN
	ISA001027
	Medium
	167.238.138.35
	GREEN1

	ISA2011
	2611
	IBM
	WIP - Pending HN
	ISA001028
	Medium
	167.238.138.35
	GREEN1

	ISA2011
	2608
	IBM
	WIP - Pending HN
	ISA001015
	Medium
	167.238.138.35
	GREEN1

	ISA2011
	2609
	IBM
	WIP - Pending HN
	ISA001016
	Medium
	167.238.138.35
	GREEN1

	ISA2011
	2612
	IBM
	WIP - Pending HN
	ISA001045
	Medium
	167.238.138.35
	GREEN1

	ISA2011
	2613
	IBM
	WIP - Pending HN
	ISA001046
	High
	167.238.138.35
	GREEN1

	ISA2011
	2620
	IBM
	WIP - Pending HN
	ISA001090
	Medium
	167.238.138.35
	GREEN1

	ISA2011
	2614
	IBM
	WIP - Pending HN
	ISA001058
	Medium
	167.238.138.35
	GREEN1

	ISA2011
	2617
	IBM
	WIP - Pending HN
	ISA001067
	Medium
	167.238.138.35
	GREEN1

	ISA2011
	2616
	IBM
	WIP - Pending HN
	ISA001066
	High
	167.238.138.35
	GREEN1

	ISA2011
	2615
	IBM
	WIP - Pending HN
	ISA001065
	Low
	167.238.138.35
	GREEN1

	ISA2011
	2618
	IBM
	WIP - Pending HN
	ISA001069
	Medium
	167.238.138.35
	GREEN1

	ISA2011
	2605
	IBM
	WIP - Pending HN
	ISA001000
	Medium
	167.238.138.35
	GREEN1

	ISA2011
	2606
	IBM
	WIP - Pending HN
	ISA001001
	Medium
	167.238.138.35
	GREEN1

	ISA2011
	2623
	IBM
	WIP - Pending HN
	ISA001013
	High
	167.238.138.36
	GREEN2

	ISA2011
	2635
	IBM
	WIP - Pending HN
	ISA001079
	High
	167.238.138.36
	GREEN2

	ISA2011
	2626
	IBM
	WIP - Pending HN
	ISA001027
	Medium
	167.238.138.36
	GREEN2

	ISA2011
	2627
	IBM
	WIP - Pending HN
	ISA001028
	Medium
	167.238.138.36
	GREEN2

Health Net/IBM Confidential         Amendment 4        Page 64

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	2624
	IBM
	WIP - Pending HN
	ISA001015
	Medium
	167.238.138.36
	GREEN2

	ISA2011
	2625
	IBM
	WIP - Pending HN
	ISA001016
	Medium
	167.238.138.36
	GREEN2

	ISA2011
	2628
	IBM
	WIP - Pending HN
	ISA001045
	Medium
	167.238.138.36
	GREEN2

	ISA2011
	2629
	IBM
	WIP - Pending HN
	ISA001046
	High
	167.238.138.36
	GREEN2

	ISA2011
	2636
	IBM
	WIP - Pending HN
	ISA001090
	Medium
	167.238.138.36
	GREEN2

	ISA2011
	2630
	IBM
	WIP - Pending HN
	ISA001058
	Medium
	167.238.138.36
	GREEN2

	ISA2011
	2633
	IBM
	WIP - Pending HN
	ISA001067
	Medium
	167.238.138.36
	GREEN2

	ISA2011
	2632
	IBM
	WIP - Pending HN
	ISA001066
	High
	167.238.138.36
	GREEN2

	ISA2011
	2631
	IBM
	WIP - Pending HN
	ISA001065
	Low
	167.238.138.36
	GREEN2

	ISA2011
	2634
	IBM
	WIP - Pending HN
	ISA001069
	Medium
	167.238.138.36
	GREEN2

	ISA2011
	2621
	IBM
	WIP - Pending HN
	ISA001000
	Medium
	167.238.138.36
	GREEN2

	ISA2011
	2622
	IBM
	WIP - Pending HN
	ISA001001
	Medium
	167.238.138.36
	GREEN2

	ISA2011
	13405
	IBM
	WIP
	ISA001477
	Medium
	167.238.131.14
	167.238.131.14

	ISA2011
	26098
	IBM
	WIP
	ISA001212
	Medium
	167.238.137.61
	167.238.137.61

	ISA2011
	13463
	IBM
	WIP
	ISA001477
	Medium
	167.238.154.17
	167.238.154.17

	ISA2011
	12754
	IBM
	WIP
	ISA001477
	Medium
	204.107.54.161
	204.107.54.161

	ISA2011
	12742
	IBM
	WIP
	ISA001474
	Medium
	204.107.54.75
	204.107.54.75

	ISA2011
	12755
	IBM
	WIP
	ISA001477
	Medium
	204.107.54.75
	204.107.54.75

	ISA2011
	26609
	IBM
	WIP
	ISA001913
	Medium
	204.107.54.75
	204.107.54.75

	ISA2011
	26610
	IBM
	WIP
	ISA001913
	Medium
	204.107.54.82
	204.107.54.82

	ISA2011
	12413
	IBM
	WIP - Pending HN
	ISA001477
	Medium
	167.238.151.72
	AMES

	ISA2011
	26312
	IBM
	WIP
	ISA001913
	Medium
	204.107.54.85
	beta

	ISA2011
	17622
	IBM
	WIP
	ISA001573
	High
	167.238.128.28
	bld-tdmf-linux1

	ISA2011
	17623
	IBM
	WIP
	ISA001574
	Medium
	167.238.128.28
	bld-tdmf-linux1

	ISA2011
	17621
	IBM
	WIP
	ISA001567
	Medium
	167.238.128.28
	bld-tdmf-linux1

	ISA2011
	17619
	IBM
	WIP
	ISA001560
	Low
	167.238.128.28
	bld-tdmf-linux1

Health Net/IBM Confidential         Amendment 4        Page 65

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17620
	IBM
	WIP
	ISA001563
	Low
	167.238.128.28
	bld-tdmf-linux1

	ISA2011
	17618
	IBM
	WIP
	ISA001559
	Low
	167.238.128.28
	bld-tdmf-linux1

	ISA2011
	26330
	IBM
	WIP
	ISA001472
	High
	167.238.128.28
	bld-tdmf-linux1

	ISA2011
	17638
	IBM
	WIP
	ISA001574
	Medium
	167.238.128.96
	bld-x3250-13

	ISA2011
	17636
	IBM
	WIP
	ISA001560
	Low
	167.238.128.96
	bld-x3250-13

	ISA2011
	17637
	IBM
	WIP
	ISA001563
	Low
	167.238.128.96
	bld-x3250-13

	ISA2011
	20081
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.54
	ccs-cvs1-lom

	ISA2011
	20076
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.54
	ccs-cvs1-lom

	ISA2011
	20073
	IBM
	WIP
	ISA001563
	Low
	167.238.144.54
	ccs-cvs1-lom

	ISA2011
	20070
	IBM
	WIP
	ISA001559
	Low
	167.238.144.54
	ccs-cvs1-lom

	ISA2011
	20078
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.54
	ccs-cvs1-lom

	ISA2011
	20175
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.48
	ccs-prdsm1-lom

	ISA2011
	20170
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.48
	ccs-prdsm1-lom

	ISA2011
	20167
	IBM
	WIP
	ISA001563
	Low
	167.238.144.48
	ccs-prdsm1-lom

	ISA2011
	20164
	IBM
	WIP
	ISA001559
	Low
	167.238.144.48
	ccs-prdsm1-lom

	ISA2011
	20172
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.48
	ccs-prdsm1-lom

	ISA2011
	17728
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	17723
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	17720
	IBM
	WIP
	ISA001563
	Low
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	17717
	IBM
	WIP
	ISA001559
	Low
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	17725
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	20119
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.38
	ccs-tstsm1-lom

	ISA2011
	20114
	IBM
	WIP
	ISA001563
	Low
	167.238.144.38
	ccs-tstsm1-lom

	ISA2011
	20107
	IBM
	WIP
	ISA001559
	Low
	167.238.144.38
	ccs-tstsm1-lom

	ISA2011
	26288
	IBM
	WIP
	ISA001913
	Medium
	204.107.54.83
	clarke.mhn.com

	ISA2011
	12656
	IBM
	WIP
	ISA001477
	Medium
	167.238.151.55
	fab

Health Net/IBM Confidential         Amendment 4        Page 66

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17844
	IBM
	WIP - CMR
	ISA001573
	High
	167.238.147.12
	hmcas400-1

	ISA2011
	17845
	IBM
	WIP - CMR
	ISA001574
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	17842
	IBM
	WIP - CMR
	ISA001567
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	17840
	IBM
	WIP - CMR
	ISA001560
	Low
	167.238.147.12
	hmcas400-1

	ISA2011
	17841
	IBM
	WIP - CMR
	ISA001563
	Low
	167.238.147.12
	hmcas400-1

	ISA2011
	17839
	IBM
	WIP - CMR
	ISA001559
	Low
	167.238.147.12
	hmcas400-1

	ISA2011
	599
	IBM
	WIP - CMR
	ISA001028
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	600
	IBM
	WIP - CMR
	ISA001030
	High
	167.238.147.12
	hmcas400-1

	ISA2011
	17843
	IBM
	WIP - CMR
	ISA001571
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	17851
	IBM
	WIP - CMR
	ISA001573
	High
	167.238.147.13
	hmcas400-2

	ISA2011
	17852
	IBM
	WIP - CMR
	ISA001574
	Medium
	167.238.147.13
	hmcas400-2

	ISA2011
	17849
	IBM
	WIP - CMR
	ISA001567
	Medium
	167.238.147.13
	hmcas400-2

	ISA2011
	17847
	IBM
	WIP - CMR
	ISA001560
	Low
	167.238.147.13
	hmcas400-2

	ISA2011
	17848
	IBM
	WIP - CMR
	ISA001563
	Low
	167.238.147.13
	hmcas400-2

	ISA2011
	17846
	IBM
	WIP - CMR
	ISA001559
	Low
	167.238.147.13
	hmcas400-2

	ISA2011
	17850
	IBM
	WIP - CMR
	ISA001571
	Medium
	167.238.147.13
	hmcas400-2

	ISA2011
	26210
	IBM
	WIP
	ISA001456
	Medium
	167.238.188.22
	HNPS-PRD3

	ISA2011
	27706
	IBM
	WIP
	ISA001456
	Medium
	167.238.168.30
	HNPS-PRD3

	ISA2011
	26211
	IBM
	WIP
	ISA001457
	Medium
	167.238.188.22
	HNPS-PRD3

	ISA2011
	27707
	IBM
	WIP
	ISA001457
	Medium
	167.238.168.30
	HNPS-PRD3

	ISA2011
	26578
	IBM
	WIP
	ISA001913
	Medium
	204.107.54.71
	hrlink

	ISA2011
	26737
	IBM
	WIP
	ISA001913
	Medium
	204.107.54.74
	medicaresimplified.com

	ISA2011
	17376
	IBM
	WIP
	ISA001574
	Medium
	167.238.188.20
	P570-01-vio01

	ISA2011
	17373
	IBM
	WIP
	ISA001567
	Medium
	167.238.188.20
	P570-01-vio01

	ISA2011
	26197
	IBM
	WIP
	ISA001157
	Medium
	167.238.188.20
	P570-01-vio01

	ISA2011
	26198
	IBM
	WIP
	ISA001456
	Medium
	167.238.188.20
	P570-01-vio01

Health Net/IBM Confidential         Amendment 4        Page 67

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	26199
	IBM
	WIP
	ISA001457
	Medium
	167.238.188.20
	P570-01-vio01

	ISA2011
	17374
	IBM
	WIP
	ISA001571
	Medium
	167.238.188.20
	P570-01-vio01

	ISA2011
	26241
	IBM
	WIP
	ISA001741
	Medium
	167.238.188.56
	P570-02-vio03

	ISA2011
	17467
	IBM
	WIP
	ISA001574
	Medium
	167.238.188.56
	P570-02-vio03

	ISA2011
	17464
	IBM
	WIP
	ISA001567
	Medium
	167.238.188.56
	P570-02-vio03

	ISA2011
	26240
	IBM
	WIP
	ISA001157
	Medium
	167.238.188.56
	P570-02-vio03

	ISA2011
	17465
	IBM
	WIP
	ISA001571
	Medium
	167.238.188.56
	P570-02-vio03

	ISA2011
	27105
	IBM
	WIP
	ISA001470
	High
	167.238.154.40
	SAN Sw2 A (4)

	ISA2011
	27104
	IBM
	WIP
	ISA001470
	High
	167.238.154.39
	SAN Sw2 B (3)

	ISA2011
	12977
	IBM
	WIP
	ISA001477
	Medium
	204.107.54.81
	securemail.mhn.com

	ISA2011
	13484
	IBM
	WIP
	ISA001985
	Low
	204.107.54.36
	wc-stg-su

	ISA2011
	13483
	IBM
	WIP
	ISA001477
	Medium
	204.107.54.36
	wc-stg-su

	ISA2011
	27124
	IBM
	WIP
	ISA001913
	Medium
	204.107.54.36
	wc-stg-su

	ISA2011
	13535
	IBM
	WIP
	ISA001985
	Low
	204.107.54.72
	www2

	ISA2011
	13534
	IBM
	WIP
	ISA001477
	Medium
	204.107.54.72
	www2

	ISA2011
	27139
	IBM
	WIP
	ISA001913
	Medium
	204.107.54.72
	www2

	ISA2011
	13148
	IBM
	WIP
	ISA001473
	Medium
	167.238.131.11
	167.238.131.11

	ISA2011
	13243
	IBM
	WIP
	ISA001474
	Medium
	167.238.131.11
	167.238.131.11

	ISA2011
	13403
	IBM
	WIP
	ISA001477
	Medium
	167.238.131.11
	167.238.131.11

	ISA2011
	13149
	IBM
	WIP
	ISA001473
	Medium
	167.238.131.12
	167.238.131.12

	ISA2011
	13244
	IBM
	WIP
	ISA001474
	Medium
	167.238.131.12
	167.238.131.12

	ISA2011
	13404
	IBM
	WIP
	ISA001477
	Medium
	167.238.131.12
	167.238.131.12

	ISA2011
	26041
	IBM
	WIP
	ISA001157
	Medium
	167.238.131.15
	167.238.131.15

	ISA2011
	26042
	IBM
	WIP
	ISA001157
	Medium
	167.238.131.16
	167.238.131.16

	ISA2011
	13246
	IBM
	WIP
	ISA001474
	Medium
	167.238.131.25
	167.238.131.25

	ISA2011
	13406
	IBM
	WIP
	ISA001477
	Medium
	167.238.131.25
	167.238.131.25

Health Net/IBM Confidential         Amendment 4        Page 68

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	12088
	IBM
	WIP
	ISA001354
	High
	167.238.137.62
	167.238.137.62

	ISA2011
	16965
	IBM
	WIP
	ISA001573
	High
	167.238.143.22
	167.238.143.22

	ISA2011
	16961
	IBM
	WIP
	ISA001560
	Low
	167.238.143.22
	167.238.143.22

	ISA2011
	16962
	IBM
	WIP
	ISA001563
	Low
	167.238.143.22
	167.238.143.22

	ISA2011
	16960
	IBM
	WIP
	ISA001559
	Low
	167.238.143.22
	167.238.143.22

	ISA2011
	13356
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.22
	167.238.143.22

	ISA2011
	16966
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.22
	167.238.143.22

	ISA2011
	16963
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.22
	167.238.143.22

	ISA2011
	13168
	IBM
	WIP
	ISA001473
	Medium
	167.238.143.22
	167.238.143.22

	ISA2011
	13266
	IBM
	WIP
	ISA001474
	Medium
	167.238.143.22
	167.238.143.22

	ISA2011
	13421
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.22
	167.238.143.22

	ISA2011
	16964
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.22
	167.238.143.22

	ISA2011
	13382
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.91
	167.238.143.91

	ISA2011
	13196
	IBM
	WIP
	ISA001473
	Medium
	167.238.143.91
	167.238.143.91

	ISA2011
	13293
	IBM
	WIP
	ISA001474
	Medium
	167.238.143.91
	167.238.143.91

	ISA2011
	13447
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.91
	167.238.143.91

	ISA2011
	13383
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.95
	167.238.143.95

	ISA2011
	13197
	IBM
	WIP
	ISA001473
	Medium
	167.238.143.95
	167.238.143.95

	ISA2011
	13294
	IBM
	WIP
	ISA001474
	Medium
	167.238.143.95
	167.238.143.95

	ISA2011
	13448
	IBM
	WIP
	ISA001477
	Medium
	167.238.143.95
	167.238.143.95

	ISA2011
	13384
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.26
	167.238.144.26

	ISA2011
	13198
	IBM
	WIP
	ISA001473
	Medium
	167.238.144.26
	167.238.144.26

	ISA2011
	13295
	IBM
	WIP
	ISA001474
	Medium
	167.238.144.26
	167.238.144.26

	ISA2011
	13449
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.26
	167.238.144.26

	ISA2011
	17383
	IBM
	WIP
	ISA001574
	Medium
	167.238.188.211
	167.238.188.211

	ISA2011
	17380
	IBM
	WIP
	ISA001567
	Medium
	167.238.188.211
	167.238.188.211

Health Net/IBM Confidential         Amendment 4        Page 69

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	17381
	IBM
	WIP
	ISA001571
	Medium
	167.238.188.211
	167.238.188.211

	ISA2011
	10670
	IBM
	WIP
	ISA001162
	High
	167.238.188.211
	167.238.188.211

	ISA2011
	17390
	IBM
	WIP
	ISA001574
	Medium
	167.238.188.212
	167.238.188.212

	ISA2011
	17387
	IBM
	WIP
	ISA001567
	Medium
	167.238.188.212
	167.238.188.212

	ISA2011
	17388
	IBM
	WIP
	ISA001571
	Medium
	167.238.188.212
	167.238.188.212

	ISA2011
	17477
	IBM
	WIP
	ISA001574
	Medium
	167.238.192.71
	167.238.192.71

	ISA2011
	26248
	IBM
	WIP
	ISA001212
	Medium
	167.238.192.71
	167.238.192.71

	ISA2011
	10300
	IBM
	WIP - Validation in Progress
	ISA001160
	High
	167.238.169.113
	BIGBIRD

	ISA2011
	10363
	IBM
	WIP - Validation in Progress
	ISA001160
	High
	167.238.169.112
	BIGBIRD

	ISA2011
	10740
	IBM
	WIP - Validation in Progress
	ISA001160
	High
	167.238.169.111
	BIGBIRD

	ISA2011
	12461
	IBM
	WIP
	ISA001473
	Medium
	167.238.142.93
	bld-fs-fs02-rib

	ISA2011
	12462
	IBM
	WIP
	ISA001474
	Medium
	167.238.142.93
	bld-fs-fs02-rib

	ISA2011
	302
	IBM
	WIP
	ISA001079
	High
	167.238.202.13
	bld-hn-vcs-prd.hncorp

	ISA2011
	13219
	IBM
	WIP
	ISA001473
	Medium
	167.238.178.39
	BLDRC-FS-APPTST07

	ISA2011
	13323
	IBM
	WIP
	ISA001474
	Medium
	167.238.178.39
	BLDRC-FS-APPTST07

	ISA2011
	11937
	IBM
	WIP
	ISA001326
	High
	167.238.154.46
	BLD-SANFBM01

	ISA2011
	11934
	IBM
	WIP
	ISA001241
	High
	167.238.154.46
	BLD-SANFBM01

	ISA2011
	11935
	IBM
	WIP
	ISA001274
	High
	167.238.154.46
	BLD-SANFBM01

	ISA2011
	11936
	IBM
	WIP
	ISA001294
	High
	167.238.154.46
	BLD-SANFBM01

	ISA2011
	14970
	IBM
	WIP - Validation in Progress
	ISA001476
	Medium
	167.238.136.75
	BLD-SQLCLTST01

	ISA2011
	14971
	IBM
	WIP - Validation in Progress
	ISA001477
	Medium
	167.238.136.75
	BLD-SQLCLTST01

	ISA2011
	20072
	IBM
	WIP
	ISA001562
	High
	167.238.144.54
	ccs-cvs1-lom

	ISA2011
	23642
	IBM
	WIP
	ISA001570
	High
	167.238.144.54
	ccs-cvs1-lom

	ISA2011
	20082
	IBM
	WIP
	ISA001575
	Medium
	167.238.144.54
	ccs-cvs1-lom

Health Net/IBM Confidential         Amendment 4        Page 70

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	20077
	IBM
	WIP
	ISA001568
	High
	167.238.144.54
	ccs-cvs1-lom

	ISA2011
	20074
	IBM
	WIP
	ISA001564
	High
	167.238.144.54
	ccs-cvs1-lom

	ISA2011
	20071
	IBM
	WIP
	ISA001561
	High
	167.238.144.54
	ccs-cvs1-lom

	ISA2011
	20075
	IBM
	WIP
	ISA001565
	High
	167.238.144.54
	ccs-cvs1-lom

	ISA2011
	20166
	IBM
	WIP
	ISA001562
	High
	167.238.144.48
	ccs-prdsm1-lom

	ISA2011
	23645
	IBM
	WIP
	ISA001570
	High
	167.238.144.48
	ccs-prdsm1-lom

	ISA2011
	20176
	IBM
	WIP
	ISA001575
	Medium
	167.238.144.48
	ccs-prdsm1-lom

	ISA2011
	20171
	IBM
	WIP
	ISA001568
	High
	167.238.144.48
	ccs-prdsm1-lom

	ISA2011
	20168
	IBM
	WIP
	ISA001564
	High
	167.238.144.48
	ccs-prdsm1-lom

	ISA2011
	20165
	IBM
	WIP
	ISA001561
	High
	167.238.144.48
	ccs-prdsm1-lom

	ISA2011
	20169
	IBM
	WIP
	ISA001565
	High
	167.238.144.48
	ccs-prdsm1-lom

	ISA2011
	17719
	IBM
	WIP
	ISA001562
	High
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	23592
	IBM
	WIP
	ISA001570
	High
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	17729
	IBM
	WIP
	ISA001575
	Medium
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	17726
	IBM
	WIP
	ISA001572
	Medium
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	17724
	IBM
	WIP
	ISA001568
	High
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	17721
	IBM
	WIP
	ISA001564
	High
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	17718
	IBM
	WIP
	ISA001561
	High
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	17722
	IBM
	WIP
	ISA001565
	High
	167.238.144.49
	ccs-prdsm2-lom

	ISA2011
	14119
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.15
	ccs-preapp1-lom

	ISA2011
	14120
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.15
	ccs-preapp1-lom

	ISA2011
	14123
	IBM
	WIP
	ISA001476
	Medium
	167.238.144.14
	ccs-preweb1-lom

	ISA2011
	14124
	IBM
	WIP
	ISA001477
	Medium
	167.238.144.14
	ccs-preweb1-lom

	ISA2011
	20112
	IBM
	WIP
	ISA001562
	High
	167.238.144.38
	ccs-tstsm1-lom

	ISA2011
	23643
	IBM
	WIP
	ISA001570
	High
	167.238.144.38
	ccs-tstsm1-lom

	ISA2011
	20128
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.38
	ccs-tstsm1-lom

Health Net/IBM Confidential         Amendment 4        Page 71

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	20131
	IBM
	WIP
	ISA001575
	Medium
	167.238.144.38
	ccs-tstsm1-lom

	ISA2011
	20122
	IBM
	WIP
	ISA001572
	Medium
	167.238.144.38
	ccs-tstsm1-lom

	ISA2011
	20120
	IBM
	WIP
	ISA001568
	High
	167.238.144.38
	ccs-tstsm1-lom

	ISA2011
	20117
	IBM
	WIP
	ISA001564
	High
	167.238.144.38
	ccs-tstsm1-lom

	ISA2011
	20111
	IBM
	WIP
	ISA001561
	High
	167.238.144.38
	ccs-tstsm1-lom

	ISA2011
	20121
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.38
	ccs-tstsm1-lom

	ISA2011
	20118
	IBM
	WIP
	ISA001565
	High
	167.238.144.38
	ccs-tstsm1-lom

	ISA2011
	20137
	IBM
	WIP
	ISA001562
	High
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	23644
	IBM
	WIP
	ISA001570
	High
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	20152
	IBM
	WIP
	ISA001574
	Medium
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	20144
	IBM
	WIP
	ISA001567
	Medium
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	20138
	IBM
	WIP
	ISA001563
	Low
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	20156
	IBM
	WIP
	ISA001575
	Medium
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	20147
	IBM
	WIP
	ISA001572
	Medium
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	20145
	IBM
	WIP
	ISA001568
	High
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	20132
	IBM
	WIP
	ISA001559
	Low
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	20142
	IBM
	WIP
	ISA001564
	High
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	20136
	IBM
	WIP
	ISA001561
	High
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	20146
	IBM
	WIP
	ISA001571
	Medium
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	20143
	IBM
	WIP
	ISA001565
	High
	167.238.144.39
	ccs-tstsm2-lom

	ISA2011
	23566
	IBM
	WIP
	ISA001570
	High
	167.238.143.139
	COM-PRD15

	ISA2011
	13380
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.87
	com-prdapp10-lom

	ISA2011
	13366
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.57
	com-prdapp11-lom

	ISA2011
	13367
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.58
	com-prdapp12-lom

	ISA2011
	13368
	IBM
	WIP
	ISA001476
	Medium
	167.238.143.59
	com-prdapp13-lom

	ISA2011
	16912
	IBM
	WIP
	ISA001562
	High
	167.238.143.138
	COM-PRDAPP14

Health Net/IBM Confidential         Amendment 4        Page 72

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	16916
	IBM
	WIP
	ISA001573
	High
	167.238.143.138
	COM-PRDAPP14

	ISA2011
	16917
	IBM
	WIP
	ISA001574
	Medium
	167.238.143.138
	COM-PRDAPP14

	ISA2011
	16914
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.138
	COM-PRDAPP14

	ISA2011
	16913
	IBM
	WIP
	ISA001563
	Low
	167.238.143.138
	COM-PRDAPP14

	ISA2011
	16911
	IBM
	WIP
	ISA001559
	Low
	167.238.143.138
	COM-PRDAPP14

	ISA2011
	16915
	IBM
	WIP
	ISA001571
	Medium
	167.238.143.138
	COM-PRDAPP14

	ISA2011
	16919
	IBM
	WIP
	ISA001562
	High
	167.238.143.139
	COM-PRDAPP15

	ISA2011
	16921
	IBM
	WIP
	ISA001567
	Medium
	167.238.143.139
	COM-PRDAPP15

	ISA2011
	16920
	IBM
	WIP
	ISA001563
	Low
	167.238.143.139
	COM-PRDAPP15

	ISA2011
	16918
	IBM
	WIP
	ISA001559
	Low
	167.238.143.139
	COM-PRDAPP15

	ISA2011
	1845
	IBM
	WIP
	ISA001079
	High
	167.238.143.55
	com-prdapp5-lom

	ISA2011
	1873
	IBM
	WIP
	ISA001010
	Medium
	167.238.143.55
	com-prdapp5-lom

	ISA2011
	1846
	IBM
	WIP
	ISA001079
	High
	167.238.143.56
	com-prdapp6-lom

	ISA2011
	1874
	IBM
	WIP
	ISA001010
	Medium
	167.238.143.56
	com-prdapp6-lom

	ISA2011
	10305
	IBM
	WIP - Validation in Progress
	ISA001160
	High
	167.238.169.159
	ELMO

	ISA2011
	10381
	IBM
	WIP - Validation in Progress
	ISA001160
	High
	167.238.169.160
	ELMO

	ISA2011
	10386
	IBM
	WIP - Validation in Progress
	ISA001160
	High
	167.238.169.157
	ELMO

	ISA2011
	10906
	IBM
	WIP - Validation in Progress
	ISA001160
	High
	167.238.169.156
	ELMO

	ISA2011
	10907
	IBM
	WIP - Validation in Progress
	ISA001160
	High
	167.238.169.158
	ELMO

	ISA2011
	11034
	IBM
	WIP - Validation in Progress
	ISA001160
	High
	167.238.169.183
	GROVER

	ISA2011
	11035
	IBM
	WIP - Validation in Progress
	ISA001160
	High
	167.238.169.184
	GROVER

	ISA2011
	593
	IBM
	WIP - CMR
	ISA001013
	High
	167.238.147.12
	hmcas400-1

	ISA2011
	601
	IBM
	WIP - CMR
	ISA001032
	Medium
	167.238.147.12
	hmcas400-1

Health Net/IBM Confidential         Amendment 4        Page 73

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	632
	IBM
	WIP - CMR
	ISA001096
	High
	167.238.147.12
	hmcas400-1

	ISA2011
	603
	IBM
	WIP - CMR
	ISA001034
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	625
	IBM
	WIP - CMR
	ISA001084
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	624
	IBM
	WIP - CMR
	ISA001078
	High
	167.238.147.12
	hmcas400-1

	ISA2011
	596
	IBM
	WIP - CMR
	ISA001021
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	598
	IBM
	WIP - CMR
	ISA001027
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	606
	IBM
	WIP - CMR
	ISA001040
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	602
	IBM
	WIP - CMR
	ISA001033
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	597
	IBM
	WIP - CMR
	ISA001024
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	594
	IBM
	WIP - CMR
	ISA001015
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	595
	IBM
	WIP - CMR
	ISA001016
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	607
	IBM
	WIP - CMR
	ISA001043
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	608
	IBM
	WIP - CMR
	ISA001045
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	630
	IBM
	WIP - CMR
	ISA001092
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	609
	IBM
	WIP - CMR
	ISA001046
	High
	167.238.147.12
	hmcas400-1

	ISA2011
	610
	IBM
	WIP - CMR
	ISA001048
	Low
	167.238.147.12
	hmcas400-1

	ISA2011
	629
	IBM
	WIP - CMR
	ISA001090
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	612
	IBM
	WIP - CMR
	ISA001051
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	611
	IBM
	WIP - CMR
	ISA001050
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	613
	IBM
	WIP - CMR
	ISA001055
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	614
	IBM
	WIP - CMR
	ISA001058
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	617
	IBM
	WIP - CMR
	ISA001067
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	616
	IBM
	WIP - CMR
	ISA001066
	High
	167.238.147.12
	hmcas400-1

	ISA2011
	615
	IBM
	WIP - CMR
	ISA001065
	Low
	167.238.147.12
	hmcas400-1

	ISA2011
	618
	IBM
	WIP - CMR
	ISA001068
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	619
	IBM
	WIP - CMR
	ISA001069
	Medium
	167.238.147.12
	hmcas400-1

Health Net/IBM Confidential         Amendment 4        Page 74

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	620
	IBM
	WIP - CMR
	ISA001070
	High
	167.238.147.12
	hmcas400-1

	ISA2011
	621
	IBM
	WIP - CMR
	ISA001071
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	626
	IBM
	WIP - CMR
	ISA001087
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	628
	IBM
	WIP - CMR
	ISA001089
	High
	167.238.147.12
	hmcas400-1

	ISA2011
	604
	IBM
	WIP - CMR
	ISA001038
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	627
	IBM
	WIP - CMR
	ISA001088
	High
	167.238.147.12
	hmcas400-1

	ISA2011
	605
	IBM
	WIP - CMR
	ISA001039
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	623
	IBM
	WIP - CMR
	ISA001075
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	622
	IBM
	WIP - CMR
	ISA001074
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	631
	IBM
	WIP - CMR
	ISA001094
	Medium
	167.238.147.12
	hmcas400-1

	ISA2011
	1087
	IBM
	WIP
	ISA001005
	High
	167.238.175.59
	infdev-b2b1

	ISA2011
	1088
	IBM
	WIP
	ISA001100
	Medium
	167.238.175.59
	infdev-b2b1

	ISA2011
	1089
	IBM
	WIP
	ISA001005
	High
	167.238.175.60
	infint-b2b1

	ISA2011
	1090
	IBM
	WIP
	ISA001100
	Medium
	167.238.175.60
	infint-b2b1

	ISA2011
	204
	IBM
	WIP
	ISA001005
	High
	167.238.175.63
	infint-rtm1

	ISA2011
	11116
	IBM
	WIP - Validation in Progress
	ISA001160
	High
	167.238.169.213
	INF-PRD104

	ISA2011
	10466
	IBM
	WIP - Validation in Progress
	ISA001160
	High
	167.238.169.207
	infprd-b2b1

	ISA2011
	10475
	IBM
	WIP - Validation in Progress
	ISA001160
	High
	167.238.169.214
	infprd-rtm1

	ISA2011
	1093
	IBM
	WIP
	ISA001005
	High
	167.238.169.214
	infprd-rtm1

	ISA2011
	1094
	IBM
	WIP
	ISA001100
	Medium
	167.238.169.214
	infprd-rtm1

	ISA2011
	1903
	IBM
	WIP
	ISA001013
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1844
	IBM
	WIP
	ISA001079
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1998
	IBM
	WIP
	ISA001032
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2006
	IBM
	WIP
	ISA001035
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

Health Net/IBM Confidential         Amendment 4        Page 75

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	2259
	IBM
	WIP
	ISA001096
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1863
	IBM
	WIP
	ISA001008
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2267
	IBM
	WIP
	ISA001107
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1872
	IBM
	WIP
	ISA001010
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2269
	IBM
	WIP
	ISA001108
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	142
	IBM
	WIP
	ISA001111
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2004
	IBM
	WIP
	ISA001034
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2226
	IBM
	WIP
	ISA001084
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2217
	IBM
	WIP
	ISA001078
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1953
	IBM
	WIP
	ISA001021
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1914
	IBM
	WIP
	ISA001014
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1966
	IBM
	WIP
	ISA001027
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1978
	IBM
	WIP
	ISA001028
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2015
	IBM
	WIP
	ISA001040
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2001
	IBM
	WIP
	ISA001033
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2214
	IBM
	WIP
	ISA001077
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1958
	IBM
	WIP
	ISA001024
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1995
	IBM
	WIP
	ISA001031
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1961
	IBM
	WIP
	ISA001025
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1917
	IBM
	WIP
	ISA001015
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2008
	IBM
	WIP
	ISA001037
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1804
	IBM
	WIP
	ISA001016
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2026
	IBM
	WIP
	ISA001043
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2031
	IBM
	WIP
	ISA001044
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2034
	IBM
	WIP
	ISA001045
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2253
	IBM
	WIP
	ISA001092
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

Health Net/IBM Confidential         Amendment 4        Page 76

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	2038
	IBM
	WIP
	ISA001046
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2050
	IBM
	WIP
	ISA001048
	Low
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2241
	IBM
	WIP
	ISA001090
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2068
	IBM
	WIP
	ISA001051
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2063
	IBM
	WIP
	ISA001050
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2073
	IBM
	WIP
	ISA001055
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1816
	IBM
	WIP
	ISA001058
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2148
	IBM
	WIP
	ISA001067
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2136
	IBM
	WIP
	ISA001066
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2124
	IBM
	WIP
	ISA001065
	Low
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2160
	IBM
	WIP
	ISA001068
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2171
	IBM
	WIP
	ISA001069
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1993
	IBM
	WIP
	ISA001030
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2189
	IBM
	WIP
	ISA001072
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2186
	IBM
	WIP
	ISA001071
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2232
	IBM
	WIP
	ISA001087
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2238
	IBM
	WIP
	ISA001089
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2011
	IBM
	WIP
	ISA001038
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2235
	IBM
	WIP
	ISA001088
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2191
	IBM
	WIP
	ISA001073
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2204
	IBM
	WIP
	ISA001075
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2196
	IBM
	WIP
	ISA001074
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2221
	IBM
	WIP
	ISA001081
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2256
	IBM
	WIP
	ISA001094
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1955
	IBM
	WIP
	ISA001022
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	1963
	IBM
	WIP
	ISA001026
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

Health Net/IBM Confidential         Amendment 4        Page 77

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	2219
	IBM
	WIP
	ISA001080
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	2261
	IBM
	WIP
	ISA001097
	High
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	141
	IBM
	WIP
	ISA001110
	Medium
	167.238.143.124
	OEM-PRDDB1-RIB

	ISA2011
	26140
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.168
	ORAC-PRD05 Cluster 03

	ISA2011
	26143
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.93
	oraprd56-scan

	ISA2011
	26768
	IBM
	WIP
	ISA001741
	Medium
	167.238.169.92
	oraprd56-scan

	ISA2011
	10285
	IBM
	WIP
	ISA001164
	Low
	167.238.169.93
	oraprd56-scan.
ORAC-PRD06 Cluster 03

	ISA2011
	10671
	IBM
	WIP
	ISA001162
	High
	167.238.188.212
	P570-01-VIO01

	ISA2011
	14483
	IBM
	WIP
	ISA001477
	Medium
	167.238.156.118
	RC-APP77

	ISA2011
	14501
	IBM
	WIP
	ISA001476
	Medium
	141.177.10.90
	RC-APP89

	ISA2011
	28194
	IBM
	WIP
	ISA001209
	Medium
	167.238.173.19
	RC-HNDC02-TST

	ISA2011
	28192
	IBM
	WIP
	ISA001208
	Medium
	167.238.173.19
	RC-HNDC02-TST

	ISA2011
	28190
	IBM
	WIP
	ISA001206
	Medium
	167.238.173.19
	RC-HNDC02-TST

	ISA2011
	7858
	IBM
	WIP
	ISA001223
	High
	167.238.189.26
	RC-SQL44

	ISA2011
	15041
	IBM
	WIP
	ISA001476
	Medium
	167.238.156.107
	RC-WEB57

	ISA2011
	1640
	IBM
	WIP
	ISA001079
	High
	167.238.129.101
	remedy

	ISA2011
	1637
	IBM
	WIP
	ISA001070
	High
	167.238.129.101
	remedy

	ISA2011
	1641
	IBM
	WIP
	ISA001084
	Medium
	167.238.129.101
	remedy

	ISA2011
	1633
	IBM
	WIP
	ISA001029
	Medium
	167.238.129.101
	remedy

	ISA2011
	1635
	IBM
	WIP
	ISA001051
	Medium
	167.238.129.101
	remedy

	ISA2011
	1634
	IBM
	WIP
	ISA001050
	Medium
	167.238.129.101
	remedy

	ISA2011
	1636
	IBM
	WIP
	ISA001056
	Medium
	167.238.129.101
	remedy

	ISA2011
	1639
	IBM
	WIP
	ISA001075
	Medium
	167.238.129.101
	remedy

	ISA2011
	1638
	IBM
	WIP
	ISA001074
	Medium
	167.238.129.101
	remedy

	ISA2011
	1879
	IBM
	WIP
	ISA001010
	Medium
	167.238.154.40
	SAN Sw2 A (4)

Health Net/IBM Confidential         Amendment 4        Page 78

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	1878
	IBM
	WIP
	ISA001010
	Medium
	167.238.154.39
	SAN Sw2 B (3)

	ISA2011
	1642
	IBM
	WIP
	ISA001010
	Medium
	167.238.154.11
	san_fabric_a

	ISA2011
	1644
	IBM
	WIP
	ISA001010
	Medium
	167.238.154.12
	san_fabric_b

	ISA2011
	1731
	IBM
	WIP
	ISA001079
	High
	167.238.154.15
	svc_node_1

	ISA2011
	1732
	IBM
	WIP
	ISA001084
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1705
	IBM
	WIP
	ISA001013
	High
	167.238.154.15
	svc_node_1

	ISA2011
	1708
	IBM
	WIP
	ISA001017
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1709
	IBM
	WIP
	ISA001018
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1710
	IBM
	WIP
	ISA001019
	High
	167.238.154.15
	svc_node_1

	ISA2011
	1711
	IBM
	WIP
	ISA001027
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1712
	IBM
	WIP
	ISA001028
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1706
	IBM
	WIP
	ISA001015
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1707
	IBM
	WIP
	ISA001016
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1713
	IBM
	WIP
	ISA001041
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1714
	IBM
	WIP
	ISA001043
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1715
	IBM
	WIP
	ISA001046
	High
	167.238.154.15
	svc_node_1

	ISA2011
	1733
	IBM
	WIP
	ISA001090
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1716
	IBM
	WIP
	ISA001049
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1718
	IBM
	WIP
	ISA001057
	High
	167.238.154.15
	svc_node_1

	ISA2011
	1717
	IBM
	WIP
	ISA001055
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1719
	IBM
	WIP
	ISA001058
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1720
	IBM
	WIP
	ISA001059
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1722
	IBM
	WIP
	ISA001063
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1723
	IBM
	WIP
	ISA001064
	Low
	167.238.154.15
	svc_node_1

	ISA2011
	1721
	IBM
	WIP
	ISA001062
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1726
	IBM
	WIP
	ISA001067
	Medium
	167.238.154.15
	svc_node_1

Health Net/IBM Confidential         Amendment 4        Page 79

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	1725
	IBM
	WIP
	ISA001066
	High
	167.238.154.15
	svc_node_1

	ISA2011
	1724
	IBM
	WIP
	ISA001065
	Low
	167.238.154.15
	svc_node_1

	ISA2011
	1727
	IBM
	WIP
	ISA001068
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1728
	IBM
	WIP
	ISA001069
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1730
	IBM
	WIP
	ISA001075
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1729
	IBM
	WIP
	ISA001074
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1704
	IBM
	WIP
	ISA001012
	Medium
	167.238.154.15
	svc_node_1

	ISA2011
	1761
	IBM
	WIP
	ISA001079
	High
	167.238.154.57
	svc-node7

	ISA2011
	1762
	IBM
	WIP
	ISA001084
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1735
	IBM
	WIP
	ISA001013
	High
	167.238.154.57
	svc-node7

	ISA2011
	1738
	IBM
	WIP
	ISA001017
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1739
	IBM
	WIP
	ISA001018
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1740
	IBM
	WIP
	ISA001019
	High
	167.238.154.57
	svc-node7

	ISA2011
	1741
	IBM
	WIP
	ISA001027
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1742
	IBM
	WIP
	ISA001028
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1736
	IBM
	WIP
	ISA001015
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1737
	IBM
	WIP
	ISA001016
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1743
	IBM
	WIP
	ISA001041
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1744
	IBM
	WIP
	ISA001043
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1745
	IBM
	WIP
	ISA001046
	High
	167.238.154.57
	svc-node7

	ISA2011
	1763
	IBM
	WIP
	ISA001090
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1746
	IBM
	WIP
	ISA001049
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1748
	IBM
	WIP
	ISA001057
	High
	167.238.154.57
	svc-node7

	ISA2011
	1747
	IBM
	WIP
	ISA001055
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1749
	IBM
	WIP
	ISA001058
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1750
	IBM
	WIP
	ISA001059
	Medium
	167.238.154.57
	svc-node7

Health Net/IBM Confidential         Amendment 4        Page 80

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2011
	1752
	IBM
	WIP
	ISA001063
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1753
	IBM
	WIP
	ISA001064
	Low
	167.238.154.57
	svc-node7

	ISA2011
	1751
	IBM
	WIP
	ISA001062
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1756
	IBM
	WIP
	ISA001067
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1755
	IBM
	WIP
	ISA001066
	High
	167.238.154.57
	svc-node7

	ISA2011
	1754
	IBM
	WIP
	ISA001065
	Low
	167.238.154.57
	svc-node7

	ISA2011
	1757
	IBM
	WIP
	ISA001068
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1758
	IBM
	WIP
	ISA001069
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1760
	IBM
	WIP
	ISA001075
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1759
	IBM
	WIP
	ISA001074
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1734
	IBM
	WIP
	ISA001012
	Medium
	167.238.154.57
	svc-node7

	ISA2011
	1789
	IBM
	WIP
	ISA001010
	Medium
	167.238.154.13
	tan_fabric_a

	ISA2011
	1791
	IBM
	WIP
	ISA001010
	Medium
	167.238.154.14
	tan_fabric_b

	ISA2011
	2317
	IBM
	WIP
	ISA001079
	High
	167.238.154.22
	xp48306.hncorp

	ISA2011
	1827
	IBM
	WIP
	ISA001079
	High
	141.177.128.67
	141.177.128.67

	ISA2011
	1828
	IBM
	WIP
	ISA001079
	High
	141.177.128.83
	141.177.128.83

	ISA2011
	1830
	IBM
	WIP
	ISA001079
	High
	141.177.169.123
	141.177.169.123

	ISA2011
	6639
	IBM
	WIP
	ISA001489
	High
	167.238.167.217
	BLD-DLG01

	ISA2011
	1091
	IBM
	WIP
	ISA001005
	High
	167.238.175.62
	infint-rtm1

	ISA2011
	1092
	IBM
	WIP
	ISA001100
	Medium
	167.238.175.62
	infint-rtm1

	ISA2011
	28006
	IBM
	WIP
	ISA001209
	Medium
	167.238.149.104
	RC-APPCL01

	ISA2011
	28007
	IBM
	WIP
	ISA001209
	Medium
	167.238.149.13
	RC-APPCL02

	ISA2011
	28195
	IBM
	WIP
	ISA001209
	Medium
	167.238.180.26
	RC-HNDC02-TST

	ISA2011
	28193
	IBM
	WIP
	ISA001208
	Medium
	167.238.180.26
	RC-HNDC02-TST

	ISA2011
	28191
	IBM
	WIP
	ISA001206
	Medium
	167.238.180.26
	RC-HNDC02-TST

Health Net/IBM Confidential         Amendment 4        Page 81

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2012
	1587
	IBM
	WIP
	ISA002523
	Low
	141.177.13.40
	141.177.13.40

	ISA2012
	1588
	IBM
	WIP
	ISA002523
	Low
	141.177.13.41
	141.177.13.41

	ISA2012
	1589
	IBM
	WIP
	ISA002523
	Low
	141.177.13.42
	141.177.13.42

	ISA2012
	1590
	IBM
	WIP
	ISA002523
	Low
	141.177.13.43
	141.177.13.43

	ISA2012
	1591
	IBM
	WIP
	ISA002523
	Low
	141.177.13.44
	141.177.13.44

	ISA2012
	1593
	IBM
	WIP
	ISA002523
	Low
	141.177.13.60
	141.177.13.60

	ISA2012
	1756
	IBM
	WIP
	ISA002523
	Low
	141.177.169.60
	141.177.169.60

	ISA2012
	3904
	IBM
	WIP
	ISA002519
	Medium
	141.177.169.60
	141.177.169.60

	ISA2012
	5821
	IBM
	WIP
	ISA002797
	High
	141.177.169.60
	141.177.169.60

	ISA2012
	1831
	IBM
	WIP
	ISA002523
	Low
	141.177.227.124
	141.177.227.124

	ISA2012
	1834
	IBM
	WIP
	ISA002523
	Low
	141.177.227.167
	141.177.227.167

	ISA2012
	1835
	IBM
	WIP
	ISA002523
	Low
	141.177.227.168
	141.177.227.168

	ISA2012
	1836
	IBM
	WIP
	ISA002523
	Low
	141.177.227.171
	141.177.227.171

	ISA2012
	1838
	IBM
	WIP
	ISA002523
	Low
	141.177.227.177
	141.177.227.177

	ISA2012
	1839
	IBM
	WIP
	ISA002523
	Low
	141.177.227.198
	141.177.227.198

	ISA2012
	1840
	IBM
	WIP
	ISA002523
	Low
	141.177.227.202
	141.177.227.202

	ISA2012
	1841
	IBM
	WIP
	ISA002523
	Low
	141.177.227.203
	141.177.227.203

	ISA2012
	1842
	IBM
	WIP
	ISA002523
	Low
	141.177.227.204
	141.177.227.204

	ISA2012
	1742
	IBM
	WIP
	ISA002523
	Low
	141.177.149.104
	ca110-f01-io01

	ISA2012
	1862
	IBM
	WIP
	ISA002523
	Low
	141.177.233.233
	ca127-f01-io01

	ISA2012
	1794
	IBM
	WIP
	ISA002523
	Low
	141.177.178.204
	ca131-f02-io01

	ISA2012
	1754
	IBM
	WIP
	ISA002523
	Low
	141.177.168.80
	ca133-f01-io01

	ISA2012
	1875
	IBM
	WIP
	ISA002523
	Low
	141.177.240.96
	ca134-f02-io01

	ISA2012
	1792
	IBM
	WIP
	ISA002523
	Low
	141.177.178.93
	ca137-f01-io01

	ISA2012
	1667
	IBM
	WIP
	ISA002523
	Low
	141.177.121.41
	ca260-f01-pa02

	ISA2012
	1759
	IBM
	WIP
	ISA002523
	Low
	141.177.169.136
	ca267-f01-io01

	ISA2012
	1755
	IBM
	WIP
	ISA002523
	Low
	141.177.169.44
	ca286-f01-io01

	ISA2012
	1884
	IBM
	WIP
	ISA002523
	Low
	141.177.242.168
	ca292-f18-io01

Health Net/IBM Confidential         Amendment 4        Page 82

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2012
	1864
	IBM
	WIP
	ISA002523
	Low
	141.177.234.76
	ca304-f01-io01

	ISA2012
	1825
	IBM
	WIP
	ISA002523
	Low
	141.177.221.43
	ca331-f02-io01

	ISA2012
	1823
	IBM
	WIP
	ISA002523
	Low
	141.177.220.19
	ca331-f02-io02

	ISA2012
	1870
	IBM
	WIP
	ISA002523
	Low
	141.177.239.11
	ca336-f01-io01

	ISA2012
	1641
	IBM
	WIP
	ISA002523
	Low
	141.177.90.75
	ca337-f01-io01

	ISA2012
	855
	IBM
	WIP
	ISA002544
	Medium
	167.238.155.230
	BLD-FS-SQLCL11

	ISA2012
	3697
	IBM
	WIP
	ISA001157
	Medium
	165.174.12.155
	ca003-f01-v01-aerojet-exec-bordroom

	ISA2012
	3696
	IBM
	WIP
	ISA001157
	Medium
	165.174.12.134
	ca003-f01-v02-aerojet-br

	ISA2012
	1353
	IBM
	WIP
	ISA002890
	Low
	167.238.155.86
	ccs-prdsm2

	ISA2012
	3714
	IBM
	WIP
	ISA002526
	Medium
	167.238.155.118
	em-prdarch5

	ISA2012
	5231
	IBM
	WIP
	ISA002582
	High
	141.177.227.134
	hbapp01

	ISA2012
	5234
	IBM
	WIP
	ISA002582
	High
	141.177.227.166
	hbapp01

	ISA2012
	5232
	IBM
	WIP
	ISA002582
	High
	141.177.227.135
	hbweb02

	ISA2012
	5209
	IBM
	WIP
	ISA002582
	High
	141.177.171.134
	ivgapp04

	ISA2012
	5212
	IBM
	WIP
	ISA002582
	High
	141.177.171.166
	IVGAPP04

	ISA2012
	5210
	IBM
	WIP
	ISA002582
	High
	141.177.171.135
	ivgweb02

	ISA2012
	5134
	IBM
	WIP
	ISA002582
	High
	141.177.31.244
	rc_fc1b

	ISA2012
	5072
	IBM
	WIP
	ISA002573
	High
	141.177.40.28
	rc-app100

	ISA2012
	5080
	IBM
	WIP
	ISA002576
	High
	141.177.40.28
	rc-app100

	ISA2012
	5703
	IBM
	WIP
	ISA002797
	High
	141.177.13.80
	rc-prdnas01

	ISA2012
	5708
	IBM
	WIP
	ISA002797
	High
	141.177.17.27
	RC-PRDNAS01

	ISA2012
	5846
	IBM
	WIP
	ISA002797
	High
	141.177.221.128
	srafcl01-n-rib

	ISA2012
	1359
	IBM
	WIP
	ISA002890
	Low
	167.238.155.242
	tnex-prddb2

	ISA2012
	4697
	IBM
	WIP
	ISA002795
	High
	141.177.90.5
	vis-fs01-rib

	ISA2012
	4715
	IBM
	WIP
	ISA002795
	High
	141.177.124.36
	wh-fscl27-rib

	ISA2012
	5797
	IBM
	WIP
	ISA002797
	High
	141.177.124.36
	wh-fscl27-rib

	ISA2012
	4307
	IBM
	WIP
	ISA002380
	Critical
	141.177.123.82
	wh-webrtd01

Health Net/IBM Confidential         Amendment 4        Page 83

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2012
	5789
	IBM
	WIP - Pending HN
	ISA002797
	High
	141.177.123.164
	141.177.123.164

	ISA2012
	5823
	IBM
	WIP - Pending HN
	ISA002797
	High
	141.177.171.168
	141.177.171.168

	ISA2012
	5824
	IBM
	WIP - Pending HN
	ISA002797
	High
	141.177.171.171
	141.177.171.171

	ISA2012
	5825
	IBM
	WIP - Pending HN
	ISA002797
	High
	141.177.171.172
	141.177.171.172

	ISA2012
	5826
	IBM
	WIP - Pending HN
	ISA002797
	High
	141.177.171.175
	141.177.171.175

	ISA2012
	5827
	IBM
	WIP - Pending HN
	ISA002797
	High
	141.177.171.214
	141.177.171.214

	ISA2012
	5850
	IBM
	WIP - Pending HN
	ISA002797
	High
	141.177.227.167
	141.177.227.167

	ISA2012
	5851
	IBM
	WIP - Pending HN
	ISA002797
	High
	141.177.227.168
	141.177.227.168

	ISA2012
	5852
	IBM
	WIP - Pending HN
	ISA002797
	High
	141.177.227.171
	141.177.227.171

	ISA2012
	5853
	IBM
	WIP - Pending HN
	ISA002797
	High
	141.177.227.174
	141.177.227.174

	ISA2012
	5854
	IBM
	WIP - Pending HN
	ISA002797
	High
	141.177.227.204
	141.177.227.204

	ISA2012
	2718
	IBM
	WIP - Pending HN
	ISA002847
	Medium
	141.177.196.135
	aj-rpts-1

	ISA2012
	2729
	IBM
	WIP - Pending HN
	ISA002872
	Medium
	141.177.196.135
	aj-rpts-1

	ISA2012
	3266
	IBM
	WIP - Pending HN
	ISA002877
	Medium
	141.177.196.135
	aj-rpts-1

	ISA2012
	4027
	IBM
	WIP - Pending HN
	ISA002859
	Medium
	141.177.196.135
	aj-rpts-1

	ISA2012
	5062
	IBM
	WIP - Pending HN
	ISA002850
	High
	141.177.196.135
	aj-rpts-1

	ISA2012
	2719
	IBM
	WIP - Pending HN
	ISA002847
	Medium
	165.174.2.87
	fs-rpts-1.fs

	ISA2012
	2730
	IBM
	WIP - Pending HN
	ISA002872
	Medium
	165.174.2.87
	fs-rpts-1.fs

Health Net/IBM Confidential         Amendment 4        Page 84

	
								
	Audit Cycle
	Row
	Responsible
	Complete Action
	ISA#
	CVSS Risk Rating
	IP Address
	Host/DNS Name

	ISA2012
	3267
	IBM
	WIP - Pending HN
	ISA002877
	Medium
	165.174.2.87
	fs-rpts-1.fs

	ISA2012
	4028
	IBM
	WIP - Pending HN
	ISA002859
	Medium
	165.174.2.87
	fs-rpts-1.fs

	ISA2012
	5063
	IBM
	WIP - Pending HN
	ISA002850
	High
	165.174.2.87
	fs-rpts-1.fs

	ISA2012
	3084
	IBM
	WIP
	ISA002527
	Medium
	167.238.155.118
	em-prdarch5

	ISA2012
	3085
	IBM
	WIP
	ISA002528
	Medium
	167.238.155.118
	em-prdarch5

	ISA2012
	3086
	IBM
	WIP
	ISA002529
	Medium
	167.238.155.118
	em-prdarch5

	ISA2012
	1811
	IBM
	WIP
	ISA002523
	Low
	141.177.196.26
	rc1-hnc-dc01-rib

	ISA2012
	568
	IBM
	WIP
	ISA001477
	Medium
	204.107.54.88
	bld-cphcsdwsd

	ISA2012
	767
	IBM
	WIP
	ISA002999
	High
	167.238.142.142
	BLD-FS-VM22

	ISA2012
	582
	IBM
	WIP
	ISA001477
	Medium
	204.107.56.49
	careaffiliate

	ISA2012
	570
	IBM
	WIP
	ISA001477
	Medium
	204.107.54.142
	hnfsweb-t3qa

	ISA2012
	550
	IBM
	WIP
	ISA001477
	Medium
	204.107.54.67
	members.spanish.mhn.com

	ISA2012
	5151
	IBM
	WIP - CMR
	ISA002582
	High
	141.177.98.115
	WH-XP

	ISA2012
	577
	IBM
	WIP
	ISA001477
	Medium
	204.107.56.35
	www.dashboard.hnfs.net

	ISA2012
	579
	IBM
	WIP
	ISA001477
	Medium
	204.107.56.40
	www.iw.hnfs.net

	ISA2012
	578
	IBM
	WIP
	ISA001477
	Medium
	204.107.56.36
	www.iw.mhngs.com

	ISA2012
	4974
	IBM
	WIP - CMR
	ISA002433
	High
	141.177.31.244
	RC-XP

	ISA2012
	4982
	IBM
	WIP
	ISA002433
	High
	141.177.98.115
	WH-XP

Health Net/IBM Confidential         Amendment 4        Page 85

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00238-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00238-of-00352.parquet"}]]