Document:

exv4w3

 

EXHIBIT 4.3

SECOND AMENDMENT TO

SECOND AMENDED AND RESTATED POOLING AND SERVICING

AGREEMENT

     THIS SECOND AMENDMENT TO SECOND AMENDED AND RESTATED POOLING AND SERVICING AGREEMENT (this
“Amendment”) dated as of October 31, 2007, is made among FIRST NATIONAL FUNDING LLC, in its
capacity as transferor (“Transferor”), FIRST NATIONAL BANK OF OMAHA, as servicer (“Servicer”), and
THE BANK OF NEW YORK TRUST COMPANY, N.A., as successor trustee to The Bank of New York (“Trustee”)
and is consented to by each of the parties executing and delivering a consent and waiver attached
hereto as Exhibit D (collectively, the “Consent Parties”). Capitalized terms used in this
Amendment and not otherwise defined shall have the meanings ascribed to them in or pursuant to the
Second Amended and Restated Pooling and Servicing Agreement dated as of October 24, 2002, among
Transferor, Servicer and Trustee, as amended (the “Pooling and Servicing Agreement”).

RECITALS:

     A. Transferor, Servicer and Trustee are parties to the Pooling and Servicing Agreement.

     B. Transferor, Servicer and Trustee wish to amend the Pooling and Servicing Agreement in
certain respects as set forth herein.

     NOW THEREFORE, in consideration of the foregoing and other good and valuable consideration,
the receipt and sufficiency of which are hereby acknowledged, Transferor, Servicer and Trustee
hereby agree as follows:

     Section 1. Amendments.

     (a) Section 1.01 of the Pooling and Servicing Agreement is hereby amended by the addition of
defined terms, as follows:

          “Indenture” means the Master Indenture, dated as of October 24, 2002, as amended, between the
Note Trust and The Bank of New York Trust Company, N.A., as successor indenture trustee to The Bank
of New York.

          “Indenture Supplement” means, with respect to any Note Series, a supplement to the Indenture,
executed and delivered in connection with the original issue of such Note Series pursuant to
Section 2.12 of the Indenture, and an amendment to the Indenture executed pursuant to Section 10.01
or 10.02 of the Indenture.

          “Indenture Trustee” means The Bank of New York Trust Company, N.A., as successor indenture
trustee to The Bank of New York pursuant to the Indenture.

          “Note Series” means any series of notes issued pursuant to the Indenture.

 

 

          “Note Trust” means First National Master Note Trust.

          “Notes” means one of the Notes issued by the Note Trust pursuant to the Indenture and an
Indenture Supplement, substantially in the form attached to the related Indenture Supplement.

          “Trust Estate” shall have the meaning specified in the Indenture.

     (b) Article III of the Pooling and Servicing Agreement is hereby amended by the addition of
Section 3.09, as follows:

     Section 3.09. Reports to the Commission. Transferor shall
file, or cause to be filed, with the Commission any periodic reports
required to be filed under the provisions of the Securities Exchange
Act of 1934, as amended, and the rules and regulations of the
Commission thereunder (the “Exchange Act”). Transferor shall sign
any certifications required in any filings relating to Notes or the
Trust Estate required under the Exchange Act, including Section 3.02
of the Sarbanes-Oxley Act of 2002. Transferor shall, at its own
expense, cooperate with any reasonable request of Servicer in
connection with such filings. Each of the parties specified on
Exhibit I hereto agrees to cooperate with Servicer and Transferor in
connection with such filings, as specified below.

     a. Form 10-D Reporting. As set forth on Exhibit I hereto,
within 5 calendar days after the Distribution Date of each month
that Transferor is subject to Exchange Act reporting requirements,
the parties set forth thereon shall be required to provide Servicer
and Transferor, to the extent a Responsible Officer of such party
has knowledge, in EDGAR-compatible form, or in such other format as
otherwise agreed upon by Transferor and such party, a notice in the
form of Exhibit J hereto (an “Additional Disclosure Notification”),
together with the form and substance of any additional Form 10-D
disclosure, if any, applicable to such party as specified on Exhibit
I hereto (“Additional Form 10-D Disclosure”). Transferor will
approve, as to form and substance, or disapprove, as the case may
be, the inclusion of such party’s Additional Form 10-D Disclosure
on any Form 10-D required by the Exchange Act.

     b. Form 10-K Reporting. As set forth in Exhibit I hereto, no
later than March 10 of each year that Transferor is subject to the
Exchange Act reporting requirements, commencing in 2008, the parties
set forth thereon shall be required to provide Servicer and
Transferor, to the extent a Responsible Officer of such party has
knowledge, in EDGAR-compatible form, or in such other format as
otherwise agreed upon by Transferor and such party, an Additional
Disclosure Notification in the form of Exhibit

2

 

J hereto, together with the form and substance of any additional
Form 10-K disclosure, if any, applicable to such party as specified
on Exhibit I hereto (“Additional Form 10-K Disclosure”).
Transferor will approve, as to form and substance, or disapprove, as
the case may be, the inclusion of such party’s Additional Form 10-K
Disclosure on any Form 10-K required by the Exchange Act.

     c. Form 8-K Reporting. As set forth in Exhibit I hereto, for
as long as Transferor is subject to the Exchange Act reporting
requirements, no later than the close of business (New York City
time) on the second Business Day after the occurrence of an event
requiring disclosure on Form 8-K (each such event, a “Reportable
Event”), the parties set forth thereon shall be required to provide
Servicer and Transferor, to the extent a Responsible Officer of such
party has knowledge, in EDGAR-compatible form, or in such other
format as otherwise agreed upon by Transferor and such party, an
Additional Disclosure Notification in the form of Exhibit J hereto,
together with the form and substance of the additional Form 8-K
disclosure information, if any, applicable to such party as
specified on Exhibit I hereto (“Additional Form 8-K Disclosure”).
Transferor will approve, as to form and substance, or disapprove, as
the case may be, the inclusion of such party’s Additional Form 8-K
Disclosure on any Form 8-K required by the Exchange Act.

     d. Obligation of Parties. Each party to this Agreement
acknowledges the importance of timely preparation, execution and
filing of Form 10-Ds, Form 10-Ks and Form 8-Ks and agrees to
strictly observe all applicable deadlines in the performance of its
duties under this Section 3.09.

     (c) Schedule I to Exhibit D-3 to the Pooling and Servicing Agreement is hereby deleted and
replaced, in its entirety, with Schedule I attached hereto as Exhibit A.

     (d) The Pooling and Servicing Agreement is further amended by the addition of Exhibit I, Form
of 10-D, Form 8-K and Form 10-K Reporting Responsibility, a form of which is attached hereto as
Exhibit B.

     (e) The Pooling and Servicing Agreement is further amended by the addition of Exhibit J,
Additional Disclosure Notification, a form of which is attached hereto as Exhibit C.

     Section 2. Execution in Counterparts. This Amendment may be executed in any number of
counterparts and by different parties hereto in separate counterparts, each of which when so
executed and delivered shall be deemed to be an original and all of which taken together shall
constitute but one and the same instrument.

3

 

     Section 3. Governing Law. THIS AMENDMENT SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE
WITH THE GOVERNING LAW SPECIFIED IN THE POOLING AND SERVICING AGREEMENT.

[REMAINDER OF THIS PAGE INTENTIONALLY BLANK]

4

 

     IN WITNESS WHEREOF, the undersigned have caused this Amendment to be duly executed and
delivered by their respective duly authorized officers on the day and year first above written.

	 	 	 	 	 
	 	FIRST NATIONAL FUNDING LLC

By: First National Funding Corporation

       Its Managing Member

 	 
	 	By  	/c/ Karlyn M. Knieriem
 	 
	 	 	Name:  	Karlyn M. Knieriem 	 
	 	 	Title:  	Senior Vice President 	 
	 
	 
	 	FIRST NATIONAL BANK OF OMAHA

 	 
	 	By  	/c/ Timothy D. Hart
 	 
	 	 	Name:  	Timothy D. Hart 	 
	 	 	Title:  	Senior Vice President 	 

 

 

	 	 	 	 	 
	 	THE BANK OF NEW YORK TRUST
 COMPANY, N.A., as Trustee

 	 
	 	By:  	/c/ Corine D. Twin
 	 
	 	 	Name:  	Corine D. Twin 	 
	 	 	Title:  	Assistant Vice President 	 

 

 

	 	 	 	 	 

EXHIBIT A

TO

SECOND AMENDMENT TO

SECOND AMENDED AND RESTATED

POOLING AND SERVICING AGREEMENT

 

 

SCHEDULE I

	 	 	 	 	 	 	 
	 	 	 	 	 	 	Applicable
	 	 	 	 	Applicable	 	Servicing
	 	 	 	 	Servicing	 	Criteria
	 	 	 	 	Criteria for	 	For the
	Servicing Criteria	 	the Servicer	 	Trustee
	Reference	 	Criteria	 	 	 	 
	 

	 	General Servicing Considerations	 	 	 	 
	 
	 	 	 	 	 	 
	1122(d)(1)(i)

	 	Policies and procedures are
instituted to monitor any
performance or other triggers and
events of default in accordance
with the transaction agreements.
	 	X	 	 
	 
	 	 	 	 	 	 
	1122(d)(1)(ii)

	 	If any material servicing
activities are outsourced to third
parties, policies and procedures
are instituted to monitor the third
party’s performance and compliance
with such servicing activities.
	 	X

(to the extent

there are any

material
 servicing

activities

outsourced to
 third
parties)	 	 
	 
	 	 	 	 	 	 
	1122(d)(1)(iii)

	 	Any requirements in the transaction
agreements to maintain a back-up
servicer for the credit card
receivables are maintained.
	 	N/A
	 	N/A
	 
	 	 	 	 	 	 
	1122(d)(1)(iv)

	 	A fidelity bond and errors and
omissions policy is in effect on
the party participating in the
servicing function throughout the
reporting period in the amount of
coverage required by and otherwise
in accordance with the terms of the
transaction agreements.
	 	X	 	 
	 
	 	 	 	 	 	 
	 

	 	Cash Collection and Administration	 	 	 	 
	 
	 	 	 	 	 	 
	1122(d)(2)(i)

	 	Payments on credit card receivables
are deposited into the appropriate
custodial bank accounts and related
bank clearing accounts no more than
two business days following
receipt, or such other number of
days specified in the transaction
agreements.
	 	X
	 	X
	 
	 	 	 	 	 	 
	1122(d)(2)(ii)

	 	Disbursements made via wire
transfer on behalf of an obligor or
to an investor are made only by
authorized personnel.
	 	X
	 	X

 

 

	 	 	 	 	 	 	 
	 	 	 	 	 	 	Applicable
	 	 	 	 	Applicable	 	Servicing
	 	 	 	 	Servicing	 	Criteria
	 	 	 	 	Criteria for	 	For the
	Servicing Criteria	 	the Servicer	 	Trustee
	Reference	 	Criteria	 	 	 	 
	1122(d)(2)(iii)

	 	Advances of funds or guarantees
regarding collections, cash flows
or distributions, and any interest
or other fees charged for such
advances, are made, reviewed and
approved as specified in the
transaction agreements.
	 	N/A
	 	N/A
	 
	 	 	 	 	 	 
	1122(d)(2)(iv)

	 	The related accounts for the
transaction, such as cash reserve
accounts or accounts established as
a form of overcollateralization,
are separately maintained (e.g.,
with respect to commingling of
cash) as set forth in the
transaction agreements.
	 	X
	 	X
	 
	 	 	 	 	 	 
	1122(d)(2)(v)

	 	Each custodial account is
maintained at a federally insured
depository institution as set forth
in the transaction agreements. For
purposes of this criterion,
“federally insured depository
institution” with respect to a
foreign financial institution means
a foreign financial institution
that meets the requirements of Rule
13k-1(b)(1) under the Securities
Exchange Act of 1934, as amended.
	 	X
	 	X
	 
	 	 	 	 	 	 
	1122(d)(2)(vi)

	 	Unissued checks are safeguarded so
as to prevent unauthorized access.
	 	N/A
	 	N/A
	 
	 	 	 	 	 	 
	1122(d)(2)(vii)

	 	Reconciliations are prepared on a
monthly basis for all asset-backed
securities related bank accounts,
including custodial accounts and
related bank clearing accounts.
These reconciliations (A) are
mathematically accurate; (B) are
prepared within 30 calendar days
after the bank statement cutoff
date, or such other
number of days
specified in the transaction
agreements; (C) are reviewed and
approved by someone other than the
person who prepared the
reconciliation; and (D) contain
explanations for reconciling items.
These reconciling items are
resolved within 90 calendar days of
their original identification, or
such other
	 	X	 	 

S-2

 

	 	 	 	 	 	 	 
	 	 	 	 	 	 	Applicable
	 	 	 	 	Applicable	 	Servicing
	 	 	 	 	Servicing	 	 Criteria
	 	 	 	 	Criteria for	 	For the
	Servicing Criteria	 	the Servicer	 	Trustee
	Reference	 	Criteria	 	 	 	 
	 

	 	number of days specified
in the transaction agreements.	 	 	 	 
	 
	 	 	 	 	 	 
	 

	 	Investor Remittances and Reporting	 	 	 	 
	1122(d)(3)(i)

	 	Reports to investors, including
those to be filed with the SEC, are
maintained in accordance with the
transaction agreements and
applicable SEC requirements.
Specifically, such reports (A) are
prepared in accordance with
timeframes and other terms set
forth in the transaction
agreements; (B) provide information
calculated in accordance with the
terms specified in the transaction
agreements; (C) are filed with the
SEC as required by its rules and
regulations; and (D) agree with
investors’ or the trustee’s records
as to the total unpaid principal
balance and number of credit card
accounts serviced by the servicer.
	 	X	 	 
	 
	 	 	 	 	 	 
	1122(d)(3)(ii)

	 	Amounts due to investors are
allocated and remitted in
accordance with timeframes,
distribution priority and other
terms set forth in the transaction
agreements.
	 	X
	 	X
	 
	 	 	 	 	 	 
	1122(d)(3)(iii)

	 	Disbursements made to an investor
are posted within two business days
to the servicer’s investor records,
or such other number of days
specified in the transaction
agreements.
	 	 	 	X
	 
	 	 	 	 	 	 
	1122(d)(3)(iv)

	 	Amounts remitted to investors per
the investor reports agree with
cancelled checks, or other form of
payment, or custodial bank
statements.
	 	 	 	X
	 
	 	 	 	 	 	 
	 

	 	Pool Asset Administration	 	 	 	 
	1122(d)(4)(i)

	 	Collateral or security on credit
card accounts is maintained as
required by the transaction
agreements or related credit card
agreements.
	 	X	 	 
	 
	 	 	 	 	 	 
	1122(d)(4)(ii)

	 	Credit card accounts and related	 	X	 	 

S-3

 

	 	 	 	 	 	 	 
	 	 	 	 	 	 	Applicable
	 	 	 	 	Applicable	 	Servicing
	 	 	 	 	Servicing	 	 Criteria
	 	 	 	 	Criteria for	 	For the
	Servicing Criteria	 	the Servicer	 	Trustee
	Reference	 	Criteria	 	 	 	 
	 

	 	documents are safeguarded as
required by the transaction
agreements.
	 	 	 	 
	 
	 	 	 	 	 	 
	1122(d)(4)(iii)

	 	Any additions, removals or
substitutions to the pool are made,
reviewed and approved in accordance
with any conditions or requirements
in the transaction agreements.
	 	X	 	 
	 
	 	 	 	 	 	 
	1122(d)(4)(iv)

	 	Payments on credit card
receivables, including any payoffs,
made in accordance with the related
credit card agreements are posted
to the servicer’s obligor records
maintained no more than two
business days after receipt, or
such other number of days specified
in the transaction agreements, and
allocated to principal, interest or
other items (e.g., escrow) in
accordance with the related credit
card agreements.
	 	X	 	 
	 
	 	 	 	 	 	 
	1122(d)(4)(v)

	 	The servicer’s records regarding
the credit card accounts agree with
the servicer’s records with respect
to an obligor’s unpaid principal
balance.
	 	X	 	 
	 
	 	 	 	 	 	 
	1122(d)(4)(vi)

	 	Changes with respect to the terms
or status of an obligor’s credit
card account (e.g. loan
modifications or re-agings) are
made, reviewed and approved by
authorized personnel in accordance
with the transaction agreements and
related credit card agreements.
	 	X	 	 
	 
	 	 	 	 	 	 
	1122(d)(4)(vii)

	 	Loss mitigation or recovery actions
(e.g., forbearance plans,
modifications and deeds in lieu of
foreclosure, foreclosures and
repossessions, as applicable) are
initiated, conducted and concluded
in accordance with the timeframes
or other requirements established
by the transaction agreements.
	 	X	 	 

S-4

 

	 	 	 	 	 	 	 
	 	 	 	 	 	 	Applicable
	 	 	 	 	Applicable	 	Servicing
	 	 	 	 	Servicing	 	 Criteria
	 	 	 	 	Criteria for	 	For the
	Servicing Criteria	 	the Servicer	 	Trustee
	Reference	 	Criteria	 	 	 	 
	1122(d)(4)(viii)

	 	Records documenting collection
efforts are maintained during the
period a credit card account is
delinquent in accordance with the
transaction agreements. Such
records are maintained on at least
a monthly basis, or such other
period specified in the transaction
agreements, and describe the
entity’s activities in monitoring
delinquent credit card accounts
including, for example, phone
calls, letters and payment
rescheduling plans in cases where
delinquency is deemed temporary
(e.g., illness or unemployment).
	 	X	 	 
	 
	 	 	 	 	 	 
	1122(d)(4)(ix)

	 	Adjustments to interest rates or
rates of return for credit card
accounts with variable rates are
computed based on the related
credit card agreements.
	 	X	 	 
	 
	 	 	 	 	 	 
	1122(d)(4)(x)

	 	Regarding any funds held in trust
for an obligor (such as escrow
accounts): (A) such funds are
analyzed, in accordance with the
obligor’s credit card agreements,
on at least an annual basis, or
such other period specified in the
transaction agreements; (B)
interest on such funds is paid, or
credited, to obligors in accordance
with applicable credit card
agreements and state laws; and (C)
such funds are returned to the
obligor within 30 calendar days of
full repayment of the related
credit card account, or such other
number of days specified in the
transaction agreements.
	 	N/A
	 	N/A
	 
	 	 	 	 	 	 
	1122(d)(4)(xi)

	 	Payments made on behalf of an
obligor (such as tax or insurance
payments) are made on or before the
related penalty or expiration
dates, as indicated on the
appropriate bills or notices for
such payments, provided that such
support has been received by the
servicer at least 30 calendar days
prior to these dates, or such other
number of days specified in the
transaction agreements.
	 	X	 	 

S-5

 

	 	 	 	 	 	 	 
	 	 	 	 	 	 	Applicable
	 	 	 	 	Applicable	 	Servicing
	 	 	 	 	Servicing	 	 Criteria
	 	 	 	 	Criteria for	 	For the
	Servicing Criteria	 	the Servicer	 	Trustee
	Reference	 	Criteria	 	 	 	 
	 
	1122(d)(4)(xii)

	 	Any late payment penalties in
connection with any payment to be
made on behalf of an obligor are
paid from the servicer’s funds and
not charged to the obligor, unless
the late payment was due to the
obligor’s error or omission.
	 	X	 	 
	 
	 	 	 	 	 	 
	1122(d)(4)(xiii)

	 	Disbursements made on behalf of an
obligor are posted within two
business days to the obligor’s
records maintained by the servicer,
or such other number of days
specified in the transaction
agreements.
	 	X	 	 
	 
	 	 	 	 	 	 
	1122(d)(4)(xiv)

	 	Delinquencies, charge-offs and
uncollectible accounts are
recognized and recorded in
accordance with the transaction
agreements.
	 	X	 	 
	 
	 	 	 	 	 	 
	1122(d)(4)(xv)

	 	Any external enhancement or other
support, identified in Item
1114(a)(1) through (3) or Item 1115
of Regulation AB, is maintained as
set forth in the transaction
agreements.
	 	X

(to the extent

there is any 

external

enhancement or

other support)	 	 

S-6

 

EXHIBIT B

TO

SECOND AMENDMENT TO

SECOND AMENDED AND RESTATED

POOLING AND SERVICING AGREEMENT

 

 

EXHIBIT I

FORM 10-D, FORM 8-K AND FORM 10-K

REPORTING RESPONSIBILITY

As to each item described below, the entity indicated as the Responsible Party shall be primarily
responsible for reporting the information to both Servicer and Transferor pursuant to the Pooling
and Servicing Agreement.

Under Item 1 of Form 10-D: a) items marked “monthly statement” are required to be included in the
periodic Monthly Report to Noteholders under Section 5.03 of the applicable Indenture Supplement
provided by Indenture Trustee based on information received from the Servicer and b) items marked
“Form 10-D report” are required to be in the Form 10-D report but not the monthly statement,
provided by the party indicated under the Pooling and Servicing Agreement. Information under all
other Items of Form 10-D is to be included in the Form 10-D report.

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	10-D
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	1	 	 	Distribution and Pool Performance
Information	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Item 1121(a) — Distribution and
Pool Performance Information	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(1) Any applicable record dates,
accrual dates, determination dates
for calculating distributions and
actual Distribution Dates for the
distribution period.
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(2) Cash flows received and the
sources thereof for distributions,
fees and expenses (including
portfolio yield).
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(3) Calculated amounts and
distribution of the flow of funds
for the period itemized by type
and priority of payment,
including:
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(i) Fees or expenses accrued and
paid, with an identification of
the general purpose of such fees
and the party receiving such fees
or expenses.
	 	X

(monthly
 statement)	 	 	 	 	 	 

 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(ii) Payments accrued or paid with
respect to enhancement or other
support identified in Item 1114 of
Regulation AB (such as insurance
premiums or other enhancement
maintenance fees), with an
identification of the general
purpose of such payments and the
party receiving such payments.
	 	 	 	X

(to the extent
there is any
Enhancement)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(iii) Principal, interest and
other distributions accrued and
paid on the asset-backed
securities by type and by class or
series and any principal or
interest shortfalls or carryovers.
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(iv) The amount of excess cash
flow or excess spread and the
disposition of excess cash flow.
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(4) Beginning and ending principal
balances of the asset-backed
securities.
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(5) Interest rates applicable to
the pool assets and the
asset-backed securities, as
applicable.
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(6) Beginning and ending balances
of transaction accounts, such as
reserve accounts, and material
account activity during the
period.
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(7) Any amounts drawn on any
credit enhancement or other
support identified in Item 1114 of
Regulation AB, as applicable, and
the amount of coverage remaining
under any such enhancement, if
known and applicable.
	 	 	 	X

(to the extent
there is any
Enhancement)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(8) Number and amount of pool
assets at the beginning and ending
of each period, and updated pool
composition information, such as
weighted average coupon, weighted
average remaining term, pool
factors and prepayment amounts.
	 	X

(monthly
 statement)	 	 	 	 	 	 

I-2

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(9) Delinquency and loss
information for the period.
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	In addition, describe any material
changes to the information
specified in Item 1100(b)(5) of
Regulation AB regarding the pool
assets. (methodology)
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(10) Information on the amount,
terms and general purpose of any
advances made or reimbursed during
the period, including the general
use of funds advanced and the
general source of funds for
reimbursements.
	 	X

(to the extent any
advances have been made)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(11) Any material modifications,
extensions or waivers to pool
asset terms, fees, penalties or
payments during the distribution
period or that have cumulatively
become material over time.
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(12) Material breaches of pool
asset representations or
warranties or transaction
covenants.
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(13) Information on ratio,
coverage or other tests used for
determining any early
amortization, liquidation or other
performance trigger and whether
the trigger was met.
	 	X

(monthly
 statement)	 	 	 	 	 	 

I-3

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	(14) Information regarding any new
issuance of asset-backed
securities backed by the same
asset pool, any pool asset changes
(other than in connection with a
pool asset converting into cash in
accordance with its terms), such
as additions or removals in
connection with a prefunding or
revolving period and pool asset
substitutions and repurchases (and
purchase rates, if applicable),
and cash flows available for
future purchases, such as the
balances of any prefunding or
revolving accounts, if applicable.
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Disclose any material changes in
the solicitation, credit-granting,
underwriting, origination,
acquisition or pool selection
criteria or procedures, as
applicable, used to originate,
acquire or select the new pool
assets.
	 	X

(monthly
 statement)	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Item 1121(b) — Pre-Funding or
Revolving Period Information
Updated pool information as
required under Item 1121(b).
	 	X

(monthly statement,
material changes to pool
assets, if any)
	 	X

(changes to
Originators and
Significant
Obligors, if any)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	2	 	 	Legal Proceedings	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Item 1117 — Legal proceedings
pending against the following
entities, or their respective
property, that is material to the
holders of Notes, including
proceedings known to be
contemplated by governmental
authorities:	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Sponsor (Seller)
	 	 	 	 	 	X	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Transferor
	 	 	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Trustee
	 	 	 	 	 	 	 	X

I-4

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Issuer
	 	 	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Servicer or other servicer
servicing 20% or more of pool
assets at time of report, other
material servicers (each as to
itself)
	 	X	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Originator of 20% or more of pool
assets as of the Cut-off Date
	 	 	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	3	 	 	Sales of Securities and Use of
Proceeds	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Provide the information required
by Part II, Item 2 of Form 10-Q.
Regarding information from Item
2(a) of Part II of Form 10-Q:
	 	 	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	With respect to any sale of
securities by the sponsor,
depositor or issuing entity, that
are backed by the same asset pool
or are otherwise issued by the
issuing entity, whether or not
registered, provide the sales and
use of proceeds information in
Item 701 of Regulation S-K.
Pricing information can be omitted
if securities were not registered.
Also provide the information
required by Item 1113(e) of
Regulation AB.	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	4	 	 	Defaults Upon Senior Securities	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Information from Item 3 of Part II
of Form 10-Q:	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Report the occurrence of any Event
of Default (after expiration of
any grace period and provision of
any required notice)
	 	 	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	5	 	 	Submission of Matters to a Vote of
Security Holders	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Information from Item 4 of Part II
of Form 10-Q
	 	 	 	 	 	 	 	X

I-5

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	6	 	 	Significant Obligors of Pool Assets	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Item 1112(b) — Significant
Obligor Financial Information*	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	*This information need only be
reported on the Form 10-D for the
distribution period in which
updated information is required
pursuant to the Item.
	 	X
	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	7	 	 	Significant Enhancement Provider
Information	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Item 1114(b)(2) — Credit
Enhancement Provider Financial
Information*

Determining applicable disclosure
threshold
	 	X

(to the extent there is
an Enhancement Provider)
	 	X

(to the extent
there is an
Enhancement
Provider)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	X	 	 	 	 
	 

	 	 	 	 	 	Notifying the applicable party of
the need to request required
financial information or effecting
incorporation by reference
	 	X

(to the extent there is
an Enhancement Provider)
	 	(to the extent
there is an
Enhancement
Provider)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Item 1115(b) — Derivative
Counterparty Financial
Information*	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Determining current maximum
probable exposure
	 	X

(to the extent there is a
Derivative Counterparty)
	 	X

(to the extent
there is a
Derivative
Counterparty)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Determining current significance
percentage
	 	X

(to the extent there is a
Derivative Counterparty)
	 	X

(to the extent
there is a
Derivative
Counterparty)	 	 	 	 

I-6

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Notifying the applicable party of
the need to request required
financial information or effecting
incorporation by reference

*This information need only be
reported on the Form 10-D for the
distribution period in which
updated information is required
pursuant to the Items.
	 	X

(to the extent there is a
Derivative Counterparty)
	 	X

(to the extent
there is a
Derivative
Counterparty)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	8	 	 	Other Information	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Disclose any information required
to be reported on Form 8-K during
the period covered by the Form
10-D but not reported
	 	The Responsible Party
for the applicable

Form 8-K as indicated below.
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	9	 	 	Exhibits	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Distribution report
	 	X	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Exhibits required by Item 601 of
Regulation S-K, such as material
agreements
	 	 	 	X	 	 	 	 

I-7

 

ADDITIONAL FORM 10-K DISCLOSURE

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	10-K	 	Must be filed within 90 days of the fiscal year end for the registrant.
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	9B	 	 	Other Information	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Disclose any
information
required to be
reported on Form
8-K during the
period since the
last required	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	distribution report
on Form 10-D.	 	The Responsible Party for the applicable Form 8-K as indicated above
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	15	 	 	Exhibits and
Financial Statement
Schedules	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Item 1112(b) —
Significant Obligor
Financial
Information
	 	X
(to the extent
there are any
Significant
Obligors)
	 	X
(to the extent
there are any
Significant
Obligors)
	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Item 1114(b)(2) —
Credit Enhancement
Provider	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Determining applicable disclosure threshold
	 	X

(to the extent
there is an
Enhancement
Provider)
	 	X

(to the extent
there is an
Enhancement
Provider)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Requesting required financial information or effecting incorporation by reference
	 	X

(to the extent
there are is an
Enhancement
Provider)
	 	X

(to the extent
there is an
Enhancement
Provider)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 

I-8

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	 

	 	 	 	 	 	Item 1115(b) — Derivative
Counterparty Financial
Information	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	X
	 	X	 	 	 	 
	 

	 	 	 	 	 	Determining current maximum probable exposure
	 	(to the
 extent
there
 is a
Derivative
Counter-
party)
	 	(to the
 extent
there
 is a
Derivative
Counter-
party)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Notifying the applicable party
of the need to request required
financial information or
effecting incorporation by
reference
	 	X

(to the
 extent
there
 is a
Derivative
Counter-
party)
	 	X

(to the
 extent
there
 is a
Derivative
Counter-
party)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Item 1117 — Legal proceedings
pending against the following
entities, or their respective
property, that is material to
holders of Notes, including
proceedings known to be
contemplated by governmental
authorities:	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Sponsor
	 	 	 	 	 	X	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Transferor
	 	 	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Trustee
	 	 	 	 	 	 	 	X
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Issuer
	 	 	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Master Servicer, affiliated
Servicer, other Servicer
servicing 20% or more of pool
assets at time of report, other
material servicers (each as to
itself)
	 	X	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Originator of 20% or more of
pool assets as of the Cut-off
Date
	 	 	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Item 1119 — Affiliations and
relationships between the
following entities, or their
respective affiliates, that are
material to holders of Notes:	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Sponsor
	 	 	 	 	 	X	 	 

 

 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	 

	 	 	 	 	 	Transferor
	 	 	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Trustee
	 	 	 	 	 	 	 	X
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Servicer or other servicer
servicing 20% or more of pool
assets at time of report, other
material servicers (each as to
itself)
	 	X	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Originator
	 	 	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	X	 	 	 	 
	 

	 	 	 	 	 	Credit Enhancer/Support Provider
	 	 	 	(to the 
extent
there
 is a Credit
Enhancer/
Support
Provider)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Significant Obligor
	 	X
	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Item 1122 — Assessment of
Compliance with Servicing
Criteria
	 	X
	 	 	 	 	 	X
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	Item 1123 — Servicer
Compliance Statement
	 	X	 	 	 	 	 	 

I-2

 

ADDITIONAL FORM 8-K DISCLOSURE

	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	8-K	 	Must be filed within 4 business days of an event reportable on Form 8-K.
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	1.01	 	Entry into a Material Definitive Agreement	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	Disclosure is required regarding entry into or amendment of any definitive
agreement that is material to the securitization, even if depositor is not a party.	 	 	 	 	 	 	 	 
	 
	 	 	 		 	 	 	 	 	 	 	 
	 
	 	 	 	Examples:  servicing agreement,
custodial agreement.

NOTE:  disclosure not required as to definitive agreements that are fully disclosed in the prospectus.	 	X	 	X	 	X
(if Servicer is not a
party)	 	X
(if Servicer is not a party and if Trustee is a party)
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	1.02	 	Termination of a Material Definitive Agreement	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	Disclosure is required regarding termination of any definitive agreement that is material to the
securitization (other than expiration in accordance with its terms), even if depositor is not a party.

Examples:  servicing agreement, custodial agreement.	 	X	 	X	 	X
(if Servicer is not a party)	 	X
(if Servicer is not a party and Trustee is a party)

I-3

 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	 
	 	1.03	 	Bankruptcy or Receivership	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	Disclosure is required regarding the bankruptcy or receivership, if known to the Transferor,
with respect to any of the following:	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	Sponsor (Seller), Transferor, Master Servicer, affiliated Servicer, other Servicer
servicing 20% or more of pool assets at time of report, other material servicers, Certificate Administrator, Trustee, significant obligor, credit
enhancer (10% or more), derivatives counterparty, Custodian  (each as to itself)	 	X	 	X	 	X	 	X
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	2.04	 	Triggering Events that Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	Includes an early amortization, performance trigger or other event, including event of
default, that would materially alter the payment priority/distribution  of cashflows/amortization schedule
	 	X	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	3.03	 	Material Modification to Rights of Security Holders	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	Disclosure is required of any material modification to documents defining the rights of holders of Notes, including the
Indenture	 	X

	 	X

	 	 	 	X
(if Trustee is a party thereto)
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	5.03	 	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	Disclosure is required of any amendment “to the governing documents of the issuing entity”	 	X	 	X	 	 	 	 

I-4

 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	 
	 	5.06	 	Change in Shell Company Status	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	[Not applicable to ABS issuers]	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	6.01	 	ABS Informational and Computational Material	 	 	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	6.02	 	Change of Servicer, Securities Administrator or Trustee	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	Requires disclosure of any removal, replacement, substitution or addition of any master servicer, affiliated
servicer, other servicer servicing 10% or more of pool assets at time of report, other material servicers, certificate administrator or trustee.	 	X	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	Reg AB disclosure about any new servicer (from entity appointing new servicer) or trustee (from Transferor) is also required.	 	 	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	6.03	 	Change in Credit Enhancement or Other External Support	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	Covers termination of any enhancement in manner other than by its terms, the addition of an
enhancement, or a material change in the enhancement provided. Applies to external credit enhancements as well as derivatives.	 	 	 	X
(to the extent there is any Enhancement)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	Reg AB disclosure about any new enhancement provider is also required.	 	 	 	X
(to the extent there is any Enhancement)	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	6.04	 	Failure to Make a Required Distribution	 	 	 	 	 	 	 	X
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	6.05	 	Securities Act Updating Disclosure	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	If any material pool characteristic differs by 5% or more at the time of issuance of the securities from the
description in the final prospectus, provide updated Reg AB disclosure about the actual assets pool.	 	X	 	X	 	 	 	 

I-5

 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	Form	 	Item	 	Description	 	Servicer	 	Transferor	 	Sponsor	 	Trustee
	 
	 	 	 	If there are any new servicers or originators required to be disclosed under Regulation AB as
a result of the foregoing, provide the information called for in Items 1108 and 1110 respectively.	 	 	 	X	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	7.01	 	Regulation FD Disclosure	 	X	 	X	 	X	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	8.01	 	Other Events	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	Any event, with respect to which information is not otherwise called for in Form 8-K, that the
registrant deems of importance to security holders.	 	 	 	 	 	X	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	9.01	 	Financial Statements and Exhibits	 	The Responsible Party applicable to reportable event.

I-6

 

EXHIBIT C

TO

SECOND AMENDMENT TO

SECOND AMENDED AND RESTATED

POOLING AND SERVICING AGREEMENT

 

 

EXHIBIT J

ADDITIONAL DISCLOSURE NOTIFICATION

First National Bank of Omaha

1620 Dodge Street, Stop Code 3395

Omaha, Nebraska 68197-3395

Attention: Mr. Timothy D. Hart

First National Funding LLC

c/o First National Bank of Omaha

1620 Dodge Street, Stop Code 3281

Omaha, Nebraska 68197-3281

Attention: Ms. Karlyn M. Knieriem

     Re: **Additional Form [10-D][10-K][8-K] Disclosure**Required

Ladies and Gentlemen:

In accordance with Section 3.09 of the Second Amended and Restated Pooling and Servicing Agreement
dated as of October 24, 2002, as amended, among First National Funding LLC, as Transferor, First
National Bank of Omaha, as Servicer, and The Bank of New York Trust Company, N.A., as successor
Trustee to The Bank of New York, the undersigned hereby notifies you that certain events have come
to our attention that [will][may] need to be disclosed on Form [10-D][10-K] [8-K].

Description of Additional Form [10-D][10-K][8-K] Disclosure:

List of any Attachments hereto to be included in the Additional Form [10-D][10-K][8-K] Disclosure:

Any
inquiries related to this notification should be directed to [               ], phone number :[     ]; email address:[                     ].

	 	 	 	 	 
	 	[NAME OF PARTY],

as [role]

 	 
	 	By:  	 	 
	 	 	Name:  	 	 
	 	 	Title:  	 	 

 

 

	 	 	 	 	 

EXHIBIT D

TO

SECOND AMENDMENT TO

SECOND AMENDED AND RESTATED

POOLING AND SERVICING AGREEMENT

WAIVER AND CONSENTSexv10w4

 

Confidential treatment has been requested with respect to certain portions of this exhibit.

Omitted portions have been filed separately with the Securities and Exchange Commission.

Exhibit 10.4

GULFSTREAM INTERNATIONAL AIRLINES/UNITED AIRLINES

CODE SHARE AND REGULATORY

COOPERATION AGREEMENT

This Agreement is made and entered into by and between UNITED AIR LINES, INC., with its principal
place of business at 1200 East Algonquin Road, Elk Grove Township, Illinois 60007 (“UA”) and
Gulfstream International Airlines, Inc., with its principal place of business at 1815 Griffin Road,
Suite 400, Dania Beach, Florida 33004 (“3M”), each or both parties individually or collectively
referred to as “Carrier” or “Carriers” respectively.

	1.	 	INTRODUCTION

3M and UA had entered into a Code Share Agreement dated 04/21/1994 referred to as United
Contract Number 122641, in order to increase each Carrier’s opportunities to offer
competitive and cost effective air transportation services between points in and beyond the
United States and the Bahamas. The agreement also improves the quality of the interline air
transportation and cargo services they now offer so as to increase the use of those services
by the traveling and shipping public. The Carriers now wish to update and revise certain
terms of that agreement, as amended, by superseding and replacing that agreement with this
Agreement. This Agreement establishes binding obligations, between the Carriers, expresses
the Carriers intentions, and sets forth a framework that provides the basis to accomplish
these goals through subsequent agreements and activities.

	2.	 	UNDERLYING OPERATIONAL CONCEPT

The Carriers shall use a phased approach to develop and implement parallel marketing and
operational programs to create new, value added passenger and cargo services and cost
efficiencies by taking advantage of each Carrier’s inherent market strengths.

	3.	 	OBJECTIVES OF THE 3M/UA RELATIONSHIP

Through development of the operational relationship contemplated by this Agreement, subject
to any and all necessary governmental and regulatory approvals, 3M and UA have implemented
Code Share operations as defined in Article 4A and further described in Attachment 1,
Sections A and B.
	 
	 	 	This Agreement is not intended to restrict either Carrier’s rights to pursue, either
independently or collectively, additional access between any points through either route
acquisition or the normal government to government bilateral process.

	4.	 	PROGRAMS

The Carriers shall develop and implement specific programs to support the objectives defined
by this Agreement. The Attachments to this Agreement outline specific actions and
responsibilities for implementing these programs. Each of the programs may be incorporated
into an existing 3M/UA contract or a new contract, as appropriate. In summary, subject to
any and all applicable governmental laws, rules and regulations, these programs are:

- 1 -

 

	 	A.	 	CODE SHARE

The Carriers shall develop, in a phased approach; operations, which include using
each other’s two-letter airline designator code on the following routes, as further
specified in Attachments 1 and 1A (“Code Share”):

[*].

	 	B.	 	CODE SHARE EMERGENCY PROCEDURES

In the event of an incident involving a Code Share flight, both Carriers agree to
implement the emergency procedures specified in Attachment 2.

	 	C.	 	REGULATORY COOPERATION

The Carriers shall work together to secure the underlying governmental and other
approvals necessary to implement this marketing relationship.

	 	D.	 	PUBLISHED FARES

The carriers agree to participate in each other’s published fares.

	 	E.	 	PRORATES

On the basis of reciprocity and comity, 3M and UA shall provide broader access to
each other’s system through the creation of a Special Prorate Agreement to support
the overall program and to stimulate incremental traffic from 3M to UA, and UA to
3M. This shall include special reciprocal protection for 3M or UA passengers on
delayed, canceled or oversold flights.

	 	F.	 	FREQUENT FLYER

The Carriers shall cooperate to further enhance passenger loyalty to the 3M/UA
product through frequent flyer or loyalty programs as further specified in
Attachment 3 (“Frequent Flyer Cooperation”).

	 	G.	 	PREFERENTIAL SELLING

The Carriers shall implement procedures at their respective reservations sales
offices to sell the other Carrier, on a “second to on-line” basis and in lieu of
competitive off-line offerings in the agreed Code Share markets.

	 	H.	 	SALES

With regard to Inventory Management for Code Share flights the Carriers acknowledge
and agree that this is Agreement does not provide for guaranteed block space
reservations. Accordingly, neither UA nor 3M is purchasing or guaranteeing the seats
allocated to it by the other. Rather, the seats are allocated only for purposes of
inventory management. 3M and UA shall each manage, market and sell its allocation of
seats on the Code Share flights under its own respective airline designator code.
The Carriers agree to communicate as necessary to facilitate such an arrangement.

	 	I.	 	CARGO

On the basis of reciprocity and comity, 3M and UA shall provide broader access to
each other’s flight route system through the creation of Cargo (mail and/or freight)
Agreement to support the Code Share program and to stimulate

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	 	 	 	incremental cargo between the Carriers. The scope of such cargo agreement shall be
on code share routes described herein.

	5.	 	TERM

This Agreement is effective as of April 21, 2003, and shall continue thereafter for three
(3) years; provided, however, that this Agreement may be terminated by either party at that
party’s election for convenience and, without cause upon one hundred and eighty (180) days’
prior written notice.

	6.	 	COMPLIANCE WITH GOVERNMENT AND SAFETY REQUIREMENTS

	 	A.	 	The Carriers represent and warrant that all air transportation services
performed by it pursuant to this Agreement or otherwise shall be conducted in full
compliance with all applicable federal, state and local laws, statutes, orders, rules;
and regulations.
	 
	 	B.	 	The Carrier that originates the customer travel (provides all boarding passes
and checks the customer luggage to his final destination) shall assure that the
customer is properly documented for entry into the destination country and properly
documented for any transit points enroute. Any fines, penalties, deportation and
detention expenses resulting from violations of government entry or transit
requirements, even for passengers that shall fully engage in illegal entry tactics,
shall be the sole responsibility of the Carrier that originates the customer travel and
such Carrier shall be considered an Operating Carrier pursuant to Article 15, and shall
indemnify the other Carrier.
	 
	 	C.	 	3M represents and warrants that it is in compliance with the U.S. Department of
Defense (DoD) Quality and Safety Requirements (and any other applicable governmental
quality or safety requirement) and continues to comply with all applicable Federal
Aviation Regulations (F.A.R.). 3M further warrants that it shall maintain compliance
with these requirements for the term of this Agreement. Any failure to maintain such
compliance shall immediately be brought to UA’s attention together with the corrective
actions taken by 3M or a correction action plan. Any noncompliance with any
requirements or corrective action plans shall be grounds for partial or complete
suspension or termination by UA, without further liability, of this Agreement or any of
the terms or conditions of this Agreement; but, with reservation of all other rights
and remedies available to UA. Additional safety reviews and audits may be required at
UA’s discretion and 3M shall cooperate with all such reviews and audits.

	7.	 	EXCLUSIVITY

This Agreement is non-exclusive and does not preclude either UA or 3M from entering into or
maintaining existing marketing relationships, including Code Share Agreements, with other
air transportation companies.
	 
	8.	 	TRADEMARKS

Neither Carrier shall use any trademark, trade name, logo, or service mark of the other
without the prior written consent of the other.

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	9.	 	CONFIDENTIALITY

	 	A.	 	Subject to Articles 9B and 9C, and except in any proceeding to enforce any of
the provisions of this Agreement, neither party shall, without the prior written
consent of the other, use, publicize or disclose to any third party, either directly or
indirectly, any of the following (hereinafter “Confidential Information”):

	 	(1)	 	this Agreement or any of the terms or conditions of this
Agreement; or
	 
	 	(2)	 	any confidential or proprietary information or data, either
oral or written, received from and designated as such by the disclosing
Carrier.

	 	B.	 	If either Carrier is served with a subpoena or other legal process requiring
the production or disclosure of any Confidential Information, then that Carrier, before
complying, shall immediately notify the non-disclosing Carrier and the non-disclosing
Carrier shall have a reasonable period of time to intervene and contest disclosure or
production.
	 
	 	C.	 	If a governmental authority requests either Carrier to produce or disclose to
the authority this Agreement or any of the terms or conditions of this Agreement, such
Carrier, at its option and after notifying the other Carrier, may produce or disclose
the requested document or information.
	 
	 	D.	 	Upon termination of this Agreement, all Confidential Information, including any
copies thereof made by the receiving party, must be returned to the disclosing Carrier.

	10.	 	FORCE MAJEURE

Neither Carrier shall be liable for delays or failure in performance under this Agreement
caused by acts of God, war, strikes, labor disputes, work stoppage, fire, acts of government
or any other cause, whether similar or dissimilar, which is beyond the control of that
Carrier.
	 
	11.	 	NATURE OF RELATIONSHIP BETWEEN 3M AND UA

The relationship of the Carriers hereto is that of independent contractors. Nothing in this
Agreement is intended or shall be construed to create or establish any partnership or joint
venture relationship between the Carriers.

	12.	 	TERMINATION FOR CAUSE

	 	A.	 	If either Carrier (the “Defaulting Party”) becomes insolvent or is subject to
liquidation; if the other Carrier (the “Insecure Party”) has evidence that the
Defaulting Party is not paying its bills when due without just cause; if the Defaulting
Party takes any step leading to its cessation as a going concern; or if the Defaulting
Party either ceases or suspends operations for reasons other than a strike, then the
Insecure Party may immediately terminate this Agreement on notice to the Defaulting
Party unless the Defaulting Party immediately gives adequate assurance of the future
performance of this Agreement by establishing an irrevocable letter of credit issued by
an bank acceptable to the Insecure Party, on terms and conditions acceptable to the
Insecure Party, in an amount sufficient to cover all amounts potentially due from the
Defaulting Party under this

- 4 -

 

	 	 	 	Agreement, which may be drawn upon by the Insecure Party if the Defaulting Party
does not fulfill its obligations under this Agreement in a timely manner.

	 	B.	 	If either Carrier (the “Defaulting Party”) fails to observe or perform any of
its material obligations under this Agreement and if this failure continues for a
period of thirty (30) days after written notice to the Defaulting Party thereof (except
for any payments due, where the period to cure such non-payment shall be five [5] days
after notice) then, without prejudice to any other rights or remedies the other party
may have, the other Carrier may terminate this Agreement as of the expiration date of
this notice period.

	13.	 	POST-TERMINATION RIGHTS

Exercise by either Carrier of its right to terminate under any provision of this Agreement
shall not affect or impair its right to enforce its other rights or remedies under this
Agreement. All obligations of each Carrier that have accrued before termination or that are
of a continuing nature shall survive termination, including, without limitation, any
confidentiality and indemnity provisions.
	 
	14.	 	NON-WAIVER

Any previous waiver, forbearance, or course of dealing shall not affect the right of either
Carrier to require strict performance of any provision of this Agreement.
	 
	15.	 	GENERAL INDEMNIFICATION

The Carrier operating the Code Share flight or providing goods or services hereunder (the
“Operating Carrier”) agrees to indemnify and hold harmless the other Carrier (the “Marketing
Carrier”), its directors, officers, employees, agents, subcontractors, and affiliates (each
an “Indemnitee”) from and against any and all liabilities, claims, demands, suits, damages,
and losses, including, without limitation, all reasonable attorneys’ fees, costs and
expenses in connection therewith or incident thereto (including, without limitation,
attorneys’ fees incurred by the Marketing Carrier in establishing its right to
indemnification hereunder) (collectively referred to in this Article as “Claims”) of third
parties for death or personal injury to any person or persons whomsoever (including, without
limitation, the Operating Carrier’s employees, but excluding the Marketing Carrier’s
employees) and for loss of, damage to, destruction of, any property whatsoever (including,
without limitation, any loss of use thereof), in any manner arising out of or in any way
connected with goods or services furnished or to be furnished by the Operating Carrier under
this Agreement, all whether or not arising in tort or occasioned in whole or in part by the
negligence of the Marketing Carrier of any type or degree. The Operating Carrier shall, at
the request of the Marketing Carrier, negotiate and defend any Claim brought against any
Indemnitee or in which any Indemnitee is joined as a party defendant based upon any other
matters for which the Operating Carrier has agreed to indemnify each Indemnitee as provided
above. The Operating Carrier’s obligations under this Article shall survive the expiration
or termination of this Agreement.

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	16.	 	INSURANCE

	 	A.	 	3M shall procure and maintain (i) third party liability insurance, including
war risks perils for a minimum combined single limit (bodily injury/property damage) of
U. S. $ 300,000,000 (three hundred million U.S. dollars) for each occurrence and
(ii)Hull All Risks and Hull War Risks insurance covering its fleet. 3M shall increase
such aviation liability insurance to U.S. $ 500,000,000 (five hundred million U.S.
dollars) should they ever start flying aircraft with 50 or more seats. UA shall be
named as additional insured on 3M’s policies when 3M is acting as the Operating
Carrier. 3M, as Operating Carrier, shall waive their rights of subrogation against UA.
The insurance policies shall be endorsed with severability of interest clauses. 3M
shall furnish to UA certificates of insurance evidencing the foregoing coverage prior
to the commencement of this Agreement.
	 
	 	B.	 	3M and UA shall each procure at its own cost employer’s liability insurance and
worker’s compensation (or equivalent) against the liabilities of each respective
Carrier to its employees in an amount not less than required by applicable law.
	 
	 	C.	 	In the event of cancellation or adverse material change, the additional insured
shall be provided not less than thirty (30) days prior written notice except that in
the case of Hull War Risks insurance such period of notice shall be seven (7) days or
such lesser period as may be available in accordance with the applicable insurance
policy requirements.

	17.	 	EXCLUSION OF CONSEQUENTIAL DAMAGES

NEITHER CARRIER SHALL BE LIABLE FOR ANY INDIRECT, SPECIAL, INCIDENTAL OR CONSEQUENTIAL
DAMAGES, INCLUDING LOST REVENUES, LOST PROFITS, OR LOST PROSPECTIVE ECONOMIC ADVANTAGE,
WHETHER OR NOT FORESEEABLE AND WHETHER OR NOT FORESEEABLE AND WHETHER OR NOT BASED ON
CONTRACT, TORT, WARRANTY CLAIMS OR OTHERWISE IN CONNECTION WITH THIS AGREEMENT, AND/OR THE
PRODUCTS OR SERVICES PROVIDED HEREUNDER, AND EACH CARRIER HEREBY RELEASES AND WAIVES ANY
CLAIMS AGAINST THE OTHER CARRIER REGARDING SUCH DAMAGES.

	18.	 	NOTICES

Any notices required to be sent under this Agreement shall be sent by first class mail,
postage prepaid, or any more expedient written means.
	 
	 	 	If to 3M, notices shall be addressed as follows:

Gulfstream International Airlines, Inc.

1815 Griffin Road, Suite 400

Dania Beach, Florida 33004

Attn: President and C.E.O.

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If to UA, notices shall be addressed as follows:

United Air Lines, Inc.

P.O. Box 66100

Chicago, Illinois 60666

Attn: Sr. Vice President — International

Notices sent via electronic means (e.g., telex, facsimile) shall be effective immediately if
received prior to 5:00 p.m. local time of the recipient. All other notices shall be
effective the first business day after receipt

	19.	 	GOVERNING LAW AND JURISDICTION

This Agreement and any dispute arising under or in connection with this Agreement, including
any action in tort, shall be governed and construed by the laws of the State of Illinois
U.S.A., without regard to any conflict of laws principles which may direct the application
of laws of any other jurisdiction. The courts located within the county of Cook of the State
of Illinois, U.S.A., shall have exclusive jurisdiction to settle any dispute arising out of
or relating to this Agreement, the Carriers hereby consenting to jurisdiction and venue
herein.
	 
	20.	 	SEVERABILITY

Each provision of this Agreement shall be valid and enforced to the furthest extent
permitted by law. The invalidity or unenforceability of any provision of this Agreement
shall not affect the validity or enforceability of any other provision.

	21.	 	ASSIGNMENT AND CHANGE OF OWNERSHIP

	 	A.	 	Neither Carrier may assign or otherwise transfer any of its rights or
obligations under this Agreement to any third party without the prior written consent
of the other.
	 
	 	B.	 	Should for any reason whatsoever the ownership of either Carrier change such
that another air carrier or affiliate of an air carrier acquires a thirty percent (30%)
or more ownership interest in either party, then within thirty (30) days of such
occurrence either party may request renegotiation of this Agreement and, failing
successful renegotiation within sixty (60) days of the request to renegotiate, either
party may terminate this Agreement upon thirty (30) days notice to the other party.

	22.	 	ENTIRE AGREEMENT

This Agreement, including any and all Attachments, constitutes the entire agreement and
understanding of the Carriers relating to the subject matter hereof, and supersedes all
prior agreements, including, without limitation, that certain Code Share agreement, as
amended, between the carriers dated 04/21/’94, whether oral or written, express or implied,
between the Carriers concerning the subject matter hereof. In the event that any terms
herein conflict with the terms of any interline or other agreement between the Carriers,
then the terms herein shall prevail, but shall not supplant any conflicting terms in the
other agreement. This Agreement may be modified only by further written agreement signed by
all of the Carriers hereto.

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	23.	 	EXISTING OBLIGATIONS

UA represents and warrants that the terms of this Agreement do not violate any existing
obligations or contracts of UA. 3M represents and warrants that the terms of this Agreement
do not violate any existing obligations of 3M. Each Carrier shall defend, indemnify and hold
the other harmless from and against any and all claims, demands or causes of action which
are hereafter made or brought against it alleging any such violation.
	 
	24.	 	NON-ENGLISH VERSION

If any non-English interpretive versions of this Agreement are created, then, in the event
of a conflict between this English version and any non-English version, this English version
will control.
	 
	25.	 	CAPTIONS

The captions appearing in this Agreement have been inserted as a matter of convenience and
in no way define, limit, or enlarge the scope of this Agreement or any of its provisions.

IN WITNESS WHEREOF, the Carriers hereto have by their duly authorized officers executed this
Agreement as of the dates set forth below.

	 	 	 
	GULFSTREAM INTERNATIONAL, INC.

	 	UNITED AIR LINES, INC.
	 
	 	 
	By: /s/ Thomas L. Cooper

	 	By: /s/ G.L. Atkinson
	 

	 	 

	 
	 	 
	Name Thomas L. Cooper

	 	Graham Atkinson
	 
	 	 
	Title: President & C.E.O.

	 	Sr. Vice President — International
	 
	 	 
	Date: April 23, 2003

	 	Date: April 21, 2003
	 

	 	 

- 8 -

 

ATTACHMENT 1

CODE SHARING

	A.	 	City pairs displayed as UA*
	 
	 	 	Subject to all necessary regulatory approvals, deployment of IATCI One Stop Check-In, and
completion of necessary operational support arrangements, UA shall display its UA
designation code on selected flights, operated by 3M:

UA*

3M Operated Flights Between and Beyond

[*]

The city pairs listed in Sections A shall be handled on a manual basis by the Carriers if
necessary, as outlined in Attachment IA.

	B.	 	Inventory Management

The Carriers shall establish mutually agreed inventory management procedures for Code Share
flights, in accordance with the guidelines outlined in Article 4 of this agreement
(“Programs”), and including for manually managed inventory allocations the areas for
cooperation outlined in Attachment 1A.
	 
	C.	 	Code Share Schedule Operations

The Carriers shall:

	 	(1)	 	establish a dedicated flight number range for use by UA for use on 3M Code
Share flights.
	 
	 	(2)	 	establish an automated transfer of flight schedule information via an industry
standard SSIM which includes comment 10 and 50 records to identify the Code Share
relationships. A “custom SSIM” from 3M shall be used in place of the OAG file to
maintain 3M’s schedule in the Apollo and Galileo computer reservation systems.
	 
	 	(3)	 	establish a communications procedure to advise the other of passenger
reaccomodation plans in the event of schedule changes involving a Code Share flight.

	D.	 	Interline Accounting
	 
	 	 	The Carriers shall establish all necessary accounting procedures, in accordance with
applicable IATA or ACH guidelines, including sampling methodology, to facilitate settlement
of all UA/3M interline transportation, including code share.

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ATTACHMENT lA

BUSINESS REQUIREMENTS CODE SHARE

TABLE OF CONTENTS

	1.0	 	OVERVIEW

	 	1.1	 	Introduction
	 
	 	1.2	 	Objective

	2.0	 	REQUIREMENTS

	 	2.1	 	Availability
	 
	 	2.2	 	Booking/Ticketing/CRS Fees

	 	2.2.1	 	Sell
	 
	 	2.2.2	 	Disclaimer
	 
	 	2.2.3	 	Group Handling
	 
	 	2.2.4	 	Teletype (TTY)
	 
	 	2.2.5	 	Customer Inquiries

	 	2.3	 	Inventory Maintenance

	 	2.3.1	 	Inventory Control
2.3.2 Link Sells
2.3.3 Waitlist

	 	2.4	 	Through Check In
	 
	 	2.5	 	Schedule Maintenance

	 	2.5.1	 	Schedule Dissemination
	 
	 	2.5.2	 	Schedule Change
	 
	 	2.5.3	 	Passenger Reaccommodation
	 
	 	2.5.4	 	Seat Reaccommodation

	 	2.6	 	Accounting Systems
	 
	 	2.7	 	Frequent Flyer
	 
	 	3.0	 	Hardware

- 10 -

 

	1.0	 	OVERVIEW
	 
	 	 	The purpose of this Attachment lA is to provide a method that shall allow 3M’s code to be
reflected on certain UA flights. Each Carrier shall perform this procedures in a fully
automated manner, or manually until a fully automated method can be implemented.

	2.0	 	REQUIREMENTS
	 
	 	 	General Requirement
	 
	 	 	Support code share for the city pairs as set forth on Attachment 1, paragraph A.

	 	2.1	 	Availability
	 
	 	 	 	The Carrier shall provide the capability to display the service as an on-line
connection using the designated Carrier’s code (UA or 3M).
	 
	 	2.2	 	Booking/Ticketing/CRS Fees

	 	2.2.1	 	Sell
	 
	 	 	 	The Carriers shall provide support for segment sell of the on-line
connection by line number from availability.
	 
	 	 	 	The Carriers shall provide support for the manual sell of the connection
using either the code share flight number or the base flight number.
	 
	 	 	 	The Carriers shall provide for any fees associated with either ticket
handling fees or CRS fees related to transportation of a passenger to be
paid, by segment, by the Operating Carrier. 3M and UA shall establish a
process to ensure that all such fees are appropriately accounted for. The
Operating Carrier shall be responsible for CRS fees at the level of
participation of the Marketing Carrier.
	 
	 	 	 	In this connection, the Marketing Carrier shall be obligated to provide the
Operating Carrier only the CRS vendor’s invoice and the CRS vendor’s
generated microfiche or hard copy of bookings for flights of Operating
Carrier, and the Operating Carrier must reimburse the Marketing Carrier
based upon the data reflected in those documents without adjustment.
	 
	 	2.2.2	 	Disclaimer
	 
	 	 	 	The Carriers shall provide for a disclaimer to accompany a sell of a
shared-code flight identifying the Carrier operating the flight. The
disclaimer must be distributed to CRS’s and to schedule dissemination
services such as the Official Airline Guide (OAG).

- 11 -

 

	 	2.2.3	 	Group Handling
	 
	 	 	 	Groups shall be booked as they are currently booked.
	 
	 	2.2.4	 	Teletype (TTY)
	 
	 	 	 	Teletype processing shall be handled for UA or 3M designated flights as it
is currently handled today.

The information shall be updated within the PNR of the respective system
automatically and shall be passed with the PNR on the exchange of PNRs.
	 
	 	2.2.5	 	Customer Inquiries
	 
	 	 	 	Procedures shall be established through the reservations groups to be able
to identify where a PNR exists and be able to direct the customer
appropriately.

	 	2.3	 	Inventory Maintenance

	 	2.3.1	 	Inventory Control
	 
	 	 	 	The operating Carrier shall develop a method for inventory control on each
Code Share flight to/from the designated cities and shall maintain control
of that inventory. The designated Carrier shall create a pseudo flight with
the appropriate inventory. The yield management groups of both Carriers
shall agree on the following:

	 	•	 	A method of managing inventory
allocations on shared-code flights.
	 
	 	•	 	Class of service and class of service equivalency

	 	2.3.2	 	Link Sells
	 
	 	 	 	Allow a shared-code flight to be sold from an availability display provided
to another Carrier.
	 
	 	2.3.3	 	Waitlist
	 
	 	 	 	Waitlists shall be open at start up of the Code Share arrangement.

	 	2.4	 	Through Check In

Provide the capability to through-check customers via the use of IATCI standards.

	 	2.5	 	Schedule Maintenance

	 	2.5.1	 	Schedule Dissemination
	 
	 	 	 	Each Carrier shall establish an automated transfer of flight schedule information
via an industry standard SSIM which includes comment 10 and 50 records to

- 12 -

 

	 	 	 	identify the Code Share relationships. A “custom SSIM” from 3M shall be used in
place of the 3MG file to maintain 3M’s schedule in the Apollo and Galileo computer
reservation systems.

	 	2.5.2	 	Passenger Reaccomnaodation
	 
	 	 	 	Reaccommodations shall be worked through close coordination between the reservations
groups of the two Carriers.

	 	 	 	 	 
	3M Andy Shin

	 	HDQKK3M
	 	954-266-3000
	UA Karen Tolloff

	 	HDQRZUA
	 	847-700-5815

	 	2.5.3	 	Flight Information
	 
	 	 	 	3M and UA shall evaluate procedures for exchanging and updating FLIFO information in
each other’s systems. Procedures and responsibility shall be determined and mutually
agreed by the Carriers.

	 	2.6	 	Accounting Systems
	 
	 	 	 	Each Carrier shall establish accounting procedures in accordance with Attachment 1 paragraph
E. Any special prorates must be communicated to accounting to ensure proper billing
	 
	 	2.7	 	Hardware
	 
	 	 	 	Each Carrier shall provide and pay for installation and maintenance of computer equipment
necessary for the other to support Code Share operations. This equipment may include, but is
not limited to check-in terminals, b3Mrding pass printers and bag tag printers. Any monthly
charges associated with such equipment shall be paid by the Carrier supplying said
equipment.
	 
	 	 	 	Upon termination of Code Share operations, for any reason, the Carriers shall return any
equipment owned by the other party.

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ATTACHMENT 2

CODE SHARE EMERGENCY PROCEDURES

	 	 	In order to properly prepare and plan coordinated communications efforts between the Carriers in
the event of an emergency, as defined below, involving a Code Share flight, both Carriers shall (I)
exchange and update the appropriate telephone numbers and SITA addresses of the operating Carrier
to which the code sharing Carrier may refer customer/relative inquiries in the event of an
emergency and (ii) discuss any other necessary coordinated emergency response procedures. Although
each situation must be evaluated on its own merit, common sense must prevail as a guide for all
parties to follow.
	 
	 	 	Definitions:

-Emergency

Any occurrence involving a Code Share flight that results in injury or death, or has the potential
for injury or death to any person or the loss or damage or the potential for loss or damage to
private, public, or Carrier property.

-Aircraft Accident

Any occurrence associated with the operation of an aircraft, which takes place between the time the
captain has released the parking brake for pushback or taxi and has set the parking brake and all
checklists are completed, in which any person who has boarded the aircraft with the intention of
flight suffers death or serious injury or in which an aircraft receives substantial damage.

-Hijacking (Air Piracy)

Any seizure or exercise of control by force or violence, or threat of violence, and with wrongful
intent of an aircraft in air commerce.

-Red Alert

The classification for a situation where a major problem exists that may result in an accident as
defined above. Examples include a landing gear failure to extend, fire in flight, or other aircraft
damage that shall likely require outside agencies such as police, fire, ambulances, and physicians
to respond.
	 
	 	 	Both Carriers agree to comply with the relevant requirements of government agencies having
jurisdiction in respect of an Emergency, Aircraft Accident, Hijacking or Red Alert.
	 
	 	 	Appropriate UAL telephone numbers in the event of an emergency as described above:

	 	 	 
	UAL Shift Manager (24 Hours)
	 	 
	847 700-6295

	 	(Phone)
	847 700-2005

	 	(FAX)
	HDQOPUA

	 	(SITA Address)

Appropriate 3M telephone numbers in the event of an emergency as described above:

	 	 	 
	Vice President of Safety
	 	 
	Mr. Doug Smith

	 	(Contact)
	(321) 917-9909

	 	(Cellular Phone)
	(321) 751-1944

	 	(Home)
	(321) 752-7351

	 	(FAX)
	(321) 752-7351

	 	(Office)

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Any change to the above referenced phone numbers or contacts is to be communicated to the
above referenced SITA addresses with a request for a confirming telex back to the originator
to acknowledge receipt.

	B.	 	EMERGENCY PLAN

	 	(1)	 	The Carriers mutually agree to subscribe to the IATA Standards and Recommended
Practices for the Assistance of Survivors and Families of Passengers in the Aftermath
of an Aircraft Accident or Incident.
	 
	 	(2)	 	In addition to the aforementioned procedures, the Carriers shall meet and
endeavor to mutually agree on a detailed emergency plan.

TO BE COMPLETED BY APRIL 21, 2003

	 	 	 	 	 	 	 	 	 
	Action:	 	 	 	 	 	 	 	 
	 

	 	3M
	 	Doug Smith
	 	FLLCS3M
	 	321-917-9909
	 

	 	UA
	 	Lois Danvir
	 	HDQCSUA
	 	847-700-5133

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ATTACHMENT 3

FREQUENT FLYER COOPERATION

During the term of this Agreement, 3M shall participate in the United Mileage Plus Program as
follows:

A Mileage Plus Customer shall receive, for each 3M flight, a credit of 500 miles toward his or her
Mileage Plus Program account. Procedures for providing automated accrual, in a template format
approved by UA, shall be established by 3M and transmissions of such data, from 3M to UA, shall
occur on a weekly basis. 3M shall pay UA $ [*] USD for each Mileage Plus eligible flight coupon.

Both parties agree to work toward eventual revenue neutrality by using commercially reasonable
efforts and by employing the following promotional measures:

	A.	 	3M agrees to collect and provide UA with information on those Mileage Plus Customers
requesting Mileage Plus credit for travel on 3M flights. Upon reaching an Accrual Miles
accumulation of $[*] USD and having verified that an automated computer system for transfer of
accrual miles is in place, UA shall offer one or more defined special award promotions on
selected 3M markets for Mileage Plus Members. These special promotions shall be limited in
time and scope, in accordance with guidelines and terms set forth by Mileage Plus and in a
format that is acceptable to both parties.
	 
	B.	 	At no cost to 3M, UA shall provide and issue to qualifying Mileage Plus Customers special
promotional award certificates in accordance with the applicable rules and procedures
governing the joint UA/3M special promotion.
	 
	C.	 	UA shall pay 3M $ [*] USD for each free travel coupon awarded excluding transportation
taxes. Beginning with calendar year 2003, the net amount owing to either party for the
year-to-date shall be limited at $[*] USD. The amounts due to 3M and due to UA shall be
settled on an annual basis, effective March 15, for the previous 12 month ending December 31.
All coupons lifted during the current calendar year will need to made available to the other
party by February 20.
	 
	D.	 	3M may limit the number of seats available for free travel on specified 3M flights and award
bookings shall be made in “G” inventory availability. The net amounts due shall be calculated
and provided to each party for information but shall not be billed above or beyond the $
[*] USD limit.
	 
	E.	 	UA and 3M agree that redemptions under the existing Mileage Plus Agreement, dated 5/14/1994
will continue to be honored by 3M for awards issued prior to April 21, 2003. No new awards
under that agreement (TDD BPG10/BPG20) will be issued after April 21, 2003. Any awards from
the existing MileagePlus Agreement flown after April 21 shall be booked in G class and be
billed through the clearing house at zero value. 3M, within 60 days of the flown date, shall
bill UA $[*] per award coupon, which UA shall promptly pay via the next clearinghouse
settlement.

- 16 -

 

UA shall not be required to pay 3M for any coupon billed to UA more than 60 days after the flown
date. Settlement of existing award tickets shall be exclusive of the agreed cap for year 2003. 3M
and UA further agree that neither carrier shall be liable for any amount due or owed from award
redemption or mileage accrual from flights operated during 2002 or prior periods. Customers who
were issued coupons by UA for free travel on 3M during the months of January and February, 2003
shall be billed to UA at the rate of $[*] per coupon prior to April 30, 2003. Customers who
traveled under UA award coupons during March, 2003 will be billed to UA no later than May 31, 2003.
UA shall have no liability for any coupons not billed to UA during those time periods.

- 17 -

 

FIRST AMENDMENT

     THIS FIRST AMENDMENT dated August 31, 2007 is entered into by and between UNITED AIR LIES,
INC., (“UA”) and Gulfstream International Airlines, Inc., (“3M”), (United and Gulfstream, each a
“Party” and together, the “Parties”).

RECITALS

     WHEREAS, UA and 3M have previously executed that certain Code Share and Regulatory Cooperation
Agreement effective as of April 21, 2003 (United Contract No. 163314; the “Agreement”); and

     WHEREAS, the Parties have mutually agreed to revise the Agreement in accordance with the terms
and conditions of the First Amendment.

     NOW, THEREFORE, in consideration of the promises and the mutual obligations hereinafter set
forth, the Parties agree as follows:

1.      All capitalized terms not otherwise defined in this First Amendment shall have the meanings
given them in the Agreement.

2.      Section 5 of the Agreement — TERM — is deleted and restated in its entirety to read as
follows:

“This Agreement is effective as of April 21, 2003 and will continue thereafter indefinitely;
provided, however, that this Agreement may be terminated by either party at that party’s election
for convenience and, without cause upon one hundred and eighty (180) days’ prior written notice.”

3.      Section 6, C of the Agreement — COMPLIANCE WITH GOVERNMENT AND SAFETY REQUIREMENTS — is
deleted and restated in its entirety to read as follows:

“Both 3M and UA represent and warrant that each has or will have successfully undergone an IATA
Operational Safety Audit (“IOSA”) at its own expense satisfactory to the other Carrier by no later
than 12 months after the date of this amendment, and further warrant that each shall maintain
compliance with the requirements of such audit within the time frame required by IATA. Any failure
to maintain compliance shall immediately be brought to the other Carrier’s attention along with
corrective actions taken or a corrective action plan. Notwithstanding anything herein to the
contrary, any non-compliance by one Carrier shall be grounds for immediate partial or full
suspension or termination of this Agreement by the other Carrier without further liability to such
Carrier. Notwithstanding anything herein to the contrary, United reserves the right to suspend or
terminate this Agreement, in whole or in part, at ay time without penalty in the event United
determines 3M is non-compliant with IOSA standards or applicable Federal Aviation Regulations.
Additional safety review audits may be required at either Carrier’s discretion and the other
Carrier shall cooperate with all such audits. Code share

 

 

is not permitted on any flight operated by a third-party through a wet-lease or other arrangement
whereby the operator of the flights is anyone other than UA or 3M.”

4.      Except as otherwise expressly modified herein, all other terms and conditions of the Agreement
shall remain in full force and effect and are hereby ratified and confirmed as if set forth herein
verbatim.

     IN WITNESS WHEREOF, UA and 3M have executed this First Amendment as set forth herein.

	 	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	UNITED AIR LINES, INC.	 	GULFSTREAM INTERNATIONAL

AIRLINES, INC.
	 
	 	 	 	 	 	 	 	 	 	 
	By:

	 	/s/Michael G. Whitaker
	 	By:
	 	/s/ David Hackett	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	Name:

	 	Michael G. Whitaker
	 	Name:
	 	David Hackett	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	Title:

	 	Sr. VP Alliances & Int’l Affairs
	 	Title:
	 	President	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	Date:

	 	November 6, 2007
	 	Date:
	 	November 5, 2007	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 

2

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