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Exhibit 10.12    
  

 
 

SECURITY AND PLEDGE AGREEMENT    
  

        SECURITY AND PLEDGE AGREEMENT, dated as of September 19, 2001 (the "Agreement"), by and between Douglas A. Sabella (the "Pledgor"), and Tumbleweed
Communications Corp., a Delaware corporation (the "Pledgee"). 

        WHEREAS,
in consideration for the Pledgee's loan of Two Hundred and Fifty Thousand Dollars ($250,000.00) to the Pledgor, the Pledgor is delivering to the Pledgee a duly executed
promissory note, dated the date hereof (such note as it may be amended, modified or supplemented from time to time together with any replacement thereof, the "Note"), in the principal amount of Two
Hundred and Fifty Thousand Dollars ($250,000.00) in favor of the Pledgee; and 

        WHEREAS,
the Pledgor has agreed to pledge the Pledged Securities (as defined below) and the Proceeds (as defined below) to the Pledgee to secure the Pledgor's obligations under the Note. 

        NOW,
THEREFORE, in consideration of the foregoing and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto agree as
follows: 

        1.    Grant of Security Interest in Collateral.    The Pledgor hereby grants to the Pledgee, as security for all
present and future obligations and liabilities of all kinds of the Pledgor to the Pledgee under the Note and this Agreement (collectively referred to as the "Obligations"), a first priority security
interest in the following described property (collectively referred to as the "Collateral"): 

        (a)  Except
for the 13,888 shares of Pledgee common stock issued to Pledgor in connection with that certain Restricted Stock Agreement dated June 4, 2001 by and
between Pledgee and Pledgor, any and all fully paid and nonassessable shares of Pledgee capital stock issued by the Pledgee to the Pledgor including, without limitation, shares of Pledgee common stock
issued pursuant to the exercise of stock options to purchase Pledgee common stock (the "Pledged Capital Stock"); and 

        (b)  any
and all stock options issued by the Pledgor to the Pledgee to purchase shares of Pledgee common stock (the "Pledged Options" and collectively with the Pledged
Capital Stock, the "Pledged Securities"); and 

        (c)  the
certificates, option grants, and any other such documents representing the Pledged Securities and all of the Pledgor's rights and privileges with respect thereto;
and 

        (d)  the
proceeds and accessions of the Pledged Securities (the "Proceeds"). 

        2.    Pledgor's Covenants.    

        (a)  The
Pledgor agrees (i) hereafter not to encumber or grant a security interest in or a lien or other encumbrance on the Collateral, and (ii) not to dispose
of any of the Collateral except in accordance with the terms of this Agreement. 

        (b)  The
Pledgor agrees: (i) at any time and from time to time, upon request of the Pledgee, to give, execute, file and/or record any notice, financing statement,
continuation statement, instrument, document or agreement that the Pledgee shall consider reasonably necessary or desirable to create, preserve, continue, perfect or validate any security interest
granted hereunder or which the Pledgee may consider reasonably necessary or desirable to exercise or enforce its rights hereunder with respect to such security interest; and (ii) to do other
acts or things necessary to keep the Collateral and the Proceeds free and clear of all defenses, rights of offset and counterclaim. 

1

 

        (c)  The
Pledgor agrees to: (i) pay promptly the Obligations secured hereby when due; and (ii) indemnify the Pledgee against all loss, claims, demands and
liabilities of every kind arising from the Collateral and the transactions and other agreements and undertakings contemplated hereby. 

        3.    Payment of Taxes, Charges, Liens and Assessments.    The Pledgor agrees to pay, prior to delinquency, all taxes,
charges, liens and assessments against the Collateral and the Proceeds, and upon the failure of
the Pledgor to do so, the Pledgee, at its option, may pay any of them. Any such payments made by the Pledgee shall be obligations of the Pledgor to the Pledgee, due and payable immediately without
demand and shall be secured by the Collateral and the Proceeds, subject to all of the terms and conditions of this Agreement. 

        4.    Powers of Pledgee.    The Pledgor appoints the Pledgee his true attorney in fact to perform any of the following
powers, which are coupled with an interest, are irrevocable until termination of this Agreement and may be exercised from time to time by the Pledgee's officers and employees, or any of them, whether
or not the Pledgor is in default: (a) to perform any obligations of the Pledgor hereunder in the Pledgor's name or otherwise; (b) to give notice of Pledgee's right under the Collateral
to enforce the same; (c) to release security; (d) to resort to security; (e) to prepare, execute, file, record or deliver notes, assignments, schedules, designation statements,
financing statements, continuation statements, termination statements, statements of assignment, applications for registration or like papers to perfect, preserve or release the Pledgee's interest in
the Collateral; (f) after an Event of Default, to endorse, collect, deliver and receive payment under instruments for the payment of money constituting or relating to the Collateral;
(g) after an Event of Default, to preserve or release the interest evidenced by chattel paper to which the Pledgee is entitled hereunder and to endorse and deliver evidences of title incidental
thereto; (h) after an Event of Default, to exercise all rights, powers and remedies which the Pledgor would have, but for this Agreement, under all Collateral subject to this Agreement; and
(i) to do all acts and things and execute all documents in the name of the Pledgor otherwise, deemed by the Pledgee as necessary, proper and convenient in connection with the preservation,
perfection or enforcement of its rights hereunder. 

        5.    Events of Default; Remedies.    

        (a)  Each
of the following shall constitute an event of default ("Event of Default") hereunder: (i) the Pledgor's failure to pay, within fifteen (15) days after
the date when such payment is due, any payment of principal or interest on the Note; or (ii) the Pledgor's failure to observe or perform any covenant or agreement contained in the Note; and
(iii) the Pledgor's violation of any of the transfer restrictions that may be contained in any restrictive legend contained in Pledgee securities issued to the Borrower. 

        (b)  In
case an Event of Default shall have occurred and be continuing, the Pledgee shall be entitled to exercise all of the rights, powers and remedies (whether vested in it
by this Agreement, the Note or by law and including, without limitation, all rights and remedies of a secured party of a debtor in default under the Uniform Commercial Code as in force in the State of
California) for the protection and enforcement of its rights in respect of the Collateral. In addition to recourse against the Collateral as provided in this Agreement, the Pledgee shall be entitled
to recourse against the Pledgor for the payment of any principal or interest on the Note or for any claim based thereon (including costs of collection). 

        6.    No Waiver.    The failure of the Pledgee to exercise any right or remedy under this Agreement or the Note, or
delay by the Pledgee in exercising same, will not operate as a waiver thereof. No waiver by the Pledgee will be effective unless and until it is in writing and signed by the Pledgee. No waiver of any
condition or performance will operate as a waiver of any subsequent condition or obligation. The
Pledgee shall have no obligation to resort to the Collateral or any other security which is or may become available to it. 

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        7.    Consents to Sales of Pledged Capital Stock.    In the event that the value of the Pledged Capital Stock exceeds
the value of the Obligations, and Pledgor desires to sell some or all of that portion of the Pledged Capital Stock which exceeds the value of the Obligations, Pledgor will petition the Board of
Directors of the Pledgee for its consent to permit such sale, which consent shall not unreasonably be withheld. 

        8.    Miscellaneous.    

        (a)  This
Agreement, any amendments or replacement hereof, and the legality, validity and performance of the terms hereof, shall be governed by and enforced and construed in
accordance with the laws of the State of California without regard to conflicts of laws and principles thereof. 

        (b)  This
Agreement and the rights, powers and duties set forth herein shall be binding upon the Pledgor, its agents, representatives and successors and shall inure to the
benefit of the Pledgee and its successors and assigns and, in the event of any transfer or assignment of rights by the Pledgee, the rights and privileges herein conferred upon the Pledgee shall
automatically extend to and be vested in such transferee or assignee, all subject to the terms and conditions hereof. This Agreement and the rights and privileges herein conferred upon the Pledgee may
be assigned by the Pledgee without the consent of the Pledgor. This Agreement may not be transferred or assigned by the Pledgor without the written consent of the Pledgee. 

        (c)  In
the event that any provision of this Agreement is invalid or unenforceable under any applicable statute or rule of law, then such provision shall be deemed
inoperative to the extent that it may conflict therewith and shall be modified to conform with such statute or rule of law. Any provision hereof which may prove invalid or unenforceable under any
applicable law shall not effect the validity or enforceability of any other provisions hereof. 

        (d)  Notices
required or permitted to be given under this Agreement shall be in writing and may be delivered personally or sent to a party by airmail or first class mail,
postage prepaid and addressed to such party, as follows, or to such other address furnished by notice given in accordance with this paragraph: 

If
to the Pledgor:

Douglas A. Sabella

21771 Congress Hall Lane

Saratoga, CA 95070 

If
to the Pledgee:

Tumbleweed Communications Corp.

700 Saginaw Drive

Redwood City, California 94063

Attention:    Chief Financial Officer 

Any
such notice shall be deemed to have been given, (i) if sent by mail, five (5) days after the date mailed, and (ii) if delivered personally, on the date of delivery. 

        (e)  This
Agreement may be executed in one or more counterparts, each of which shall be deemed an original but all of which shall together constitute one and the same
document. 

        (f)    This
Agreement and the security interest and pledge hereunder shall terminate upon the full and final performance of all Obligations of the Pledgor and payment of all
indebtedness secured hereby. At such time, the Pledgee shall promptly reassign to the Pledgor all of the Collateral hereunder which has not been sold, disposed of, retained or applied by the Pledgee
in accordance with the terms hereof. 

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        IN WITNESS WHEREOF, the undersigned have caused this Agreement to be executed as of the date first written above. 

	Date:    September 19, 2001	PLEDGOR:
 
	

 	

/s/  DOUGLAS A. SABELLA      
 Douglas A. Sabella

Director, President and

Chief Operating Officer

	 	 	PLEDGEE:
	

 	
 	

Tumbleweed Communications Corp.
	

 	
 	

By:	

/s/  JEFFREY C. SMITH      
 Name:    Jeffrey C. Smith

Title:      Chairman and Chief Executive Officer

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Exhibit 10.12

SECURITY AND PLEDGE AGREEMENTEXHIBIT
10.1(e)

 

THIRD AMENDMENT AND
WAIVER

 

THIRD AMENDMENT AND WAIVER (this “Amendment”), dated
as of November 12, 2001, among CONSOLIDATED CONTAINER HOLDINGS LLC, a Delaware
limit

ed liability company (“Holdings”), CONSOLIDATED
CONTAINER COMPANY LLC, a Delaware limited liability company (the “Borrower”),
the Banks party to the Credit Agreement referred to below (the “Banks”),
BANKERS TRUST COMPANY, as Administrative Agent (the “Administrative Agent”),
JPMORGAN CHASE BANK (successor by merger to Morgan Guaranty Trust Company of
New York), as Documentation Agent (the “Documentation Agent”), and CREDIT
SUISSE FIRST BOSTON (formerly known as Donaldson, Lufkin & Jenrette
Securities Corporation), as Syndication Agent (the “Syndication Agent” and,
together with the Administrative Agent and the Documentation Agent, the
“Agents”).  Unless otherwise indicated,
all capitalized terms used herein and not otherwise defined shall have the
respective meanings provided such terms in the Credit Agreement referred to
below.

 

W  I
T  N  E  S  S  E  T  H :

 

WHEREAS, Holdings, the Borrower, the Banks and the
Agents are parties to a Credit Agreement, dated as of July 1, 1999 (as
amended, restated, modified and/or supplemented to but not including the date
hereof, the “Credit Agreement”); and

 

WHEREAS, subject to the terms and conditions of this
Amendment, the Banks wish to grant certain waivers under the Credit Agreement
and the parties hereto wish to otherwise amend the Credit Agreement, in each
case as herein provided.

 

NOW, THEREFORE, it is agreed:

 

I.       Amendments.

 

1.             For the period (the “Waiver Period”) from the Third
Amendment Effective Date (as defined below) to and including the earlier of (i)
February 15, 2002 and (ii) the date, if any, that the Borrower violates any of
its agreements contained in this Amendment, the Banks hereby waive the
Borrower’s obligation to comply with Sections 8.08, 8.09 and 8.10 of the Credit
Agreement, in each case with respect to the Test Periods ending on September
30, 2001 and December 31, 2001.  This waiver
shall have no force or effect upon the expiration of the Waiver Period at which
time all Events of Default that would have arisen (without giving effect to
this Amendment) as a result of the Borrower’s failure to comply with the
aforementioned Sections shall exist and be continuing for all purposes under
the Credit Agreement and the other Credit Documents.

 

2.             Effective as of the Third Amendment Effective Date, (i)
the Total Revolving Loan Commitment shall be reduced from $90,000,000 to
$73,500,000 with the Revolving Loan Commitment (if any) of each Bank to be
reduced pro  rata based on the amount such Bank’s Revolving Loan
Commitment bears to the Total Revolving Loan Commitment, and (ii) the Total
Tranche 2 Revolving Loan Commitment shall be reduced from $45,062,500 to
$36,500,000, with the Tranche 2 Revolving Loan Commitment (if any) of each Bank
to be 

 

1

 

reduced pro  rata
based on the amount such Bank’s Tranche 2 Revolving Loan Commitment bears to the
Total Tranche 2 Revolving Loan Commitment.

 

3.       In order to induce the Banks to enter into this Amendment, the
Borrower hereby agrees that notwithstanding anything to the contrary contained
in the Credit Agreement, at no time during the Waiver Period shall the sum of
(i) the aggregate principal amount of Revolving Loans and Swingline Loans, (ii)
the Letter of Credit Outstandings plus (iii) the aggregate principal amount of
Tranche 2 Revolving Loans (such sum, the “Revolver Outstandings”) be permitted
to exceed $80,000,000.  If at any time
the aggregate principal amount of the Revolver Outstandings exceeds
$80,000,000, the Borrower shall immediately (x) first, repay Swingline Loans,
Revolving Loans and/or Tranche 2 Revolving Loans and (y) to the extent all Swingline
Loans, Revolving Loans and Tranche 2 Revolving Loans have been repaid, to cash
collateralize Letters of Credit, in an amount equal to such excess.

 

4.       Section 3.01 of the Credit Agreement is hereby amended by (i)
redesignating clause (f) thereof as clause (g) and inserting immediately
following clause (e) thereof the following new clause (f):

 

“(f)  Upon the effectiveness of an amendment to
the Credit Agreement addressing the covenants that are the subject of Section 1
of the Third Amendment (such amendment hereinafter referred to as the “Fourth
Amendment”), the Borrower agrees to pay to each Bank which executes and
delivers to the Administrative Agent a counterpart of the Third Amendment and
the Fourth Amendment, in each case on or prior to the applicable date required
therein, a fee equal to the product of (x) the highest increase in the
Applicable Margin pursuant to such Fourth Amendment, multiplied by (y)
the quotient of (i) the number of days from the Third Amendment Effective Date
to the effective date for the Fourth Amendment (the “Fourth Amendment Effective
Date”) divided by  (ii) 360, multiplied
by (z) the sum of (i) the aggregate principal amount of such Bank’s
outstanding Term Loans on the Fourth Amendment Effective Date, (ii) such Bank’s
Revolving Loan Commitment on the Fourth Amendment Effective Date and (iii) such
Bank’s Tranche 2 Revolving Loan Commitment on the Fourth Amendment Effective
Date.”

 

5.       Section 7.01 of the Credit Agreement is hereby amended by (i)
redesignating existing clause (k) thereof as clause (l) and (ii) inserting the
following new clause (k) immediately following existing clause (j) thereof:

 

(k)  Lenders Meeting.  On or prior to February 1, 2002, the
Borrower shall use its best efforts to hold a meeting with the Banks at a
mutually convenient time and place at which the Borrower shall furnish and
discuss with the Banks such information as BTCo may request (prior to such
meeting) the Borrower to deliver at such meeting.

 

6.       Section 9.03 of the Credit Agreement is hereby amended by
inserting the text “, 7.01(k)” immediately following the text “Section
7.01(g)(i)” appearing therein.

 

7.       Section 10 of the Credit Agreement is hereby amended by
inserting the following new definitions in appropriate alphabetical order:

 

“Fourth Amendment” shall
have the meaning provided in Section 3.01(f).

 

2

 

“Fourth Amendment
Effective Date” shall have the meaning provided in Section 3.01(f).

 

“Third Amendment” shall
mean the Third Amendment and Waiver, dated as of November 12, 2001, among
Consolidated Container Holdings LLC, Consolidated Container Company LLC, the
Banks, Bankers Trust Company, JPMorgan Chase Bank and Credit Suisse First
Boston.

 

“Third Amendment
Effective Date” shall have the meaning provided in the Third Amendment.

 

II.      Miscellaneous.

 

1.       This Amendment is limited as specified and shall not
constitute a modification, acceptance or waiver of any other provision of the
Credit Agreement or any other Credit Document.

 

2.       This Amendment may be executed in any number of counterparts
and by the different parties hereto on separate counterparts, each of which
counterparts when executed and delivered shall be an original, but all of which
shall together constitute one and the same instrument.  A complete set of counterparts shall be
lodged with the Borrower and the Administrative Agent.

 

3.       THIS
AMENDMENT AND THE RIGHTS AND OBLIGATIONS OF THE PARTIES HEREUNDER SHALL BE
CONSTRUED IN ACCORDANCE WITH AND GOVERNED BY THE LAW OF THE STATE OF NEW YORK.

 

4.       This Amendment shall become effective on the date (the “Third
Amendment Effective Date”) when (i) Holdings, the Borrower and the Required
Banks shall have signed a counterpart hereof (whether the same or different
counterpart) and shall have delivered (including by way of facsimile
transmission) the same to the Administrative Agent at the Notice Office and
(ii) the Borrower shall have paid to each Bank which executes and delivers to
the Administrative Agent a counterpart of this Amendment on or before 5:00 p.m.
(New York time) on November 13, 2001, a fee equal to 0.10% of the sum of (x)
the aggregate principal amount of such Bank’s outstanding Term Loans on the
Third Amendment Effective Date, (y) such Bank’s Revolving Loan Commitment on
the Third Amendment Effective Date (after giving effect to the reduction
thereto pursuant to Section 2 of this Amendment) and (z) such Bank’s Tranche 2
Revolving Loan Commitment on the Third Amendment Effective Date (after giving
effect to the reduction thereto pursuant to Section 2 of this Amendment).

 

5.       In order to induce the Banks to enter into this Amendment, the
Borrower hereby represents and warrants that (i) the representations,
warranties and agreements contained in Section 6 of the Credit Agreement are true
and correct in all material respects on and as of the Third Amendment Effective
Date, both before and after giving effect to this Amendment and (ii) there
exists no Default or Event of Default on the Third Amendment Effective Date,
after giving effect to the waivers contained in this Amendment.

 

3

 

6.       From and after the Third Amendment Effective Date, all
references in the Credit Agreement and each of the Credit Documents to the
Credit Agreement shall be deemed to be references to the Credit Agreement as
amended hereby.

 

*             *            *

 

4

 

IN WITNESS
WHEREOF, each of the parties hereto has caused a counterpart of this Amendment
to be duly executed and delivered as of the date first above written.

 

	
   

  	
  CONSOLIDATED CONTAINER HOLDINGS LLC 

  	 

	
   

  	
   

  	 

	
   

  	
  By 

  	
   

  	
   

  	 

	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  
					

 

 

	
   

  	
  CONSOLIDATED CONTAINER COMPANY LLC 

  
	
   

  	
   

  
	
   

  	
  By:

  	
  Consolidated Container Holdings LLC,

  as its Sole Member and Manager 

  
	
   

  	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  BANKERS TRUST COMPANY,

  Individually and as Administrative Agent

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  JPMORGAN CHASE BANK (successor by

  merger to Morgan Guaranty Trust Company of New York),
            Individually and as
  Documentation Agent 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

 

	
   

  	
  CREDIT SUISSE FIRST BOSTON (formally

  known as Donaldson, Lufkin & Jenrette Securities Corporation),

  Individually and as Syndication Agent 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  ATHENA CDO, LIMITED 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

5

 

	
   

  	
  BANCO POPULAR DE PUERTO RICO 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name

  
	
   

  	
   

  	
  Title:

  

 

	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  BANK AUSTRIA CREDITANSTALT

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  BANK OF MONTREAL :

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  THE BANK OF NEW YORK :

  
	
   

  	
   

  
	
   

  	
  By 

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  THE BANK OF NOVA SCOTIA 

  
	
   

  	
   

  
	
   

  	
  By 

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  BANK POLSKA KASA OPIEKI, S.A.

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  BEDFORD CDO, LIMITED 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  CAPTIVA III FINANCE, LTD. 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  CAPTIVA IV FINANCE, LTD.

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  DG BANK

  
	
   

  	
   

  
	
   

  	
  DEUTSCHE GENOSSENSCHAFTSBANK AG

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

 

	
   

  	
  THE DAI-ICHI KANGYO BANK, LIMITED

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  
	
   

  	
   

  

 

 

 

	
   

  	
  ERSTE BANK DER OESTERREINCHISCHEN

  
	
   

  	
  SPARKASSEN

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  FLEET NATIONAL BANK, N.A.

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  FIRSTRUST BANK 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  FIRST UNION NATIONAL BANK 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  GENERAL ELECTRIC CAPITAL 

  
	
   

  	
  CORPORATION

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  GRAYSTON CLO 2001-1 LTD. :

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  BAYERESCHE HYPO-UND VEREINSBANK

  
	
   

  	
  AG, NEW YORK BRANCH

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  THE INDUSTRIAL BANK OF JAPAN, 

  
	
   

  	
  LIMITED

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  THE GOVERNOR AND COMPANY OF THE 

  
	
   

  	
  BANK OF IRELAND

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  KZH CRESCENT LLC

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  KZH CRESCENT-2 LLC 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  KZH CRESCENT-3 LLC 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  KZH PONDVIEW LLC 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  KZH LANGDALE LLC 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  KZH WATERSIDE LLC 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  THE MITSUBISHI TRUST AND BANKING 

  
	
   

  	
  CORPORATION

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  NATIONAL CITY BANK 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  NATEXIS BANQUE BFCE

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  NORTH AMERICAN SENIOR FLOATING

  
	
   

  	
  RATE FUND INC

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  TCW LEVERAGE INCOME TRUST, L.P.,

  
	
   

  	
  By: TCW Advisors (Bermuda), Ltd.

  
	
   

  	
  as General Partner

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

	
   

  	
  TCW Investment Management Company,

  as Investment Advisor 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  OAK BROOK BANK 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  SENIOR DEBT PORTFOLIO

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  SEQUILS I, LTD. 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  SEQUILS IV, LTD. 

  
	
   

  	
   

  
	
   

  	
  By:

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  STANFIELD ARBITRAGE CDO, LTD. 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  SUMITOMO TRUST & BANKING CO., LTD.

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  TCW LEVERAGED INCOME TRUST L.P. :

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  TCW LEVERAGED INCOME TRUST II L.P. 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  TORONTO DOMINION (NEW YORK), INC.

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  WEBSTER BANK 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  TCW LEVERAGED INCOME TRUST IV, L.P.

  
	
   

  	
   

  
	
   

  	
  By: TCW (LINC IV), L.L.C.,

  as General Partner

  
	
   

  	
   

  
	
   

  	
  By: TCW ASSET MANAGEMENT COMPANY

  as managing member of the General Partner

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  WINDSOR LOAN FUNDING, LTD. 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  ADDISON CDO, LIMITED (ACCT 1279) 

  By: Pacific Investment Management Company

  LLC, as its Investment Advisor 

  
	
  :

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  DELANO COMPANY (ACCT 274) 

  
	
   

  	
   

  
	
   

  	
  By: Pacific Investment Management Company 

  LLC, as its Investment Advisor 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  JISSEKIKUN FUNDING, LTD. (ACCT 1288)

  
	
   

  	
   

  
	
   

  	
  By: Pacific Investment Management Company 

  LLC, as its Investment Advisor

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  CAPTIVA II FINANCE LTD. 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  APEX (IDM) CDO I, LTD. 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  ELC (CAYMAN) LTD. 2000-1 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name: 

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  TRYON CLO LTD. 2000-1 

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

 

	
   

  	
  PROMETHEUS INVESTMENT FUNDING NO. 1 LTD. 

  
	
   

  	
   

  
	
   

  	
  By: CPF Asset Advisory, L.P. 

  As Investment Manager  

  
	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  
	
   

  	
   

  	
   

  
	
   

  	
  By

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00036-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00036-of-00352.parquet"}]]