Document:

EX-10.1

 Exhibit 10.1 
 EXECUTION VERSION 
 Loan Number: 1005711 

 
  
  

 
 CREDIT AGREEMENT 

Dated as of October 14, 2011 
 by and among 
 HEALTHCARE REALTY TRUST INCORPORATED, 

as Borrower, 
 THE
FINANCIAL INSTITUTIONS PARTY HERETO 
 AND THEIR ASSIGNEES UNDER SECTION 9.07, 

as Lenders, 

WELLS FARGO BANK, NATIONAL ASSOCIATION, 
 as Administrative Agent, 
 and 

JPMORGAN CHASE BANK, N.A., 
 as Syndication Agent, 
 and 

BARCLAYS BANK PLC, 

CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK, 
 and 
 BANK OF AMERICA, N.A., 

as Co-Documentation Agents 
  

 
  

WELLS FARGO SECURITIES, LLC 
 and 
 J.P. MORGAN SECURITIES LLC, 

as Joint Lead Arrangers and Joint Book Runners 

 EXECUTION VERSION 
 TABLE OF CONTENTS 
  

									
	 Article and Section
	  	Page	 
		
	 ARTICLE I DEFINITIONS AND ACCOUNTING TERMS 
	  	 	5	  
	             1.01
	    	Defined Terms.	  	 	5	  
	             1.02
	    	Interpretive Provisions.	  	 	26	  
	             1.03
	    	Accounting Terms.	  	 	27	  
	             1.04
	    	Rounding.	  	 	27	  
	             1.05
	    	References to Agreements and Laws.	  	 	27	  
	             1.06
	    	Times of Day.	  	 	27	  
	             1.07
	    	Letter of Credit Amounts.	  	 	27	  
	 ARTICLE II COMMITMENTS AND EXTENSIONS OF CREDIT 
	  	 	28	  

									
	            2.01	    	Commitments.	  	 	28	  
	            2.02	    	Borrowings, Conversions and Continuations.	  	 	29	  
	            2.03	    	Additional Provisions with respect to Letters of Credit.	  	 	30	  
	            2.04	    	Additional Provisions with respect to Swing Line Loans.	  	 	36	  
	            2.05	    	Repayment of Loans.	  	 	38	  
	            2.06	    	Prepayments.	  	 	38	  
	            2.07	    	Termination or Reduction of Commitments.	  	 	39	  
	            2.08	    	Interest.	  	 	40	  
	            2.09	    	Fees.	  	 	40	  
	            2.10	    	Computation of Interest and Fees.	  	 	42	  
	            2.11	    	Payments Generally; Administrative Agent’s Clawback.	  	 	42	  
	            2.12	    	Sharing of Payments.	  	 	44	  
	            2.13	    	Evidence of Debt.	  	 	45	  
	            2.14	    	Defaulting Lenders.	  	 	45	  
	            2.15	    	Extension of Revolving Termination Date.	  	 	48	  
	            2.16	    	Increase in Commitments.	  	 	48	  
	 ARTICLE III TAXES, YIELD PROTECTION AND ILLEGALITY 
	  	 	50	  
	            3.01	    	Taxes.	  	 	50	  
	            3.02	    	Illegality.	  	 	53	  
	            3.03	    	Inability to Determine Rates.	  	 	54	  
	            3.04	    	Increased Cost; Capital Adequacy.	  	 	54	  
	            3.05	    	Compensation for Losses.	  	 	55	  
	            3.06	    	Mitigation Obligations; Replacement of Lenders.	  	 	56	  
	            3.07	    	Survival Losses.	  	 	56	  
	 ARTICLE IV CONDITIONS PRECEDENT TO EXTENSIONS OF CREDIT 
	  	 	57	  
	             4.01
	    	Conditions to Initial Extensions of Credit.	  	 	57	  
	             4.02
	    	Conditions to Extensions of Credit.	  	 	59	  
	 ARTICLE V REPRESENTATIONS AND WARRANTIES 
	  	 	59	  
	             5.01
	    	Corporate Existence and Power.	  	 	59	  
	             5.02
	    	Corporate and Governmental Authorization; No Contravention.	  	 	59	  
	             5.03
	    	Binding Effect.	  	 	60	  
	             5.04
	    	Litigation.	  	 	60	  
	             5.05
	    	Compliance with ERISA.	  	 	60	  
	             5.06
	    	Environmental Matters.	  	 	60	  
	             5.07
	    	Material Subsidiaries and Specified Affiliates.	  	 	62	  
	             5.08
	    	Not an Investment Company.	  	 	62	  

  
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	             5.09
	    	Margin Stock.	  	 	62	  
	             5.10
	    	Compliance with Laws.	  	 	62	  
	             5.11
	    	Absence of Liens.	  	 	62	  
	             5.12
	    	Indebtedness.	  	 	63	  
	             5.13
	    	Contingent Liabilities.	  	 	63	  
	             5.14
	    	Investments.	  	 	63	  
	             5.15
	    	Solvency.	  	 	63	  
	             5.16
	    	Taxes.	  	 	63	  
	             5.17
	    	REIT Status.	  	 	63	  
	             5.18
	    	Specified Affiliates.	  	 	63	  
	             5.19
	    	Financial Condition.	  	 	64	  
	             5.20
	    	No Material Adverse Effect.	  	 	64	  
	             5.21
	    	Accuracy and Completeness of Information.	  	 	64	  
	             5.22
	    	OFAC.	  	 	64	  
	 ARTICLE VI COVENANTS 
	  	 	65	  
	             6.01
	    	Information.	  	 	65	  
	             6.02
	    	Payment of Obligations.	  	 	68	  
	             6.03
	    	Maintenance of Property; Insurance.	  	 	68	  
	             6.04
	    	Conduct of Business and Maintenance of Existence.	  	 	68	  
	             6.05
	    	Compliance with Laws.	  	 	69	  
	             6.06
	    	Inspection of Property, Books and Records.	  	 	69	  
	             6.07
	    	Negative Pledge.	  	 	69	  
	             6.08
	    	Consolidations, Mergers and Sales and Transfers of Assets.	  	 	70	  
	             6.09
	    	Creation of Subsidiaries.	  	 	71	  
	             6.10
	    	Incurrence and Existence of Debt.	  	 	71	  
	             6.11
	    	Transactions with Affiliates.	  	 	72	  
	             6.12
	    	Use of Proceeds.	  	 	72	  
	             6.13
	    	Organization Documents.	  	 	72	  
	             6.14
	    	Investments.	  	 	73	  
	             6.15
	    	Repurchase, Retirement or Redemption of Capital Stock.	  	 	73	  
	             6.16
	    	Financial Covenants.	  	 	73	  
	             6.17
	    	Specified Affiliates.	  	 	74	  
	             6.18
	    	REIT Status.	  	 	74	  
	             6.19
	    	Leases.	  	 	74	  
	             6.20
	    	Favorable Treatment.	  	 	74	  
	             6.21
	    	Construction in Progress.	  	 	74	  
	             6.22
	    	Limitation on Certain Agreements.	  	 	75	  
	 ARTICLE VII EVENTS OF DEFAULT AND REMEDIES 
	  	 	75	  
	             7.01
	    	Events of Default.	  	 	75	  
	             7.02
	    	Application of Funds.	  	 	77	  
	 ARTICLE VIII ADMINISTRATIVE AGENT 
	  	 	78	  
	             8.01
	    	Appointment and Authorization.	  	 	78	  
	             8.02
	    	Wells Fargo as Lender.	  	 	79	  
	             8.03
	    	Approvals of Lenders.	  	 	79	  
	             8.04
	    	Notice of Events of Default.	  	 	79	  
	             8.05
	    	Administrative Agent’s Reliance.	  	 	80	  
	             8.06
	    	Lender Credit Decision.	  	 	80	  
	             8.07
	    	Successor Administrative Agent.	  	 	81	  
	             8.08
	    	Titled Agents.	  	 	82	  
	 ARTICLE IX MISCELLANEOUS 
	  	 	82	  
	             9.01
	    	Amendments, Etc. 	  	 	82	  

  
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	             9.02
	    	Notices and Other Communications.	  	 	84	  
	             9.03
	    	No Waiver; Cumulative Remedies.	  	 	86	  
	             9.04
	    	Attorney Costs, Expenses and Taxes.	  	 	86	  
	             9.05
	    	Indemnification by the Borrower.	  	 	87	  
	             9.06
	    	Payments Set Aside.	  	 	88	  
	             9.07
	    	Successors and Assigns.	  	 	88	  
	             9.08
	    	Confidentiality.	  	 	92	  
	             9.09
	    	Set-off.	  	 	93	  
	             9.10
	    	Interest Rate Limitation.	  	 	93	  
	             9.11
	    	Counterparts.	  	 	94	  
	             9.12
	    	Integration; Effectiveness.	  	 	94	  
	             9.13
	    	Survival of Representations and Warranties.	  	 	94	  
	             9.14
	    	Severability.	  	 	94	  
	             9.15
	    	Replacement of Lenders.	  	 	95	  
	             9.16
	    	GOVERNING LAW.	  	 	95	  
	             9.17
	    	WAIVER OF RIGHT TO TRIAL BY JURY.	  	 	96	  
	             9.18
	    	No Conflict.	  	 	96	  
	             9.19
	    	USA PATRIOT Act Notice.	  	 	96	  
	             9.20
	    	No Advisory or Fiduciary Responsibility.	  	 	97	  
	             9.21
	    	(Intentionally Omitted)	  	 	97	  
	             9.22
	    	Entire Agreement.	  	 	97	  

 SCHEDULES 
  

			
	             2.01
	    	Lenders and Commitments
	             5.04
	    	Litigation
	             5.06
	    	Environmental Matters
	             5.07
	    	Material Subsidiaries and Specified Affiliates
	             5.10
	    	Compliance with Laws
	             5.12
	    	Indebtedness
	             5.13
	    	Contingent Liabilities
	             5.14
	    	Investments
	             9.02
	    	Notice Addresses

 EXHIBITS 
  

			
	             1.01
	    	Form of Transfer Authorizer Designation Form
	             2.02
	    	Form of Loan Notice
	             2.13-1
	    	Form of Revolving Note
	             2.13-2
	    	Form of Swing Line Note
	             6.01
	    	Form of Compliance Certificate
	             6.20
	    	Form of Guaranty
	             9.07
	    	Form of Assignment and Assumption

  
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 EXECUTION VERSION 
 CREDIT AGREEMENT 
 THIS CREDIT AGREEMENT (this “Credit Agreement”
or this “Agreement”) dated as of October 14, 2011 by and among HEALTHCARE REALTY TRUST INCORPORATED, a corporation formed under the laws of the State of Maryland (the “Borrower”), each of the financial institutions
initially a signatory hereto together with their successors and assignees under Section 9.07 (the “Lenders”), WELLS FARGO BANK, NATIONAL ASSOCIATION, as Administrative Agent (the “Administrative Agent”),
and JPMORGAN CHASE BANK, N.A., as Syndication Agent (the “Syndication Agent”). 
 WHEREAS, the Administrative
Agent, the L/C Issuer and the Lenders desire to make available to the Borrower a revolving credit facility in the amount of $700,000,000, with a $90,000,000 swing line subfacility and a $90,000,000 letter of credit subfacility, on the terms and
conditions contained herein. 
 NOW, THEREFORE, in consideration of these premises and the mutual covenants and agreements
contained herein, the receipt and sufficiency of which are hereby acknowledged, the parties hereto covenant and agree as follows: 
 ARTICLE I 
 DEFINITIONS AND ACCOUNTING TERMS

 1.01 Defined Terms. 

As used in this Credit Agreement, the following terms have the meanings set forth below: 

“Acquisition” means the purchase or acquisition by any Person of (a) more than 50% of the Capital Stock with
ordinary voting power of another Person or (b) all or any substantial portion of the property (other than Capital Stock) of another Person, whether or not involving a merger or consolidation with such Person. 

“Additional Lender” means as provided in Section 2.16(b). 

“Administrative Agent” means Wells Fargo as contractual representative of the L/C Issuer, the Swing Line Lender and the
Lenders, or any successor Administrative Agent. 
 “Administrative Agent’s Fee Letter” means the letter
agreement dated as of August 31, 2011, among the Borrower, WFS and the Administrative Agent, as amended and modified. 

“Administrative Agent’s Office” means the Administrative Agent’s address and, as appropriate, account as set
forth on Schedule 9.02, or such other address or account as the Administrative Agent may from time to time notify the Borrower and the Lenders. 
 “Administrative Questionnaire” means an Administrative Questionnaire in a form supplied by the Administrative Agent. 

“Affiliate” means, with respect to any Person, another Person that directly, or indirectly through one or more
intermediaries, Controls or is Controlled by or is under common Control with the Person specified. In no event shall the Administrative Agent, the L/C Issuer or any Lender be deemed to be an Affiliate of the Borrower. 

  
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 “Agent-Related Persons” means the Related Parties of the Administrative
Agent. 
 “Aggregate Commitment Percentage” means, for each Lender, a fraction (expressed as a percentage
carried to the ninth decimal place), the numerator of which is the sum of the amount of such Lender’s respective Revolving Commitment and the denominator of which is the sum of the Aggregate Revolving Commitments. 

“Aggregate Revolving Commitments” means the Revolving Commitments of all the Lenders. 

“Aggregate Revolving Committed Amount” means as provided in Section 2.01(a). 

“Applicable Percentage” means, for any day, the rate per annum set forth below opposite the applicable Debt Rating:

  

							
	 Pricing
Level
	  	 Debt Ratings
 (or their
 equivalents)
	  	 Revolving Loans that are

Eurodollar Rate Loans,
 Base Rate Loans and
 Letter of Credit
Fees
	  	 Facility Fee

	1	  	A-/A3 or better	  	1.075%	  	0.175%
	2	  	BBB+/ Baa1	  	1.15%	  	0.20%
	3	  	BBB/ Baa2	  	1.25%	  	0.25%
	4	  	BBB-/ Baa3	  	1.50%	  	0.35%
	5	  	BB+/Ba1 and below	  	1.90%	  	0.45%

 The Borrower will maintain a Debt
Rating at all times with at least two (2) Ratings Services, and the Borrower may, at its option, obtain a third Debt Rating from another Ratings Service. The applicable Pricing Level will be determined by reference to the Debt Ratings;
provided that: 
 (a) if Debt Ratings are provided by two (2) Ratings Services and the Debt Ratings
by the Rating Services indicate different Pricing Levels, then (A) if they are only one level apart, the applicable Pricing Level shall be determined by reference to the higher or better Debt Rating and shall be set at the Pricing Level
indicated thereby, and (B) if they are more than one level apart, the applicable Pricing Level shall be determined by reference to the lower (or worse) Debt Rating and shall be set at one Pricing Level above the Pricing Level that would be
indicated by the lower Debt Rating (e.g., if the Debt Rating by one of the Rating Services is A- and the Debt Rating by another of the Rating Services is Baa3, the Applicable Percentage would be set at Pricing Level 3), 

(b) if Debt Ratings are provided by three (3) or more Ratings Services acceptable to the Administrative Agent and the
Debt Ratings indicate different Pricing Levels, then the applicable Pricing Level shall be determined by reference to the lower of the two (2) highest (or best) Debt Ratings and shall be set at the Pricing Level indicated thereby, and

 (c) if a Debt Rating is not provided by at least two (2) Ratings Services, or if no Debt Rating is
available, then the Applicable Percentage shall be Pricing Level 5. 
 The Applicable Percentage shall be determined and adjusted on the first
Business Day following the date of any change in the Debt Rating. Adjustments in the Applicable Percentage shall be effective as to all 

  
 -6-

 
Extensions of Credit, existing and prospective, from the date of adjustment. Determinations by the Administrative Agent of the applicable Pricing Level shall be conclusive absent manifest error.
The Administrative Agent shall promptly notify the Lenders of changes in the Applicable Percentage. 
 “Approved
Bank” means as provided in the definition of “Cash Equivalents”. 
 “Approved Fund” means
any Fund that is administered or managed by (a) a Lender, (b) an Affiliate of a Lender or (c) an entity or an Affiliate of an entity that administers or manages a Lender. 

“Arrangers” means WFS and J.P. Morgan Securities in their capacities as joint lead arrangers and joint book runners.

 “Asset Sale” means any sale, lease or other disposition (including any such transaction effected by way of
merger, amalgamation or consolidation) by the Borrower or any of its Subsidiaries or Specified Affiliates subsequent to the date hereof of any asset (including stock), including without limitation any sale-leaseback transaction, whether or not
involving a Capital Lease, but excluding (a) any sale, lease or other disposition in the ordinary course of business of real property which is the subject of mortgage liens permitted hereunder, (b) any sale, lease or other disposition of
raw materials, supplies or other nonfixed assets in the ordinary course of business, (c) any sale, lease or other disposition of surplus, obsolete or worn out machinery, equipment, molds or other manufacturing equipment in the ordinary course
of business to the extent that the aggregate book value of all of such assets sold, leased or otherwise disposed of in a fiscal year does not exceed $5,000,000, (d) any sale or other disposition in the ordinary course of business of readily
marketable securities, (e) any disposition of cash not prohibited hereunder, and (f) the issuance of any shares of stock in any Specified Affiliate to any officer, director or employee of the Borrower. 

“Assignment and Assumption” means an Assignment and Assumption substantially in the form of Exhibit 9.07.

 “Assignee Group” means two or more Eligible Assignees that are Affiliates of one another or two or more
Approved Funds managed by the same investment advisor. 
 “Attorney Costs” means and includes all fees,
expenses and disbursements of any law firm or other external counsel. 
 “Attributable Principal Amount” means
(a) in the case of capital leases, the amount of capital lease obligations determined in accordance with GAAP, (b) in the case of Synthetic Leases, an amount determined by capitalization of the remaining lease payments thereunder as if it
were a capital lease determined in accordance with GAAP, (c) in the case of Securitization Transactions, the outstanding principal amount of such financing, after taking into account reserve amounts and making appropriate adjustments,
determined by the Administrative Agent in its reasonable judgment and (d) in the case of Sale and Leaseback Transactions, the present value (discounted in accordance with GAAP at the debt rate implied in the applicable lease) of the obligations
of the lessee for rental payments during the term of such lease). 
 “Base Rate” means the LIBOR Market Index
Rate; provided, that if for any reason the LIBOR Market Index Rate is unavailable, Base Rate shall mean the per annum rate of interest equal to the Federal Funds Rate plus one and one-half of one percent (1.50%). 

“Base Rate Loan” means a Loan that bears interest based on the Base Rate. 

  
 -7-

 “Borrower” means as provided in the recitals hereto. 

“Borrower Materials” means as provided in Section 6.01. 

“Borrowing” means (a) a borrowing consisting of simultaneous Revolving Loans of the same Type and, in the case of
Eurodollar Rate Loans, having the same Interest Period, or (b) a borrowing of Swing Line Loans, as appropriate. 

“Business Day” means (a) a day of the week (but not a Saturday, Sunday or holiday) on which the offices of the
Administrative Agent in San Francisco, California and New York, New York are open to the public for carrying on substantially all of the Administrative Agent’s business functions, and (b) if such day relates to a Eurodollar Rate Loan, any
such day that is also a day on which dealings in Dollars are carried on in the London interbank market. Unless specifically referenced in this Agreement as a Business Day, all references to “days” shall be to calendar days. 

“Capital Lease” means a lease that would be capitalized on a balance sheet of the lessee prepared in accordance with
GAAP. 
 “Capital Stock” means (a) in the case of a corporation, capital stock, (b) in the case of an
association or business entity, any and all shares, interests, participations, rights or other equivalents (however designated) of capital stock, (c) in the case of a partnership, partnership interests (whether general or limited), (d) in
the case of a limited liability company, membership interests and (e) any other interest or participation that confers on a Person the right to receive a share of the profits and losses of, or distributions of assets of, the issuing Person.

 “Cash Collateralize” means, to pledge and deposit with or deliver to the Administrative Agent, for the
benefit of the L/C Issuer or the Lenders, as collateral for L/C Obligations or obligations of Lenders to fund participations in respect of L/C Obligations, cash or deposit account balances or, if the Administrative Agent and the
L/C Issuer shall agree in their sole discretion, other credit support, in each case pursuant to documentation in form and substance satisfactory to the Administrative Agent and the L/C Issuer. “Cash Collateral” shall have a
meaning correlative to the foregoing and shall include the proceeds of such cash collateral and other credit support. 

“Cash Equivalents” means (a) securities issued or directly and fully guaranteed or insured by (i) the United
States or any agency or instrumentality thereof (provided that the full faith and credit of the United States is pledged in support thereof) having maturities of not more than twelve (12) months from the date of acquisition, (b) time
deposits and certificates of deposit of (i) any Lender, (ii) any domestic commercial bank of recognized standing having capital and surplus in excess of $500,000,000 or (iii) any bank whose short-term commercial paper rating from
S&P is at least A-1 or the equivalent thereof or from Moody’s is at least P-1 or the equivalent thereof (each an “Approved Bank”), in each case with maturities of not more than 270 days from the date of acquisition,
(c) commercial paper and variable or fixed rate notes issued by any Approved Bank (or by the parent company thereof) or any variable rate notes issued by, or guaranteed by, any domestic corporation rated A-1 (or the equivalent thereof) or
better by S&P or P-1 (or the equivalent thereof) or better by Moody’s and maturing within six (6) months of the date of acquisition, (d) repurchase agreements entered into by any Person with a bank or trust company (including any
of the Lenders) or recognized securities dealer having capital and surplus in excess of $500,000,000 for direct obligations issued by or fully guaranteed by the United States in which such Person shall have a perfected first priority security
interest (subject to no other Liens) and having, on the date of purchase thereof, a fair market value of at least 100% of the amount of the repurchase obligations and (e) Investments (classified in accordance with GAAP as current assets) in
money market investment programs registered under the Investment Company Act of 1940, as amended, that are administered by reputable financial institutions having capital of at least $500,000,000 and the portfolios of which are limited to
Investments of the character described in the foregoing subclauses hereof. 

  
 -8-

 “CERCLA” means as provided in Section 5.06. 

“CERCLIS” means as provided in Section 5.06. 

“Change in Law” means the occurrence, after the date of this Credit Agreement, of any of the following: (a) the
adoption or taking effect of any law, rule, regulation or treaty, (b) any change in any law, rule, regulation or treaty or in the administration, interpretation or application thereof by any Governmental Authority or (c) the making or
issuance of any request, guideline or directive (whether or not having the force of law) by any Governmental Authority. Notwithstanding anything herein to the contrary, (a) the Dodd-Frank Wall Street Reform and Consumer Protection Act and all
requests, rules, guidelines or directives thereunder or issued in connection therewith and (b) all requests, rules, guidelines or directives promulgated by the Bank for International Settlements, the Basel Committee on Banking Supervision (or
any successor or similar authority) or the United States or foreign regulatory authorities, in each case pursuant to Basel III, shall in each case be deemed to be a “Change in Law”, regardless of the date enacted, adopted or issued.

 “Change of Control” means the occurrence of any of the following events: (a) any Person or two
(2) or more Persons acting in concert shall have acquired beneficial ownership, directly or indirectly, of, or shall have acquired by contract or otherwise, or shall have entered into a contract or arrangement that, upon consummation, will
result in its or their acquisition of or control over, voting stock of the Borrower (or other securities convertible into such voting stock) representing 35% or more of the combined voting power of all voting stock of the Borrower, or
(b) during any period of up to twenty-four (24) consecutive months, commencing after the Closing Date, individuals who at the beginning of such twenty-four (24) month period were directors of the Borrower (together with any new
director whose election by the Borrower’s Board of Directors or whose nomination for election by the Borrower’s shareholders was approved by a vote of at least two-thirds (2/3) of the directors then still in office who either were
directors at the beginning of such period or whose election or nomination for election was previously so approved) cease for any reason to constitute a majority of the directors of the Borrower then in office. As used herein, “beneficial
ownership” shall have the meaning provided in Rule 13d-3 of the SEC under the Securities Exchange Act of 1934. 

“Closing Date” means the date hereof. 
 “Commitment Period” means the period from and including the Closing Date to the earlier of (a) in the case of Revolving Loans and Swing Line Loans, the Revolving Termination Date,
and, in the case of the Letters of Credit, the Letter of Credit Expiration Date, or (b) the date on which the Revolving Commitments shall have been terminated as provided herein. 

“Compliance Certificate” means as provided in Section 6.01(c). 

“Confidential Information” means as provided in Section 9.08. 

“Consolidated EBITDA” means, for any period for the Consolidated Group, the sum of (a) net income attributable to
common stockholders (or its equivalent) plus (b) to the extent deducted in determining net income attributable to common stockholders (or its equivalent), (i) Consolidated Interest Expense, (ii) the amount of income taxes (or
minus the amount of tax benefits) and (iii) depreciation and amortization adjusted to exclude the effect (if any) of (c) extraordinary or nonrecurring items, including without limitation: gains and losses from the sale of operating
properties (but not from the sale of properties developed for the purpose of sale); non-cash impairment charges; gains and losses on early 

  
 -9-

 
extinguishment of Indebtedness; severance and other restructuring charges; and transaction costs of acquisitions not permitted to be capitalized pursuant to GAAP, in each case on a consolidated
basis determined in accordance with GAAP. Except as otherwise expressly provided, the applicable period shall be for the four (4) consecutive fiscal quarters ending as of the date of determination. 

“Consolidated Fixed Charge Coverage Ratio” means the ratio of Consolidated EBITDA to Consolidated Fixed Charges.

 “Consolidated Fixed Charges” means, for any period for the Consolidated Group, the sum of
(a) Consolidated Interest Expense plus (b) current scheduled principal payments of Funded Debt (including, for purposes hereof, current scheduled reductions in commitments, but excluding any “balloon” payment or final
payment at maturity that is significantly larger than the scheduled payments that preceded it) for the period of four (4) consecutive fiscal quarters beginning the day after the date of determination plus (c) dividends and
distributions on preferred stock, if any, and redemptions and repurchases thereof, in each case on a consolidated basis determined in accordance with GAAP. Except as otherwise expressly provided, the applicable period shall be for the four
(4) consecutive fiscal quarters ending as of the date of determination. 
 “Consolidated Group” means the
Borrower and its consolidated subsidiaries, as determined in accordance with GAAP. 
 “Consolidated Interest
Expense” means, for any period for the Consolidated Group, all interest expense and letter of credit fee expense, on a consolidated basis in accordance with GAAP, but including, in any event, the interest component under Capital Leases and
the implied interest component under Securitization Transactions, but excluding the non-cash portion of interest expense attributable to Indebtedness convertible by its express terms into Capital Stock. Except as otherwise expressly provided, the
applicable period shall be for the four (4) consecutive fiscal quarters ending as of the date of determination. 

“Consolidated Leverage Ratio” means the ratio of Consolidated Total Debt to Consolidated Total Capital. 

“Consolidated Secured Debt” means the aggregate principal amount of all Indebtedness of the Consolidated Group secured
by a Lien on any property owned or leased by them. 
 “Consolidated Secured Leverage Ratio” means the ratio of
Consolidated Secured Debt to Consolidated Total Capital. 
 “Consolidated Subsidiary” means at any date any
Subsidiary or other entity the accounts of which would be consolidated with those of the Borrower in its consolidated financial statements if such statements were prepared as of such date. For purposes of this Credit Agreement, Specified Affiliates
of the Borrower shall be classified as Consolidated Subsidiaries. 
 “Consolidated Tangible Net Worth” means,
for the Consolidated Group, (a) the sum of (i) stockholders’ equity on a consolidated basis plus (ii) accumulated depreciation determined in accordance with GAAP, but with no upward adjustments due to any revaluation of
assets, minus (b) all Intangible Assets (excluding intangible assets in accordance with FASB ASC 805). 

“Consolidated Total Capital” means the sum of (a) Consolidated Tangible Net Worth plus (b) Consolidated
Total Debt. 

  
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 “Consolidated Total Debt” means all Indebtedness of the Consolidated Group
determined on a consolidated basis. 
 “Consolidated Unencumbered EBITDA” means the portion of Consolidated
EBITDA that is generated by Consolidated Unencumbered Realty. 
 “Consolidated Unencumbered Interest Expense”
means the portion of Consolidated Interest Expense that is not attributable to Consolidated Secured Debt. 

“Consolidated Unencumbered Leverage Ratio” means the ratio of Consolidated Unsecured Debt to Consolidated Unencumbered
Realty. 
 “Consolidated Unencumbered Realty” means, for the Consolidated Group, the book value of all realty
(prior to deduction for accumulated depreciation) minus the book value of real property (prior to deduction for accumulated depreciation) which is subject to mortgage Liens described in clause (c) of Section 6.07 or
mortgage Liens arising out of the refinancing, extension, renewal or refunding of any Indebtedness permitted hereunder secured by a mortgage Lien initially permitted under clause (c) of Section 6.07. 

“Consolidated Unsecured Coverage Ratio” means the ratio of Consolidated Unencumbered EBITDA to Consolidated Unencumbered
Interest Expense. 
 “Consolidated Unsecured Debt” means the portion of Consolidated Total Debt that is not
Consolidated Secured Debt. 
 “Control” means the possession, directly or indirectly, of the power to direct or
cause the direction of the management or policies of a Person, whether through the ability to exercise voting power, by contract or otherwise. “Controlling” and “Controlled” have meanings correlative thereto.

 “Credit Agreement” means as set forth in the introductory paragraph hereof. 

“Credit Documents” means this Credit Agreement, the Notes, each Issuer Document, the Guaranties, if any, the
Administrative Agent’s Fee Letter, the Letters of Credit and the Compliance Certificates. 
 “Credit
Parties” means, collectively, the Borrower and the Guarantors, if any. 
 “Debt Rating” means the
rating by a Ratings Service for the Borrower’s senior unsecured (non-credit enhanced) long-term debt. 
 “Debtor
Relief Laws” means the Bankruptcy Code of the United States, and all other liquidation, conservatorship, bankruptcy, assignment for the benefit of creditors, moratorium, rearrangement, receivership, insolvency, reorganization, or similar
debtor relief Laws of the United States or other applicable jurisdictions from time to time in effect and affecting the rights of creditors generally. 
 “Default” means any event, act or condition that, with notice, the passage of time, or both, would constitute an Event of Default. 

“Defaulting Lender” means, subject to Section 2.14(f), any Lender that (a) has failed to (i) fund all or
any portion of its Loans within 2 Business Days of the date such Loans were required to be funded hereunder unless such Lender notifies the Administrative Agent and the Borrower in writing that such

  
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failure is the result of such Lender’s determination that one or more conditions precedent to funding (each of which conditions precedent, together with any applicable default, shall be
specifically identified in such writing) has not been satisfied, or (ii) pay to the Administrative Agent, the L/C Issuer, the Swing Line Lender or any other Lender any other amount required to be paid by it hereunder (including in respect of
its participation in Letters of Credit or Swing Line Loans) within 2 Business Days of the date when due, (b) has notified the Borrower, the Administrative Agent, the L/C Issuer or the Swing Line Lender in writing that it does not intend to
comply with its funding obligations hereunder, or has made a public statement to that effect (unless such writing or public statement relates to such Lender’s obligation to fund a Loan hereunder and states that such position is based on such
Lender’s determination that a condition precedent to funding (which condition precedent, together with any applicable default, shall be specifically identified in such writing or public statement) cannot be satisfied), (c) has failed,
within 3 Business Days after written request by the Administrative Agent or the Borrower, to confirm in writing to the Administrative Agent and the Borrower that it will comply with its prospective funding obligations hereunder (provided that such
Lender shall cease to be a Defaulting Lender pursuant to this clause (c) upon receipt of such written confirmation by the Administrative Agent and the Borrower), or (d) has, or has a direct or indirect parent company that has,
(i) become the subject of a proceeding under any Debtor Relief Law, or (ii) had appointed for it a receiver, custodian, conservator, trustee, administrator, assignee for the benefit of creditors or similar Person charged with
reorganization or liquidation of its business or assets, including the Federal Deposit Insurance Corporation or any other state or federal regulatory authority acting in such a capacity; provided that a Lender shall not be a Defaulting Lender
solely by virtue of the ownership or acquisition of any equity interest in that Lender or any direct or indirect parent company thereof by a Governmental Authority so long as such ownership interest does not result in or provide such Lender with
immunity from the jurisdiction of courts within the United States of America or from the enforcement of judgments or writs of attachment on its assets or permit such Lender (or such Governmental Authority) to reject, repudiate, disavow or disaffirm
any contracts or agreements made with such Lender. Any determination by the Administrative Agent that a Lender is a Defaulting Lender under clauses (a) through (d) above shall be conclusive and binding absent manifest error, and such
Lender shall be deemed to be a Defaulting Lender (subject to Section 2.14(f)) upon delivery of written notice of such determination to the Borrower, the L/C Issuer, the Swing Line Lender and each Lender. 

“Default Rate” means an interest rate equal to (a) the Base Rate plus (b) the Applicable Percentage, if
any, applicable to Base Rate Loans plus (c) 2% per annum; provided, however, that with respect to a Eurodollar Rate Loan, the Default Rate shall be an interest rate equal to the interest rate (including any Applicable
Percentage) otherwise applicable to such Loan plus 2% per annum, in each case to the fullest extent permitted by applicable Law. 
 “Dollar” or “$” means the lawful currency of the United States. 
 “Eligible Assignee” means any Person that meets the requirements to be an assignee under Section 9.07(b)(iii), (v), (vi) and (vii) (subject to
such consents, if any, as may be required under Section 9.07(b)(iii)). 
 “Evergreen Letter of
Credit” means as provided in Section 2.03(b)(iii). 
 “Environmental Laws” means any and
all federal, state, local, and foreign statutes, laws, regulations, ordinances, rules, judgments, orders, decrees, permits, concessions, grants, franchises, licenses, agreements or governmental restrictions relating to pollution and the protection
of the environment or the release of any materials into the environment, including those related to hazardous substances or wastes, air emissions and discharges to waste or public systems. 

  
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 “Equity Transaction” means, with respect to any member of the Consolidated
Group, any issuance or sale of shares of its Capital Stock, other than an issuance (a) to a member of the Consolidated Group, (b) in connection with a conversion of debt securities to equity, (c) in connection with the exercise by a
present or former employee, officer or director under a stock incentive plan, stock option plan or other equity-based compensation plan or arrangement, or (d) in connection with any Acquisition permitted hereunder. 

“ERISA” means the Employee Retirement Income Security Act of 1974. 

“ERISA Affiliate” means any trade or business (whether or not incorporated) under common control with the Borrower
within the meaning of Section 414(b) or (c) of the Internal Revenue Code (and Sections 414(m) and (o) of the Internal Revenue Code for purposes of provisions relating to Section 412 of the Internal Revenue Code). 

“ERISA Event” means (a) a Reportable Event with respect to a Pension Plan; (b) a withdrawal by the Borrower or
any ERISA Affiliate from a Pension Plan subject to Section 4063 of ERISA during a plan year in which it was a substantial employer (as defined in Section 4001(a)(2) of ERISA) or a cessation of operations that is treated as such a
withdrawal under Section 4062(e) of ERISA; (c) a complete or partial withdrawal by the Borrower or any ERISA Affiliate from a Multiemployer Plan or notification that a Multiemployer Plan is in reorganization; (d) the filing of a
notice of intent to terminate, the treatment of a Plan amendment as a termination under Sections 4041 or 4041A of ERISA, or the commencement of proceedings by the PBGC to terminate a Pension Plan or Multiemployer Plan; (e) an event or
condition that could reasonably be expected to constitute grounds under Section 4042 of ERISA for the termination of, or the appointment of a trustee to administer, any Pension Plan or Multiemployer Plan; or (f) the imposition of any
liability under Title IV of ERISA, other than for PBGC premiums due but not delinquent under Section 4007 of ERISA, upon the Borrower or any ERISA Affiliate. 
 “Eurodollar Rate” means, for the Interest Period for any Borrowing of Revolving Loans that bears interest at a rate based on the Eurodollar Rate, the rate of interest, rounded up to the
nearest whole multiple of one-hundredth of one percent (0.01%), obtained by dividing (i) the rate of interest, rounded upward to the nearest whole multiple of one-hundredth of one percent (0.01%), referred to as the BBA (British Bankers’
Association) LIBOR rate as set forth by any service selected by the Administrative Agent that has been nominated by the British Bankers’ Association as an authorized information vendor for the purpose of displaying such rate for deposits in
Dollars at approximately 9:00 a.m. Pacific time, two (2) Business Days prior to the date of commencement of such Interest Period for purposes of calculating effective rates of interest for loans or obligations making reference thereto, for
an amount approximately equal to such Borrowing of Revolving Loans and for a period of time approximately equal to such Interest Period by (ii) a percentage equal to 1 minus the stated maximum rate (stated as a decimal) of all reserves, if any,
required to be maintained with respect to Eurocurrency funding (currently referred to as “Eurocurrency liabilities”) as specified in Regulation D of the Board of Governors of the Federal Reserve System (or against any other category of
liabilities which includes deposits by reference to which the interest rate on Eurodollar Rate Loans is determined or any applicable category of extensions of credit or other assets which includes loans by an office of any Lender outside of the
United States of America). Any change in such maximum rate shall result in a change in the Eurodollar Rate on the date on which such change in such maximum rate becomes effective. 

“Eurodollar Rate Loan” means a Loan (other than a Base Rate Loan) that bears interest at a rate based on the Eurodollar
Rate. 
 “Event of Acceleration” means any of the events or conditions set forth in Sections 7.01(g),
(h) or (i) with respect to the Borrower. 

  
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 “Event of Default” means as provided in Section 7.01.

 “Excluded Taxes” means, with respect to the Administrative Agent, any Lender, the L/C Issuer or any other
recipient of any payment to be made by or on account of any obligation of the Borrower hereunder, (a) taxes imposed on or measured by its overall net income (however denominated), and franchise taxes imposed on it (in lieu of net income taxes),
by the jurisdiction (or any political subdivision thereof) under the laws of which such recipient is organized or in which its principal office is located or, in the case of any Lender, in which its applicable Lending Office is located, (b) any
branch profits taxes imposed by the United States or any similar tax imposed by any other jurisdiction in which the Borrower is located and (c) in the case of a Foreign Lender (other than an assignee pursuant to a request by the Borrower under
Section 9.15), any withholding tax that is imposed on amounts payable to such Foreign Lender at the time such Foreign Lender becomes a party hereto (or designates a new Lending Office) or is attributable to such Foreign Lender’s
failure or inability (other than as a result of a Change in Law) to comply with Section 3.01(e), except to the extent that such Foreign Lender (or its assignor, if any) was entitled, at the time of designation of a new Lending Office (or
assignment), to receive additional amounts from the Borrower with respect to such withholding tax pursuant to Section 3.01(a). 
 “Existing Credit Agreement” means that certain Amended and Restated Credit Agreement, dated as of September 30, 2009 among the Borrower, the lenders party thereto, Bank of America,
N.A., as administrative agent, and the other parties thereto. 
 “Extended Letter of Credit” means as provided
in Section 2.03(a)(v). 
 “Extension of Credit” means (i) any Borrowing and (ii) any L/C
Credit Extension. 
 “Facility Fee” means as provided in Section 2.09(a). 

“Federal Funds Rate” means, for any period, a fluctuating interest rate per annum equal for each day during such period
to the weighted average of the rates on overnight Federal funds transactions with members of the Federal Reserve System arranged by Federal funds brokers, as published for such day (or, if such day is not a Business Day, for the immediately
preceding Business Day) by the Federal Reserve Bank of New York, or, if such rate is not so published for any day which is a Business Day, the average of the quotations for such day on such transactions received by the Administrative Agent from
three Federal funds brokers of recognized standing selected by the Administrative Agent. 
 “Foreign Lender”
means any Lender that is organized under the laws of a jurisdiction other than that in which the Borrower is resident for tax purposes (including such a Lender when acting in the capacity of the L/C Issuer). For purposes of this definition, the
United States, each state thereof and the District of Columbia shall be deemed to constitute a single jurisdiction. 

“FRB” means the Board of Governors of the Federal Reserve System of the United States. 

“Fronting Exposure” means, at any time there is a Defaulting Lender, (a) with respect to the L/C Issuer, such
Defaulting Lender’s Revolving Commitment Percentage of the outstanding L/C Obligations other than L/C Obligations as to which such Defaulting Lender’s participation obligation has been reallocated to other Lenders or Cash
Collateralized in accordance with the terms hereof, and (b) with respect to the Swing Line Lender, such Defaulting Lender’s Commitment Percentage of outstanding Swing Line Loans other than Swing Line Loans as to which such Defaulting
Lender’s participation obligation has been reallocated to other Lenders. 

  
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 “Fund” means any Person (other than a natural person) that is (or will be)
engaged in making, purchasing, holding or otherwise investing in commercial loans and similar extensions of credit in the ordinary course of its activities. 
 “Funded Debt” means, as to any Person at a particular time, without duplication, all of the following, whether or not included as indebtedness or liabilities in accordance with GAAP:

 (a) all obligations for borrowed money, whether current or long-term (including the Obligations hereunder),
and all obligations evidenced by bonds, debentures, notes, loan agreements or other similar instruments; 
 (b)
all purchase money indebtedness (including indebtedness and obligations in respect of conditional sales and title retention arrangements, except for customary conditional sales and title retention arrangements with suppliers that are entered into in
the ordinary course of business) and all indebtedness and obligations in respect of the deferred purchase price of property or services (other than trade accounts payable incurred the ordinary course of business and payable on customary trade
terms); 
 (c) all direct obligations under letters of credit (including standby and commercial), bankers’
acceptances and similar instruments (including bank guaranties, surety bonds, comfort letters, keep-well agreements and capital maintenance agreements) to the extent such instruments or agreements support financial, rather than performance,
obligations; 
 (d) the Attributable Principal Amount of capital leases and Synthetic Leases; 

(e) the Attributable Principal Amount of Securitization Transactions; 

(f) all preferred stock and comparable equity interests providing for mandatory redemption, sinking fund or other like
payments; 
 (g) Support Obligations in respect of Funded Debt of another Person; 

(h) Funded Debt of any partnership or joint venture or other similar entity in which such Person is a general partner or
joint venturer, and, as such, has personal liability for such obligations, but only to the extent there is recourse to such Person for payment thereof. 
 For purposes hereof, the amount of Funded Debt shall be determined based on the outstanding principal amount in the case of borrowed money indebtedness under clause (a) and purchase money
indebtedness and the deferred purchase obligations under clause (b), based on the maximum amount available to be drawn in the case of letter of credit obligations and the other obligations under clause (c), and based on the amount of
Funded Debt that is the subject of the Support Obligations in the case of Support Obligations under clause (g). 

“GAAP” means generally accepted accounting principles in effect in the United States applied on a consistent basis as
set forth in (a) the opinions and pronouncements of the Accounting Principles Board and the American Institute of Certified Public Accountants, (b) statements and pronouncements of the Financial Accounting Standards Board and
(c) interpretations of the SEC (including published staff interpretations), in each case subject to the provisions of Section 1.03. Accounting principles are applied on a “consistent basis” when the accounting principles
applied in a current period are comparable in all material respects to those accounting principles applied in a preceding period, except to the extent that new accounting standards have been adopted by such organizations applicable as of the current
period. 

  
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 “Governmental Authority” means the government of the United States or any
other nation, or of any political subdivision thereof, whether state or local, and any agency, authority, instrumentality, regulatory body, court, central bank or other entity exercising executive, legislative, judicial, taxing, regulatory or
administrative powers or functions of or pertaining to government (including any supra-national bodies such as the European Union or the European Central Bank). 
 “Guarantor” means any party that may give a guaranty of the loans and obligations hereunder in substantially the form of Exhibit 6.20 or other form reasonably satisfactory to the
Administrative Agent and the Required Lenders, in each case as amended, supplemented or otherwise modified from time to time. 

“Guaranties” means those guaranty agreements, if any, given in respect of the loans and obligations owing under this
Credit Agreement, as amended, supplemented or otherwise modified from time to time. 
 “Hazardous Substance”
means any toxic or hazardous substance, including petroleum and its derivatives regulated under the Environmental Laws. 

“Honor Date” means as provided in Section 2.03(c). 

“Increase Effective Date” means as provided in Section 2.16(c). 

“Incremental Increases” means as provided in Section 2.16(a). 

“Incremental Term Loan” means as provided in Section 2.16(a). 

“Indebtedness” means, as to any Person at a particular time, without duplication, all of the following, whether or not
included as indebtedness or liabilities in accordance with GAAP: 
 (a) all Funded Debt; 

(b) all contingent obligations under letters of credit (including standby and commercial), bankers’ acceptances and
similar instruments (including bank guaranties, surety bonds, comfort letters, keep-well agreements and capital maintenance agreements) to the extent such instruments or agreements support financial, rather than performance, obligations; 

(c) net obligations under any Swap Contract; 

(d) Support Obligations in respect of Indebtedness of another Person; and 

(e) Indebtedness of any partnership or joint venture or other similar entity in which such Person is a general partner or
joint venturer, and, as such, has personal liability for such obligations, but only to the extent there is recourse to such Person for payment thereof. 
 For purposes hereof, the amount of Indebtedness shall be determined based on Swap Termination Value in the case of net obligations under Swap Contracts under clause (c) and based on the
outstanding principal amount of the Indebtedness that is the subject of the Support Obligations in the case of Support Obligations under clause (d). 
 “Indemnified Liabilities” means as provided in Section 9.05. 

  
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 “Indemnified Taxes” means Taxes other than Excluded Taxes. 

“Indemnitees” means as provided in Section 9.05. 

“Individual Subsidiary Test” means as provided in the definition of “Material Subsidiaries” in this
Section 1.01. 
 “Intangible Assets” means all assets consisting of goodwill, patents, trade names,
trademarks, copyrights, franchises, experimental expense, organization expense, unamortized debt discount and expense, deferred assets (other than prepaid insurance and prepaid taxes), the excess of cost of shares acquired over book value of related
assets and such other assets as are properly classified as “intangible assets” in accordance with GAAP, but excluding, for purposes hereof, leasehold intangible assets and fair value adjustments of debt assumed recorded by the
Borrower in connection with the Borrower’s acquisition of real estate operations in accordance with FASB ASC 805. 

“Interest Payment Date” means, (a) as to any Base Rate Loan and any Swing Line Loan, the last Business Day of each
March, June, September and December, the Revolving Termination Date, and in the case of any Swing Line Loan, any other dates as may be mutually agreed upon by the Borrower and the Swing Line Lender and (b) as to any Eurodollar Rate Loan (other
than Swing Line Loans), the last Business Day of each Interest Period for such Loan, the date of repayment of principal of such Loan and the Revolving Termination Date, and in addition, where the applicable Interest Period exceeds three
(3) months, the date every three (3) months after the beginning of such Interest Period. If an Interest Payment Date falls on a date that is not a Business Day, such Interest Payment Date shall be deemed to be the immediately succeeding
Business Day. 
 “Interest Period” means, as to each Eurodollar Rate Loan, the period commencing on the date
such Eurodollar Rate Loan is disbursed or converted to or continued as a Eurodollar Rate Loan and ending on the date one (1), three (3) or six (6) months thereafter, as selected by the Borrower in its Loan Notice; provided that:

 (a) any Interest Period that would otherwise end on a day that is not a Business Day shall be extended to the
immediately succeeding Business Day unless such Business Day falls in another calendar month, in which case such Interest Period shall end on the immediately preceding Business Day; 

(b) any Interest Period that begins on the last Business Day of a calendar month (or on a day for which there is no
numerically corresponding day in the calendar month at the end of such Interest Period) shall end on the last Business Day of the calendar month at the end of such Interest Period; and 

(c) no Interest Period with respect to any Revolving Loan shall extend beyond the Revolving Termination Date. 

“Internal Revenue Code” means the Internal Revenue Code of 1986. 

“Investment” means, as to any Person, any direct or indirect acquisition or investment by such Person, whether by means
of (a) the purchase or other acquisition of Capital Stock of another Person, (b) a loan, advance or capital contribution to, guaranty or assumption of debt of, or purchase or other acquisition of any other debt or equity participation or
interest in, another Person, including any partnership or joint venture interest in such other Person, or (c) the purchase or other acquisition (in one 

  
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transaction or a series of transactions) of assets of another Person that constitute a business unit. For purposes of covenant compliance, the amount of any Investment shall be the amount
actually invested, without adjustment for subsequent increases or decreases in the value of such Investment. 

“Investment Policy” means the Borrower’s investment policy as disclosed in its filings with the SEC from time to
time. 
 “IRS” means the United States Internal Revenue Service. 

“ISP” means, with respect to any Letter of Credit, the “International Standby Practices 1998” published by the
Institute of International Banking Law & Practice (or such later version thereof as may be in effect at the time of issuance). 
 “Issuer Documents” means with respect to any Letter of Credit, the Letter of Credit Application, and any other document, agreement and instrument entered into by the L/C Issuer and the
Borrower (or any Subsidiary) or in favor of the L/C Issuer and relating to such Letter of Credit. 
 “J.P. Morgan
Securities” means J.P. Morgan Securities LLC, together with its successors. 
 “Laws” means,
collectively, all international, foreign, federal, state and local statutes, treaties, rules, guidelines, regulations, ordinances, codes and administrative or judicial precedents or authorities, including the interpretation or administration thereof
by any Governmental Authority charged with the enforcement, interpretation or administration thereof, and all applicable administrative orders, directed duties, requests, licenses, authorizations and permits of, and agreements with, any Governmental
Authority, in each case whether or not having the force of law. 
 “L/C Advance” means, with respect to each
Lender, such Lender’s funding of its participation in any L/C Borrowing. 
 “L/C Borrowing” means any
extension of credit resulting from a drawing under any Letter of Credit that has not been reimbursed or refinanced as a Borrowing of Revolving Loans. 
 “L/C Commitment” means, with respect to the L/C Issuer, the commitment of the L/C Issuer to issue and to honor payment obligations under Letters of Credit, and, with respect to each
Lender, the commitment of such Lender to purchase participation interests in L/C Obligations up to such Lender’s Revolving Commitment Percentage thereof. 
 “L/C Committed Amount” means as provided in Section 2.01(b). 
 “L/C Credit Extension” means, with respect to any Letter of Credit, the issuance thereof or extension of the expiry date thereof, or the renewal or increase of the amount thereof.

 “L/C Customary Charges” means as provided in Section 2.09(c)(ii). 

“L/C Fronting Fee” means as provided in Section 2.09(c)(ii). 

“L/C Issuer” means Wells Fargo in its capacity as issuer of Letters of Credit hereunder, in each case together with its
successors in such capacity. 
 “L/C Issuer Fees” means as provided in Section 2.09(c)(ii).

  
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 “L/C Obligations” means, as at any date of determination, the aggregate
amount available to be drawn under all outstanding Letters of Credit plus the aggregate of all Unreimbursed Amounts, including all L/C Borrowings. For purposes of computing the amount available to be drawn under any Letter of Credit, the
amount of such Letter of Credit shall be determined in accordance with Section 1.07. For all purposes of this Credit Agreement, if on any date of determination a Letter of Credit has expired by its terms but any amount may still be drawn
thereunder by reason of the operation of Rule 3.14 of the ISP, such Letter of Credit shall be deemed to be “outstanding” in the amount so remaining available to be drawn. 

“Lender” means each of the Persons identified as a “Lender” on the signature pages hereto (and, as
appropriate, includes the L/C Issuer and the Swing Line Lender) and each Person who joins as a Lender pursuant to the terms hereof, together with their respective successors and assigns. 

“Lending Office” means, as to any Lender, the office or offices of such Lender set forth in such Lender’s
Administrative Questionnaire or such other office or offices as a Lender may from time to time notify the Borrower and the Administrative Agent. 
 “Letter of Credit” means each standby letter of credit issued hereunder. 
 “Letter of Credit Application” means an application and agreement for the issuance or amendment of a Letter of Credit in the form from time to time in use by the L/C Issuer. 

“Letter of Credit Expiration Date” means the day that is thirty (30) days prior to the Revolving Termination Date
then in effect (or, if such day is not a Business Day, the immediately preceding Business Day). 
 “Letter of Credit
Fee” means as provided in Section 2.09(c)(i). 
 “LIBOR Market Index Rate” means, for any
day, the Eurodollar Rate as of that day that would be applicable for a Eurodollar Rate Loan having a one-month Interest Period determined at approximately 9:00 a.m. Pacific time for such day (or if such day is not a Business Day, the immediately
preceding Business Day). The LIBOR Market Index Rate shall be determined on a daily basis. 
 “Lien” means any
mortgage, pledge, hypothecation, assignment, deposit arrangement, encumbrance, lien (statutory or other), charge, or preference, priority or other security interest or preferential arrangement of any kind or nature whatsoever (including any
conditional sale or other title retention agreement, and any financing lease having substantially the same economic effect as any of the foregoing). 
 “Loan” means any Revolving Loan or any Swing Line Loan and the Base Rate Loans and Eurodollar Rate Loans comprising such Loans. 

“Loan Notice” means a notice of (a) a Borrowing of Loans (including Swing Line Loans), (b) a conversion of
Loans from one Type to the other, or (c) a continuation of Eurodollar Rate Loans, which, if in writing, shall be substantially in the form of Exhibit 2.02. 
 “London Banking Day” means a day on which banks in London are open for business and dealing in offshore dollars. 
 “Master Agreement” means as provided in the definition of “Swap Contract”. 

  
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 “Material Adverse Effect” means a material adverse effect on (i) the
condition (financial or otherwise), operations, business, assets, liabilities or prospects of the Borrower and its Subsidiaries taken as a whole, (ii) the ability of the Borrower to perform any material obligation under the Credit Documents, or
(iii) the rights and remedies of the Administrative Agent and the Lenders under the Credit Documents. 
 “Material
Subsidiary” means any Subsidiary of the Borrower with net assets or revenues in excess of 1.5% of the Borrower’s consolidated net assets or revenues for the most recently ended quarterly period for which financial statements are
available (the “Individual Subsidiary Test”); provided, however, that the aggregate net assets and revenues of the Material Subsidiaries shall equal at least 90% of the Borrower’s consolidated net assets and
revenues for the most recently ended quarterly period for which financial statements are available. In the event that the aggregate net assets and revenues of Subsidiaries meeting the Individual Subsidiary Test do not equal 90% of the
Borrower’s consolidated net assets and revenues, then the Subsidiaries that do not meet the Individual Subsidiary Test (starting with the largest Subsidiary based on net assets and revenue and working down in each case to the next largest
Subsidiary based on net assets and revenue) that are necessary to make the aggregate net assets and revenues of the Material Subsidiaries equal at least 90% of the net assets and revenues of the Borrower for the most recently ended quarterly period
for which financial statements are available, shall be included in the definition of Material Subsidiaries. 
 “Maximum
Rate” means as provided in Section 9.10. 
 “Moody’s” means Moody’s Investors
Service, Inc. and any successor thereto. 
 “Mortgage Receivable” means a promissory note secured by a
mortgage, deed of trust, deed to secure debt or similar security instrument made by a Person owning an interest in real estate granting a Lien on such interest in real estate as security for the payment of Indebtedness of which the Borrower or a
Subsidiary is the holder and retains the rights of collection of all payments thereunder. 
 “Multiemployer
Plan” means any employee benefit plan of the type described in Section 4001(a)(3) of ERISA, to which the Borrower or any ERISA Affiliate makes or is obligated to make contributions, or during the preceding five (5) plan years, has
made or been obligated to make contributions. 
 “Non-Extension Notice Date” means as provided in
Section 2.03(b)(iii). 
 “Notes” means the Revolving Notes and the Swing Line Note. 

“Obligations” means, without duplication, all advances to, and debts, liabilities, obligations, covenants and duties of,
any Credit Party arising under any Credit Document or otherwise with respect to any Loan or Letter of Credit, whether direct or indirect (including those acquired by assumption), absolute or contingent, due or to become due, now existing or
hereafter arising and including interest and fees that accrue after the commencement by or against any Credit Party or any Affiliate thereof of any proceeding under any Debtor Relief Laws naming such Person as the debtor in such proceeding,
regardless of whether such interest and fees are allowed claims in such proceeding. 
 “Organization Documents”
means, (a) with respect to any corporation, the certificate or articles of incorporation and the bylaws (or equivalent or comparable constitutive documents with respect to any non-U.S. jurisdiction); (b) with respect to any limited
liability company, the certificate or articles of formation or organization and operating agreement; and (c) with respect to any partnership, joint venture, trust or other form of business entity, the partnership, joint venture or other
applicable agreement of 

  
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formation or organization and any agreement, instrument, filing or notice with respect thereto filed in connection with its formation or organization with the applicable Governmental Authority in
the jurisdiction of its formation or organization and, if applicable, any certificate or articles of formation or organization of such entity. 
 “Other Taxes” means all present or future stamp or documentary taxes or any other excise or property taxes, charges or similar levies arising from any payment made hereunder or under any
other Credit Document or from the execution, delivery or enforcement of, or otherwise with respect to, this Credit Agreement or any other Credit Document. 
 “Outstanding Amount” means (a) with respect to Revolving Loans and Swing Line Loans on any date, the aggregate outstanding principal amount thereof after giving effect to any
Borrowings and prepayments or repayments of Revolving Loans and Swing Line Loans, as the case may be, occurring on such date; and (b) with respect to any L/C Obligations on any date, the aggregate outstanding amount of such L/C Obligations on
such date after giving effect to any L/C Credit Extension occurring on such date and any other changes in the amount of the L/C Obligations as of such date, including as a result of any reimbursements by the Borrower of Unreimbursed Amounts.

 “Participant” means as provided in Section 9.07(d). 

“Patriot Act” means the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)).

 “PBGC” means the Pension Benefit Guaranty Corporation. 

“PCB” means as provided in Section 5.06(b). 

“Pension Plan” means any “employee pension benefit plan” (as such term is defined in Section 3(2) of
ERISA), other than a Multiemployer Plan, that is subject to Title IV of ERISA and is sponsored or maintained by the Borrower or any ERISA Affiliate or to which the Borrower or any ERISA Affiliate contributes or has an obligation to contribute,
or in the case of a multiple employer or other plan described in Section 4064(a) of ERISA, has made contributions at any time during the immediately preceding five (5) plan years. 

“Person” means any natural person, corporation, limited liability company, trust, joint venture, association, company,
partnership, Governmental Authority or other entity. 
 “Plan” means any “employee benefit plan” (as
such term is defined in Section 3(3) of ERISA) established by the Borrower or, with respect to any such plan that is subject to Section 412 of the Internal Revenue Code or Title IV of ERISA, any ERISA Affiliate. 

“Platform” means as provided in Section 6.01. 

“Public Lender” means as provided in Section 6.01. 

“Ratings Service” means any nationally recognized rating agency reasonably acceptable to the Administrative Agent.

 “Register” means as provided in Section 9.07(c). 

  
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 “Regulation T” means Regulation T of the Board of Governors of the Federal
Reserve System, as in effect from time to time. 
 “Regulation U” means Regulation U of the Board of Governors
of the Federal Reserve System, as in effect from time to time. 
 “Regulation X” means Regulation X of the
Board of Governors of the Federal Reserve System, as in effect from time to time. 
 “REIT” means a real estate
investment trust as defined in Sections 856-860 of the Internal Revenue Code. 
 “Related Parties” means, with
respect to any Person, such Person’s Affiliates and the partners, directors, officers, employees, agents, trustees, advisors and attorneys-in-fact of such Person and of such Person’s Affiliates. 

“Release” means as provided in Section 5.06(a). 

“Reportable Event” means any of the events set forth in Section 4043(c) of ERISA, other than events for which the
thirty-day notice period has been waived. 
 “Request for Extension of Credit” means (a) with respect to a
Borrowing of Loans (including Swing Line Loans) or the conversion or continuation of Loans, a Loan Notice and (b) with respect to an L/C Credit Extension, a Letter of Credit Application. 

“Required Lenders” means, as of any date of determination, Lenders having more than 50% of the Aggregate Revolving
Commitments or, if the commitment of each Lender to make Loans and the obligation of the L/C Issuer to make L/C Credit Extensions have been terminated pursuant to Section 7.01, Lenders holding in the aggregate more than 50% of the
Revolving Obligations (including, in each case, the aggregate amount of each Lender’s risk participation and funded participation in L/C Obligations and Swing Line Loans); provided that (i) the Revolving Commitment of, and the
portion of the Revolving Obligations held or deemed held by, any Defaulting Lender shall be excluded for purposes of making a determination of Required Lenders and (ii) at all times when two or more Lenders (excluding Defaulting Lenders) are
party to this Agreement, the term “Required Lenders” shall in no event mean less than two Lenders. 

“Required Revolving Lenders” means, as of any date of determination, Lenders holding more than 50% of the sum of the
(a) Outstanding Amount of all Loans and all L/C Obligations (with the aggregate amount of each Lender’s risk participation and funded participation in L/C Obligations and Swing Line Loans being deemed “held” by such Lender for
purposes of this definition), but excluding the Outstanding Amount of any Incremental Term Loans and (b) aggregate unused Revolving Commitments; provided that (i) the unused Commitment of, and the portion of the Loans and L/C
Obligations held or deemed held by, any Defaulting Lender shall be excluded for purposes of making a determination of Required Revolving Lenders and (ii) at all times when two or more Lenders (excluding Defaulting Lenders) having Revolving
Commitments are party to this Agreement, the term “Required Revolving Lenders” shall in no event mean less than two Lenders having Revolving Commitments. 
 “Responsible Officer” means, for purposes of certifying or confirming matters related to Organization Documents, incumbency and like matters, the secretary or assistant secretary, and for
other purposes, the chief executive officer, president, chief financial officer, treasurer, assistant treasurer or other executive officer or senior vice president of a Credit Party. Any document delivered hereunder that

  
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is signed by a Responsible Officer of a Credit Party shall be conclusively presumed to have been authorized by all necessary corporate, partnership and/or other action on the part of such Credit
Party and such Responsible Officer shall be conclusively presumed to have acted on behalf of such Credit Party. 

“Revolving Commitment” means, with respect to each Lender, the commitment of such Lender to make Revolving Loans and to
share in the Revolving Obligations hereunder up to such Lender’s Revolving Commitment Percentage thereof. 

“Revolving Commitment Percentage” means, at any time for each Lender, a fraction (expressed as a percentage carried to
the ninth decimal place), the numerator of which is such Lender’s Revolving Committed Amount and the denominator of which is the Aggregate Revolving Committed Amount. The initial Revolving Commitment Percentages are set forth on Schedule
2.01. 
 “Revolving Committed Amount” means, with respect to each Lender, the amount of such Lender’s
Revolving Commitment. The initial Revolving Committed Amounts are set forth on Schedule 2.01. 
 “Revolving
Credit Exposure” means, as to any Lender at any time, the aggregate principal amount at such time of its outstanding Revolving Loans and such Lender’s participation in L/C Obligations and Swing Line Loans at such time. 

“Revolving Credit Increase” means as provided in Section 2.16(a). 

“Revolving Credit Increase Lender” means as provided in Section 2.16(d). 

“Revolving Loans” means as set forth in Section 2.01(a). 

“Revolving Note” means the promissory notes substantially in the form of Exhibit 2.13-1, if any, given to each
Lender to evidence the Revolving Loans of such Lender, as amended, restated, modified, supplemented, extended, renewed or replaced. 
 “Revolving Obligations” means the Revolving Loans, the L/C Obligations and the Swing Line Loans. 
 “Revolving Termination Date” means October 14, 2015, or such later date to which the Revolving Termination Date may be extended pursuant to Section 2.15. 

“S&P” means Standard & Poor’s Ratings Services, a division of The McGraw-Hill Companies, Inc. and any
successor thereto. 
 “Sale and Leaseback Transaction” means, with respect to the Borrower or any Subsidiary,
any arrangement, directly or indirectly, with any person whereby the Borrower or such Subsidiary shall sell or transfer any property, real or personal, used or useful in its business, whether now owned or hereafter acquired, and thereafter rent or
lease such property or other property that it intends to use for substantially the same purpose or purposes as the property being sold or transferred. 
 “SEC” means the Securities and Exchange Commission, or any Governmental Authority succeeding to any of its principal functions. 

“Securitization Receivables” means as provided in the definition of “Securitization Transaction”. 

  
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 “Securitization Subsidiary” means as provided in the definition of
“Securitization Transaction”. 
 “Securitization Transaction” means any financing or factoring or
similar transaction (or series of such transactions) entered by any member of the Consolidated Group pursuant to which such member of the Consolidated Group may sell, convey or otherwise transfer, or grant a security interest in, accounts, payments,
receivables, rights to future lease payments or residuals or similar rights to payment (the “Securitization Receivables”) to a special purpose subsidiary or affiliate (a “Securitization Subsidiary”) or any other
Person. 
 “Solvent” means, with respect to any person on a particular date, that on such date (a) the
fair value of the property of such Person is greater than the total amount of liabilities, including, without limitation, contingent liabilities, of such Person, (b) the present fair saleable value of the assets of such Person is not less than
the amount that will be required to pay the probable liability of such Person on its debts as they become absolute and matured and (c) such Person is able to realize upon its assets and pay its debts and other liabilities, contingent
obligations and other commitments as they mature. In computing the amount of contingent liabilities at any time, it is intended that such liabilities will be computed at the amount which, in light of all the facts and circumstances existing at such
time, represents the amount that can reasonably be expected to become an actual or matured liability. 
 “Specified
Affiliate” means any corporation, association or other business entity formed for the purpose of earning income not qualified as “rents from real property” under applicable provisions of the Internal Revenue Code, in which the
Borrower owns substantially all of the economic interest, but less than 10% of the voting interests, and the remaining economic and voting interests are subject to restrictions requiring that ownership of such interests be held by officers,
directors or employees of the Borrower. 
 “Subsidiary” of a Person means a corporation, partnership, joint
venture, limited liability company or other business entity of which a majority of the shares of securities or other interests having ordinary voting power for the election of directors or other governing body (other than securities or interests
having such power only by reason of the happening of a contingency) are at the time beneficially owned, or the management of which is otherwise controlled, directly, or indirectly through one or more intermediaries, or both, by such Person. Unless
otherwise provided, “Subsidiary” shall refer to a Subsidiary of the Borrower. 
 “Subsidiary
Guarantor” means any Subsidiary of the Borrower which is a Guarantor. 
 “Support Obligations” means,
as to any Person, (a) any obligation, contingent or otherwise, of such Person guaranteeing or having the economic effect of guaranteeing any Indebtedness or other obligation payable or performable by another Person (the “primary
obligor”) in any manner, whether directly or indirectly, and including any obligation of such Person, direct or indirect, (i) to purchase or pay (or advance or supply funds for the purchase or payment of) such Indebtedness or other
obligation, (ii) to purchase or lease property, securities or services for the purpose of assuring the obligee in respect of such Indebtedness or other obligation of the payment or performance of such Indebtedness or other obligation,
(iii) to maintain working capital, equity capital or any other financial statement condition or liquidity or level of income or cash flow of the primary obligor so as to enable the primary obligor to pay such Indebtedness or other obligation,
or (iv) entered into for the purpose of assuring in any other manner the obligee in respect of such Indebtedness or other obligation of the payment or performance thereof or to protect such obligee against loss in respect thereof (in whole or
in part), or (b) any Lien on any assets of such Person securing any Indebtedness or other obligation of any other Person, whether or not such Indebtedness or other obligation is assumed by such Person. The amount of any Support Obligations
shall be deemed to be an amount equal to the stated or determinable amount of the related primary 

  
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obligation, or portion thereof, in respect of which such Support Obligation is made or, if not stated or determinable, the maximum reasonably anticipated liability in respect thereof as
determined by the guaranteeing Person in good faith. 
 “Swap Contract” means (a) any and all rate swap
transactions, basis swaps, credit derivative transactions, forward rate transactions, commodity swaps, commodity options, forward commodity contracts, equity or equity index swaps or options, bond or bond price or bond index swaps or options or
forward bond or forward bond price or forward bond index transactions, interest rate options, forward foreign exchange transactions, cap transactions, floor transactions, collar transactions, currency swap transactions, cross-currency rate swap
transactions, currency options, spot contracts, or any other similar transactions or any combination of any of the foregoing (including any options to enter into any of the foregoing), whether or not any such transaction is governed by or subject to
any master agreement, and (b) any and all transactions of any kind, and the related confirmations, that are subject to the terms and conditions of, or governed by, any form of master agreement published by the International Swaps and
Derivatives Association, Inc., any International Foreign Exchange Master Agreement, or any other master agreement (any such master agreement, together with any related schedules, a “Master Agreement”), including any such obligations
or liabilities under any Master Agreement. 
 “Swap Termination Value” means, in respect of any one or more
Swap Contracts, after taking into account the effect of any legally enforceable netting agreement relating to such Swap Contracts, (a) for any date on or after the date such Swap Contracts have been closed out and termination values determined
in accordance therewith, such termination values, and (b) for any date prior to the date referenced in clause (a), the amounts determined as the mark-to-market values for such Swap Contracts, as determined based upon one or more
mid-market or other readily available quotations provided by any recognized dealer in such Swap Contracts (which may include a Lender or any Affiliate of a Lender). 
 “Swing Line Borrowing” means a borrowing of a Swing Line Loan pursuant to Section 2.01(c). 
 “Swing Line Commitment” means, with respect to the Swing Line Lender, the commitment of the Swing Line Lender to make Swing Line Loans, and with respect to each Lender, the commitment of
such Lender to purchase participation interests in Swing Line Loans. 
 “Swing Line Committed Amount” means as
provided in Section 2.01(c). 
 “Swing Line Lender” means Wells Fargo in its capacity as such,
together with any successor in such capacity. 
 “Swing Line Loan” means as provided in
Section 2.01(c). 
 “Swing Line Note” means the promissory note substantially in the form of
Exhibit 2.13-2 given to evidence the Swing Line Loans of such Lender, as amended, restated, modified, supplemented, extended, renewed or replaced. 
 “Synthetic Lease” means any synthetic lease, tax retention operating lease, off-balance sheet loan or similar off-balance sheet financing arrangement that is considered borrowed money
indebtedness for tax purposes but is classified as an operating lease under GAAP. 
 “Taxes” means all present
or future taxes, levies, imposts, duties, deductions, withholdings (including backup withholding), assessments, fees or other charges imposed by any Governmental Authority, including any interest, additions to tax or penalties applicable thereto.

  
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 “Transfer Authorizer Designation Form” means a form substantially in the
form of Exhibit 1.01 to be delivered to the Administrative Agent pursuant to Section 4.01, as the same may be amended, restated or modified from time to time with the prior written approval of the Administrative Agent. 

“Type” means with respect to a Revolving Loan, its character as a Base Rate Loan or a Eurodollar Rate Loan. 

“Unfunded Pension Liability” means the excess of a Pension Plan’s benefit liabilities under
Section 4001(a)(16) of ERISA, over the current value of that Pension Plan’s assets, determined in accordance with the assumptions used for funding the Pension Plan pursuant to Section 412 of the Internal Revenue Code for the
applicable plan year. 
 “United States” or “U.S.” means the United States of America.

 “Unreimbursed Amount” means as provided in Section 2.03(c)(i). 

“Wells Fargo” means Wells Fargo Bank, National Association, together with its successors. 

“WFS” means Wells Fargo Securities, LLC, together with its successors. 

“Wholly Owned” means, with respect to any direct or indirect Subsidiary of any Person, that 100% of the Capital Stock
with ordinary voting power issued by such Subsidiary (other than directors’ qualifying shares and investments by foreign nationals mandated by applicable Law) is beneficially owned, directly or indirectly, by such Person. 

1.02 Interpretive Provisions. 

With reference to this Credit Agreement and each other Credit Document, unless otherwise provided herein or in such other Credit
Document: 
 (a) The meanings of defined terms are equally applicable to the singular and plural forms of the
defined terms. 
 (b)(i) The words “herein”, “hereto”, “hereof” and
“hereunder” and words of similar import when used in any Credit Document shall refer to such Credit Document as a whole and not to any particular provision thereof. 

(ii) Unless otherwise provided or required by context, Article, Section, Exhibit and Schedule references are to
the Credit Document in which such reference appears. 
 (iii) The term “including” is by way of
example and not limitation. 
 (iv) The term “documents” includes any and all instruments,
documents, agreements, certificates, notices, reports, financial statements and other writings, however evidenced, whether in physical or electronic form. 
 (c) In the computation of periods of time from a specified date to a later specified date, the word “from” means “from and including”; the words “to” and
“until” each mean “to but excluding”; and the word “through” means “to and including”. 

  
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 (d) Section headings herein and in the other Credit Documents are
included for convenience of reference only and shall not affect the interpretation of this Credit Agreement or any other Credit Document. 
 1.03 Accounting Terms. 
 (a) All accounting
terms not specifically or completely defined herein shall be construed in conformity with, and all financial data (including financial ratios and other financial calculations) required to be submitted pursuant to this Credit Agreement shall be
prepared in conformity with, GAAP applied on a consistent basis, as in effect from time to time, applied in a manner consistent with that used in preparing the audited financial statements for the fiscal year ended December 31, 2010,
except as otherwise specifically prescribed herein. 
 (b) The Borrower will provide a written summary of changes in GAAP
that are material to the Borrower or in the consistent application thereof with each annual and quarterly Compliance Certificate delivered in accordance with Section 6.01(c); provided, however, that the furnishing of
filings of the Borrower’s quarterly reports on Form 10-Q and annual reports on Form 10-K, as filed with the SEC, shall satisfy this delivery requirement to the extent such summaries, consistent with FASB ASC 235-10, Notes to Financial
Statements, are contained in such filings. If at any time any change in GAAP or in the consistent application thereof would affect the computation of any financial ratio or requirement set forth in any Credit Document, and either the Borrower or the
Required Lenders shall object in writing to determining compliance based on such change, then such computations shall continue to be made on a basis consistent with the most recent financial statements delivered pursuant to
Section 6.01(a) or (b) as to which no such objection has been made. 
 1.04
Rounding. 
 Any financial ratios required to be maintained by the Borrower pursuant to this Credit Agreement shall be
calculated by dividing the appropriate component by the other component, carrying the result to one place more than the number of places by which such ratio is expressed herein and rounding the result up or down to the nearest number (with a
rounding-up if there is no nearest number). 
 1.05 References to Agreements and Laws.

 Unless otherwise expressly provided herein, (a) references to Organization Documents, agreements (including the Credit
Documents) and other contractual instruments shall be deemed to include all subsequent amendments, restatements, extensions, supplements and other modifications thereto, but only to the extent that such amendments, restatements, extensions,
supplements and other modifications are not prohibited by any Credit Document; and (b) references to any Law shall include all statutory and regulatory provisions consolidating, amending, replacing, supplementing or interpreting such Law.

 1.06 Times of Day. 

Unless otherwise provided, all references herein to times of day shall be references to Eastern time (daylight or standard, as
applicable). 
 1.07 Letter of Credit Amounts. 

Unless otherwise specified herein, the amount of a Letter of Credit at any time shall be deemed to be the stated amount of such Letter of
Credit in effect at such time; provided, however, that with respect 

  
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to any Letter of Credit that, by its terms or the terms of any Issuer Document related thereto, provides for one or more automatic increases in the stated amount thereof, the amount of such
Letter of Credit shall be deemed to be the maximum stated amount of such Letter of Credit after giving effect to all such increases, whether or not such maximum stated amount is in effect at such time. 

ARTICLE II 
 COMMITMENTS AND EXTENSIONS OF CREDIT 
 2.01
Commitments. 
 Subject to the terms and conditions set forth herein: 

(a) Revolving Loans. During the Commitment Period, each Lender severally agrees to make revolving credit loans (the
“Revolving Loans”) to the Borrower on any Business Day; provided that after giving effect to any such Revolving Loan, (i) with regard to the Lenders collectively, the aggregate principal amount of Revolving Obligations
shall not exceed SEVEN HUNDRED MILLION DOLLARS ($700,000,000) (as such amount may be increased or decreased in accordance with the provisions hereof, the “Aggregate Revolving Committed Amount”), and (ii) with regard to each
Lender individually, such Lender’s Revolving Commitment Percentage of Revolving Obligations shall not exceed its respective Revolving Committed Amount. Revolving Loans may consist of Base Rate Loans, Eurodollar Rate Loans, or a combination
thereof, as the Borrower may request, and may be repaid and reborrowed in accordance with the provisions hereof. 
 (b)
Letters of Credit. During the Commitment Period, (i) the L/C Issuer, in reliance upon the commitments of the Lenders set forth herein, agrees (A) to issue Letters of Credit for the account of the Borrower or any member of the
Consolidated Group on any Business Day, (B) to amend or renew Letters of Credit previously issued hereunder, and (C) to honor drafts under Letters of Credit; and (ii) each Lender irrevocably and unconditionally agrees to purchase from
the L/C Issuer a participation interest in the Letters of Credit issued hereunder in an amount equal to such Lender’s Revolving Commitment Percentage thereof; provided that (A) the aggregate principal amount of L/C Obligations shall
not exceed NINETY MILLION DOLLARS ($90,000,000) (as such amount may be increased or decreased in accordance with the provisions hereof, the “L/C Committed Amount”), (B) with regard to the Lenders collectively, the aggregate
principal amount of Revolving Obligations shall not exceed the Aggregate Revolving Committed Amount, and (C) with regard to each Lender individually, such Lender’s Revolving Commitment Percentage of Revolving Obligations shall not exceed
its respective Revolving Committed Amount. Subject to the terms and conditions hereof, the Borrower’s ability to obtain Letters of Credit shall be fully revolving, and accordingly the Borrower may obtain Letters of Credit to replace Letters of
Credit that have expired or that have been drawn upon and reimbursed. 
 (c) Swing Line Loans. During the Commitment
Period, the Swing Line Lender agrees, subject to the terms and conditions set forth herein and in reliance upon the agreements of the other Lenders set forth herein, to make revolving credit loans (the “Swing Line Loans”) to the
Borrower on any Business Day; provided that (i) the aggregate principal amount of Swing Line Loans shall not exceed NINETY MILLION DOLLARS ($90,000,000) (as such amount may be increased or decreased in accordance with the provisions
hereof, the “Swing Line Committed Amount”), (ii) with respect to the Lenders collectively, the aggregate principal amount of Revolving Obligations shall not exceed the Aggregate Revolving Committed Amount, (iii) with
regard to each Lender individually, such Lender’s Revolving Commitment Percentage of Revolving Obligations shall not exceed its respective Revolving Committed Amount, and (iv) the Borrower shall not use the proceeds of any Swing Line Loan
to refinance any outstanding Swing Line Loan. Swing Line Loans shall be comprised solely of Loans 

  
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bearing interest based on the Base Rate or such other rate as may be agreed, in each case as provided in Section 2.08(a)(iii), and may be repaid and reborrowed in accordance with the
provisions hereof. Immediately upon the making of a Swing Line Loan, each Lender shall be deemed to, and hereby irrevocably and unconditionally agrees to, purchase from the Swing Line Lender a participation interest in such Swing Line Loan in an
amount equal to the product of such Lender’s Revolving Commitment Percentage thereof. No Swing Line Loan shall remain outstanding for longer than ten (10) Business Days. 

2.02 Borrowings, Conversions and Continuations. 

(a) Each Borrowing, each conversion of Loans from one Type to the other, and each continuation of Eurodollar Rate Loans shall be made
upon the Borrower’s irrevocable notice to the Administrative Agent, which may be given by telephone. Each such notice must be received by the Administrative Agent not later than 1:00 p.m. (i) with respect to Eurodollar Rate Loans, three
(3) Business Days prior to, or (ii) with respect to Base Rate Loans, one (1) Business Day prior to, the requested date of any Borrowing, conversion or continuation. Each telephonic notice by the Borrower pursuant to this
Section 2.02(a) must be confirmed promptly by delivery to the Administrative Agent of a written Loan Notice, appropriately completed and signed by a Responsible Officer of the Borrower. Except as provided in
Sections 2.03(c) and 2.04(b), each Borrowing, conversion or continuation shall be in a principal amount of (i) with respect to Eurodollar Rate Loans, $2,000,000 or a whole multiple of $1,000,000 in excess thereof or
(ii) with respect to Base Rate Loans, $500,000 or a whole multiple of $100,000 in excess thereof. Each Loan Notice (whether telephonic or written) shall specify (i) whether such request is for a Borrowing, conversion, or continuation,
(ii) the requested date of such Borrowing, conversion or continuation (which shall be a Business Day), (iii) the principal amount of Loans to be borrowed, converted or continued, (iv) the Type of Loans to be borrowed, converted or
continued, and (v) if applicable, the duration of the Interest Period with respect thereto. If the Borrower fails to specify a Type of Loan in a Loan Notice or if the Borrower fails to give a timely notice requesting a conversion or
continuation, then the applicable Loans shall be made as, or converted to, Base Rate Loans. Any automatic conversion to Base Rate Loans shall be effective as of the last day of the Interest Period then in effect with respect to the applicable
Eurodollar Rate Loans. If the Borrower requests a Borrowing of, conversion to, or continuation of Eurodollar Rate Loans in any Loan Notice, but fails to specify an Interest Period, the Interest Period will be deemed to be one (1) month.

 (b) Following receipt of a Loan Notice, the Administrative Agent shall promptly notify each Lender of the amount of its
Revolving Commitment Percentage of the applicable Loans, and if no timely notice of a conversion or continuation is provided by the Borrower, the Administrative Agent shall notify each Lender of the details of any automatic conversion to Base Rate
Loans described in the preceding subsection. In the case of a Borrowing, each Lender shall make the amount of its Loan available to the Administrative Agent in immediately available funds at the Administrative Agent’s Office not later than 3:00
p.m. on the Business Day specified in the applicable Loan Notice. Upon satisfaction of the applicable conditions set forth in Section 4.02 (and, if such Borrowing is the initial Extension of Credit, Section 4.01), the
Administrative Agent shall make all funds so received available to the Borrower in like funds as received by the Administrative Agent either by (i) crediting the account of the Borrower on the books of the Administrative Agent with the amount
of such funds or (ii) wire transfer of such funds, in each case in accordance with instructions provided to (and reasonably acceptable to) the Administrative Agent by the Borrower. 

(c) Except as otherwise provided herein, without the consent of the Required Lenders, (i) a Eurodollar Rate Loan may be continued or
converted only on the last day of an Interest Period for such Eurodollar Rate Loan and (ii) any conversion into, or continuation as, a Eurodollar Rate Loan may be made only if the conditions to Extensions of Credit in Section 4.02
have been satisfied. During the 

  
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existence of a Default or Event of Default, (i) no Loan may be requested as, converted to or continued as a Eurodollar Rate Loan and (ii) at the request of the Required Lenders, any
outstanding Eurodollar Rate Loan shall be converted immediately to a Base Rate Loan. 
 (d) The Administrative Agent shall
promptly notify the Borrower and the Lenders of the interest rate applicable to any Interest Period for Eurodollar Rate Loans upon determination of such interest rate. The determination of the Eurodollar Rate by the Administrative Agent shall be
conclusive in the absence of manifest error. 
 (e) After giving effect to all Borrowings, all conversions of Loans from one
Type to the other, and all continuations of Loans as the same Type, there shall not be more than nine (9) Interest Periods in effect with respect to Revolving Loans. 
 2.03 Additional Provisions with respect to Letters of Credit. 
 (a) Obligation to Issue or Amend. 
 (i) The L/C Issuer shall
be under no obligation to issue any Letter of Credit if: 
 (A) the issuance of such Letter of Credit would
violate one or more policies of the L/C Issuer; or 
 (B) such Letter of Credit is in an initial amount less than
$500,000 or is to be denominated in a currency other than Dollars. 
 (ii) The L/C Issuer shall not issue any
Letter of Credit if: 
 (A) any order, judgment or decree of any Governmental Authority or arbitrator shall by
its terms purport to enjoin or restrain the L/C Issuer from issuing such Letter of Credit, or any Law applicable to the L/C Issuer or any request or directive (whether or not having the force of law) from any Governmental Authority with jurisdiction
over the L/C Issuer shall prohibit, or request that the L/C Issuer refrain from, the issuance of letters of credit generally or such Letter of Credit in particular or shall impose upon the L/C Issuer with respect to such Letter of Credit any
restriction, reserve or capital requirement (for which the L/C Issuer is not otherwise compensated hereunder) not in effect on the Closing Date, or shall impose upon the L/C Issuer any unreimbursed loss, cost or expense that was not applicable on
the Closing Date and that the L/C Issuer in good faith deems material to it; 
 (B) the expiry date of such
requested Letter of Credit would occur more than twelve (12) months after the date of issuance or last renewal, unless the L/C Issuer shall have approved such expiry date as provided in, and subject to Section 2.03(b)(iii);

 (C) the expiry date of such requested Letter of Credit would occur after the Letter of Credit Expiration Date,
unless all the Lenders have approved such expiry date as provided in, and subject to, Section 2.03(a)(v) and Section 2.03(l); 
 (D) one or more applicable conditions contained in Section 4.02 shall not then be satisfied and the L/C Issuer shall have received written notice thereof from any Lender or any Credit Party at
least one (1) Business Day prior to the requested date of issuance of such Letter of Credit; 

  
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 (E) the Revolving Commitments have been terminated pursuant to
Section 7.01; or 
 (F) such Letter of Credit is to be denominated in a currency other than Dollars;

 (iii) The L/C Issuer shall be under no obligation to amend any Letter of Credit if: 

(A) the L/C Issuer would have no obligation at such time to issue such Letter of Credit in its amended form under the
terms hereof; or 
 (B) the beneficiary of such Letter of Credit does not accept the proposed amendment to such
Letter of Credit. 
 (iv) The L/C Issuer shall not amend any Letter of Credit if: 

(A) one or more applicable conditions contained in Section 4.02 shall not then be satisfied and the L/C Issuer
shall have received written notice thereof from any Lender or any Credit Party at least one (1) Business Day prior to the requested date of amendment of such Letter of Credit; 

(B) the Revolving Commitments have been terminated pursuant to Section 7.01; or 

(C) assuming such amended Letter of Credit were then being requested, one or more of the conditions contained in
Section 2.03(a)(ii) shall then exist and would prohibit the issuance of such amended Letter of Credit. 
 (v) Notwithstanding the immediately preceding clause (ii)(C), the expiry date of a Letter of Credit may occur after the Letter of Credit Expiration Date so long as the L/C Issuer and all of the
Lenders have approved such later expiry date (in which case, such Letter of Credit shall be an “Extended Letter of Credit”), it being acknowledged and agreed that each such Extended Letter of Credit shall be Cash Collateralized in
accordance with Section 2.03(l). 
 (b) Procedures for Issuance and Amendment. 

(i) Each Letter of Credit shall be issued or amended, as the case may be, upon the request of the Borrower delivered to
the L/C Issuer (with a copy to the Administrative Agent) in the form of a Letter of Credit Application, appropriately completed and signed by a Responsible Officer of the Borrower. Such Letter of Credit Application must be received by the L/C Issuer
and the Administrative Agent not later than 11:00 a.m. at least five (5) Business Days (or such later date and time as the L/C Issuer may agree in a particular instance in its sole discretion) prior to the proposed issuance date or date of
amendment, as the case may be. In the case of a request for an initial issuance of a Letter of Credit, such Letter of Credit Application shall specify in form and detail satisfactory to the L/C Issuer: (A) the proposed issuance date of the
requested Letter of Credit (which shall be a Business Day); (B) the amount thereof; (C) the expiry date thereof; (D) the name and address of the beneficiary thereof; (E) the documents to be presented by such beneficiary in case
of any drawing thereunder; (F) the full text of any certificate to be presented by such beneficiary in case of any drawing thereunder; and (G) such other matters as the L/C Issuer may require. In the case of a request for an amendment of
any outstanding Letter of 

  
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Credit, such Letter of Credit Application shall specify in form and detail satisfactory to the L/C Issuer (A) the Letter of Credit to be amended; (B) the proposed date of amendment
thereof (which shall be a Business Day); (C) the nature of the proposed amendment; and (D) such other matters as the L/C Issuer may require. Additionally, the Borrower shall furnish to the L/C Issuer and the Administrative Agent such
other documents and information pertaining to such requested Letter of Credit issuance or amendment, including any Issuer Documents, as the L/C Issuer or the Administrative Agent may reasonably require. 

(ii) Promptly after receipt of any Letter of Credit Application, the L/C Issuer will confirm with the Administrative Agent
(by telephone or in writing) that the Administrative Agent has received a copy of such Letter of Credit Application from the Borrower and, if not, the L/C Issuer will provide the Administrative Agent with a copy thereof. Upon receipt by the L/C
Issuer of confirmation from the Administrative Agent that the requested issuance or amendment is permitted in accordance with the terms hereof, then, subject to the terms and conditions hereof, the L/C Issuer shall, on the requested date, issue a
Letter of Credit for the account of the Borrower or enter into the applicable amendment, as the case may be, in each case in accordance with the L/C Issuer’s usual and customary business practices. Immediately upon the issuance of each Letter
of Credit, each Lender shall be deemed to, and hereby irrevocably and unconditionally agrees to, purchase from the L/C Issuer a risk participation in such Letter of Credit in an amount equal to the product of such Lender’s Revolving Commitment
Percentage of such Letter of Credit. 
 (iii) If the Borrower so requests in the applicable Letter of Credit
Application, the L/C Issuer may, in its sole discretion, agree to issue a Letter of Credit that has automatic extension provisions (each, an “Evergreen Letter of Credit”); provided that any such Evergreen Letter of Credit
must permit the L/C Issuer to prevent any such extension at least once in each twelve-month period (commencing with the date of issuance of such Letter of Credit) by giving prior notice to the beneficiary thereof not later than a day (the
“Non-Extension Notice Date”) in each such twelve-month period to be agreed upon at the time such Letter of Credit is issued. Unless otherwise directed by the L/C Issuer, the Borrower shall not be required to make a specific request
to the L/C Issuer for any such extension. Once an Evergreen Letter of Credit has been issued, the Lenders shall be deemed to have authorized (but may not require) the L/C Issuer to permit the extension of such Letter of Credit at any time to an
expiry date not later than the Letter of Credit Expiration Date (or with respect to an Extended Letter of Credit, the expiry date set forth in such Extended Letter of Credit); provided that the L/C Issuer shall not permit any such extension
if (A) the L/C Issuer has determined that it would not be permitted, or would have no obligation, at such time to issue such Letter of Credit in its revised form (as extended) under the terms hereof, or (B) it has received notice (which
may be by telephone or in writing) on or before the day that is seven Business Days before the Non-Extension Notice Date (1) from the Administrative Agent that the Required Lenders have elected not to permit such extension or (2) from the
Administrative Agent, any Lender or the Borrower that one or more of the applicable conditions specified in Section 4.02 is not then satisfied, and in each such case directing the L/C Issuer not to permit such extension. 

(iv) After delivery of any Letter of Credit or any amendment to a Letter of Credit to an advising bank with respect
thereto or to the beneficiary thereof, the L/C Issuer will deliver to the Borrower or the Administrative Agent a true and complete copy of such Letter of Credit or amendment upon request. 

  
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 (c) Drawings and Reimbursements; Funding of Participations. 

(i) Upon any drawing under any Letter of Credit, the L/C Issuer shall notify the Borrower and the Administrative Agent
thereof. Not later than 11:00 a.m. on the date of any payment by the L/C Issuer under a Letter of Credit (each such date, an “Honor Date”), the Borrower shall reimburse the L/C Issuer through the Administrative Agent in an amount
equal to the amount of such drawing. If the Borrower fails to so reimburse the L/C Issuer by such time, the Administrative Agent shall promptly notify each Lender of the Honor Date, the amount of the unreimbursed drawing (the “Unreimbursed
Amount”), and the amount of such Lender’s Revolving Commitment Percentage thereof. In such event, the Borrower shall be deemed to have requested a Borrowing of Base Rate Loans to be disbursed on the Honor Date in an amount equal to the
Unreimbursed Amount, without regard to the minimum and multiples specified in Section 2.02 for the principal amount of Base Rate Loans, the amount of the unutilized portion of the Aggregate Revolving Commitments or the conditions set
forth in Section 4.02. Any notice given by the L/C Issuer or the Administrative Agent pursuant to this Section 2.03(c)(i) may be given by telephone if immediately confirmed in writing; provided that the lack of
such an immediate confirmation shall not affect the conclusiveness or binding effect of such notice. 
 (ii) Each
Lender (including the Lender acting as L/C Issuer) shall upon any notice pursuant to Section 2.03(c)(i) make funds available to the Administrative Agent for the account of the L/C Issuer at the Administrative Agent’s Office in
an amount equal to its Revolving Commitment Percentage of the Unreimbursed Amount not later than 1:00 p.m. on the Business Day specified in such notice by the Administrative Agent, whereupon, subject to the provisions of
Section 2.03(c)(iii), each Lender that so makes funds available shall be deemed to have made a Revolving Loan that is a Base Rate Loan to the Borrower in such amount. The Administrative Agent shall remit the funds so received to the L/C
Issuer. 
 (iii) With respect to any Unreimbursed Amount that is not fully refinanced by a Borrowing of Base Rate
Loans for any reason, the Borrower shall be deemed to have incurred from the L/C Issuer an L/C Borrowing in the amount of the Unreimbursed Amount that is not so refinanced, which L/C Borrowing shall be due and payable on demand (together with
interest) and shall bear interest at the Default Rate. In such event, each Lender’s payment to the Administrative Agent for the account of the L/C Issuer pursuant to Section 2.03(c)(ii) shall be deemed payment in respect of its
participation in such L/C Borrowing and shall constitute an L/C Advance from such Lender in satisfaction of its participation obligation under this Section 2.03. 

(iv) Until each Lender funds its Revolving Loan or L/C Advance pursuant to this Section 2.03(c) to
reimburse the L/C Issuer for any amount drawn under any Letter of Credit, interest in respect of such Lender’s Revolving Commitment Percentage of such amount shall be solely for the account of the L/C Issuer. 

(v) Each Lender’s obligation to make Revolving Loans or L/C Advances to reimburse the L/C Issuer for amounts drawn
under Letters of Credit, as contemplated by this Section 2.03(c), shall be absolute and unconditional and shall not be affected by any circumstance, including (A) any Cash Collateral being delivered in respect of an Extended Letter
of Credit, (B) any set-off, counterclaim, recoupment, defense or other right that such Lender may have against the L/C Issuer, the Borrower or any other Person for any reason whatsoever, (C) the occurrence or continuance of a Default or
Event of Default, (D) non-compliance with the conditions set forth in Section 4.02, or (E) any other occurrence, event or condition, whether or not similar to any of the foregoing. No such making of an L/C Advance shall relieve
or otherwise impair the obligation of the Borrower to reimburse the L/C Issuer for the amount of any payment made by the L/C Issuer under any Letter of Credit, together with interest as provided herein. 

  
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 (vi) If any Lender fails to make available to the Administrative Agent for
the account of the L/C Issuer any amount required to be paid by such Lender pursuant to the foregoing provisions of this Section 2.03(c) by the time specified in Section 2.03(c)(ii), the L/C Issuer shall be entitled to
recover from such Lender (acting through the Administrative Agent), on demand, such amount with interest thereon for the period from the date such payment is required to the date on which such payment is immediately available to the L/C Issuer at a
rate per annum equal to the Federal Funds Rate from time to time in effect. A certificate of the L/C Issuer submitted to any Lender (through the Administrative Agent) with respect to any amounts owing under this clause (vi) shall be
conclusive absent manifest error. 
 (d) Repayment of Participations. 

(i) At any time after the L/C Issuer has made a payment under any Letter of Credit and has received from any Lender such
Lender’s L/C Advance in respect of such payment in accordance with Section 2.03(c), if the Administrative Agent receives for the account of the L/C Issuer any payment in respect of the related Unreimbursed Amount or interest thereon
(whether directly from the Borrower or otherwise, including proceeds of Cash Collateral applied thereto by the Administrative Agent), the Administrative Agent will distribute to such Lender its Revolving Commitment Percentage thereof (appropriately
adjusted, in the case of interest payments, to reflect the period of time during which such Lender’s L/C Advance was outstanding) in the same funds as those received by the Administrative Agent. 

(ii) If any payment received by the Administrative Agent for the account of the L/C Issuer pursuant to
Section 2.03(c)(i) is required to be returned under any of the circumstances described in Section 9.06 (including pursuant to any settlement entered into by the L/C Issuer in its discretion), each Lender shall pay to the
Administrative Agent for the account of the L/C Issuer its Revolving Commitment Percentage thereof on demand of the Administrative Agent, plus interest thereon from the date of such demand to the date such amount is returned by such Lender,
at a rate per annum equal to the Federal Funds Rate from time to time in effect. 
 (e) Obligations Absolute. The
obligation of the Borrower to reimburse the L/C Issuer for each drawing under each Letter of Credit and to repay each L/C Borrowing shall be absolute, unconditional and irrevocable, and shall be paid strictly in accordance with the terms of this
Credit Agreement under all circumstances, including the following: 
 (i) any lack of validity or enforceability
of such Letter of Credit, this Credit Agreement, or any other agreement or instrument relating thereto; 
 (ii)
the existence of any claim, counterclaim, set-off, defense or other right that the Borrower may have at any time against any beneficiary or any transferee of such Letter of Credit (or any Person for whom any such beneficiary or any such transferee
may be acting), the L/C Issuer or any other Person, whether in connection with this Credit Agreement, the transactions contemplated hereby or by such Letter of Credit or any agreement or instrument relating thereto, or any unrelated transaction;

 (iii) any draft, demand, certificate or other document presented under such Letter of Credit proving to be
forged, fraudulent, invalid or insufficient in any respect or any statement therein being untrue or inaccurate in any respect; or any loss or delay in the transmission or otherwise of any document required in order to make a drawing under such
Letter of Credit; 

  
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 (iv) any payment by the L/C Issuer under such Letter of Credit against
presentation of a draft or certificate that does not strictly comply with the terms of such Letter of Credit; or any payment made by the L/C Issuer under such Letter of Credit to any Person purporting to be a trustee in bankruptcy,
debtor-in-possession, assignee for the benefit of creditors, liquidator, receiver or other representative of or successor to any beneficiary or any transferee of such Letter of Credit, including any arising in connection with any proceeding under
any Debtor Relief Law; or 
 (v) any other circumstance or happening whatsoever, whether or not similar to any of
the foregoing, including any other circumstance that might otherwise constitute a defense available to, or a discharge of, the Borrower. 
 The Borrower shall promptly examine a copy of each Letter of Credit and each amendment thereto that is delivered to it and, in the event of any claim of noncompliance with the Borrower’s instructions
or other irregularity, the Borrower will immediately notify the L/C Issuer. The Borrower shall be conclusively deemed to have waived any such claim against the L/C Issuer and its correspondents unless such notice is given as aforesaid. 

(f) Role of L/C Issuer. Each Lender and the Borrower agree that, in paying any drawing under a Letter of Credit, the L/C Issuer
shall not have any responsibility to obtain any document (other than any sight draft, certificates and documents expressly required by the Letter of Credit) or to ascertain or inquire as to the validity or accuracy of any such document or the
authority of the Person executing or delivering any such document. None of the L/C Issuer, the Administrative Agent, any of their respective Related Parties nor any correspondent, participant or assignee of the L/C Issuer shall be liable to any
Lender for (i) any action taken or omitted in connection herewith at the request or with the approval of the Lenders or the Required Lenders, as applicable; (ii) any action taken or omitted in the absence of gross negligence or willful
misconduct as determined by a court of competent jurisdiction in a final, non-appealable judgment; or (iii) the due execution, effectiveness, validity or enforceability of any document or instrument related to any Letter of Credit or Issuer
Document. The Borrower hereby assumes all risks of the acts or omissions of any beneficiary or transferee with respect to its use of any Letter of Credit; provided, however, that this assumption is not intended to, and shall not,
preclude the Borrower’s pursuing such rights and remedies as it may have against the beneficiary or transferee at law or under any other agreement. None of the L/C Issuer, the Administrative Agent, any of their respective Related Parties nor
any correspondent, participant or assignee of the L/C Issuer shall be liable or responsible for any of the matters described in clauses (i) through (v) of Section 2.03(e); provided, however,
that anything in such clauses to the contrary notwithstanding, the Borrower may have a claim against the L/C Issuer, and the L/C Issuer may be liable to the Borrower, to the extent, but only to the extent, of any direct, as opposed to
consequential or exemplary, damages suffered by the Borrower that a court of competent jurisdiction in a final, non-appealable judgment, determines were caused by the L/C Issuer’s willful misconduct or gross negligence or the L/C Issuer’s
willful failure to pay under any Letter of Credit after the presentation to it by the beneficiary of a sight draft and certificate(s) strictly complying with the terms and conditions of a Letter of Credit. In furtherance and not in limitation of the
foregoing, the L/C Issuer may accept documents that appear on their face to be in order, without responsibility for further investigation, regardless of any notice or information to the contrary, and the L/C Issuer shall not be responsible for the
validity or sufficiency of any instrument transferring or assigning or purporting to transfer or assign a Letter of Credit or the rights or benefits thereunder or proceeds thereof, in whole or in part, that may prove to be invalid or ineffective for
any reason. 

  
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 (g) Cash Collateral. (i) If the L/C Issuer has honored any full or partial
drawing request under any Letter of Credit and such drawing has resulted in an L/C Borrowing, or (ii) if, as of the Letter of Credit Expiration Date, any Letter of Credit may for any reason remain outstanding and partially or wholly undrawn,
the Borrower shall immediately provide Cash Collateral in the then Outstanding Amount of all L/C Obligations (in an amount equal to such Outstanding Amount determined as of the date of such L/C Borrowing or the Letter of Credit Expiration Date, as
the case may be). The Borrower hereby grants to the Administrative Agent, for the benefit of the L/C Issuer and the Lenders, a security interest in all such cash, deposit accounts and all balances therein and all proceeds of the foregoing. Cash
Collateral shall be maintained in blocked deposit accounts at Wells Fargo. 
 (h) Applicability of ISP. Unless otherwise
expressly agreed by the L/C Issuer and the Borrower when a Letter of Credit is issued, the rules of the ISP shall apply to each standby Letter of Credit. 
 (i) Letter of Credit Fees. The Borrower shall pay Letter of Credit fees as set forth in Section 2.09. 
 (j) Conflict with Letter of Credit Application. In the event of any conflict between the terms hereof and the terms of any Issuer Document, the terms hereof shall control. 

(k) Letters of Credit Issued for Subsidiaries. Notwithstanding that a Letter of Credit issued or outstanding hereunder is in
support of any obligations of, or is for the account of, a Subsidiary, the Borrower shall be obligated to reimburse the L/C Issuer hereunder for any and all drawings under such Letter of Credit. The Borrower hereby acknowledges that the issuance of
Letters of Credit for the account of Subsidiaries inures to the benefit of the Borrower, and that the Borrower’s business derives substantial benefits from the businesses of such Subsidiaries. 

(l) Extended Letters of Credit. The Borrower shall provide Cash Collateral (in an amount equal to the amount of each Extended
Letter of Credit, calculated in accordance with Section 1.07) to the L/C Issuer with respect to each Extended Letter of Credit issued by the L/C Issuer by the date 30 days prior to the Revolving Termination Date; provided
that if the Borrower fails to provide Cash Collateral with respect to any such Extended Letter of Credit by such time, such event shall be treated as a drawing under such Extended Letter of Credit (in an amount equal to the amount of each such
Letter of Credit, calculated in accordance with Section 1.07), which shall be reimbursed (or participations therein funded) in accordance with Section 2.03(c), with the proceeds being utilized to provide Cash Collateral for
such Letter of Credit. If the delivery of any Cash Collateral in respect of an Extended Letter of Credit is subsequently invalidated, declared to be fraudulent or preferential, set aside or required to be repaid to a trustee, receiver or any other
party, in connection with any proceeding under any Debtor Relief Law or otherwise, each Lender confirms that its obligations under Section 2.03(c) shall remain in full force and effect. 

2.04 Additional Provisions with respect to Swing Line Loans. 

(a) Borrowing Procedures. Each Swing Line Borrowing shall be made upon the Borrower’s irrevocable notice to the Swing Line
Lender and the Administrative Agent, which may be given by telephone. Each such notice must be received by the Swing Line Lender and the Administrative Agent not later than 2:00 p.m. on the requested borrowing date, and shall specify (i) the
amount to be borrowed, which shall be a minimum of $100,000, and (ii) the requested borrowing date, which shall be a Business Day. Each such telephonic notice must be confirmed promptly by delivery to the Swing Line Lender and the
Administrative Agent of a written Loan Notice, appropriately completed and signed by a Responsible Officer of the Borrower. Promptly after receipt by the Swing Line Lender of any telephonic Loan Notice,

  
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the Swing Line Lender will confirm with the Administrative Agent (by telephone or in writing) that the Administrative Agent has also received such Loan Notice and, if not, the Swing Line Lender
will notify the Administrative Agent (by telephone or in writing) of the contents thereof. Unless the Swing Line Lender has received notice (by telephone or in writing) from the Administrative Agent (including at the request of any Lender) prior to
2:00 p.m. on the date of the proposed Swing Line Borrowing (A) directing the Swing Line Lender not to make such Swing Line Loan as a result of the limitations set forth in this Article II, or (B) that one or more of the applicable
conditions specified in Section 4.02 is not then satisfied, then, subject to the terms and conditions hereof, the Swing Line Lender will, not later than 3:00 p.m. on the borrowing date specified in such Loan Notice, make the amount of
its Swing Line Loan available to the Borrower by crediting the account of the Borrower on the books of the Swing Line Lender in immediately available funds. 
 (b) Refinancing. 
 (i) The Swing Line Lender at any time in
its sole and absolute discretion may request, on behalf of the Borrower (which hereby irrevocably authorizes the Swing Line Lender to so request on its behalf), that each Lender make a Revolving Loan that is a Base Rate Loan in an amount equal to
such Lender’s Revolving Commitment Percentage of Swing Line Loans then outstanding. Such request shall be made in writing (which written request shall be deemed to be a Loan Notice for purposes hereof) and in accordance with the requirements of
Section 2.02, without regard to the minimum and multiples specified therein for the principal amount of Base Rate Loans, the unutilized portion of the Aggregate Revolving Commitments or the conditions set forth in
Section 4.02. The Swing Line Lender shall furnish the Borrower with a copy of the applicable Loan Notice promptly after delivering such notice to the Administrative Agent. Each Lender shall make an amount equal to its Revolving
Commitment Percentage of the amount specified in such Loan Notice available to the Administrative Agent in immediately available funds for the account of the Swing Line Lender at the Administrative Agent’s Office not later than 1:00 p.m. on the
day specified in such Loan Notice, whereupon, subject to Section 2.04(b)(ii), each Lender that so makes funds available shall be deemed to have made a Revolving Loan that is a Base Rate Loan to the Borrower in such amount. The
Administrative Agent shall remit the funds so received to the Swing Line Lender. 
 (ii) If for any reason any
Swing Line Loan cannot be refinanced by such a Borrowing of Revolving Loans in accordance with Section 2.04(b)(i), the request for Revolving Loans submitted by the Swing Line Lender as set forth herein shall be deemed to be a request by
the Swing Line Lender that each of the Lenders fund its risk participation in the relevant Swing Line Loan and each Lender’s payment to the Administrative Agent for the account of the Swing Line Lender pursuant to
Section 2.04(b)(i) shall be deemed payment in respect of such participation. 
 (iii) If any
Lender fails to make available to the Administrative Agent for the account of the Swing Line Lender any amount required to be paid by such Lender pursuant to the foregoing provisions of this Section 2.04(b) by the time specified in
Section 2.04(b)(i), the Swing Line Lender shall be entitled to recover from such Lender (acting through the Administrative Agent), on demand, such amount with interest thereon for the period from the date such payment is required to the
date on which such payment is immediately available to the Swing Line Lender at a rate per annum equal to the Federal Funds Rate from time to time in effect. A certificate of the Swing Line Lender submitted to any Lender (through the Administrative
Agent) with respect to any amounts owing under this clause (iii) shall be conclusive absent manifest error. 
 (iv) Each Lender’s obligation to make Revolving Loans or to purchase and fund risk participations in Swing Line Loans pursuant to this Section 2.04(b) shall be absolute and

  
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unconditional and shall not be affected by any circumstance, including (A) any set-off, counterclaim, recoupment, defense or other right that such Lender may have against the Swing Line
Lender, the Borrower or any other Person for any reason whatsoever, (B) the occurrence or continuance of a Default or Event of Default, (C) non-compliance with the conditions set forth in Section 4.02, or (D) any other
occurrence, event or condition, whether or not similar to any of the foregoing. No such purchase or funding of risk participations shall relieve or otherwise impair the obligation of the Borrower to repay Swing Line Loans, together with interest as
provided herein. 
 (c) Repayment of Participations. 

(i) At any time after any Lender has purchased and funded a risk participation in a Swing Line Loan, if the Swing Line
Lender receives any payment on account of such Swing Line Loan, the Swing Line Lender will distribute to such Lender its Revolving Commitment Percentage of such payment (appropriately adjusted, in the case of interest payments, to reflect the period
of time during which such Lender’s risk participation was funded) in the same funds as those received by the Swing Line Lender. 
 (ii) If any payment received by the Swing Line Lender in respect of principal or interest on any Swing Line Loan is required to be returned by the Swing Line Lender under any of the circumstances
described in Section 9.06 (including pursuant to any settlement entered into by the Swing Line Lender in its discretion), each Lender shall pay to the Swing Line Lender its Revolving Commitment Percentage thereof on demand of the
Administrative Agent, plus interest thereon from the date of such demand to the date such amount is returned, at a rate per annum equal to the Federal Funds Rate. The Administrative Agent will make such demand upon the request of the Swing
Line Lender. 
 (d) Interest for Account of Swing Line Lender. The Swing Line Lender shall be responsible for invoicing
the Borrower for interest on the Swing Line Loans. Until each Lender funds its Revolving Loan or risk participation pursuant to this Section 2.04 to refinance such Lender’s Revolving Commitment Percentage of any Swing Line Loan,
interest in respect thereof shall be solely for the account of the Swing Line Lender. 
 (e) Payments Directly to Swing Line
Lender. The Borrower shall make all payments of principal and interest in respect of the Swing Line Loans directly to the Swing Line Lender. 
 2.05 Repayment of Loans. 
 (a) Revolving
Loans. The Borrower shall repay to the Lenders on the Revolving Termination Date the aggregate principal amount of Revolving Loans outstanding on such date. 
 (b) Swing Line Loans. The Borrower shall repay each Swing Line Loan on the earliest to occur of (i) the date of demand for repayment by the Swing Line Lender, (ii) the date ten
(10) Business Days after such Loan is made and (iii) the Revolving Termination Date. 

  
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 2.06 Prepayments. 

(a) Voluntary Prepayments. The Loans (subject to clauses (b) and (c) below) may be repaid in whole or in
part without premium or penalty (except, in the case of Loans other than Base Rate Loans, amounts payable pursuant to Section 3.05); provided that: 

(i) in the case of Loans other than Swing Line Loans, (A) notice thereof must be received by 1:00 p.m. by the
Administrative Agent at least three (3) Business Days prior to the date of prepayment, and (B) any such prepayment shall be in the same minimum amounts as provided for Borrowings in Section 2.02(a), or, in each case, the entire
remaining principal amount thereof, if less; and 
 (ii) in the case of Swing Line Loans, (A) notice thereof
must be received by the Swing Line Lender by 1:00 p.m. on the date of prepayment (with a copy to the Administrative Agent), and (B) any such prepayment shall be in the same minimum principal amounts as for advances thereof (or any lesser amount
that may be acceptable to the Swing Line Lender). 
 Each such notice of voluntary repayment hereunder shall be irrevocable and shall specify
the date and amount of prepayment and the Loans and Types of Loans which are to be prepaid. The Administrative Agent will give prompt notice to the applicable Lenders of any prepayment on the Loans and the Lender’s interest therein. Prepayments
of Eurodollar Rate Loans hereunder shall be accompanied by accrued interest thereon and breakage amounts, if any, under Section 3.05. 
 (b) Mandatory Prepayments on Revolving Obligations. If at any time (i) the aggregate principal amount of Revolving Obligations shall exceed the Aggregate Revolving Committed Amount,
(ii) the aggregate principal amount of L/C Obligations shall exceed the L/C Committed Amount or (iii) the aggregate principal amount of Swing Line Loans shall exceed the Swing Line Committed Amount, the Borrower shall immediately prepay
the Revolving Loans and/or to provide Cash Collateral to the L/C Obligations in an amount equal to such excess; provided, however, that Cash Collateral will not be provided to the L/C Obligations hereunder until the Revolving Loans and Swing
Line Loans have been paid to or below the Aggregate Revolving Committed Amount or the Swing Line Committed Amount, as the case may be. 
 (c) Application. Within each Loan, prepayments will be applied first to Base Rate Loans, then ratably to Eurodollar Rate Loans. In addition: 

(i) Voluntary Prepayments. Voluntary prepayments shall be applied as specified by the Borrower. Voluntary
prepayments on the Revolving Obligations will be paid by the Administrative Agent to the Lenders ratably in accordance with their respective interests therein (except for Defaulting Lenders where their share will be held as provided in
Section 2.14 hereof). 
 (ii) Mandatory Prepayments. Mandatory prepayments on Revolving
Obligations under Section 2.06(b) will be paid by the Administrative Agent to the Lenders ratably in accordance with their respective interests therein (except for Defaulting Lenders where their share will be applied as provided in
Section 2.14 hereof), or to the respective Revolving Obligations, as appropriate. 

2.07 Termination or Reduction of Commitments. 

The Revolving Commitments hereunder may be permanently reduced in whole or in part by notice from the Borrower to the Administrative
Agent; provided that (i) any such notice thereof must be received by 11:00 a.m. at least five (5) Business Days prior to the date of reduction or termination and any such prepayment shall be in a minimum principal amount of
$5,000,000 and integral multiples of $1,000,000 in excess thereof; and (ii) the Revolving Commitments may not be reduced to an amount less than the Revolving Obligations then outstanding. The Administrative Agent will give prompt notice to the
Lenders of any such reduction in Commitments. Any reduction of the Aggregate Revolving Commitments shall be applied to the Revolving Commitment of each Lender according to its Revolving 

  
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Commitment Percentage thereof. All commitment or other fees accrued until the effective date of any termination of the Aggregate Revolving Commitments shall be paid on the effective date of such
termination. 
 2.08 Interest. 

(a) Subject to the provisions of clause (b) below, (i) each Revolving Loan that is a Eurodollar Rate Loan (other than
Swing Line Loans) shall bear interest on the outstanding principal amount thereof for the Interest Period at a rate per annum equal to the Eurodollar Rate for such Interest Period plus the Applicable Percentage; (ii) each Revolving Loan
that is a Base Rate Loan shall bear interest on the outstanding principal amount thereof from the applicable borrowing date at a rate per annum equal to the Base Rate plus the Applicable Percentage; (iii) each Swing Line Loan shall bear
interest on the outstanding principal amount thereof from the applicable borrowing date at a rate per annum equal to the Base Rate plus the Applicable Percentage, or such other rate as the Swing Line Lender and the Borrower shall agree in
writing. 
 (b)(i) If any amount payable by the Borrower under any Credit Document is not paid when due (without regard to any
applicable grace periods), whether at stated maturity, by acceleration or otherwise, such amount shall thereafter bear interest at a fluctuating interest rate per annum at all times equal to the Default Rate to the fullest extent permitted by
applicable Law. 
 (ii) After the occurrence and during the continuance of an Event of Default under
Section 7.01(g) or (h), the Borrower shall pay interest on the principal amount of all outstanding Obligations hereunder at a fluctuating interest rate per annum at all times equal to the Default Rate to the fullest extent
permitted by applicable Law. 
 (iii) After the occurrence and during the continuance of an Event of Default
other than under Section 7.01(g) or (h), upon the request of the Required Lenders, the Borrower shall pay interest on the principal amount of all outstanding Obligations hereunder at a fluctuating interest rate per annum at all
times equal to the Default Rate to the fullest extent permitted by applicable Law. 
 (iv) Accrued and unpaid
interest on past due amounts (including interest on past due interest) shall be due and payable upon demand. 
 (c) Interest on
each Loan shall be due and payable in arrears on each Interest Payment Date applicable thereto and at such other times as may be specified herein. Interest hereunder shall be due and payable in accordance with the terms hereof before and after
judgment, and before and after the commencement of any proceeding under any Debtor Relief Law. 

2.09 Fees. 
 (a) Facility Fee. From and after the Closing Date, the Borrower agrees to pay the Administrative Agent for the ratable benefit of the Lenders (other than a Defaulting Lender which shall be dealt
with as provided in Section 2.14 hereof) a commitment fee (the “Facility Fee”) for each calendar quarter, prorated for partial quarters, in an amount equal to the amount denoted under the heading “Facility Fee”
as set forth in the definition of “Applicable Percentage” herein multiplied by the actual daily amount of the Aggregate Revolving Commitments (or if the Aggregate Revolving Commitments shall have expired or been terminated, on the
Outstanding Amount of the Revolving Obligations), regardless of usage. The Facility Fee shall accrue at all times during the Commitment Period (and thereafter so long as Revolving Obligations shall remain outstanding), including periods during which
the 

  
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conditions to Extensions of Credit in Section 4.02 may not be met, and shall be payable quarterly in arrears on the last Business Day of each March, June, September and December,
commencing with the first such date to occur after the Closing Date, and on the Revolving Termination Date (and, if applicable, thereafter on demand). The Administrative Agent shall distribute the Facility Fee to the Lenders pro rata in accordance
with the respective Revolving Commitments of the Lenders. 
 (b) Upfront and Other Fees. The Borrower agrees to pay to
the Administrative Agent for the benefit of the Lenders the upfront and other fees provided in the Administrative Agent’s Fee Letter. 
 (c) Letter of Credit Fees. 
 (i) Letter of Credit
Fee. In consideration of the L/C Commitment hereunder, the Borrower agrees to pay to the Administrative Agent for the ratable benefit of the Lenders (other than a Defaulting Lender which shall be dealt with as provided in Section 2.14
hereof) a fee (the “Letter of Credit Fee”) equal to the Applicable Percentage per annum times the daily maximum amount available to be drawn under each such Letter of Credit (whether or not such maximum amount is then in effect
under such Letters of Credit) from the date of issuance to the date such Letter of Credit either expires or terminates. The Letter of Credit Fee shall be computed on a quarterly basis in arrears and shall be payable quarterly in arrears on the last
Business Day of each March, June, September and December, commencing on the first such date to occur after the Closing Date, and on the date such Letter of Credit either expires or terminates (and, if applicable, thereafter on demand). 

(ii) L/C Issuer Fees. In addition to the Letter of Credit Fee, the Borrower agrees to pay to the L/C Issuer for its
own account without sharing by the other Lenders (A) a fronting fee (the “L/C Fronting Fee”) of 0.125% the amount of each Letter of Credit issued by the L/C Issuer (but in no event shall the amount of such fee in respect of any
Letter of Credit be less than $500), and (B) customary issuance, presentation, amendment and other processing fees, and other standard costs and charges, of the L/C Issuer (“L/C Customary Charges”; together with the L/C
Fronting Fee, the “L/C Issuer Fees”) with respect to the issuance, amendment, transfer, administration, cancellation and conversion of, and drawings under, such Letters of Credit. The L/C Fronting Fee shall be due and payable in
full on the date of issuance of such Letter of Credit. The L/C Customary Charges are due and payable on demand and are nonrefundable. For purposes of computing the daily amount available to be drawn under any Letter of Credit, the amount of such
Letter of Credit shall be determined in accordance with Section 1.07. 
 (d) Administrative Agent’s
Fees. The Borrower agrees to pay the Administrative Agent such fees as provided in the Administrative Agent’s Fee Letter or as may be otherwise agreed by the Administrative Agent and the Borrower from time to time. 

(e) Extension Fee. If the Borrower exercises its right to extend the Revolving Termination Date in accordance with
Section 2.15, the Borrower agrees to pay to the Administrative Agent for the account of each Lender a fee equal to 0.20% of the amount of such Lender’s Revolving Committed Amount (whether or not utilized). Such fee shall be due and
payable in full on the date the Administrative Agent receives the Extension Request pursuant to such Section. 
 (f) Other
Fees. 
 (i) The Borrower shall pay to WFS and the Administrative Agent for their own respective account fees
in the amounts and at the times specified in the Administrative Agent’s Fee Letter. Such fees shall be fully earned when paid and shall not be refundable for any reason whatsoever. 

  
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 (ii) The Borrower shall pay to J.P. Morgan Securities for its own account
fees in the amounts and at the times specified in the fee letter between J.P. Morgan Securities and the Borrower. Such fees shall be fully earned when paid and shall not be refundable for any reason whatsoever. 

(iii) The Borrower shall pay to the Lenders such fees as shall have been separately agreed upon in writing in the amounts
and at the times so specified. Such fees shall be fully earned when paid and shall not be refundable for any reason whatsoever. 

2.10 Computation of Interest and Fees. 

All computations of interest and fees shall be made on the basis of a 360-day year and actual days elapsed (which results in more fees or
interest, as applicable, being paid than if computed on the basis of a 365-day year). Interest shall accrue on each Loan for the day on which the Loan is made, and shall not accrue on a Loan, or any portion thereof, for the day on which the Loan or
such portion is paid, provided that any Loan that is repaid on the same day on which it is made shall, subject to Section 2.11(a), bear interest for one day. 

2.11 Payments Generally; Administrative Agent’s Clawback. 

(a) All payments to be made by the Borrower shall be made without condition or deduction for any counterclaim, defense, recoupment or
set-off. Except as otherwise expressly provided herein, all payments by the Borrower hereunder shall be made to the Administrative Agent, for the account of the Lenders to which such payment is owed, at the Administrative Agent’s Office in
Dollars and in immediately available funds not later than 2:00 p.m. on the date specified herein. The Administrative Agent will promptly distribute to each Lender its Revolving Commitment Percentage (or other applicable share as provided herein) of
such payment in like funds as received by wire transfer to such Lender’s Lending Office. All payments received by the Administrative Agent after 2:00 p.m. shall be deemed received on the immediately succeeding Business Day and any applicable
interest or fee shall continue to accrue. 
 (b) Subject to the definition of “Interest Period,” if any payment to be
made by the Borrower shall come due on a day other than a Business Day, payment shall be made on the next following Business Day, and such extension of time shall be reflected in computing interest or fees, as the case may be. 

(c)(i) Funding by Lenders; Presumptions by Administrative Agent. Unless the Administrative Agent shall have received notice from a
Lender prior to the proposed date of any Borrowing of Eurodollar Rate Loans (or, in the case of any Borrowing of Base Rate Loans, prior to 12:00 noon on the date of such Borrowing) that such Lender will not make available to the Administrative Agent
such Lender’s share of such Borrowing, the Administrative Agent may assume that such Lender has made such share available on such date in accordance with Section 2.02 (or, in the case of a Borrowing of Base Rate Loans, that such
Lender has made such share available in accordance with and at the time required by Section 2.02) and may, in reliance upon such assumption, make available to the Borrower a corresponding amount. In such event, if a Lender has not in
fact made its share of the applicable Borrowing available to the Administrative Agent, then the applicable Lender and the Borrower severally agree to pay to the Administrative Agent forthwith on demand such corresponding amount in immediately
available funds with 

  
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interest thereon, for each day from and including the date such amount is made available to the Borrower to but excluding the date of payment to the Administrative Agent, at (A) in the case
of a payment to be made by such Lender, the greater of the Federal Funds Rate and a rate determined by the Administrative Agent in accordance with banking industry rules on interbank compensation, plus any administrative, processing or similar fees
customarily charged by the Administrative Agent in connection with the foregoing, and (B) in the case of a payment to be made by the Borrower, the interest rate applicable to Base Rate Loans. If the Borrower and such Lender shall pay such
interest to the Administrative Agent for the same or an overlapping period, the Administrative Agent shall promptly remit to the Borrower the amount of such interest paid by the Borrower for such period. If such Lender pays its share of the
applicable Borrowing to the Administrative Agent, then the amount so paid shall constitute such Lender’s Loan included in such Borrowing. Any payment by the Borrower shall be without prejudice to any claim the Borrower may have against a Lender
that shall have failed to make such payment to the Administrative Agent. A notice from the Administrative Agent of amounts owing under this subsection shall be conclusive absent manifest error. 

(ii) Payments by Borrower; Presumptions by Administrative Agent. Unless the Administrative Agent shall have
received notice from the Borrower prior to the date on which any payment is due to the Administrative Agent for the account of the Lenders or the L/C Issuer hereunder that the Borrower will not make such payment, the Administrative Agent may assume
that the Borrower has made such payment on such date in accordance herewith and may, in reliance upon such assumption, distribute to the Lenders or the L/C Issuer, as the case may be, the amount due. In such event, if the Borrower has not in fact
made such payment, then each of the Lenders or the L/C Issuer, as the case may be, severally agrees to repay to the Administrative Agent forthwith on demand the amount so distributed to such Lender or the L/C Issuer, in immediately available funds
with interest thereon, for each day from and including the date such amount is distributed to it to but excluding the date of payment to the Administrative Agent, at the greater of the Federal Funds Rate and a rate determined by the Administrative
Agent in accordance with banking industry rules on interbank compensation. A notice from the Administrative Agent of amounts owing under this subsection shall be conclusive absent manifest error. 

(d) If any Lender makes available to the Administrative Agent funds for any Loan to be made by such Lender as provided in the foregoing
provisions of this Article II, and such funds are not made available to the Borrower by the Administrative Agent because the conditions to the applicable Extension of Credit set forth in Section 4.02 are not satisfied or
waived in accordance with the terms hereof, the Administrative Agent shall return such funds (in like funds as received from such Lender) to such Lender, without interest. 
 (e) The obligations of the Lenders hereunder to make Loans, to fund participations in Letters of Credit and Swing Line Loans and to make payments pursuant to Sections 9.04 and 9.05(b) are
several and not joint. The failure of any Lender to make any Loan, to fund any such participation or to make any payment under Section 9.04 or 9.05(b) on any date required hereunder shall not relieve any other Lender of its
corresponding obligation to do so on such date, and no Lender shall be responsible for the failure of any other Lender to so make its Loan, to purchase its participation or to make its payment under Sections 9.04 and 9.05(b).

 (f) Nothing herein shall be deemed to obligate any Lender to obtain the funds for any Loan in any particular place or manner
or to constitute a representation by any Lender that it has obtained or will obtain the funds for any Loan in any particular place or manner. 

  
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 (g) If at any time insufficient funds are received by or are available to the Administrative
Agent to pay fully all amounts of principal, L/C Borrowings, interest and fees then due hereunder, such funds shall be applied (i) first, toward costs and expenses (including Attorney Costs and amounts payable under
Article III) incurred by the Administrative Agent and each Lender, (ii) second, toward repayment of interest and fees then due hereunder, ratably among the parties entitled thereto in accordance with the amounts of interest
and fees then due to such parties, and (iii) third, toward repayment of principal and L/C Borrowings then due hereunder, ratably among the parties entitled thereto in accordance with the amounts of principal and L/C Borrowings then due
to such parties. 
 2.12 Sharing of Payments. 

If any Lender shall, by exercising any right of setoff or counterclaim or otherwise, obtain payment in respect of any principal of or
interest on any of the Loans made by it, or the participations in L/C Obligations or in Swing Line Loans held by it resulting in such Lender’s receiving payment of a proportion of the aggregate amount of such Loans or participations and accrued
interest thereon greater than its pro rata share thereof as provided herein, then the Lender receiving such greater proportion shall (a) notify the Administrative Agent of such fact, and (b) purchase (for cash at face value) participations
in the Loans and subparticipations in L/C Obligations and Swing Line Loans of the other Lenders, or make such other adjustments as shall be equitable, so that the benefit of all such payments shall be shared by the Lenders ratably in accordance with
the aggregate amount of principal of and accrued interest on their respective Loans and other amounts owing them; provided that: 
 (i) if any such participations or subparticipations are purchased and all or any portion of the payment giving rise thereto is recovered, such participations or subparticipations shall be rescinded and
the purchase price restored to the extent of such recovery, without interest; and 
 (ii) the provisions of this
Section shall not be construed to apply to (A) any payment made by the Borrower pursuant to and in accordance with the express terms of this Credit Agreement, (B) any amounts applied by the Swing Line Lender to outstanding Swing Line
Loans, (C) any amounts applied to L/C Obligations by the L/C Issuer or Swing Line Loans by the Swing Line Lender, as appropriate, from Cash Collateral provided under Section 2.14, or (D) any payment obtained by a Lender as
consideration for the assignment of or sale of a participation in any of its Loans or subparticipations in L/C Obligations or Swing Line Loans to any assignee or participant, other than to the Borrower or any Subsidiary thereof (as to which the
provisions of this Section shall apply). 
 The Borrower agrees that any Lender so purchasing a participation from another Lender may, to the
fullest extent permitted by law, exercise all its rights of payment (including the right of set-off, but subject to Section 9.09) with respect to such participation as fully as if such Lender were the direct creditor of the Borrower in
the amount of such participation. The Administrative Agent will keep records (which shall be conclusive and binding in the absence of manifest error) of participations purchased under this Section and will in each case notify the Lenders
following any such purchases or repayments. Each Lender that purchases a participation pursuant to this Section shall from and after such purchase have the right to give all notices, requests, demands, directions and other communications under
this Credit Agreement with respect to the portion of the Obligations purchased to the same extent as though the purchasing Lender were the original owner of the Obligations purchased. 

  
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 2.13 Evidence of Debt. 

(a) The Extensions of Credit made by each Lender shall be evidenced by one or more accounts or records maintained by such Lender and by
the Administrative Agent in the ordinary course of business. The accounts or records maintained by the Administrative Agent and each Lender shall be conclusive absent manifest error of the amount of the Extensions of Credit made by the Lenders to
the Borrower and the interest and payments thereon. Any failure to so record or any error in doing so shall not, however, limit or otherwise affect the obligation of the Borrower hereunder to pay any amount owing with respect to the Obligations. In
the event of any conflict between the accounts and records maintained by any Lender and the accounts and records of the Administrative Agent in respect of such matters, the accounts and records of the Administrative Agent shall control in the
absence of manifest error. The Borrower shall execute and deliver to the Administrative Agent a Note for each Lender that requests a Note, which shall evidence such Lender’s Loans in addition to such accounts or records. Each Lender may attach
schedules to its Note and endorse thereon the date, Type (if applicable), amount and maturity of its Loans and payments with respect thereto. 
 (b) In addition to the accounts and records referred to in clause (a), each Lender and the Administrative Agent shall maintain in accordance with its usual practice accounts or records evidencing
the purchases and sales by such Lender of participations in Letters of Credit and Swing Line Loans. In the event of any conflict between the accounts and records maintained by the Administrative Agent and the accounts and records of any Lender in
respect of such matters, the accounts and records of the Administrative Agent shall control in the absence of manifest error. 

2.14 Defaulting Lenders. 
 Notwithstanding anything to the contrary contained in this Agreement, if any Lender becomes a Defaulting Lender, then, until such time as such Lender is no longer a Defaulting Lender, to the extent
permitted by applicable Law: 
 (a) Waivers and Amendments. Such Defaulting Lender’s right to approve or disapprove
any amendment, waiver or consent with respect to this Agreement shall be restricted as set forth in the definition of Required Lenders. 
 (b) Defaulting Lender Waterfall. Any payment of principal, interest, fees or other amounts received by the Administrative Agent for the account of such Defaulting Lender (whether voluntary or
mandatory, at maturity, pursuant to Article VII or otherwise) or received by the Administrative Agent from a Defaulting Lender pursuant to Section 9.09 shall be applied at such time or times as may be determined by the
Administrative Agent as follows: first, to the payment of any amounts owing by such Defaulting Lender to the Administrative Agent hereunder; second, to the payment on a pro rata basis of any amounts owing by such Defaulting Lender to
the L/C Issuer or the Swing Line Lender hereunder; third, to Cash Collateralize the L/C Issuer’s Fronting Exposure with respect to such Defaulting Lender in accordance with subsection (e) below; fourth, as the Borrower may
request (so long as no Default or Event of Default exists), to the funding of any Loan in respect of which such Defaulting Lender has failed to fund its portion thereof as required by this Agreement, as determined by the Administrative Agent;
fifth, if so determined by the Administrative Agent and the Borrower, to be held in a deposit account and released pro rata in order to (x) satisfy such Defaulting Lender’s potential future funding obligations with respect to Loans
under this Agreement and (y) Cash Collateralize the L/C Issuer’s future Fronting Exposure with respect to such Defaulting Lender with respect to future Letters of Credit issued under this Agreement, in accordance with subsection (e)
below; sixth, to the payment of any amounts owing to the Lenders, the L/C Issuer or the Swing Line Lender as a result of any judgment of a court of competent jurisdiction obtained by any Lender, the L/C Issuer or the Swing Line Lender against
such Defaulting 

  
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Lender as a result of such Defaulting Lender’s breach of its obligations under this Agreement; seventh, so long as no Default or Event of Default exists, to the payment of any amounts
owing to the Borrower as a result of any judgment of a court of competent jurisdiction obtained by the Borrower against such Defaulting Lender as a result of such Defaulting Lender’s breach of its obligations under this Agreement; and
eighth, to such Defaulting Lender or as otherwise directed by a court of competent jurisdiction; provided that if (x) such payment is a payment of the principal amount of any Loans or L/C Borrowings in respect of which such
Defaulting Lender has not fully funded its appropriate share, and (y) such Loans or L/C Borrowings were made or the related Letters of Credit were issued at a time when the conditions set forth in Section 4.02 were satisfied or
waived, such payment shall be applied solely to pay the Loans of, and L/C Borrowings owed to, all Non-Defaulting Lenders on a pro rata basis prior to being applied to the payment of any Loans of, or L/C Borrowings owed to, such Defaulting Lender
until such time as all Loans and funded and unfunded participations in L/C Obligations and Swing Line Loans are held by the Lenders pro rata in accordance with their respective Revolving Commitment Percentages (determined without giving effect to
the immediately following subsection (d)). Any payments, prepayments or other amounts paid or payable to a Defaulting Lender that are applied (or held) to pay amounts owed by a Defaulting Lender or to post Cash Collateral pursuant to this
subsection shall be deemed paid to and redirected by such Defaulting Lender, and each Lender irrevocably consents hereto. 
 (c)
Certain Fees. 
 (i) No Defaulting Lender shall be entitled to receive any Fee payable under
Section 2.09(a) for any period during which that Lender is a Defaulting Lender (and the Borrower shall not be required to pay any such fee that otherwise would have been required to have been paid to that Defaulting Lender). 

(ii) Each Defaulting Lender shall be entitled to receive any Fee payable under Section 2.09(c)(i) for any
period during which that Lender is a Defaulting Lender only to the extent allocable to its Commitment Percentage of the stated amount of Letters of Credit for which it has provided Cash Collateral pursuant to the immediately following
subsection (e). 
 (iii) With respect to any Fee not required to be paid to any Defaulting Lender pursuant
to the immediately preceding clause (ii), the Borrower shall (x) pay to each Non-Defaulting Lender that portion of any such Fee otherwise payable to such Defaulting Lender with respect to such Defaulting Lender’s participation in L/C
Obligations or Swing Line Loans that has been reallocated to such Non-Defaulting Lender pursuant to the immediately following subsection (d), (y) pay to the L/C Issuer and Swing Line Lender, as applicable, the amount of any such Fee
otherwise payable to such Defaulting Lender to the extent allocable to such L/C Issuer’s or Swing Line Lender’s Fronting Exposure to such Defaulting Lender, and (z) not be required to pay the remaining amount of any such Fee.

 (d) Reallocation of Participations to Reduce Fronting Exposure. All or any part of such Defaulting Lender’s
participation in L/C Obligations and Swing Line Loans shall be reallocated among the Non-Defaulting Lenders in accordance with their respective Revolving Commitment Percentages (determined without regard to such Defaulting Lender’s Revolving
Commitment) but only to the extent that (x) the conditions set forth in Section 4.02 are satisfied at the time of such reallocation (and, unless the Borrower shall have otherwise notified the Administrative Agent at such time, the
Borrower shall be deemed to have represented and warranted that such conditions are satisfied at such time), and (y) such reallocation does not cause the aggregate Revolving Credit Exposure of any Non-Defaulting Lender to exceed such
Non-Defaulting Lender’s Revolving Commitment. No reallocation hereunder shall constitute a waiver or release of any claim of any party hereunder against a Defaulting Lender arising from that Lender having become a Defaulting Lender, including
any claim of a Non-Defaulting Lender as a result of such Non-Defaulting Lender’s increased exposure following such reallocation. 

  
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 (e) Cash Collateral, Repayment of Swing Line Loans. 

(i) If the reallocation described in the immediately preceding subsection (d) above cannot, or can only partially, be
effected, the Borrower shall, without prejudice to any right or remedy available to it hereunder or under law, (x) first, prepay Swing Line Loans in an amount equal to the Swing Line Lender’s Fronting Exposure and (y) second, Cash
Collateralize the L/C Issuer’s Fronting Exposure in accordance with the procedures set forth in this subsection. 
 (ii) At any time that there shall exist a Defaulting Lender, within 1 Business Day following the written request of the Administrative Agent or the L/C Issuer (with a copy to the Administrative Agent),
the Borrower shall Cash Collateralize the L/C Issuer’s Fronting Exposure with respect to such Defaulting Lender (determined after giving effect to the immediately preceding subsection (d) and any Cash Collateral provided by such Defaulting
Lender) in an amount not less than the aggregate Fronting Exposure of the L/C Issuer with respect to Letters of Credit issued and outstanding at such time. 
 (iii) The Borrower, and to the extent provided by any Defaulting Lender, such Defaulting Lender, hereby grant to the Administrative Agent, for the benefit of the L/C Issuer, and agree to maintain, a first
priority security interest in all such Cash Collateral as security for the Defaulting Lenders’ obligation to fund participations in respect of L/C Obligations, to be applied pursuant to the immediately following clause (iv). If at any time
the Administrative Agent determines that Cash Collateral is subject to any right or claim of any Person other than the Administrative Agent and the L/C Issuer as herein provided, or that the total amount of such Cash Collateral is less than the
aggregate Fronting Exposure of the L/C Issuer with respect to Letters of Credit issued and outstanding at such time, the Borrower will, promptly upon demand by the Administrative Agent, pay or provide to the Administrative Agent additional Cash
Collateral in an amount sufficient to eliminate such deficiency (after giving effect to any Cash Collateral provided by the Defaulting Lender). 
 (iv) Notwithstanding anything to the contrary contained in this Agreement, Cash Collateral provided under this Section in respect of Letters of Credit shall be applied to the satisfaction of the
Defaulting Lender’s obligation to fund participations in respect of L/C Obligations (including, as to Cash Collateral provided by a Defaulting Lender, any interest accrued on such obligation) for which the Cash Collateral was so provided, prior
to any other application of such property as may otherwise be provided for herein. 
 (v) Cash Collateral (or the
appropriate portion thereof) provided to reduce the L/C Issuer’s Fronting Exposure shall no longer be required to be held as Cash Collateral pursuant to this subsection following (x) the elimination of the applicable Fronting Exposure
(including by the termination of Defaulting Lender status of the applicable Lender), or (y) the determination by the Administrative Agent and the L/C Issuer that there exists excess Cash Collateral; provided that, subject to the
immediately preceding subsection (b), the Person providing Cash Collateral and the L/C Issuer may agree that Cash Collateral shall be held to support future anticipated Fronting Exposure or other obligations and provided further
that to the extent that such Cash Collateral was provided by the Borrower, such Cash Collateral shall remain subject to the security interest granted pursuant to the Credit Documents. 

  
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 (f) Defaulting Lender Cure. If the Borrower, the Administrative Agent, the Swing Line
Lender and the L/C Issuer agree in writing that a Lender is no longer a Defaulting Lender, the Administrative Agent will so notify the parties hereto, whereupon as of the effective date specified in such notice and subject to any conditions set
forth therein (which may include arrangements with respect to any Cash Collateral), that Lender will, to the extent applicable, purchase, subject to any amounts owed pursuant to Section 3.05, at par that portion of outstanding Loans of
the other Lenders or take such other actions as the Administrative Agent may determine to be necessary to cause the Loans and funded and unfunded participations in Letters of Credit and Swing Line Loans to be held pro rata by the Lenders in
accordance with their respective Revolving Commitment Percentages (determined without giving effect to the immediately preceding subsection (d)), whereupon such Lender will cease to be a Defaulting Lender; provided that no adjustments
will be made retroactively with respect to fees accrued or payments made by or on behalf of the Borrower while that Lender was a Defaulting Lender; and provided, further, that except to the extent otherwise expressly agreed by the
affected parties, no change hereunder from Defaulting Lender to Lender will constitute a waiver or release of any claim of any party hereunder arising from that Lender’s having been a Defaulting Lender. 

(g) New Swing Line Loans/Letters of Credit. So long as any Lender is a Defaulting Lender, (i) the Swing Line Lender shall not
be required to fund any Swing Line Loans unless it is satisfied that it will have no Fronting Exposure after giving effect to such Swing Line Loan and (ii) the L/C Issuer shall not be required to issue, extend, renew or increase any Letter of
Credit unless it is satisfied that it will have no Fronting Exposure after giving effect thereto. 

2.15 Extension of Revolving Termination Date. 

The Borrower shall have the right, exercisable one time, to extend the current Revolving Termination Date by one year. The Borrower may
exercise such right only by executing and delivering to the Administrative Agent at least 30 days but not more than 90 days prior to the current Revolving Termination Date, a written request for such extension (an “Extension
Request”). The Administrative Agent shall notify the Lenders if it receives an Extension Request promptly upon receipt thereof. Subject to satisfaction of the following conditions, the Revolving Termination Date shall be extended for one
year effective upon receipt by the Administrative Agent of the Extension Request and payment of the fee referred to in the following clause (ii): (i) immediately prior to such extension and immediately after giving effect thereto,
(x) no Default or Event of Default shall exist and (y) the representations and warranties made or deemed made by the Borrower and each other Credit Party in the Credit Documents to which any of them is a party, shall be true and correct in
all material respects (or in the case of a representation or warranty qualified by materiality, true and correct in all respects) on and as of the date of such extension with the same force and effect as if made on and as of such date except to the
extent that such representations and warranties expressly relate solely to an earlier date (in which case such representations and warranties shall have been true and correct in all material respects (or in the case of a representation or warranty
qualified by materiality, true and correct in all respects) on and as of such earlier date) and except for changes in factual circumstances specifically and expressly permitted under the Credit Documents and (ii) the Borrower shall have paid
the Fees payable under Section 2.09(e). At any time prior to the effectiveness of any such extension, upon the Administrative Agent’s request, the Borrower shall deliver to the Administrative Agent a certificate from the chief executive
officer or chief financial officer certifying the matters referred to in the immediately preceding clauses (i)(x) and (i)(y). 

2.16 Increase in Commitments. 

(a) Request for Increase. The Borrower may from time to time, request by notice to the Administrative Agent (x) an increase
in the amount of the Aggregate Revolving Commitments (each, a “Revolving Credit Increase”) or (y) one or more term loan tranches (each, an “Incremental Term Loan”;

  
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each Incremental Term Loan and each Revolving Credit Increase, collectively, referred to as the “Incremental Increases”); provided that (i) the principal amount for
all such Incremental Increases in the aggregate since the Closing Date (including the then requested Incremental Increase) shall not exceed $300,000,000, (ii) any such request for an Incremental Increase shall be in a minimum amount of
$30,000,000 (or a lesser amount in the event such amount represents all remaining availability under this Section), (iii) no Revolving Credit Increase shall (A) increase the L/C Committed Amount without the consent of the L/C Issuer or
(B) increase the Swing Line Committed Amount without the consent of the Swing Line Lender, (iv) no Incremental Term Loan shall mature earlier than the Revolving Termination Date, and (v) each Incremental Increase shall constitute
Obligations hereunder and shall be guaranteed pursuant to the Guaranties on a pari passu basis with the other Obligations hereunder. 
 (b) Process for Increase. Incremental Increases may be (but shall not be required to be) provided by any existing Lender, in each case on terms permitted in this Section and otherwise on terms
reasonably acceptable to the Administrative Agent, or by any other Person that qualifies as an Eligible Assignee (each such other Person, an “Additional Lender”) pursuant to a joinder agreement in form and substance reasonably
satisfactory to the Administrative Agent; provided that (i) the Administrative Agent shall have consented (in each case, such consent not to be unreasonably withheld) to each such Lender or proposed Additional Lender providing such
Incremental Increase and (ii) in the case of any Revolving Credit Increase, the L/C Issuer and the Swing Line Lender shall have consented (in each case, such consent not to be unreasonably withheld) to each such Lender or proposed Additional
Lender providing such Revolving Credit Increase if such consent by the L/C Issuer or the Swing Line Lender, as the case may be, would be required under Section 9.07 for an assignment of Revolving Loans or Commitments to such Lender or
proposed Additional Lender. No Lender shall have any obligation to increase its Revolving Commitment or participate in an Incremental Term Loan, as the case may be, and no consent of any Lender, other than the Lenders agreeing to provide any portion
of an Incremental Increase, shall be required to effectuate such Incremental Increase. 
 (c) Effective Date and
Allocations. The Administrative Agent and the Borrower shall determine the effective date of any Incremental Increase (the “Increase Effective Date”) and the final allocations therefor. The Administrative Agent shall promptly
notify the Borrower and the Lenders of the final allocation of such Incremental Increase and the Increase Effective Date. 
 (d)
Conditions to Effectiveness of Increase. As a condition precedent to such increase, the Borrower shall deliver to the Administrative Agent a certificate of each Credit Party dated as of the Increase Effective Date (in sufficient copies for
each Lender) signed by a Responsible Officer of such Credit Party (i) certifying and attaching the resolutions adopted by such Credit Party approving or consenting to such Incremental Increase, (ii) in the case of the Borrower, certifying
that, before and after giving effect to such increase, (A) the representations and warranties contained in Article V and the other Credit Documents are true and correct in all material respects (or in the case of a representation or
warranty qualified by materiality, true and correct in all respects) on and as of the Increase Effective Date, except to the extent that such representations and warranties specifically refer to an earlier date, in which case they are true and
correct as of such earlier date, and except that for purposes of this Section, the representations and warranties contained in subsections (a) and (b) of Section 5.19 shall be deemed to refer to the most recent statements
furnished pursuant to clauses (a) and (b), respectively, of Section 6.01, (B) no Default or Event of Default exists and is continuing and (C) the Borrower and its Subsidiaries are in pro forma compliance with each
of the financial covenants contained in Section 6.16. To the extent that any Incremental Increase shall take the form of an Incremental Term Loan, this Agreement shall be amended (without the need to obtain the consent of any Lender or
the L/C Issuer other than the Lenders providing such Incremental Term Loans), in form and substance satisfactory to the Administrative Agent, to include such terms as are customary for a term loan commitment, including mandatory prepayments,
assignments and voting provisions; provided that the covenants, defaults and similar non-economic 

  
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provisions applicable to any Incremental Term Loan (i) shall be no more restrictive than the corresponding terms set forth in the then existing Credit Documents without the express written
consent of the Administrative Agent and the Required Revolving Lenders and (ii) shall not contravene any of the terms of the then existing Credit Documents. Each Revolving Credit Increase shall have the same terms as the outstanding Revolving
Loans and be part of the existing revolving credit facilities hereunder. Upon each Revolving Credit Increase (x) each Lender having a Revolving Commitment immediately prior to such increase will automatically and without further act be deemed
to have assigned to each Lender providing a portion of the Revolving Credit Increase (each, a “Revolving Credit Increase Lender”) in respect of such increase, and each such Revolving Credit Increase Lender will automatically and
without further act be deemed to have assumed, a portion of such Lender’s participations hereunder in outstanding Letters of Credit and Swing Line Loans such that, after giving effect to each such deemed assignment and assumption of
participations, the percentage of the aggregate outstanding (i) participations hereunder in Letters of Credit and (ii) participations hereunder in Swing Line Loans, will, in each case, equal each Lender’s Revolving Commitment
Percentage (after giving effect to such increase in the Revolving Commitments) and (y) if, on the date of such increase there are any Revolving Loans outstanding, such Revolving Loans shall, on or prior to the effectiveness of such Revolving
Credit Increase, be prepaid from the proceeds of additional Revolving Loans made hereunder (reflecting such increase in Revolving Commitments), which prepayment shall be accompanied by any amounts required to be paid pursuant to
Section 3.05 to the extent necessary to keep the outstanding Revolving Loans ratable with any revised Revolving Credit Percentages arising from such Revolving Credit Increase. 

(e) Conflicting Provisions. This Section shall supersede any provisions in Section 2.12 or 9.01 to the
contrary. 
 ARTICLE III 
 TAXES, YIELD PROTECTION AND ILLEGALITY 
 3.01
Taxes. 
 (a) Payments Free of Taxes; Obligation to Withhold; Payments on Account of Taxes. (i) Any and all
payments by or on account of any obligation of the Borrower hereunder or under any other Credit Document shall to the extent permitted by applicable Laws be made free and clear of and without reduction or withholding for any Taxes. If, however,
applicable Laws require the Borrower or the Administrative Agent to withhold or deduct any Tax, such Tax shall be withheld or deducted in accordance with such Laws as determined by the Borrower or the Administrative Agent, as the case may be, upon
the basis of the information and documentation to be delivered pursuant to subsection (e) below. 
 (ii) If
the Borrower or the Administrative Agent shall be required by the Internal Revenue Code to withhold or deduct any Taxes, including both United States Federal backup withholding and withholding taxes, from any payment, then (A) the Borrower or
the Administrative Agent shall withhold or make such deductions as are determined by the Borrower or the Administrative Agent, as applicable, to be required based upon the information and documentation it has received pursuant to subsection
(e) below, (B) the Borrower or the Administrative Agent shall timely pay the full amount withheld or deducted to the relevant Governmental Authority in accordance with the Internal Revenue Code, and (C) to the extent that the
withholding or deduction is made on account of Indemnified Taxes or Other Taxes, the sum payable by the Borrower shall be increased as necessary so that after any required withholding or the making of all required deductions (including deductions
applicable to additional sums payable under this Section) the Administrative Agent, Lender or L/C Issuer, as the case may be, receives an amount equal to the sum it would have received had no such withholding or deduction been made. 

  
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 (b) Payment of Other Taxes by the Borrower. Without limiting the provisions of
subsection (a) above, the Borrower shall timely pay any Other Taxes to the relevant Governmental Authority in accordance with applicable Laws. 
 (c) Tax Indemnifications. (i) Without limiting the provisions of subsection (a) or (b) above, the Borrower shall, and does hereby, indemnify the Administrative Agent, each Lender and
the L/C Issuer, and shall make payment in respect thereof within fifteen (15) days after demand therefor, for the full amount of any Indemnified Taxes or Other Taxes (including Indemnified Taxes or Other Taxes imposed or asserted on or
attributable to amounts payable under this Section) withheld or deducted by the Borrower or the Administrative Agent or paid by the Administrative Agent, such Lender or the L/C Issuer, as the case may be, and any penalties, interest and reasonable
expenses arising therefrom or with respect thereto, whether or not such Indemnified Taxes or Other Taxes were correctly or legally imposed or asserted by the relevant Governmental Authority. The Borrower shall also, and does hereby, indemnify the
Administrative Agent, and shall make payment in respect thereof within ten (10) days after demand therefor, for any amount which a Lender or the L/C Issuer for any reason fails to pay indefeasibly to the Administrative Agent as required by
clause (ii) of this subsection. A certificate as to the amount of any such payment or liability delivered to the Borrower by a Lender or the L/C Issuer (with a copy to the Administrative Agent), or by the Administrative Agent on its own behalf
or on behalf of a Lender or the L/C Issuer, shall be conclusive absent manifest error. 
 (ii) Without limiting
the provisions of subsection (a) or (b) above, each Lender and the L/C Issuer shall, and does hereby, indemnify the Borrower and the Administrative Agent, and shall make payment in respect thereof within ten (10) days after demand
therefor, against any and all Taxes and any and all related losses, claims, liabilities, penalties, interest and expenses (including the fees, charges and disbursements of any counsel for the Borrower or the Administrative Agent) incurred by or
asserted against the Borrower or the Administrative Agent by any Governmental Authority as a result of the failure by such Lender or the L/C Issuer, as the case may be, to deliver, or as a result of the inaccuracy, inadequacy or deficiency of, any
documentation required to be delivered by such Lender or the L/C Issuer, as the case may be, to the Borrower or the Administrative Agent pursuant to subsection (e). Each Lender and the L/C Issuer hereby authorizes the Administrative Agent to set off
and apply any and all amounts at any time owing to such Lender or the L/C Issuer, as the case may be, under this Credit Agreement or any other Credit Document against any amount due to the Administrative Agent under this clause (ii). The agreements
in this clause (ii) shall survive the resignation and/or replacement of the Administrative Agent, any assignment of rights by, or the replacement of, a Lender or the L/C Issuer, the termination of the Aggregate Revolving Commitments and the
repayment, satisfaction or discharge of all other Obligations. 
 (d) Evidence of Payments. Upon request by the Borrower
or the Administrative Agent, as the case may be, after any payment of Taxes by the Borrower or the Administrative Agent to a Governmental Authority as provided in this Section 3.01, the Borrower shall deliver to the Administrative Agent
or the Administrative Agent shall deliver to the Borrower, as the case may be, the original or a certified copy of a receipt issued by such Governmental Authority evidencing such payment, a copy of any return required by Law to report such payment
or other evidence of such payment reasonably satisfactory to the Borrower or the Administrative Agent, as the case may be. 

(e) Status of Lenders; Tax Documentation. (i) Each Lender shall deliver to the Borrower and to the Administrative Agent, at
the time or times prescribed by applicable Laws or when reasonably 

  
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requested by the Borrower or the Administrative Agent, such properly completed and executed documentation prescribed by applicable Laws or by the taxing authorities of any jurisdiction and such
other reasonably requested information as will permit the Borrower or the Administrative Agent, as the case may be, to determine (A) whether or not payments made hereunder or under any other Credit Document are subject to Taxes, (B) if
applicable, the required rate of withholding or deduction, and (C) such Lender’s entitlement to any available exemption from, or reduction of, applicable Taxes in respect of all payments to be made to such Lender by the Borrower pursuant
to this Credit Agreement or otherwise to establish such Lender’s status for withholding tax purposes in the applicable jurisdiction. 
 (ii) Without limiting the generality of the foregoing, if the Borrower is resident for tax purposes in the United States, 

(A) any Lender that is a “United States person” within the meaning of Section 7701(a)(30) of the Internal
Revenue Code shall deliver to the Borrower and the Administrative Agent executed originals of Internal Revenue Service Form W-9 or such other documentation or information prescribed by applicable Laws or reasonably requested by the Borrower or the
Administrative Agent as will enable the Borrower or the Administrative Agent, as the case may be, to determine whether or not such Lender is subject to backup withholding or information reporting requirements; and 

(B) each Foreign Lender that is entitled under the Internal Revenue Code or any applicable treaty to an exemption from or
reduction of withholding tax with respect to payments hereunder or under any other Credit Document shall deliver to the Borrower and the Administrative Agent (in such number of copies as shall be requested by the recipient) on or prior to the date
on which such Foreign Lender becomes a Lender under this Credit Agreement (and from time to time thereafter upon the request of the Borrower or the Administrative Agent, but only if such Foreign Lender is legally entitled to do so), whichever of the
following is applicable: 
 (I) executed originals of Internal Revenue Service Form W-8BEN claiming eligibility
for benefits of an income tax treaty to which the United States is a party, 
 (II) executed originals of
Internal Revenue Service Form W-8ECI, 
 (III) executed originals of Internal Revenue Service Form W-8IMY and
all required supporting documentation, 
 (IV) in the case of a Foreign Lender claiming the benefits of the
exemption for portfolio interest under section 881(c) of the Internal Revenue Code, (x) a certificate to the effect that such Foreign Lender is not (A) a “bank” within the meaning of section 881(c)(3)(A) of the Internal Revenue
Code, (B) a “10 percent shareholder” of the Borrower within the meaning of section 881(c)(3)(B) of the Internal Revenue Code, or (C) a “controlled foreign corporation” described in section 881(c)(3)(C) of the Internal
Revenue Code and (y) executed originals of Internal Revenue Service Form W-8BEN, or 
 (V) executed
originals of any other form prescribed by applicable Laws as a basis for claiming exemption from or a reduction in United States Federal withholding tax together with such supplementary documentation as may be prescribed by applicable Laws to permit
the Borrower or the Administrative Agent to determine the withholding or deduction required to be made. 

  
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 (iii) Each Lender shall promptly (A) notify the Borrower and the
Administrative Agent of any change in circumstances which would modify or render invalid any claimed exemption or reduction, and (B) take such steps as shall not be materially disadvantageous to it, in the reasonable judgment of such Lender,
and as may be reasonably necessary (including the re-designation of its Lending Office) to avoid any requirement of applicable Laws of any jurisdiction that the Borrower or the Administrative Agent make any withholding or deduction for taxes from
amounts payable to such Lender. 
 (f) Treatment of Certain Refunds. Unless required by applicable Laws, at no time shall
the Administrative Agent have any obligation to file for or otherwise pursue on behalf of a Lender or the L/C Issuer, or have any obligation to pay to any Lender or the L/C Issuer, any refund of Taxes withheld or deducted from funds paid for the
account of such Lender or the L/C Issuer, as the case may be. If the Administrative Agent, any Lender or the L/C Issuer determines, in its sole discretion, that it has received a refund of any Taxes or Other Taxes as to which it has been indemnified
by the Borrower or with respect to which the Borrower has paid additional amounts pursuant to this Section, it shall pay to the Borrower an amount equal to such refund (but only to the extent of indemnity payments made, or additional amounts paid,
by the Borrower under this Section with respect to the Taxes or Other Taxes giving rise to such refund), net of all out-of-pocket expenses incurred by the Administrative Agent, such Lender or the L/C Issuer, as the case may be, and without interest
(other than any interest paid by the relevant Governmental Authority with respect to such refund), provided that the Borrower, upon the request of the Administrative Agent, such Lender or the L/C Issuer, agrees to repay the amount paid over
to the Borrower (plus any penalties, interest or other charges imposed by the relevant Governmental Authority) to the Administrative Agent, such Lender or the L/C Issuer in the event the Administrative Agent, such Lender or the L/C Issuer is
required to repay such refund to such Governmental Authority. This subsection shall not be construed to require the Administrative Agent, any Lender or the L/C Issuer to make available its tax returns (or any other information relating to its taxes
that it deems confidential) to the Borrower or any other Person. 
 3.02 Illegality.

 If any Lender determines, upon advice of counsel, that any Law has made it unlawful, or that any Governmental Authority has
asserted that it is unlawful, for any Lender or its applicable Lending Office to make, maintain or fund Eurodollar Rate Loans, or to determine or charge interest rates based upon the Eurodollar Rate, or any Governmental Authority has imposed
material restrictions on the authority of such Lender to purchase or sell, or to take deposits of, Dollars in the London interbank market, then, on notice thereof by such Lender to the Borrower through the Administrative Agent, from the date of such
notice to the date such Lender notifies the Administrative Agent and the Borrower that the circumstances giving rise to such determination no longer exist: 
 (i) any obligation of such Lender to make or continue Eurodollar Rate Loans or to convert Base Rate Loans to Eurodollar Rate Loans shall be suspended and the Borrower shall, upon demand from such Lender
(with a copy to the Administrative Agent), prepay such Eurodollar Loans or convert all Eurodollar Rate Loans of such Lender to Base Rate Loans (with the Base Rate determined other than by reference to the Eurodollar Rate), either on the last day of
the Interest Period therefor, if such Lender may lawfully continue to maintain such Eurodollar Rate Loans to such day, or immediately, if such Lender may not lawfully continue to maintain such Eurodollar Rate Loans or Base Rate Loan; and 

  
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 (ii) if such notice relates to the unlawfulness or asserted unlawfulness of
charging interest based on the Eurodollar Rate, then all Base Rate Loans shall accrue interest at a Base Rate determined without reference to the Eurodollar Rate. 
 Notwithstanding the foregoing and despite the illegality for such a Lender to make, maintain or fund Eurodollar Rate Loans or Base Rate Loans as to which the interest rate is determined by reference to
the Eurodollar Rate, that Lender shall remain committed to make Base Rate Loans and shall be entitled to recover interest thereon based on the Base Rate (determined other than by reference to the Eurodollar Rate). Upon any such prepayment or
conversion, the Borrower shall also pay accrued interest on the amount so prepaid or converted. 

3.03 Inability to Determine Rates. 

If the Administrative Agent reasonably determines, or the Administrative Agent is advised by the Required Lenders, that for any reason in
connection with any request for a Eurodollar Rate Loan or a conversion to or continuation thereof that (a) Dollar deposits are not being offered to banks in the London interbank Eurodollar market for the applicable amount and Interest Period of
such Eurodollar Rate Loan, (b) adequate and reasonable means do not exist for determining the Eurodollar Rate for any requested Interest Period with respect to a proposed Eurodollar Rate Loan, or (c) the Eurodollar Rate for any requested
Interest Period with respect to a proposed Eurodollar Rate Loan does not adequately and fairly reflect the cost to the Required Lenders of funding such Loan, the Administrative Agent will promptly so notify the Borrower and each Lender. Thereafter,
the obligation of the Lenders to make or maintain Eurodollar Rate Loans and Base Rate Loans as to which the interest rate is determined by reference to the Eurodollar Rate shall be suspended until the Administrative Agent (upon the instruction of
the Required Lenders) revokes such notice, such revocation not to be unreasonably withheld or delayed. Upon receipt of such notice, the Borrower may revoke any pending request for a Borrowing of, conversion to or continuation of Eurodollar Rate
Loans or, failing that, will be deemed to have converted such request into a request for a Borrowing of Loans that are Base Rate Loans (with the Base Rate determined other than by reference to the Eurodollar Rate) in the amount specified therein.

 3.04 Increased Cost; Capital Adequacy. 

(a) Increased Costs Generally. If any Change in Law shall: 

(i) impose, modify or deem applicable any reserve, special deposit, compulsory loan, insurance charge or similar
requirement against assets of, deposits with or for the account of, or credit extended or participated in by, any Lender (except any reserve requirement reflected in the Eurodollar Rate) or the L/C Issuer; 

(ii) subject any Lender or the L/C Issuer to any tax of any kind whatsoever with respect to this Credit Agreement, any
Letter of Credit, any participation in a Letter of Credit or any Eurodollar Rate Loan made by it, or change the basis of taxation of payments to such Lender or the L/C Issuer in respect thereof (except for Indemnified Taxes or Other Taxes covered by
Section 3.01 and the imposition of, or any change in the rate of, any Excluded Tax payable by such Lender or the L/C Issuer); or 
 (iii) impose on any Lender or the L/C Issuer or the London interbank market any other condition, cost or expense affecting this Credit Agreement or Eurodollar Rate Loans made by such Lender or any Letter
of Credit or participation therein; 

  
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 and the result of any of the foregoing shall be to increase the cost to such Lender of
making or maintaining any Eurodollar Rate Loan (or of maintaining its obligation to make any such Loan), or to increase the cost to such Lender or the L/C Issuer of participating in, issuing or maintaining any Letter of Credit (or of maintaining its
obligation to participate in or to issue any Letter of Credit), or to reduce the amount of any sum received or receivable by such Lender or the L/C Issuer hereunder (whether of principal, interest or any other amount) then, upon request of such
Lender or the L/C Issuer, the Borrower will pay to such Lender or the L/C Issuer, as the case may be, such additional amount or amounts as will compensate such Lender or the L/C Issuer, as the case may be, for such additional costs incurred or
reduction suffered. 
 (b) Capital Requirements. If any Lender or the L/C Issuer determines that any Change in Law
affecting such Lender or the L/C Issuer or any Lending Office of such Lender or such Lender’s or the L/C Issuer’s holding company, if any, regarding capital requirements has or would have the effect of reducing the rate of return on such
Lender’s or the L/C Issuer’s capital or on the capital of such Lender’s or the L/C Issuer’s holding company, if any, as a consequence of this Credit Agreement, the Revolving Commitment of such Lender or the Loans made by, or
participations in Letters of Credit held by, such Lender, or the Letters of Credit issued by the L/C Issuer, to a level below that which such Lender or the L/C Issuer or such Lender’s or the L/C Issuer’s holding company could have achieved
but for such Change in Law (taking into consideration such Lender’s or the L/C Issuer’s policies and the policies of such Lender’s or the L/C Issuer’s holding company with respect to capital adequacy), then from time to time the
Borrower will pay to such Lender or the L/C Issuer, as the case may be, such additional amount or amounts as will compensate such Lender or the L/C Issuer or such Lender’s or the L/C Issuer’s holding company for any such reduction
suffered. 
 (c) Certificates for Reimbursement. A duly executed certificate of a Lender or the L/C Issuer setting forth
in reasonable detail the calculation of the amount or amounts necessary to compensate such Lender or the L/C Issuer or its holding company, as the case may be, as specified in clause (a) or (b) of this Section and delivered
to the Borrower shall be conclusive absent manifest error. The Borrower shall pay such Lender or the L/C Issuer, as the case may be, the amount shown as due on any such certificate within thirty (30) days after receipt thereof. 

(d) Delay in Requests. Failure or delay on the part of any Lender or the L/C Issuer to demand compensation pursuant to the
foregoing provisions of this Section shall not constitute a waiver of the Administrative Agent’s, such Lender’s or the L/C Issuer’s right to demand such compensation, provided that the Borrower shall not be required to
compensate a Lender or the L/C Issuer pursuant to the foregoing provisions of this Section for any increased costs incurred or reductions suffered more than nine (9) months prior to the date that the Administrative Agent, such Lender or the L/C
Issuer, as the case may be, notifies the Borrower of the Change in Law giving rise to such increased costs or reductions and of such Lender’s or the L/C Issuer’s intention to claim compensation therefor (except that, if the Change in Law
giving rise to such increased costs or reductions is retroactive, then the nine-month period referred to above shall be extended to include the period of retroactive effect thereof). 

3.05 Compensation for Losses. 

Upon demand of the Administrative Agent (or any Lender through the Administrative Agent) from time to time, the Borrower shall promptly
compensate each Lender for and hold each Lender harmless from any loss, cost or expense incurred by it as a result of: 
 (a) any continuation, conversion, payment or prepayment of any Loan other than a Base Rate Loan on a day other than the last day of the Interest Period for such Loan (whether voluntary, mandatory,
automatic, by reason of acceleration, or otherwise); 

  
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 (b) any failure by the Borrower (for a reason other than the failure of such
Lender to make a Loan) to prepay, borrow, continue or convert any Loan other than a Base Rate Loan on the date or in the amount notified by the Borrower; or 
 (c) any assignment of a Eurodollar Rate Loan on a day other than the last day of the Interest Period therefor as a result of a request by the Borrower pursuant to Section 9.15; 

including any loss of anticipated profits and any loss or expense arising from the liquidation or reemployment of funds obtained by it to
maintain such Loan or from fees payable to terminate the deposits from which such funds were obtained. The Borrower shall also pay any customary administrative fees charged by such Lender in connection with the foregoing. 

For purposes of calculating amounts payable by the Borrower to the Lenders under this Section 3.05, each Lender shall be
deemed to have funded each Eurodollar Rate Loan made by it at the Eurodollar Rate used in determining the Eurodollar Rate for such Loan by a matching deposit or other borrowing in the London interbank eurodollar market for a comparable amount and
for a comparable period, whether or not such Eurodollar Rate Loan was in fact so funded. 
 3.06
Mitigation Obligations; Replacement of Lenders. 
 (a) Designation of a Different Lending Office. If any Lender
requests compensation under Section 3.04, or the Borrower is required to pay any additional amount to any Lender or any Governmental Authority for the account of any Lender pursuant to Section 3.01, or if any Lender gives a
notice pursuant to Section 3.02, then such Lender shall use reasonable efforts to designate a different Lending Office for funding or booking its Loans hereunder or to assign its rights and obligations hereunder to another of its
offices, branches or affiliates, if, in the judgment of such Lender, such designation or assignment (i) would eliminate or reduce amounts payable pursuant to Section 3.01 or 3.04, as the case may be, in the future, or
eliminate the need for the notice pursuant to Section 3.02, as applicable, and (ii) in each case, would not subject such Lender to any unreimbursed cost or expense and would not otherwise be disadvantageous to such Lender. The
Borrower hereby agrees to pay all reasonable costs and expenses incurred by any Lender in connection with any such designation or assignment. 
 (b) Replacement of Lenders. If any Lender requests compensation under Section 3.04, or if the Borrower is required to pay any additional amount to any Lender or any Governmental
Authority for the account of any Lender pursuant to Section 3.01, the Borrower may replace such Lender in accordance with Section 9.15. 
 3.07 Survival Losses. 
 All of the
Borrower’s obligations under this Article III shall survive termination of the Aggregate Revolving Commitments, repayment of all other Obligations hereunder and resignation of the Administrative Agent. 

  
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 ARTICLE IV 

CONDITIONS PRECEDENT TO EXTENSIONS OF CREDIT 
 4.01 Conditions to Initial Extensions of Credit. 
 The obligation of the Lenders to make initial Extensions of Credit hereunder is subject to the satisfaction of such of the following conditions in all material respects on or prior to the Closing Date as
shall not have been expressly waived in accordance with Section 9.01, with each delivery item set forth below in form and substance satisfactory to the Administrative Agent and each of the Lenders: 

(a) The Administrative Agent shall have received multiple counterparts hereof signed by each of the parties hereto;

 (b) The Administrative Agent shall have received a duly executed Note for the account of each Lender that
requests a Note; 
 (c) The Administrative Agent and each Lender shall have received legal opinions of counsel to
the Borrower, in form and substance satisfactory to the Administrative Agent and the Lenders; 
 (d) The
Administrative Agent shall have received all documents it may reasonably request relating to the existence of the Borrower, the corporate authority for and the validity of each of the Credit Documents, and any other matters relevant hereto, all in
form and substance satisfactory to the Administrative Agent; 
 (e) The Administrative Agent shall have received
the applicable Loan Notice relating to such Extension of Credit; 
 (f) No Default or Event of Default shall have
occurred and be continuing immediately before the making of such Extension of Credit and no Default or Event of Default shall exist immediately thereafter; 
 (g) The representations and warranties of the Borrower made in or pursuant to the Credit Documents to which it is a party shall be true and correct in all material respects (or in the case of a
representation or warranty qualified by materiality, true and correct in all respects) as of the date of the making of such Extension of Credit; 
 (h) The Administrative Agent shall have received a certificate of the Borrower, signed on behalf of Borrower by the Borrower’s chief executive officer or chief financial officer, confirming to the
knowledge of such officer that as of such date (i) the representations and warranties in Article V hereof are true and correct in all material respects (or in the case of a representation or warranty qualified by materiality, true and correct
in all respects), and (ii) no Default or Event of Default has occurred and is continuing; 
 (i) The
Administrative Agent and the Lenders shall have been paid all fees due and payable in connection herewith (including fees and expenses of counsel); 
 (j) The Administrative Agent and the Lenders shall have received evidence that all indebtedness, liabilities or obligations owing by the Credit Parties under the Existing Credit Agreement shall have been
paid in full, or will be paid in full out of the proceeds hereof, all commitments thereunder have terminated and all Liens securing such indebtedness, liabilities or other obligations, if any, have been released; 

  
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 (k) The Administrative Agent shall have received a Transfer Authorizer
Designation Form executed by the Borrower; 
 (l) The Administrative Agent shall have received a Compliance
Certificate calculated on a pro forma basis for the Borrower’s fiscal quarter ending June 30, 2011; and 
 (m) In the good faith, reasonable judgment of the Administrative Agent: 
 (i) there shall not have occurred (A) any event, condition, situation or status since the date of the information contained in the financial and business projections, budgets, pro forma data and
forecasts concerning the Borrower and its Subsidiaries delivered to the Administrative Agent and the Lenders prior to the date hereof that has had or could reasonably be expected to result in a Material Adverse Effect or (B) a downgrade of any
Debt Rating of the Borrower by two or more notches; 
 (ii) no litigation, action, suit, investigation or other
arbitral, administrative or judicial proceeding shall be pending or threatened which could reasonably be expected to (A) result in a Material Adverse Effect or (B) restrain or enjoin, or otherwise materially and adversely affect, the
ability of the Borrower or any other Credit Party to fulfill its obligations under the Credit Documents to which it is a party; 
 (iii) the Borrower and its Subsidiaries shall have received all approvals, consents and waivers, and shall have made or given all necessary filings and notices as shall be required to consummate the
transactions contemplated hereby without the occurrence of any default under, conflict with or violation of (A) any applicable Law or (B) any agreement, document or instrument to which any Credit Party is a party or by which any of them or
their respective properties is bound; 
 (iv) the Borrower and each other Credit Party shall have provided all
information requested by the Administrative Agent and each Lender in order to comply with the USA Patriot Act (Title III of Pub. L. 107-56 (signed into law October 26, 2001)); and 

(v) there shall not have occurred or exist any other material disruption of financial or capital markets that could
reasonably be expected to materially and adversely affect the transactions contemplated by the Credit Documents. 

The certificates and opinions referred to in this Section shall be dated not earlier than the date hereof and not later
than the date of such initial Extensions of Credit. 
 Without limiting the generality of the provisions of the
last paragraph of Section 8.03, for purposes of determining compliance with the conditions specified in this Section 4.01, each Lender that has signed this Credit Agreement shall be deemed to have consented to, approved or
accepted or to be satisfied with, each document or other matter required thereunder to be consented to or approved by or acceptable or satisfactory to a Lender unless the Administrative Agent shall have received notice from such Lender prior to the
proposed Closing Date specifying its objection thereto. 

  
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 4.02 Conditions to Extensions of Credit. 

The obligation of any Lender to make any Extension of Credit hereunder subsequent to the initial Extension of Credit is subject to the
satisfaction of each of the following conditions on or prior to the proposed date of the making of such Extension of Credit: 
 (a) The Administrative Agent shall receive the applicable Request for Extension of Credit; 
 (b) No Default or Event of Default shall have occurred and be continuing immediately before the making of such Extension of Credit and no Default or Event of Default shall exist immediately thereafter;

 (c) The representations and warranties of the Borrower made in or pursuant to the Credit Documents shall be
true and correct in all material respects (or in the case of a representation or warranty qualified by materiality, true and correct in all respects) on and as of the date of such Extension of Credit; 

(d) Immediately following the making of such Extension of Credit the outstanding principal balance of the Revolving
Obligations shall not exceed the Aggregate Revolving Commitments. 
 The making of such Extension of Credit hereunder shall be deemed to be a
representation and warranty by the Borrower on the date thereof as to the facts specified in clauses (b), (c), and (d) of this Section. 
 ARTICLE V 
 REPRESENTATIONS AND WARRANTIES 

The Borrower represents and warrants that: 
 5.01 Corporate Existence and Power. 
 The
Borrower and each of its Material Subsidiaries is a corporation, partnership or limited liability company duly organized or formed, validly existing and in good standing under the laws of its jurisdiction of incorporation, has all organizational
powers and all material governmental licenses, authorizations, consents and approvals required to own or lease its respective properties and to carry on its business as now being, and hereafter proposed to be, conducted and is duly qualified as a
foreign entity and in good standing, and authorized to do business, under the laws of each jurisdiction where its ownership, lease or operation of property or the conduct of its business requires such qualification or authorization, other than in
such jurisdictions where the failure to be so qualified, authorized and in good standing would not, in the aggregate, have a Material Adverse Effect. 
 5.02 Corporate and Governmental Authorization; No Contravention. 
 The execution and delivery by the Borrower of the Credit Documents and the performance by the Borrower of its obligations thereunder are within the corporate power of the Borrower, have been duly
authorized by all necessary corporate action, require no action by or in respect of, or filing with, any governmental body, agency or official or other Person (except for any such action or filing that has been taken and is in full force and effect)
and do not contravene, or constitute a default under, any provision of applicable law or regulation or of the Organization Documents of the Borrower or of any material 

  
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agreement, judgment, injunction, order, decree or other material instrument binding upon the Borrower or result in the creation or imposition of any Lien on any asset of the Borrower other than
Liens created pursuant to the Credit Documents. 
 5.03 Binding Effect. 

The Credit Documents constitute valid and binding agreements of the Borrower, enforceable against the Borrower in accordance with their
terms. 
 5.04 Litigation. 

Except as set forth on Schedule 5.04 attached hereto, there is no action, suit, proceeding or, to the knowledge of the Borrower,
investigation pending against, or to the knowledge of the Borrower threatened against or affecting, the Borrower or any of its Material Subsidiaries before any court or arbitrator or any governmental body, agency or official that would reasonably be
expected to have a Material Adverse Effect. 
 5.05 Compliance with ERISA. 

(a) Each Plan is in compliance in all material respects with the applicable provisions of ERISA, the Internal Revenue Code and other
federal or state Laws. Each Plan that is intended to qualify under Section 401(a) of the Internal Revenue Code has received a favorable determination letter from the IRS or an application for such a letter is currently pending before the
IRS with respect thereto and, to the best knowledge of the Borrower, nothing has occurred that would prevent, or cause the loss of, such qualification. The Borrower and each ERISA Affiliate have made all required contributions to each Plan subject
to Section 412 of the Internal Revenue Code, and no application for a funding waiver or an extension of any amortization period pursuant to Section 412 of the Internal Revenue Code has been made with respect to any Plan. 

(b) There are no pending or, to the best knowledge of the Borrower, threatened claims, actions or lawsuits, or action by any Governmental
Authority, with respect to any Plan that could be reasonably be expected to have a Material Adverse Effect. There has been no prohibited transaction or, to the best knowledge of the Borrower, violation of the fiduciary responsibility rules with
respect to any Plan that has resulted or could reasonably be expected to result in a Material Adverse Effect. 
 (c)(i) No
ERISA Event has occurred or is reasonably expected to occur; (ii) no Pension Plan has any Unfunded Pension Liability; (iii) neither the Borrower nor any ERISA Affiliate has incurred, or reasonably expects to incur, any liability under
Title IV of ERISA with respect to any Pension Plan (other than premiums due and not delinquent under Section 4007 of ERISA); (iv) neither the Borrower nor any ERISA Affiliate has incurred, or reasonably expects to incur, any liability
(and no event has occurred that, with the giving of notice under Section 4219 of ERISA, would result in such liability) under Sections 4201 or 4243 of ERISA with respect to a Multiemployer Plan; and (v) neither the Borrower nor any
ERISA Affiliate has engaged in a transaction that could reasonably be expected to be subject to Sections 4069 or 4212(c) of ERISA. 
 5.06 Environmental Matters. 
 Except as set
forth on Schedule 5.06 hereto: 
 (a) No written notice, notification, demand, request for information,
citation, summons, complaint or order has been received by the Borrower and to the knowledge of the 

  
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Borrower, no penalty has been assessed and no investigation or review is pending or threatened by any governmental or other entity, (i) with respect to any alleged violation of any
Environmental Laws in connection with the conduct of the Borrower and relating to a Hazardous Substance or (ii) with respect to any alleged failure to have any permit, certificate, license, approval, registration or authorization required in
connection with the conduct of the Borrower relating to a Hazardous Substance or (iii) with respect to any generation, treatment, storage, recycling, transportation, disposal or release (including a release as defined in 42 U.S.C.
Section 9601(22)) (“Release”) of any Hazardous Substance used by the Borrower, which alleged violation, alleged failure to have any required permit, certificate, license, approval, or registration, or generation, treatment,
storage, recycling, transportation, disposal or release, is reasonably likely to result in liability to the Borrower in excess of $1,000,000 in any instance or $5,000,000 in the aggregate. 

(b)(i) To the Borrower’s knowledge, there has been no Release of a Hazardous Substance at, on or under any property
used by the Borrower or for which the Borrower or any of its Material Subsidiaries would be liable, which Release, is reasonably likely to result in liability to the Borrower in excess of $1,000,000 in any instance or $5,000,000 in the aggregate;
(ii) to the Borrower’s knowledge, neither the Borrower nor any of its Material Subsidiaries has, other than as a generator or in a manner not regulated or prohibited under the Environmental Laws, stored or treated any “hazardous
waste” (as defined in 42 U.S.C. Section 6903(5)) on any property used by the Borrower or for which the Borrower or any of its Material Subsidiaries would be liable, except for such storage or treatment which is not reasonably likely to
result in liability to the Borrower or any of its Material Subsidiaries in excess of $1,000,000 in any instance or $5,000,000 in the aggregate; and (iii) to the Borrower’s knowledge no polychlorinated biphenyl (“PCB”) in
concentrations greater than 50 parts per million, friable asbestos, or underground storage tank (in use or abandoned) is at any property used by the Borrower or for which the Borrower or any of its Material Subsidiaries would be liable, except for
such PCBs, friable asbestos or underground storage tanks that are not reasonably likely to result in liability to the Borrower or any of its Material Subsidiaries in excess of $1,000,000 in any instance or $5,000,000 in the aggregate. 

(c) To the knowledge of the Borrower, neither the Borrower nor any of its Material Subsidiaries has transported or
arranged for the transportation (directly or indirectly) of any Hazardous Substance to any location which is listed under the Comprehensive Environmental Response, Compensation and Liability Act of 1980, as amended (“CERCLA”), on
the Comprehensive Environmental Response, Compensation and Liability Information System, as amended (“CERCLIS”), or on any similar state list or which is the subject of any federal state or local enforcement action or other
investigation which may lead to claims for clean-up costs, remedial work, damages to natural resources or for personal injury claims, including, but not limited to, claims under CERCLA, that are reasonably likely to result in liability to the
Borrower or any of its Material Subsidiaries in excess of $1,000,000 in any instance or $5,000,000 in the aggregate. 
 (d) No written notification of a Release of a Hazardous Substance has been filed by or on behalf of the Borrower or any of its Material Subsidiaries, which individually or in combination with other such
Releases, is reasonably likely to result in liability for the Borrower or any of its Material Subsidiaries in excess of $1,000,000 in any instance or $5,000,000 in the aggregate. 

(e) There have been no environmental audits or similar investigations conducted by or which are in the possession of the
Borrower or any of its Material Subsidiaries in relation to 

  
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any property used by the Borrower or for which the Borrower or any of its Material Subsidiaries would be liable, which identify one or more environmental liabilities of the Borrower or any of its
Material Subsidiaries which are reasonably likely to exceed $1,000,000 in any instance or $5,000,000 in the aggregate. 
 
5.07 Material Subsidiaries and Specified Affiliates. 
 Set forth on Schedule 5.07 hereto is a complete and
accurate list of all of the Material Subsidiaries and Specified Affiliates of the Borrower, showing as to each such Material Subsidiary and Specified Affiliates the jurisdiction of its organization, the number of shares of each class of capital
stock or other equity interests outstanding and the percentage of the outstanding shares of each such class owned (directly or indirectly) by the Borrower or any other Material Subsidiary of the Borrower and the number of shares covered by all
outstanding options, warrants, rights of conversion or purchase, and similar rights. All of the outstanding capital stock or other equity interests of all of such Material Subsidiaries identified in such Schedule 5.07 as being owned by the
Borrower or any of its Material Subsidiaries have been validly issued, are fully paid and nonassessable and are owned directly or indirectly by the Borrower or any of its Material Subsidiaries, as the case may be, free and clear of all Liens other
than a Lien described in and permitted by Section 6.07 hereof. The Borrower may provide periodic updates of the information in Schedule 5.07, which shall be deemed modified to include the updated information. 

5.08 Not an Investment Company. 

Neither the Borrower nor any of its Material Subsidiaries is an “investment company” within the meaning of the Investment
Company Act of 1940, as amended. 
 5.09 Margin Stock. 

No proceeds of any Loan will be used to purchase or carry any “margin stock” or to extend credit to others for the purpose of
purchasing or carrying any “margin stock” in violation of Regulations U, T or X. 
 5.10
Compliance with Laws. 
 Except as set forth on Schedule 5.10 attached hereto and made a part hereof or as
previously disclosed in writing to the Lenders prior to the date hereof, the Borrower and each of its Material Subsidiaries is in compliance in all material respects with all applicable laws, rules and regulations (including, without limitation,
Environmental Laws), and is not in violation of, or in default under, any term or provision of any charter, bylaw, mortgage, indenture, agreement, instrument, statute, rule, regulation, judgment, decree, order, writ or injunction applicable to it,
except for any such non-compliance, violation, default or failure to comply which would not reasonably be expected to have a Material Adverse Effect. 
 5.11 Absence of Liens. 
 There are no Liens
of any nature whatsoever on any properties or assets of the Borrower or any of its Material Subsidiaries, except as otherwise permitted under Section 6.07 hereof. 

  
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 5.12 Indebtedness. 

Other than as set forth on Schedule 5.12 hereto, there is no material Indebtedness of the Borrower and its Material Subsidiaries
outstanding as of the date hereof. 
 5.13 Contingent Liabilities. 

As of the Closing Date, other than as set forth on Schedule 5.13 there are no material contingent liabilities (other than
contingent liabilities that constitute Funded Debt and material contingent liabilities arising out of customary indemnifications given by the Borrower or its Material Subsidiaries to its officers and directors, its underwriters or its lenders) of
the Borrower or its Material Subsidiaries as of the date hereof. 
 5.14 Investments.

 Set forth on Schedule 5.14 is a complete and accurate list, in all material respects, as of the date hereof of all
Investments by the Borrower or any of its Material Subsidiaries in any Person, other than investments by the Borrower or any of its Material Subsidiaries in a Subsidiary or Specified Affiliate. 

5.15 Solvency. 
 The Borrower is Solvent after giving effect to the transactions contemplated by the Credit Documents. 
 5.16 Taxes. 
 The Borrower and its Material
Subsidiaries have filed, or caused to be filed, all tax returns (federal, state, local and foreign) required to be filed and paid all amounts of taxes shown thereon to be due (including interest and penalties) and have paid all other taxes, fees,
assessments and other governmental charges owing by them, except for such taxes (i) which are not yet delinquent or (ii) as are being contested in good faith and by proper proceedings, and against which adequate accruals are being
maintained in accordance with GAAP. The Borrower is not aware of any proposed material tax assessments against it or any of its Material Subsidiaries. 
 5.17 REIT Status. 
 The Borrower is taxed as
a “real estate investment trust” within the meaning of Section 
856(a) of the Internal Revenue Code. 
 5.18 Specified Affiliates. 

Except as set forth on Schedule 5.07, there are no Specified Affiliates as of the date hereof. 

  
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 5.19 Financial Condition. 

Each of the financial statements described below (copies of which have been provided to the Administrative Agent for the benefit of the
Lenders), have been prepared in accordance with GAAP throughout the periods covered thereby, present fairly in all material respects the financial condition and results from operations of the entities and for the periods specified, subject in the
case of interim company-prepared statements to normal year-end adjustments: 
 (a) annual audited consolidated
balance sheet of the Borrower and its consolidated subsidiaries dated as of December 31, 2010, together with related statements of income and cash flows certified by BDO USA, LLP or other independent certified public accountants of nationally
recognized standing and containing an opinion of such accountants; and 
 (b) interim company-prepared
consolidated balance sheet of the Borrower and its consolidated subsidiaries dated as of June 30, 2011, together with related company-prepared statements of income and cash flows. 

5.20 No Material Adverse Effect. 

Since the date of the annual audited financial statements referenced in Section 5.19(a), there has been no circumstance,
development or event relating to or affecting the Borrower and its Material Subsidiaries which has had or is reasonably likely to have a Material Adverse Effect. 
 5.21 Accuracy and Completeness of Information. 
 All written information, reports and other papers and data (other than financial projections and other forward looking statements) furnished to the Administrative Agent or any Lender by, on behalf of, or
at the direction of, the Borrower, any other Credit Party or any other Subsidiary were, at the time the same were so furnished, complete and correct in all material respects, to the extent necessary to give the recipient a true and accurate
knowledge of the subject matter, or, in the case of financial statements, present fairly, in accordance with GAAP consistently applied throughout the periods involved, the financial position of the Persons involved as at the date thereof and the
results of operations for such periods (subject, as to interim statements, to changes resulting from normal year end audit adjustments and absence of full footnote disclosure). All financial projections and other forward looking statements prepared
by or on behalf of the Borrower, any other Credit Party or any other Subsidiary that have been or may hereafter be made available to the Administrative Agent or any Lender were or will be prepared in good faith based on reasonable assumptions. No
fact is known to any Credit Party which has had, or may in the future have (so far as any Credit Party can reasonably foresee), a Material Adverse Effect which has not been set forth in the financial statements referred to in
Section 5.19 or in such information, reports or other papers or data or otherwise disclosed in writing to the Administrative Agent and the Lenders. No document furnished or written statement made to the Administrative Agent or any Lender
in connection with the negotiation, preparation or execution of, or pursuant to, this Agreement or any of the other Credit Documents contains or will contain any untrue statement of a material fact, or omits or will omit to state a material fact
necessary in order to make the statements contained therein not misleading. 
 5.22 OFAC.

 None of the Borrower, any of the Material Subsidiaries or any other Affiliate of the Borrower: (i) is a person named on
the list of Specially Designated Nationals or Blocked Persons maintained by the U.S. Department of the Treasury’s Office of Foreign Assets Control (“OFAC”) available at http://www.treas.gov/offices/enforcement/ofac/index.shtml or as
otherwise published from time to time; (ii) is (A) an agency of the government of a country, (B) an organization controlled by a country, or (C) a person resident in a country that is subject to a sanctions program identified on
the list maintained by OFAC and available at http://www.treas.gov/offices/enforcement/ofac/index.shtml, or as otherwise published from time to time, as such program may be applicable to such agency, organization or person; or (iii) derives any
of its assets or operating income from investments in or transactions with any such country, agency, organization or person; and none of the Extensions of Credit will be used to finance any operations, investments or activities in, or make any
payments to, any such country, agency, organization, or person. 

  
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 ARTICLE VI 

COVENANTS 
 The
Borrower hereby covenants and agrees that until the Obligations, together with interest, fees and other obligations hereunder, have been paid in full and the Revolving Commitments hereunder shall have terminated, the Borrower shall, and shall cause
its Subsidiaries to, perform and comply with the following covenants: 
 6.01 Information.

 The Borrower will deliver to Administrative Agent for the benefit of the Lenders: 

(a) within five (5) days following the date such information is filed with the SEC, but in any event no later than
ninety-five (95) days after the end of each fiscal year of the Borrower, a consolidated balance sheet of the Borrower and its Subsidiaries as of the end of such fiscal year and the related consolidated statements of income and consolidated
statement of cash flows for such fiscal year, setting forth in each case in comparative form the figures for the previous fiscal year, and, with respect to such financial information for the Borrower, such consolidated statements shall be audited
statements by BDO USA, LLP or other independent public accountants of nationally recognized standing and containing an opinion of such accountants, which opinion shall be without exception, qualification or limitation on scope of audit; 

(b) within five (5) days following the date such information is filed with the SEC, but in any event no later than
fifty (50) days after the end of each of the first three fiscal quarters of the Borrower, a consolidated balance sheet of the Borrower and its Subsidiaries as of the end of such quarter and the related consolidated statements of income and
consolidated statement of cash flows for such quarter and for the portion of the Borrower’s fiscal year ended at the end of such quarter, setting forth in each case in comparative form the figures for the corresponding quarter and the
corresponding portion of the previous fiscal year, all certified (subject to normal adjustments) as to fairness of presentation and conformity with GAAP by the chief financial officer or treasurer of the Borrower; 

(c) simultaneously with the delivery of each set of financial statements referred to in clauses (a) and
(b) of this Section, a certificate of Borrower, substantially in the form of Exhibit 6.01 (each, a “Compliance Certificate”), signed on behalf of Borrower by the chief financial officer or the treasurer of the
Borrower (i) stating whether, to such officer’s knowledge, there exists on the date of such certificate any Default and, if any Default then exists, setting forth the details thereof and the action that the Borrower is taking or proposes
to take with respect thereto, (ii) stating whether, since the date of the most recent financial statements previously delivered pursuant to clauses (a) or (b) of this Section, there has been a change in the GAAP applied
in preparing the financial statements then being delivered from those applied in preparing the most recent audited financial statements so delivered which is material to the financial statements then being delivered and, if so, the effect on the
financial covenants on account thereof and a reconciliation between calculation of the financial covenants before and after giving effect thereto, (iii) furnishing calculations demonstrating the compliance by the Borrower of the financial
covenants in Section 6.16 hereunder, (iv) attaching management’s summary of the results contained in such financial statements and (v) identifying the Borrower’s Debt Ratings then in effect; 

  
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 (d) simultaneously with the delivery of each set of financial statements
referred to in clause (a) above, a statement (addressed to the Administrative Agent for the benefit of the Lenders) of the firm of independent public accountants which reported on such statements whether anything has come to their attention to
cause them to believe that any Default or Event of Default existed on the date of such statements; 
 (e)
promptly, and in any event within five (5) Business Days after any officer obtains knowledge thereof, written notice of any change by a Ratings Service in its rating for the Borrower’s senior unsecured (non-credit enhanced) long term debt;

 (f) within five (5) Business Days after any officer obtains knowledge of any Default or Event of Default,
if such Default or Event of Default is then continuing, a certificate of Borrower, signed on behalf of Borrower by the chief financial officer or the treasurer of the Borrower, setting forth the details thereof and the action which the Borrower is
taking or proposes to take with respect thereto; 
 (g) promptly upon the mailing thereof to the shareholders of
the Borrower generally, copies of all financial statements, reports and proxy statements so mailed; 
 (h)
promptly upon the filing thereof, copies of all registration statements (other than the exhibits thereto and any registration statements on Form S-8 or its equivalent) and reports on Forms 10-K, 10-Q and 8-K (or their equivalents) which the Borrower
shall have filed with the SEC; 
 (i) promptly, and in any event within five (5) Business Days, after the
occurrence of any ERISA Event, written notice of such ERISA Event; 
 (j) as soon as possible after any officer
of the Borrower obtains knowledge of the commencement of, or of a material threat of the commencement of, an action, suit or proceeding against the Borrower or any of its Subsidiaries before any court or arbitrator or any governmental body, agency
or official in which there is a reasonable likelihood of an adverse decision which would, after the application of applicable insurance, result in a Material Adverse Effect; 

(k) to the extent the information provided by the Borrower on Schedule 5.07 (Material Subsidiaries and Specified
Affiliates), Schedule 5.12 (Indebtedness), Schedule 5.13 (Contingent Liabilities) and Schedule 5.14 (Investments) changes following the Closing Date, the Borrower will provide the Administrative Agent with updated information
not less frequently than quarterly, and such Schedule 5.07 shall be deemed modified to include the applicable updated information; 
 (l) promptly after the Borrower has notified the Administrative Agent of its intention to treat any of the Loans, the Letters of Credit or any related transaction as a “reportable transaction”
(within the meaning of Treasury Regulation Section 1.6011-4), a duly completed copy of IRS Form 8886 or any successor form thereto; 
 (m) promptly, such information, certificates or documents as any Lender or the Administrative Agent may reasonably request in order for such Lender or the Administrative Agent to maintain compliance with
the Patriot Act; and 

  
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 (n) from time to time such additional information regarding the financial
position or business of the Borrower and its Subsidiaries, as the Administrative Agent or any Lender may reasonably request. 

For purposes of the foregoing: 
 (i) during any period when GAAP requires that a Specified Affiliate of the Borrower be accounted for as a Subsidiary for purposes of the consolidated financial statements of the Borrower and its
Subsidiaries, the term “Subsidiary” shall include a Specified Affiliate of the Borrower for purposes of clauses (a) and (b) above; and 

(ii) during any period when GAAP does not require that a Specified Affiliate of the Borrower be accounted for as a
Subsidiary for purposes of the consolidated financial statements of the Borrower and its Subsidiaries, the terms “Subsidiary” shall not include a Specified Affiliate of the Borrower for purposes of clauses (a) and
(b) above and, if the Borrower shall have any Specified Affiliates during any period covered by the financial statements delivered pursuant to clauses (a) or (b) above, the Borrower shall deliver
(A) financial statements of the character specified in clauses (a) and (b) above for such Specified Affiliates within the time periods set forth in clauses (a) and (b) above, and (B) on a
combined basis, financial statements of the character specified in clauses (a) and (b) above for the Borrower, its Subsidiaries and such Specified Affiliates accompanied by the opinions and certificates specified in
clauses (b) and (c) above within the time periods set forth in clauses (a), (b) and (c) above. 
 As to any information contained in materials furnished pursuant to Section 6.01(h), the Borrower shall not be separately required to furnish such information under clauses (a)
or (b) above, but the foregoing shall not be in derogation of the obligation of the Borrower to furnish the information and materials described in clauses (a) and (b) above at the times specified therein.

 Documents required to be delivered pursuant to clauses (a), (b) or (h) (to the extent any such
documents are included in materials otherwise filed or furnished with the SEC) above may be delivered electronically and if so delivered, shall be deemed to have been delivered on the date (i) on which the Borrower posts such documents, or
provides a link thereto on the Borrower’s website on the Internet at the website address listed on Schedule 9.02; or (ii) on which such documents are posted on the Borrower’s behalf on an Internet or intranet website, if
any, to which each Lender and the Administrative Agent have access without charge (whether a commercial, third-party website or whether sponsored by the Administrative Agent); provided that: (i) upon the request of the Administrative
Agent or any Lender, the Borrower shall deliver paper copies of such documents to such Administrative Agent or such Lender, respectively, until a written request to cease delivering paper copies is given by the Administrative Agent or such Lender,
respectively, and (ii) the Borrower shall notify the Administrative Agent and each Lender (by telecopier or electronic mail) of the posting of any such documents and provide to the Administrative Agent by electronic mail electronic versions
(i.e., soft copies) of such documents. Notwithstanding anything contained herein, in every instance the Borrower shall be required to provide paper copies of the Compliance Certificates required by Section 6.01(c) to the
Administrative Agent. Except for such Compliance Certificates, the Administrative Agent shall have no obligation to request the delivery or to maintain copies of the documents referred to above, and in any event shall have no responsibility to
monitor compliance by the Borrower with any such request for delivery, and each Lender shall be solely responsible for requesting delivery to it or maintaining its copies of such documents. 

The Borrower hereby acknowledges that (a) the Administrative Agent and/or WFS will make available to the Lenders and the L/C Issuer
materials and/or information provided by or on behalf of the 

  
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Borrower hereunder (collectively, “Borrower Materials”) by posting the Borrower Materials on IntraLinks or another similar electronic system (the “Platform”) and
(b) certain of the Lenders (each, a “Public Lender”) may have personnel who do not wish to receive material non-public information with respect to the Borrower or its Affiliates, or the respective securities of any of the
foregoing, and who may be engaged in investment and other market-related activities with respect to such Persons’ securities. The Borrower hereby agrees that (w) all Borrower Materials that are to be made available to Public Lenders shall
be clearly and conspicuously marked “PUBLIC” which, at a minimum, shall mean that the word “PUBLIC” shall appear prominently on the first page thereof; (x) by marking Borrower Materials “PUBLIC,” the Borrower shall
be deemed to have authorized the Administrative Agent, WFS, the L/C Issuer and the Lenders to treat such Borrower Materials as not containing any material non-public information with respect to the Borrower or its securities for purposes of United
States Federal and state securities laws (provided, however, that to the extent such Borrower Materials constitute Confidential Information, they shall be treated as set forth in Section 9.08); (y) all Borrower
Materials marked “PUBLIC” are permitted to be made available through a portion of the Platform designated “Public Side Information;” and (z) the Administrative Agent and WFS shall be entitled to treat any Borrower Materials
that are not marked “PUBLIC” as being suitable only for posting on a portion of the Platform that is not designated “Public Side Information.” 
 6.02 Payment of Obligations. 
 The Borrower
will pay and discharge, and will cause each of its Subsidiaries to pay and discharge, at or before maturity, or prior to expiration of applicable notice, grace and curative periods, all their respective material obligations and liabilities,
including, without limitation, tax liabilities, except where the same may be contested in good faith by appropriate proceedings, and will maintain, and will cause each of its Subsidiaries to maintain, in accordance with GAAP, appropriate reserves
for the accrual of any of the same. 
 6.03 Maintenance of Property; Insurance. 

(a) The Borrower will keep, and will cause each of its Subsidiaries to keep, or will in the ordinary course of business cause the tenants
of respective properties to keep, all property materially useful and necessary in its business in good working order and condition, ordinary wear and tear excepted. 
 (b) The Borrower will maintain, and will cause each of its Subsidiaries to maintain, with financially sound and responsible insurance companies, insurance on all their respective properties in at least
such amounts and against such risks (and with such risk retention) as are usually insured against in the same general area by companies of established repute engaged in the same or a similar business, and will furnish to the Lenders, upon request
from the Administrative Agent, information presented in reasonable detail as to the insurance so carried. The insurance described in this Section 6.03 may be carried by the tenants under the respective tenant leases of such properties in
lieu of by Borrower or its Subsidiaries so long as the Borrower or its respective Subsidiary is named as loss payee and additional insured with respect to such insurance. 
 6.04 Conduct of Business and Maintenance of Existence. 
 Except as contemplated otherwise by the Investment Policy, the Borrower will continue, and will cause each Subsidiary to continue, to engage in business of the same general type as now conducted by the
Borrower and each of its Subsidiaries, and will preserve, renew and keep in full force and effect, and will cause each of its Subsidiaries to preserve, renew and keep in full force and effect their respective organizational existences and, except
for any such rights, privileges and franchises the failure to preserve 

  
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which would not in the aggregate have a Material Adverse Effect; provided that nothing in this Section 6.04 shall prohibit (a) the merger of a Subsidiary of the Borrower
into the Borrower or the merger or consolidation of any Subsidiary of the Borrower with or into another Person if the corporation surviving such consolidation or merger is a Wholly Owned Consolidated Subsidiary of the Borrower and if, in each case,
after giving effect thereto, no Default or Event of Default shall have occurred and be continuing and a responsible officer of the Borrower shall deliver to the Administrative Agent an officer’s certificate representing that after giving effect
to the transaction (i) the Borrower is in compliance with the terms of the Credit Agreement on a pro forma basis and (ii) no Default or Event of Default shall then exist, or (b) the termination of the corporate existence of any
Subsidiary of the Borrower or the discontinuation of any line of business of the Borrower or any of its Subsidiaries if the Borrower in good faith determines that such termination is in the best interest of the Borrower or such Subsidiary, as the
case may be, and is not materially disadvantageous to the Lenders. 
 6.05 Compliance with
Laws. 
 The Borrower will comply, and cause each of its Subsidiaries to comply, in all material respects with all
applicable laws, ordinances, rules, regulations, and requirements of governmental authorities (including, without limitation, Environmental Laws and ERISA and the rules and regulations thereunder) the failure to comply with which would reasonably be
expected to have a Material Adverse Effect, except where the necessity of compliance therewith is contested in good faith by appropriate proceedings. 
 6.06 Inspection of Property, Books and Records. 
 The Borrower will keep, and will cause each of its Subsidiaries to keep, proper books of record and account in which full, true and correct entries shall be made of all material dealings and transactions
in relation to its business and activities; and, except to the extent prohibited by applicable law, rule, regulations or orders, will permit, and will cause each of its Subsidiaries to permit, representatives of the Administrative Agent or any
Lender at such Person’s expense (which expense shall not be subject to reimbursement by the Borrower hereunder except in the case of the Administrative Agent while an Event of Default exists) to visit and inspect any of their respective
properties (subject to the rights of tenants in possession thereof and to any limitations on the inspection rights of Borrower in connection therewith), to examine and make abstracts from any of their respective books and records and to discuss
their respective affairs, finances and accounts with their respective officers, employees and independent public accountants, upon reasonable prior written notice to the Borrower, all at such reasonable times and as often as may reasonably be
desired, without unreasonable interference to the business operations of the Borrower or its Subsidiaries; provided, however, that no such notice shall be required by the Administrative Agent while an Event of Default exists.

 6.07 Negative Pledge. 

The Borrower will not, nor will it permit any of its Subsidiaries to create, assume or suffer to exist any Lien on any asset now owned or
hereafter acquired by it, except: 
 (a) Liens pursuant to any Credit Document securing the Obligations
hereunder, including Cash Collateral pledged to secure obligations of Defaulting Lenders as provided in Section 2.14; 
 (b) Liens in favor of a Lender or any of its Affiliates pursuant to a Swap Contract permitted hereunder, but only to the extent that (i) the obligations under such Swap Contract are permitted under
Section 6.10, (ii) such Liens are on the same collateral that secures the Obligations, and (iii) the obligations under such Swap Contract and the Obligations share pari passu in the collateral subject to such Liens;

  
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 (c) mortgage Liens to the extent not prohibited, both before and after
giving effect thereto on a pro forma basis, by the provisions of the financial covenants set out in Section 6.16; 
 (d) Liens for taxes not yet due or that are being contested in good faith and by appropriate proceedings diligently conducted, if adequate reserves with respect thereto are maintained on the books of the
applicable Person in accordance with GAAP; 
 (e) carriers’, warehousemen’s, mechanics’,
materialmen’s, repairmen’s or other like Liens arising in the ordinary course of business that are not overdue for a period of more than thirty (30) days or that are being contested in good faith and by appropriate proceedings
diligently conducted, if adequate reserves with respect thereto are maintained on the books of the applicable Person; 
 (f) pledges or deposits in the ordinary course of business in connection with workers’ compensation, unemployment insurance and other social security legislation, other than any Lien imposed by
ERISA; 
 (g) deposits to secure the performance of bids, trade contracts and leases (other than Indebtedness),
statutory obligations, surety bonds, performance bonds and other obligations of a like nature incurred in the ordinary course of business; 
 (h) easements, rights-of-way, restrictions and other similar encumbrances affecting real property that, in the aggregate, are not substantial in amount, and that do not in any case materially detract from
the value of the property subject thereto or materially interfere with the ordinary conduct of the business of the applicable Person; 
 (i) Liens of a judgment debtor securing judgments for the payment of money not constituting an Event of Default under Section 7.01(k) or securing appeal or other surety bonds related to such
judgments; 
 (j) Liens securing reimbursement obligations with respect to trade letters of credit issued in the
ordinary course of business, provided that such Liens attach only to the assets being acquired with the proceeds of such letters of credit; 
 (k) any Lien arising out of the refinancing, extension, renewal or refunding of any Indebtedness secured by any Lien, to the extent that such Lien is permitted by any of the foregoing clauses of this
Section, and provided that such Indebtedness is not increased and is not secured by any additional assets; and 

(l) Liens securing Indebtedness of any Subsidiary or Specified Affiliate owing to the Borrower. 

6.08 Consolidations, Mergers and Sales and Transfers of Assets. 

(a) The Borrower will not, nor will it permit any of its Subsidiaries to, consolidate or merge with or into any Person
except as may be permitted in accordance with Section 6.04. 

  
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 (b) The Borrower will not, nor will it permit any of its Subsidiaries to,
make any transfer, acquisition or investment of assets or any Asset Sale without the prior written consent of the Required Lenders, except where, immediately after giving effect thereto on a pro forma basis, 

(i)(A) the Consolidated Unencumbered Realty held by the Borrower shall be not less than $250,000,000, and
(B) Consolidated Unencumbered Realty held by the Consolidated Group (including, for purposes hereof, in the case of non-Subsidiary joint ventures, the lesser of (x) the outstanding principal amount of first mortgage lien indebtedness owed
to members of the Consolidated Group by any such non-Subsidiary joint venture, or (y) the fair market value of the property that is the subject of such first mortgage lien) shall be not less than $1,000,000,000, and 

(ii) no Default or Event of Default shall exist. 
 For any such transfer, acquisition, investment, sale or disposition involving consideration in excess of $200,000,000, in each such instance, the Borrower shall deliver to the Administrative Agent, prior
to the consummation of such transaction, an officer’s certificate describing the transaction in detail reasonably satisfactory to the Administrative Agent and representing that after giving effect to the transaction on a pro forma basis
(A) the Borrower is in compliance with the terms of the Credit Agreement and (B) no Default or Event of Default then exists. 
 6.09 Creation of Subsidiaries. 
 The Borrower
will not, nor will it permit any of its Subsidiaries to, create any Subsidiary except for the creation of a Wholly Owned Subsidiary of the Borrower or a Specified Affiliate provided that (i) such Subsidiary or Specified Affiliate is
organized under the laws of a jurisdiction within the United States of America and (ii) no Default or Event of Default exists immediately prior to or after the creation of such Subsidiary or Specified Affiliate. 

6.10 Incurrence and Existence of Debt. 

The Borrower will not, and will not permit any of its Subsidiaries to, incur, assume or permit to exist any Indebtedness, except:

 (a) Indebtedness under the Credit Documents; 

(b) Indebtedness outstanding on the date hereof and listed on Schedule 5.12 and any refinancings, refundings,
renewals or extensions thereof; provided that the amount of such Indebtedness is not increased at the time of such refinancing, refunding, renewal or extension except by an amount equal to a reasonable premium or other reasonable amount paid,
and fees and expenses reasonably incurred, in connection with such refinancing and by an amount equal to any existing commitments unutilized thereunder; 
 (c) Support Obligations of any member of the Consolidated Group in respect of Indebtedness otherwise permitted hereunder; 

(d) obligations (contingent or otherwise) of any member of the Consolidated Group existing or arising under any Swap
Contract, provided that (i) such obligations are (or were) entered into by such Person in the ordinary course of business for the purpose of directly mitigating risks associated with liabilities, commitments, investments, assets, or
property held or reasonably anticipated by such Person, or changes in the value of securities issued by such Person, and not for purposes of speculation or taking a “market view”; and (ii) such Swap Contract does not contain any
provision exonerating the non-defaulting party from its obligation to make payments on outstanding transactions to the defaulting party; 

  
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 (e) publicly issued or privately placed Funded Debt of the Borrower issued
or placed after the Closing Date, provided that the final maturity thereof shall not be prior to the Revolving Termination Date hereunder; 
 (f) Funded Debt of members of the Consolidated Group secured by mortgage liens, provided that, while an Event of Default exists, no additional Funded Debt of members of the Consolidated Group
secured by mortgage liens shall be incurred; and 
 (g) unsecured inter-company Indebtedness between and among
members of the Consolidated Group, provided that (i) the aggregate amount of such inter-company Indebtedness owing by Subsidiaries to the Borrower shall not exceed the aggregate principal amount of loans and investments permitted under
Section 6.14 and (ii) any such Indebtedness under this subsection (g) owing by the Borrower shall be subordinated in writing to the Obligations on term acceptable to the Administrative Agent; 

provided, that in the case of Indebtedness incurred under clauses (e) through (g), immediately after giving effect to the
incurrence or assumption thereof on a pro forma basis, the Borrower and the other members of the Consolidated Group shall be in compliance with the terms of this Credit Agreement, including the financial covenants hereunder. 

6.11 Transactions with Affiliates. 

The Borrower will not and will not permit any Subsidiary to enter into directly or indirectly any material transaction or material group
of related transactions (including without limitation the purchase, lease, sale or exchange of properties of any kind or the rendering of any service) with any Affiliate (other than the Borrower), except in the ordinary course and pursuant to the
reasonable requirements of the Borrower’s or such Subsidiary’s business and upon fair and reasonable terms no less favorable to the Borrower or such Subsidiary than would be obtainable in a comparable arm’s-length transaction with a
Person that is not an Affiliate. 
 6.12 Use of Proceeds. 

The Extensions of Credit hereunder will be used (a) to refinance existing indebtedness for borrowed money, including Indebtedness
under the Existing Credit Agreement, (b) to finance the acquisition and development of healthcare real estate properties by the Borrower and its Subsidiaries, and (c) to finance the general corporate purposes of the Borrower and its
Subsidiaries. No proceeds of any Loan will be used to purchase or carry any “margin stock” or to extend credit to others for the purpose of purchasing or carrying any “margin stock” in violation of Regulations U, T or X.

 6.13 Organization Documents. 

Subject to changes, including any dissolutions permitted pursuant to this Credit Agreement: (a) the Borrower will not, nor will it
permit any of its Subsidiaries to, amend its Organization Documents in any manner which could materially adversely affect the rights of the Lenders under the Credit Documents or their ability to enforce the same; and (b) the Borrower will not
amend its Organization Documents in a manner which would permit a single shareholder (as determined for purposes hereof pursuant to the attribution provisions of Section 544 of the Internal Revenue Code as modified by Section 856 of the
Internal Revenue Code) to own more than 30% of the outstanding stock in Borrower. 

  
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 6.14 Investments. 

The Borrower shall not make or permit to exist, nor shall it permit any of its Subsidiaries to make or permit to exist, any Investment
except: 
 (a) cash and Cash Equivalents; 

(b) Investments received in satisfaction or partial satisfaction thereof from financially troubled account debtors to the
extent reasonably necessary in order to prevent or limit loss; 
 (c) Support Obligations permitted by
Section 6.10(c); 
 (d) Investments by members of the Consolidated Group existing on the Closing Date
and identified on Schedule 5.14; 
 (e) Investments by (i) members of the Consolidated Group that are
Credit Parties in and to other members of the Consolidated Group that are Credit Parties, (ii) members of the Consolidated Group that are not Credit Parties in and to members of the Consolidated Group that are Credit Parties, (iii) members
of the Consolidated Group that are not Credit Parties in and to other members of the Consolidated Group that are not Credit Parties, and (iv) members of the Consolidated Group that are Credit Parties in and to members of the Consolidated Group
that are not Credit Parties to the extent permitted by Section 6.08(b); and 
 (f) Investments in and
to unconsolidated joint ventures or other non-Subsidiary enterprises in the same or closely related lines of business in an aggregate amount of up to 10% of the book value of consolidated assets of the Consolidated Group. 

In addition, the Borrower shall not, and shall not permit any of its Subsidiaries to, make or permit to exist Investments in, or
otherwise own, the following items which would cause the aggregate value of such holdings of such Persons to exceed 20% of the book value of consolidated assets of the Consolidated Group at any time: (i) unimproved real estate;
(ii) Capital Stock of Persons other than consolidated Subsidiaries and constituting Investments described in the immediately preceding clause (f); or (iii) Mortgage Receivables. 

6.15 Repurchase, Retirement or Redemption of Capital Stock. 

The Borrower will not, nor will it permit any of its Subsidiaries (other than its Wholly Owned Subsidiaries or the Specified Affiliates)
to, repurchase, retire or redeem any of its capital stock; provided that (i) the Borrower may redeem its preferred stock, if any, with proceeds from the sale of its common stock and (ii) so long as no Event of Default shall then
exist hereunder or would result therefrom, the Borrower may redeem its capital stock in an amount not to exceed $50,000,000 in the aggregate in any calendar year, as approved by the Board of Directors. 

6.16 Financial Covenants. 
 The Borrower will not: 
 (a) Consolidated Leverage Ratio.
Permit the Consolidated Leverage Ratio at any time to be greater than 60%. 

  
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 (b) Consolidated Secured Leverage Ratio. Permit the Consolidated
Secured Leverage Ratio at any time to be greater than 30%. 
 (c) Consolidated Unencumbered Leverage
Ratio. Permit the Consolidated Unencumbered Leverage Ratio at any time to be greater than 60%. 
 (d)
Consolidated Fixed Charge Coverage Ratio. Permit the Consolidated Fixed Charge Coverage Ratio as of the end of any fiscal quarter to be less than 1.65:1.0. 

(e) Consolidated Unsecured Coverage Ratio. Permit the Consolidated Unsecured Coverage Ratio as of the end of any
fiscal quarter to be less than 1.75:1.0. 
 (f) Consolidated Tangible Net Worth. Permit Consolidated
Tangible Net Worth as of the end of any fiscal quarter to be less than the sum of (i) $850,000,000, plus (ii) an amount equal to 50% of the net cash proceeds received from Equity Transactions occurring after the Closing Date.

 6.17 Specified Affiliates. 

The Borrower will give the Administrative Agent prompt notice of any Subsidiary that to the Borrower’s knowledge becomes a Specified
Affiliate subsequent to the Closing Date. 
 6.18 REIT Status. 

The Borrower will continue to meet the requirements of Section 857(a) of the Internal Revenue Code and regulations thereunder.

 6.19 Leases. 
 The Borrower will not modify or amend any lease where the Borrower is the lessor thereunder if such modification or amendment would have a Material Adverse Effect on the Borrower. 

6.20 Favorable Treatment. 
 The Borrower will not permit its Subsidiaries to give any guaranty or pledge of collateral (other than in connection with financing as permitted under Section 6.10(f) hereof) in respect of any
other Indebtedness, unless such Subsidiary shall also give an equal and ratable guaranty and pledge of collateral of the loans and obligations hereunder (in substantially the form attached as Exhibit 6.20 or such other form as may be
reasonably acceptable to the Administrative Agent and the Required Lenders) and become a Subsidiary Guarantor hereunder, without prejudice to any Event of Default that may arise under Section 6.07. 

6.21 Construction in Progress. 

The Borrower and its Subsidiaries will not engage in construction projects in which the total project costs of all such concurrent
construction projects exceed, in the aggregate at any one time, 15% of the book value of consolidated assets of the Borrower and its Subsidiaries (it being understood and agreed for purposes of this Section that a project shall be considered under
construction until a certificate of occupancy therefor, an architect’s certificate of substantial completion or other similar certificate, shall have been issued). 

  
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 6.22 Limitation on Certain Agreements. 

The Borrower will not, nor will it permit its Subsidiaries to, enter into, assume or otherwise become subject to any agreement
(i) restricting their ability to grant a lien on their property (except with respect to those properties which are the subject of mortgage financing permitted under Section 6.10(f) hereof, so long as such restrictions do not
prohibit the granting of liens on any property other than the applicable property securing the Funded Debt permitted under Section 6.10(f)), or (ii) restricting the ability of the Subsidiaries to give a guaranty of the loans and
obligations hereunder. 
 ARTICLE VII 

EVENTS OF DEFAULT AND REMEDIES 
 7.01 Events of Default. 
 The occurrence of
any of the following events shall constitute an event of default hereunder (individually, an “Event of Default” and collectively the “Events of Default”): 

(a) The Borrower shall fail to pay (i) when due any principal of any Loan or any reimbursement obligation owing on
account of a drawing under a Letter of Credit or (ii) within five (5) days after the same shall become due, any interest on any Obligation or any fees or any other amount payable hereunder; 

(b) Default in the due performance or observance of any term, covenant or agreement contained in
Section 6.01(f) or any of Section 6.07 through 6.22, inclusive; 
 (c) The
Borrower shall fail to observe or perform any covenant or agreement contained in any Credit Document (other than those covered by clause (a) or (b) above) for thirty (30) days after the earlier of a responsible officer
of the Borrower becoming aware of such failure or written notice of such failure shall have been given to the Borrower by the Administrative Agent; 
 (d) Any representation, warranty, certification or statement made or deemed made by the Borrower in any Credit Document or in any certificate, financial statement or other document delivered pursuant
thereto shall prove to have been incorrect in any material respect when made (or deemed made); 
 (e) The
Borrower or any of its Material Subsidiaries shall fail to make any payment in respect of any Indebtedness in an aggregate amount in excess of $20,000,000 when due or within any applicable grace period; 

(f) Any event or condition shall occur which would cause or permit the acceleration of the maturity of any Indebtedness of
Borrower or any Material Subsidiary in an aggregate amount in excess of $20,000,000 or enables the holder of such Indebtedness or any Person acting on such holder’s behalf to accelerate the maturity thereof; 

(g) The Borrower or any Material Subsidiary of the Borrower shall commence a voluntary case or other proceeding seeking
liquidation, reorganization or other relief with respect to itself or its debts under any bankruptcy, insolvency or other similar law now or hereafter in effect or seeking the appointment of a trustee, receiver, liquidator, custodian or other
similar 

  
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official of it or any substantial part of its property, or shall consent to any such relief or to the appointment of or taking possession by any such official in an involuntary case or other
proceeding commenced against it, or shall make a general assignment for the benefit of creditors, or shall fail generally to pay its debts as they become due, or shall take any corporate action to authorize any of the foregoing; 

(h) An involuntary case or other proceeding shall be commenced against the Borrower or any Material Subsidiary of the
Borrower seeking liquidation, reorganization or other relief with respect to it or its debts under any bankruptcy, insolvency or other similar law now or hereafter in effect or seeking the appointment of a trustee, receiver, liquidator, custodian or
other similar official of it or any substantial part of its property, and such involuntary case or other proceeding shall remain undismissed and unstayed for a period of thirty (30) days; or an order for relief shall be entered against the
Borrower or any Material Subsidiary of the Borrower under the federal bankruptcy laws as now or hereafter in effect; 
 (i) The Borrower or any Material Subsidiary of the Borrower shall admit in writing its inability to pay its debts as and when they fall due; 

(j)(i) An ERISA Event occurs with respect to a Pension Plan or Multiemployer Plan that has resulted or could
reasonably be expected to result in liability of a Credit Party under Title IV of ERISA to the Pension Plan, Multiemployer Plan or the PBGC in an aggregate amount in excess of $10,000,000, or (ii) a Credit Party or any ERISA Affiliate
fails to pay when due, after the expiration of any applicable grace period, any installment payment with respect to its withdrawal liability under Section 4201 of ERISA under a Multiemployer Plan in an aggregate amount in excess of $10,000,000;

 (k) An uninsured, final, unappealable judgment or order for the payment of money in excess of $10,000,000
shall be rendered against the Borrower or any of its Material Subsidiaries and such judgment or order shall continue unsatisfied and unstayed for a period of thirty (30) days; 

(l)(i) The voting interests in any Specified Affiliate shall be held by a Person other than a director, officer or
employee of the Borrower, (ii) the Borrower shall fail to own substantially all of the economic interest in any Specified Affiliate and the remainder of such economic interest shall be held by a Person other than directors, officers and/or
employees or (iii) a Specified Affiliate shall engage in any of the actions or activities that are limited or restricted by Article VI hereof; 
 (m) Except as to any Guarantor which is dissolved, released or merged or consolidated out of existence as the result of or in connection with a dissolution, merger or consolidation permitted by
Section 6.04, any guaranty of the loans and obligations hereunder or any material provision thereof shall cease to be in full force and effect, or any Guarantor or any Person acting by or on behalf of such Guarantor shall deny or
disaffirm such Guarantor’s obligations under such guaranty, or any Guarantor shall default in the due performance or observance of any term, covenant or agreement on its part to be performed or observed pursuant to any guaranty; 

(n) the occurrence of a Change of Control; or 

(o) any Credit Party shall (or shall attempt to) disavow, revoke or terminate any Credit Document or the Administrative
Agent’s Fee Letter to which it is a party or shall otherwise 

  
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challenge or contest in any action, suit or proceeding in any court or before any Governmental Authority the validity or enforceability of any Credit Document or the Administrative Agent’s
Fee Letter or any Credit Document or the Administrative Agent’s Fee Letter shall cease to be in full force and effect (except as a result of the express terms thereof); 
 then, and in every such event, the Administrative Agent shall during the continuance of such Event of Default (i) if requested by the Required Revolving Lenders, by notice to the Borrower terminate
the Revolving Commitments, (ii) if requested by the Required Lenders, by notice to the Borrower declare the Notes (together with accrued interest thereon) and all other amounts payable by the Borrower hereunder to be, and such Notes and amounts
shall thereupon become, immediately due and payable without presentment, demand, protest or other notice of any kind, all of which are hereby waived by the Borrower, (iii) provide Cash Collateral in respect of the L/C Obligations, and
(iv) take such other actions as are directed by the Required Lenders; provided that in the case of any Event of Acceleration, without any notice to the Borrower or any other act by the Administrative Agent or any Lender, the Revolving
Commitments shall automatically terminate and the Notes (together with accrued interest thereon) and all other amounts payable by the Borrower hereunder shall automatically become immediately due and payable without presentment, demand, protest or
other notice of any kind, all of which are hereby waived by the Borrower; and provided further that the Administrative Agent may terminate commitments, declare the Loans and Obligations hereunder immediately due and payable and demand
Cash Collateral for the L/C Obligations without prior notice to or the consent of the Lenders where it determines such action is warranted and appropriate based on the facts and circumstances. Subject to the request or direction of the Required
Lenders as provided above, the Administrative Agent shall have the exclusive right to enforce the remedies available under this Credit Agreement during the continuance of any Event of Default hereunder. 

7.02 Application of Funds. 
 After the exercise of remedies provided for in Section 7.01 (or after the Loans have automatically become immediately due and payable and the L/C Obligations have automatically been required
to provide Cash Collateral as set forth in the proviso to Section 7.01), any amounts received on account of the Obligations (whether as a result of the exercise of the right of set off pursuant to Section 9.09 or otherwise)
shall be applied by the Administrative Agent in the following order: 
 First, to payment of that portion
of the Obligations constituting fees, indemnities, expenses and other amounts (including Attorney Costs and amounts payable under Article III) payable to the Administrative Agent in its capacity as such; 

Second, to payment of that portion of the Obligations constituting fees, indemnities and other amounts (other than
principal and interest) payable to the Lenders (including Attorney Costs and amounts payable under Article III), ratably among the Lenders in proportion to the amounts described in this clause Second payable to them;

 Third, to payment of that portion of the Obligations constituting accrued and unpaid interest on the
Loans and L/C Borrowings, ratably among the Lenders in proportion to the respective amounts described in this clause Third payable to them; 
 Fourth, to (a) payment of that portion of the Obligations constituting unpaid principal of the Loans and L/C Borrowings, and (b) the Administrative Agent for the account of the L/C
Issuer, to provide Cash Collateral for that portion of the L/C Obligations comprised of the aggregate undrawn amount of Letters of Credit, ratably among such parties in proportion to the respective amounts described in this clause Fourth
held by them; and 

  
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 Last, the balance, if any, after all of the Obligations have been
indefeasibly paid in full, to the Borrower or as otherwise required by Law. 
 Subject to Section 2.03(c), amounts used to provide
Cash Collateral for the aggregate undrawn amount of Letters of Credit pursuant to clause Fourth above shall be applied to satisfy drawings under such Letters of Credit as they occur. If any amount remains on deposit as Cash Collateral
after all Letters of Credit have either been fully drawn or expired, such remaining amount shall be applied to the other Obligations, if any, in the order set forth above. 
 ARTICLE VIII 
 ADMINISTRATIVE AGENT 

8.01 Appointment and Authorization. 

Each Lender hereby irrevocably appoints and authorizes the Administrative Agent to take such action as contractual representative on such
Lender’s behalf and to exercise such powers under this Agreement and the other Credit Documents as are specifically delegated to the Administrative Agent by the terms hereof and thereof, together with such powers as are reasonably incidental
thereto. Not in limitation of the foregoing, each Lender authorizes and directs the Administrative Agent to enter into the Credit Documents for the benefit of the Lenders. Each Lender hereby agrees that, except as otherwise set forth herein, any
action taken by the Required Lenders in accordance with the provisions of this Agreement or the Credit Documents, and the exercise by the Required Lenders of the powers set forth herein or therein, together with such other powers as are reasonably
incidental thereto, shall be authorized and binding upon all of the Lenders. Nothing herein shall be construed to deem the Administrative Agent a trustee or fiduciary for any Lender or to impose on the Administrative Agent duties or obligations
other than those expressly provided for herein. Without limiting the generality of the foregoing, the use of the terms “Agent”, “Administrative Agent”, “agent” and similar terms in the Credit Documents with reference to
the Administrative Agent is not intended to connote any fiduciary or other implied (or express) obligations arising under agency doctrine of any applicable Law. Instead, use of such terms is merely a matter of market custom, and is intended to
create or reflect only an administrative relationship between independent contracting parties. The Administrative Agent shall deliver to each Lender, promptly upon receipt thereof by the Administrative Agent, copies of each of the financial
statements, certificates, notices and other documents delivered to the Administrative Agent pursuant to Article VI. that the Borrower is not otherwise required to deliver directly to the Lenders. The Administrative Agent will furnish to
any Lender, upon the request of such Lender, a copy (or, where appropriate, an original) of any document, instrument, agreement, certificate or notice furnished to the Administrative Agent by the Borrower, any other Credit Party or any other
Affiliate of the Borrower, pursuant to this Agreement or any other Credit Document not already delivered to such Lender pursuant to the terms of this Agreement or any such other Credit Document. As to any matters not expressly provided for by the
Credit Documents (including, without limitation, enforcement or collection of any of the Obligations), the Administrative Agent shall not be required to exercise any discretion or take any action, but shall be required to act or to refrain from
acting (and shall be fully protected in so acting or refraining from acting) upon the instructions of the Required Lenders (or all of the Lenders if explicitly required under any other provision of this Agreement), and such instructions shall be
binding upon all Lenders and all holders of any of the Obligations; provided, however, that, notwithstanding anything in this Agreement to the contrary, the Administrative Agent shall not be required to take any action which exposes
the Administrative Agent to personal liability or which is contrary to this Agreement or any other Credit 

  
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Document or applicable Law. Not in limitation of the foregoing, the Administrative Agent may exercise any right or remedy it or the Lenders may have under any Credit Document upon the occurrence
of a Default or an Event of Default unless the Required Lenders have directed the Administrative Agent otherwise. Without limiting the foregoing, no Lender shall have any right of action whatsoever against the Administrative Agent as a result of the
Administrative Agent acting or refraining from acting under this Agreement or any of the other Credit Documents in accordance with the instructions of the Required Lenders, or where applicable, all the Lenders. 

8.02 Wells Fargo as Lender. 

Wells Fargo, as a Lender shall have the same rights and powers under this Agreement and any other Credit Document as any other Lender and
may exercise the same as though it were not the Administrative Agent; and the term “Lender” or “Lenders” shall, unless otherwise expressly indicated, include Wells Fargo in each case in its individual capacity. Wells Fargo and
its Affiliates may each accept deposits from, maintain deposits or credit balances for, invest in, lend money to, act as trustee under indentures of, serve as financial advisor to, and generally engage in any kind of business with the Borrower, any
other Credit Party or any other Affiliate thereof as if it were any other bank and without any duty to account therefor to the L/C Issuer or other Lenders. Further, the Administrative Agent and any Affiliate may accept fees and other consideration
from the Borrower for services in connection with this Agreement or otherwise without having to account for the same to the L/C Issuer or the other Lenders. The L/C Issuer and the Lenders acknowledge that, pursuant to such activities, Wells Fargo or
its Affiliates may receive information regarding the Borrower, other Credit Parties, other Subsidiaries and other Affiliates (including information that may be subject to confidentiality obligations in favor of such Person) and acknowledge that the
Administrative Agent shall be under no obligation to provide such information to them. 
 8.03
Approvals of Lenders. 
 All communications from the Administrative Agent to any Lender requesting such Lender’s
determination, consent, approval or disapproval (a) shall be given in the form of a written notice to such Lender, (b) shall be accompanied by a description of the matter or issue as to which such determination, approval, consent or
disapproval is requested, or shall advise such Lender where information, if any, regarding such matter or issue may be inspected, or shall otherwise describe the matter or issue to be resolved, (c) shall include, if reasonably requested by such
Lender and to the extent not previously provided to such Lender, written materials and, as appropriate, a brief summary of all oral information provided to the Administrative Agent by the Borrower in respect of the matter or issue to be resolved,
and (d) shall include the Administrative Agent’s recommended course of action or determination in respect thereof. Except for the amendments, consents or waivers that require the approval of specific Lenders or the Administrative Agent as
set forth in clauses (a) through (f) of Section 9.01, unless a Lender shall give written notice to the Administrative Agent that it specifically objects to the recommendation or determination of the Administrative Agent
(together with a reasonable written explanation of the reasons behind such objection) within ten (10) Business Days (or such lesser or greater period as may be specifically required under the express terms of the Credit Documents) of receipt of
such communication, such Lender shall be deemed to have conclusively approved of or consented to such recommendation or determination. 
 8.04 Notice of Events of Default. 
 The
Administrative Agent shall not be deemed to have knowledge or notice of the occurrence of a Default or Event of Default unless the Administrative Agent has received notice from a Lender or the Borrower referring to this Agreement, describing with
reasonable specificity such Default or Event of 

  
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Default and stating that such notice is a “notice of default.” If any Lender becomes aware of any Default or Event of Default, it shall promptly send to the Administrative Agent such a
“notice of default”; provided, the failure to provide such a “notice of default” to the Administrative Agent shall not result in any liability of such Lender to any other party to this Agreement. Further, if the
Administrative Agent receives such a “notice of default,” the Administrative Agent shall give prompt notice thereof to the Lenders. 
 8.05 Administrative Agent’s Reliance. 

Notwithstanding any other provisions of this Agreement or any other Credit Documents, neither the Administrative Agent nor any of its
directors, officers, agents, employees or counsel shall be liable for any action taken or not taken by it under or in connection with this Agreement or any other Credit Document, except for its or their own gross negligence or willful misconduct in
connection with its duties expressly set forth herein or therein as determined by a court of competent jurisdiction in a final non-appealable judgment. Without limiting the generality of the foregoing, the Administrative Agent may consult with legal
counsel (including its own counsel or counsel for the Borrower or any other Credit Party), independent public accountants and other experts selected by it and shall not be liable for any action taken or omitted to be taken in good faith by it in
accordance with the advice of such counsel, accountants or experts. Neither the Administrative Agent nor any of its directors, officers, agents, employees or counsel: (a) makes any warranty or representation to any Lender, the L/C Issuer or any
other Person, or shall be responsible to any Lender, the L/C Issuer or any other Person for any statement, warranty or representation made or deemed made by the Borrower, any other Credit Party or any other Person in or in connection with this
Agreement or any other Credit Document; (b) shall have any duty to ascertain or to inquire as to the performance or observance of any of the terms, covenants or conditions of this Agreement or any other Credit Document or the satisfaction of
any conditions precedent under this Agreement or any Credit Document on the part of the Borrower or other Persons, or to inspect the property, books or records of the Borrower or any other Person; (c) shall be responsible to any Lender or the
L/C Issuer for the due execution, legality, validity, enforceability, genuineness, sufficiency or value of this Agreement or any other Credit Document, any other instrument or document furnished pursuant thereto or any collateral covered thereby or
the perfection or priority of any Lien in favor of the Administrative Agent on behalf of the Lenders and the L/C Issuer in any such collateral; (d) shall have any liability in respect of any recitals, statements, certifications, representations
or warranties contained in any of the Credit Documents or any other document, instrument, agreement, certificate or statement delivered in connection therewith; and (e) shall incur any liability under or in respect of this Agreement or any
other Credit Document by acting upon any notice, consent, certificate or other instrument or writing (which may be by telephone, telecopy or electronic mail) believed by it to be genuine and signed, sent or given by the proper party or parties. The
Administrative Agent may execute any of its duties under the Credit Documents by or through agents, employees or attorneys-in-fact and shall not be responsible for the negligence or misconduct of any agent or attorney-in-fact that it selects in the
absence of gross negligence or willful misconduct as determined by a court of competent jurisdiction in a final non-appealable judgment. 
 8.06 Lender Credit Decision. 
 Each of the
Lenders and the L/C Issuer expressly acknowledges and agrees that neither the Administrative Agent nor any of its officers, directors, employees, agents, counsel, attorneys-in-fact or other Affiliates has made any representations or warranties to
the L/C Issuer or such Lender and that no act by the Administrative Agent hereafter taken, including any review of the affairs of the Borrower, any other Credit Party or any other Subsidiary or Affiliate, shall be deemed to constitute any such
representation or warranty by the Administrative Agent to the L/C Issuer or any Lender. Each of the Lenders and the L/C Issuer acknowledges that it has made its own credit and legal analysis and decision

  
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to enter into this Agreement and the transactions contemplated hereby, independently and without reliance upon the Administrative Agent, any other Lender or counsel to the Administrative Agent,
or any of their respective officers, directors, employees, agents or counsel, and based on the financial statements of the Borrower, the other Credit Parties, the other Subsidiaries and other Affiliates, and inquiries of such Persons, its
independent due diligence of the business and affairs of the Borrower, the other Credit Parties, the other Subsidiaries and other Persons, its review of the Credit Documents, the legal opinions required to be delivered to it hereunder, the advice of
its own counsel and such other documents and information as it has deemed appropriate. Each of the Lenders and the L/C Issuer also acknowledges that it will, independently and without reliance upon the Administrative Agent, any other Lender or
counsel to the Administrative Agent or any of their respective officers, directors, employees and agents, and based on such review, advice, documents and information as it shall deem appropriate at the time, continue to make its own decisions in
taking or not taking action under the Credit Documents. The Administrative Agent shall not be required to keep itself informed as to the performance or observance by the Borrower or any other Credit Party of the Credit Documents or any other
document referred to or provided for therein or to inspect the properties or books of, or make any other investigation of, the Borrower, any other Credit Party or any other Subsidiary. Except for notices, reports and other documents and information
expressly required to be furnished to the Lenders and the L/C Issuer by the Administrative Agent under this Agreement or any of the other Credit Documents, the Administrative Agent shall have no duty or responsibility to provide any Lender or the
L/C Issuer with any credit or other information concerning the business, operations, property, financial and other condition or creditworthiness of the Borrower, any other Credit Party or any other Affiliate thereof which may come into possession of
the Administrative Agent or any of its officers, directors, employees, agents, attorneys-in-fact or other Affiliates. Each of the Lenders and the L/C Issuer acknowledges that the Administrative Agent’s legal counsel in connection with the
transactions contemplated by this Agreement is only acting as counsel to the Administrative Agent and is not acting as counsel to any Lender or the L/C Issuer. 
 8.07 Successor Administrative Agent. 
 The
Administrative Agent may resign at any time as Administrative Agent under the Credit Documents by giving at least 30 days prior written notice thereof to the Lenders and the Borrower. The Administrative Agent may be removed as Administrative Agent
by all of the Lenders (other than the Lender then acting as Administrative Agent) upon 30 days’ prior written notice if the Administrative Agent: (i) is found by a court of competent jurisdiction in a final, non-appealable judgment to have
committed gross negligence or willful misconduct in the course of performing its duties hereunder or (ii) has become or is insolvent or has become the subject of a bankruptcy or insolvency proceeding, or has had a receiver, conservator, trustee
or custodian appointed for it, or has taken any action in furtherance of, or indicating its consent to, approval of or acquiescence in any such proceeding or appointment. Upon any such resignation or removal, the Required Lenders shall have the
right to appoint a successor Administrative Agent which appointment shall, provided no Default or Event of Default exists, be subject to the Borrower’s approval, which approval shall not be unreasonably withheld or delayed; provided that
the Borrower shall be deemed to have consented to any such appointment unless it shall object thereto by written notice to the Administrative Agent within five (5) Business Days after receiving notice thereof. If no successor Administrative
Agent shall have been so appointed in accordance with the immediately preceding sentence, and shall have accepted such appointment, within 30 days after the current Administrative Agent’s giving of notice of resignation or after such removal,
then the current Administrative Agent may, on behalf of the Lenders and the L/C Issuer, appoint a successor Administrative Agent, which shall be a Lender, if any Lender shall be willing to serve, and otherwise shall be an Eligible Assignee. Upon the
acceptance of any appointment as Administrative Agent hereunder by a successor Administrative Agent, such successor Administrative Agent shall thereupon succeed to and become vested with all the rights, powers, privileges and duties of the current
Administrative Agent, and the current Administrative Agent shall be discharged from its duties and 

  
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obligations under the Credit Documents. Such successor Administrative Agent shall issue letters of credit in substitution for the Letters of Credit, if any, outstanding at the time of such
succession or shall make other arrangements satisfactory to the current Administrative Agent, in either case, to assume effectively the obligations of the current Administrative Agent with respect to such Letters of Credit. After any Administrative
Agent’s resignation or removal hereunder as Administrative Agent, the provisions of this Article VIII shall continue to inure to its benefit as to any actions taken or omitted to be taken by it while it was Administrative Agent
under the Credit Documents. Notwithstanding anything contained herein to the contrary, the Administrative Agent may assign its rights and duties under the Credit Documents to any of its Affiliates by giving the Borrower and each Lender prior written
notice. 
 8.08 Titled Agents. 

Each of the Syndication Agent, the Lead Arrangers and the Joint Book Runners (each a “Titled Agent”) in each such respective
capacity, assumes no responsibility or obligation hereunder, including, without limitation, for servicing, enforcement or collection of any of the Loans, nor any duties as an agent hereunder for the Lenders. The titles given to the Titled Agents are
solely honorific and imply no fiduciary responsibility on the part of the Titled Agents to the Administrative Agent, any Lender, the L/C Issuer, the Borrower or any other Credit Party and the use of such titles does not impose on the Titled Agents
any duties or obligations greater than those of any other Lender or entitle the Titled Agents to any rights other than those to which any other Lender is entitled. 
 ARTICLE IX 
 MISCELLANEOUS 

9.01 Amendments, Etc.  
 No amendment or waiver of, or any consent to deviation from, any provision of this Credit Agreement or any other Credit Document shall be effective unless in writing and signed by the Borrower and the
other Credit Parties, as the case may be, and except as expressly provided herein below, the Required Lenders (or the Administrative Agent for and on behalf of the Required Lenders at their direction) and acknowledged by the Administrative Agent,
and each such amendment, waiver or consent shall be effective only in the specific instance and for the specific purpose for which it is given; provided, however, that: 
 (a) no such amendment, waiver or consent shall be effective without the written consent of each Lender directly affected thereby (whose consent shall be sufficient therefore without the consent of the
Required Lenders) where the effect would be to: 
 (i) extend or increase the Revolving Commitment of any Lender
(or reinstate any Commitment terminated pursuant to Section 7.01), it being understood that the amendment or waiver of an Event of Default or a mandatory reduction or a mandatory prepayment in Revolving Commitments shall not be
considered an increase in Revolving Commitments, 
 (ii) waive non-payment or postpone any date fixed by this
Credit Agreement or any other Credit Document for any payment of principal, interest, fees or other amounts due to any Lender hereunder or under any other Credit Document, 

(iii) reduce the principal of, or the rate of interest specified herein on, any Loan or L/C Borrowing, or any fees or
other amounts payable hereunder or under any other Credit Document; provided, however, that only the consent of the Required Lenders shall be necessary 

  
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(A) to amend the definition of “Default Rate” or to waive any obligation of the Borrower to pay interest at the Default Rate or (B) to amend any financial covenant hereunder (or
any defined term used therein) even if the effect of such amendment would be to reduce the rate of interest on any Loan or L/C Borrowing or to reduce any fee payable hereunder, 

(iv) change any provision of this Credit Agreement regarding pro rata sharing or pro rata funding with respect to
(A) the making of advances (including participations), (B) the manner of application of payments or prepayments of principal, interest, or fees, (C) the manner of application of reimbursement obligations from drawings under Letters of
Credit, or (D) the manner of reduction of commitments and committed amounts, 
 (v) change any provision of
this Section 9.01(a) or the definition of “Required Lenders” or “Required Revolving Lenders” or any other provision hereof specifying the number or percentage of Lenders required to amend, waive or otherwise modify
any rights hereunder or make any determination or grant any consent hereunder, 
 (vi) release all or
substantially all of the Guarantors, if any, from their obligations hereunder (other than as provided herein or as appropriate in connection with transactions permitted hereunder), 

(vii) eliminate or otherwise modify the requirement to deliver Cash Collateral pursuant to Section 2.03(l) (it
being understood that each Lender having a Revolving Commitment shall be deemed to be adversely affected by any such elimination or modification); 
 (b) unless also agreed to by the L/C Issuer, no such amendment, waiver or consent shall be effective without the written consent of the L/C Issuer where the effect would be to affect the rights and duties
of the L/C Issuer under this Credit Agreement or any Issuer Document relating to any Letter of Credit issued or to be issued by it; 
 (c) unless also agreed to by the Swing Line Lender, no such amendment, waiver or consent shall be effective without the written consent of the Swing Line Lender where the effect would be to affect the
rights or duties of the Swing Line Lender under this Credit Agreement; 
 (d) unless also agreed to by the Administrative Agent,
no such amendment, waiver or consent shall be effective without the written consent of the Administrative Agent where the effect would be to affect the rights or duties of the Administrative Agent under this Credit Agreement or any other Credit
Document; 
 (e) while any Incremental Term Loans remain outstanding, unless also agreed to by the Required Revolving Lenders,
no such amendment, waiver or consent shall amend, modify or waive (A) Section 4.02 or any other provision of this Agreement if the effect of such amendment, modification or waiver is to require the Lenders to make Loans when such
Lenders would not otherwise be required to do so or (B) the amount of the L/C Committed Amount or the Swing Line Committed Amount; 
 (f) while any Incremental Term Loans remain outstanding, any term of this Agreement or any other Credit Document relating to the rights or obligations of the Lenders holding such Incremental Term Loans
not adverse to the rights of any Lender holding a Revolving Commitment, including any provision that becomes a part of this Agreement solely as a result of an amendment to this Agreement entered into in compliance with Section 2.16, may
be amended, and the performance or observance thereof by any Credit Party or any of its Subsidiaries may be waived with the written consent of only such Lenders (and in the case of any such amendment to any Credit Document, the written consent of
each Credit Party a party thereto), without the need to obtain the consent of any of the other Lenders; 

  
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 and provided further, that notwithstanding anything to the contrary contained herein,
(i) no Defaulting Lender shall have any right to approve or disapprove any amendment, waiver or consent hereunder, except that other than as provided in Section 9.15: 

(A) the Revolving Commitment of such Defaulting Lender may not be increased and the principal amount of the Loans or L/C
Borrowings of such Defaulting Lender may not be decreased, and 
 (B) the rate of interest for such Defaulting
Lender may not be decreased (except as expressly provided in clause (a)(iii) above) and the pro rata sharing and funding provisions referenced in clause (a)(iv) above may not be changed, in either case in a way that would affect the
Defaulting Lender more adversely than the other affected Lenders, 
 without, in any such case, the consent of such Defaulting
Lender, 
 (ii) each Lender is entitled to vote as such Lender sees fit on any bankruptcy or insolvency reorganization plan that affects the
Loans, (iii) each Lender acknowledges that the provisions of Section 1126(c) of the Bankruptcy Code supersede the unanimous consent provisions set forth herein, (iv) the Required Lenders may consent to allow a Credit Party to use Cash
Collateral in the context of a bankruptcy or insolvency proceeding, and (v) the Fee Letter may be amended, or rights or privileges thereunder waived, in a writing executed only by the parties thereto. 

9.02 Notices and Other Communications. 

(a) Notices Generally. Except in the case of notices and other communications expressly permitted to be given by telephone (and
except as provided in subsection (b) below), all notices and other communications provided for herein shall be in writing and shall be delivered by hand or overnight courier service, mailed by certified or registered mail or delivered to the
applicable address, facsimile number or electronic mail address, and all notices and other communications expressly permitted hereunder to be given by telephone shall be made to the applicable telephone number, as follows: 

(i) if to the Borrower, the Administrative Agent, the L/C Issuer or the Swing Line Lender, to the address, facsimile
number, electronic mail address or telephone number specified for such Person on Schedule 9.02; and 

(ii) if to any other Lender, to the address, facsimile number, electronic mail address or telephone number specified in
its Administrative Questionnaire. 
 Notices and other communications sent by hand or overnight courier service, or mailed by certified or
registered mail, shall be deemed to have been given when received; notices and other communications sent by facsimile or other form of electronic transmission shall be deemed to have been given when sent (except that, if not given during normal
business hours for the recipient, shall be deemed to have been given at the opening of business on the next business day for the recipient). Notices and other communications delivered through electronic communications to the extent provided in
subsection (b) below, shall be effective as provided in such subsection (b). 
 (b) Electronic Communications.
Notices and other communications to the Lenders and the L/C Issuer hereunder may be delivered or furnished by electronic communication (including e-mail and 

  
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Internet or intranet websites) pursuant to procedures approved by the Administrative Agent, provided that the foregoing shall not apply to notices to any Lender or the L/C Issuer pursuant
to Article II if such Lender or the L/C Issuer, as applicable, has notified the Administrative Agent that it is incapable of receiving notices under such Article by electronic communication. The Administrative Agent or the Borrower may, in
its discretion, agree to accept notices and other communications to it hereunder by electronic communications pursuant to procedures approved by it, provided that approval of such procedures may be limited to particular notices or
communications. 
 Unless the Administrative Agent otherwise prescribes, (i) notices and other communications sent to an
e-mail address shall be deemed received upon the sender’s receipt of an acknowledgement from the intended recipient (such as by the “return receipt requested” function, as available, return e-mail or other written acknowledgement),
provided that if such notice or other communication is not sent during the normal business hours of the recipient, such notice or communication shall be deemed to have been sent at the opening of business on the next business day for the
recipient, and (ii) notices or communications posted to an Internet or intranet website shall be deemed received upon the deemed receipt by the intended recipient at its e-mail address as described in the foregoing clause (i) of
notification that such notice or communication is available and identifying the website address therefor. 
 (c) The
Platform. THE PLATFORM IS PROVIDED “AS IS” AND “AS AVAILABLE.” THE ADMINISTRATIVE AGENT AND THE AGENT-RELATED PERSONS DO NOT WARRANT THE ACCURACY OR COMPLETENESS OF THE BORROWER MATERIALS OR THE ADEQUACY OF THE PLATFORM, AND
EXPRESSLY DISCLAIM LIABILITY FOR ERRORS IN OR OMISSIONS FROM THE BORROWER MATERIALS. NO WARRANTY OF ANY KIND, EXPRESS, IMPLIED OR STATUTORY, INCLUDING ANY WARRANTY OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, NON-INFRINGEMENT OF THIRD PARTY
RIGHTS OR FREEDOM FROM VIRUSES OR OTHER CODE DEFECTS, IS MADE BY THE ADMINISTRATIVE AGENT OR ANY AGENT-RELATED PERSON IN CONNECTION WITH THE BORROWER MATERIALS OR THE PLATFORM. In no event shall the Administrative Agent or any Agent-Related Persons
have any liability to the Borrower, any Lender, the L/C Issuer or any other Person for losses, claims, damages, liabilities or expenses of any kind (whether in tort, contract or otherwise) arising out of the Borrower’s or the Administrative
Agent’s transmission of Borrower Materials through the Internet, except to the extent that such losses, claims, damages, liabilities or expenses are determined by a court of competent jurisdiction by a final and nonappealable judgment to have
resulted from the gross negligence or willful misconduct of the Administrative Agent or such Agent-Related Person; provided, however, that in no event shall the Administrative Agent or any Agent-Related Person have any liability to the
Borrower, any Lender, the L/C Issuer or any other Person for indirect, special, incidental, consequential or punitive damages (as opposed to direct or actual damages). 
 (d) Change of Address, Etc. Each of the Borrower, the Administrative Agent, the L/C Issuer and the Swing Line Lender may change its address, telecopier or telephone number for notices and other
communications hereunder by notice to the other parties hereto. Each other Lender may change its address, telecopier or telephone number for notices and other communications hereunder by notice to the Borrower, the Administrative Agent, the L/C
Issuer and the Swing Line Lender. In addition, each Lender agrees to notify the Administrative Agent from time to time to ensure that the Administrative Agent has on record (i) an effective address, contact name, telephone number, telecopier
number and electronic mail address to which notices and other communications may be sent and (ii) accurate wire instructions for such Lender. Furthermore, each Public Lender agrees to cause at least one individual at or on behalf of such Public
Lender to at all times have selected the “Private Side Information” or similar designation on the content declaration screen of the Platform in order to enable such Public Lender or its delegate, in accordance with such Public
Lender’s compliance procedures and applicable Law, including United States Federal and state securities Laws, to make reference to Borrower Materials that are not made 

  
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available through the “Public Side Information” portion of the Platform and that may contain material non-public information with respect to the Borrower or its securities for purposes
of United States Federal or state securities laws. 
 (e) Reliance by Administrative Agent, L/C Issuer and Lenders.
The Administrative Agent, the L/C Issuer and the Lenders shall be entitled to rely and act upon any notices (including telephonic Loan Notices) purportedly given by or on behalf of the Borrower even if (i) such notices were not made in a
manner specified herein, were incomplete or were not preceded or followed by any other form of notice specified herein, or (ii) the terms thereof, as understood by the recipient, varied from any confirmation thereof. The Borrower shall
indemnify the Administrative Agent, the L/C Issuer, each Lender and the Related Parties of each of them from all losses, costs, expenses and liabilities resulting from the reliance by such Person on each notice purportedly given by or on behalf of
the Borrower. All telephonic notices to and other telephonic communications with the Administrative Agent may be recorded by the Administrative Agent, and each of the parties hereto hereby consents to such recording. 

9.03 No Waiver; Cumulative Remedies. 

No failure by any Lender, the L/C Issuer or the Administrative Agent to exercise, and no delay by any such Person in exercising, any
right, remedy, power or privilege hereunder shall operate as a waiver thereof; nor shall any single or partial exercise of any right, remedy, power or privilege hereunder preclude any other or further exercise thereof or the exercise of any other
right, remedy, power or privilege. The rights, remedies, powers and privileges herein provided are cumulative and not exclusive of any rights, remedies, powers and privileges provided by law. 

Notwithstanding anything to the contrary contained herein or in any other Credit Document, the authority to enforce rights and remedies
hereunder and under the other Credit Documents against the Credit Parties or any of them shall be vested exclusively in, and all actions and proceedings at law in connection with such enforcement shall be instituted and maintained exclusively by,
the Administrative Agent in accordance with Section 7.01 for the benefit of all the Lenders and the L/C Issuer; provided, however, that the foregoing shall not prohibit (a) the Administrative Agent from exercising on
its own behalf the rights and remedies that inure to its benefit (solely in its capacity as Administrative Agent) hereunder and under the other Credit Documents, (b) the L/C Issuer or the Swing Line Lender from exercising the rights and
remedies that inure to its benefit (solely in its capacity as L/C Issuer or Swing Line Lender, as the case may be) hereunder and under the other Credit Documents, (c) any Lender from exercising setoff rights in accordance with
Section 9.09 (subject to the terms of Section 2.12), or (d) any Lender from filing proofs of claim or appearing and filing pleadings on its own behalf during the pendency of a proceeding relative to any Credit Party
under any Debtor Relief Law; and provided, further, that if at any time there is no Person acting as Administrative Agent hereunder and under the other Credit Documents, then (i) the Required Lenders shall have the rights
otherwise ascribed to the Administrative Agent pursuant to Section 7.01 and (ii) in addition to the matters set forth in clauses (b), (c) and (d) of the preceding proviso and subject to
Section 2.12, any Lender may, with the consent of the Required Lenders, enforce any rights and remedies available to it and as authorized by the Required Lenders. 
 9.04 Attorney Costs, Expenses and Taxes. 

The Borrower agrees (a) to pay directly to the provider thereof or to pay or reimburse the Administrative Agent for all costs and
expenses incurred in connection with the development, preparation, negotiation and execution of this Credit Agreement and the other Credit Documents, the preservation of any rights or remedies under this Credit Agreement and the other Credit
Documents, and any amendment, waiver, consent or other modification of the provisions hereof and thereof (whether or 

  
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not the transactions contemplated hereby or thereby are consummated), and the consummation and administration of the transactions contemplated hereby and thereby, including all Attorney Costs,
and (b) to pay or reimburse the Administrative Agent, the L/C Issuer, each Arranger, and each Lender for all costs and expenses incurred following an Event of Default in connection with the enforcement, attempted enforcement, or preservation of
any rights or remedies under this Credit Agreement or the other Credit Documents (including all such costs and expenses incurred during any “workout” or restructuring in respect of the Obligations and during any legal proceeding, including
any proceeding under any Debtor Relief Law), including all Attorney Costs. The foregoing costs and expenses shall include all search, filing, recording, title insurance and appraisal charges and fees and taxes related thereto, and other
out-of-pocket expenses incurred by the Administrative Agent and the cost of independent public accountants and other outside experts retained by the Administrative Agent or any Lender. All amounts due under this Section 9.04 shall be
payable within ten (10) Business Days after demand therefor. The agreements in this Section shall survive the termination of the Aggregate Revolving Commitments and repayment of all other Obligations. 

9.05 Indemnification by the Borrower. 

(a) The Borrower shall indemnify and hold harmless the Administrative Agent, each Agent-Related Person, the L/C Issuer, each Arranger,
each Lender and their respective Affiliates, directors, officers, employees, counsel, agents, trustees, advisors and attorneys-in-fact (collectively the “Indemnitees”) from and against any and all liabilities, obligations, losses,
damages, penalties, claims, demands, actions, judgments, suits, costs, expenses and disbursements (including Attorney Costs) of any kind or nature whatsoever (subject to the provisions of Section 3.01 with respect to Taxes and Other
Taxes) that may at any time be imposed on, incurred by or asserted against any such Indemnitee (whether by a Credit Party or any other party) in any way relating to or arising out of or in connection with (a) the execution, delivery,
enforcement, performance or administration of any Credit Document or any other agreement, letter or instrument delivered in connection with the transactions contemplated thereby or the consummation of the transactions contemplated thereby,
(b) any Commitment, Loan or Letter of Credit or the use or proposed use of the proceeds therefrom (including any refusal by the L/C Issuer to honor a demand for payment under a Letter of Credit if the documents presented in connection with such
demand do not strictly comply with the terms of such Letter of Credit), or (c) any actual or threatened claim, litigation, investigation or proceeding relating to any of the foregoing, whether based on contract, tort or any other theory
(including any investigation of, preparation for, or defense of any pending or threatened claim, investigation, litigation or proceeding) and regardless of whether any Indemnitee is a party thereto (all the foregoing, collectively, the
“Indemnified Liabilities”); provided that such indemnity shall not, as to an Indemnitee, be available to the extent that such liabilities, obligations, losses, damages, penalties, claims, demands, actions, judgments, suits,
costs, expenses or disbursements are determined by a court of competent jurisdiction in a final non-appealable judgment to have resulted from the gross negligence or willful misconduct of such Indemnitee. No Indemnitee shall be liable for any
damages arising from the use by others of any information or other materials obtained through IntraLinks or other similar information transmission systems in connection with this Credit Agreement, and no Indemnitee shall have any liability for any
indirect, special, incidental, consequential or punitive damages relating to this Credit Agreement or any other Credit Document or arising out of its activities in connection herewith or therewith (whether before or after the Closing Date). All
amounts due under this Section 9.05 shall be payable within ten (10) Business Days after demand therefor. The agreements in this Section shall survive the resignation of the Administrative Agent, the assignment by any Lender of
any of its interests hereunder, the replacement of any Lender, the termination of the Aggregate Revolving Commitments and the repayment, satisfaction or discharge of all the other Obligations. 

(b) Reimbursement by Lenders. To the extent that the Borrower for any reason fails to indefeasibly pay any amount required under
Section 9.04 or Section 9.05(a) to be paid by it to the 

  
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Administrative Agent (or any sub-agent thereof), the L/C Issuer or any Related Party of any of the foregoing, each Lender severally agrees to pay to the Administrative Agent (or any such
sub-agent), the L/C Issuer or such Related Party, as the case may be, such Lender’s Aggregate Commitment Percentage or, in the case of L/C Obligations, Revolving Commitment Percentage (determined in each case as of the time that the applicable
unreimbursed expense or indemnity payment is sought) of such unpaid amount, provided that the unreimbursed expense or indemnified loss, claim, damage, liability or related expense, as the case may be, was incurred by or asserted against the
Administrative Agent (or any such sub-agent) or the L/C Issuer in its capacity as such, or against any Related Party of any of the foregoing acting for the Administrative Agent (or any such sub-agent) or L/C Issuer in connection with such capacity.
The obligations of the Lenders under this subsection (b) are subject to the provisions of Section 
2.11(f). 
 9.06 Payments Set Aside. 

To the extent that any payment by or on behalf of the Borrower is made to the Administrative Agent or any Lender, or the Administrative
Agent or any Lender exercises its right of set-off, and such payment or the proceeds of such set-off or any part thereof is subsequently invalidated, declared to be fraudulent or preferential, set aside or required (including pursuant to any
settlement entered into by the Administrative Agent or such Lender in its discretion) to be repaid to a trustee, receiver or any other party, in connection with any proceeding under any Debtor Relief Law or otherwise, then (a) to the extent of
such recovery, the obligation or part thereof originally intended to be satisfied shall be revived and continued in full force and effect as if such payment had not been made or such set-off had not occurred, and (b) each Lender severally
agrees to pay to the Administrative Agent upon demand its applicable share of any amount so recovered from or repaid by the Administrative Agent, plus interest thereon from the date of such demand to the date such payment is made at a rate
per annum equal to the Federal Funds Rate from time to time in effect. 
 9.07 Successors and
Assigns. 
 (a) Successors and Assigns Generally. The provisions of this Credit Agreement shall be binding upon and
inure to the benefit of the parties hereto and their respective successors and assigns permitted hereby, except that the Borrower may not assign or otherwise transfer any of its rights or obligations hereunder without the prior written consent of
the Administrative Agent and each Lender and no Lender may assign or otherwise transfer any of its rights or obligations hereunder except (i) to an assignee in accordance with the provisions of subsection (b) of this Section, (ii) by
way of participation in accordance with the provisions of subsection (d) of this Section, or (iii) by way of pledge or assignment of a security interest subject to the restrictions of subsection (f) of this Section (and, subject to
the last sentence of the immediately following subsection (b)) any other attempted assignment or transfer by any party hereto shall be null and void). Nothing in this Credit Agreement, expressed or implied, shall be construed to confer upon any
Person (other than the parties hereto, their respective successors and assigns permitted hereby, Participants to the extent provided in subsection (d) of this Section and, to the extent expressly contemplated hereby, the Related Parties of each
of the Administrative Agent, the L/C Issuer and the Lenders) any legal or equitable right, remedy or claim under or by reason of this Credit Agreement. 

  
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 (b) Assignments by Lenders. Any Lender may at any time assign to one or more
assignees all or a portion of its rights and obligations under this Credit Agreement (including all or a portion of its Commitment and the Loans (including for purposes of this subsection (b), participations in L/C Obligations and in Swing Line
Loans) at the time owing to it); provided that any such assignment shall be subject to the following conditions: 
 (i) Minimum Amounts. 
 (A) in the case of an assignment of
the entire remaining amount of the assigning Lender’s Revolving Commitment and Revolving Loans at the time owing to it or in the case of an assignment to a Lender, an Affiliate of a Lender or an Approved Fund, no minimum amount need be
assigned; and 
 (B) in any case not described in subsection (b)(i)(A) of this Section, the aggregate amount of
the Revolving Commitment (which for this purpose includes Loans outstanding thereunder) or, if the Revolving Commitment is not then in effect, the principal outstanding balance of the Loans of the assigning Lender subject to each such assignment,
determined as of the date the Assignment and Assumption with respect to such assignment is delivered to the Administrative Agent or, if “Trade Date” is specified in the Assignment and Assumption, as of the Trade Date, shall not be less
than $2,500,000, unless each of the Administrative Agent and, so long as no Event of Default has occurred and is continuing, the Borrower otherwise consents (each such consent not to be unreasonably withheld or delayed); provided,
however, that if, after giving effect to such assignment, the amount of the Revolving Commitment held by such assigning Lender or the outstanding principal balance of the Loans of such assigning Lender, as applicable, would be less than
$2,500,000, then such assigning Lender shall assign the entire amount of its Revolving Commitment and the Loans at the time owing to it; provided, further, however, that concurrent assignments to members of an Assignee Group and
concurrent assignments from members of an Assignee Group to a single Eligible Assignee (or to an Eligible Assignee and members of its Assignee Group) will be treated as a single assignment for purposes of determining whether such minimum amount has
been met. 
 (ii) Proportionate Amounts. Each partial assignment shall be made as an assignment of a
proportionate part of all the assigning Lender’s rights and obligations under this Credit Agreement with respect to the Loans or the Revolving Commitment assigned, except that this clause (ii) shall not apply to the Swing Line
Lender’s rights and obligations in respect of Swing Line Loans; 
 (iii) Required Consents. No
consent shall be required for any assignment except to the extent required by subsection (b)(i)(B) of this Section and, in addition: 
 (A) the consent of the Borrower (such consent not to be unreasonably withheld or delayed) shall be required unless (1) an Event of Default has occurred and is continuing at the time of such
assignment or (2) such assignment is to a Lender, an Affiliate of a Lender or an Approved Fund; provided that the Borrower shall be deemed to have consented to any such assignment unless it shall object thereto by written notice to the
Administrative Agent within 5 Business Days after having received notice thereof; 
 (B) the consent of the
Administrative Agent (such consent not to be unreasonably withheld or delayed) shall be required for assignments in respect of any Revolving Commitment if such assignment is to a Person that is not a Lender, an Affiliate of such Lender or an
Approved Fund with respect to such Lender; 
 (C) the consent of the L/C Issuer (such consent not to be
unreasonably withheld or delayed) shall be required for any assignment that increases the obligation of the assignee to participate in exposure under one or more Letters of Credit (whether or not then outstanding); and 

  
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 (D) the consent of the Swing Line Lender (such consent not to be
unreasonably withheld or delayed) shall be required for any assignment in respect of Revolving Commitments. 

(iv) Assignment and Assumption. The parties to each assignment shall execute and deliver to the Administrative
Agent an Assignment and Assumption, together with a processing and recordation fee in the amount of $3,500; provided, however, that the Administrative Agent may, in its sole discretion, elect to waive such processing and recordation
fee in the case of any assignment. The assignee, if it is not a Lender, shall deliver to the Administrative Agent an Administrative Questionnaire. If requested by the transferor Lender or the assignee Lender, upon the consummation of any assignment,
the transferor Lender, the Administrative Agent and the Borrower shall make appropriate arrangements so that new Notes are issued to the assignee Lender and such transferor Lender, as appropriate. 

(v) No Assignment to Certain Persons. No such assignment shall be made to (A) the Borrower or any of the
Borrower’s Affiliates or Subsidiaries or (B) to any Defaulting Lender or any of its Subsidiaries, or to any Person who, upon becoming a Lender hereunder, would constitute any of the foregoing Persons described in this clause (B).

 (vi) No Assignment to Natural Persons. No such assignment shall be made to a natural person.

 (vii) Certain Additional Payments. In connection with any assignment of rights and obligations of any
Defaulting Lender hereunder, no such assignment shall be effective unless and until, in addition to the other conditions thereto set forth herein, the parties to the assignment shall make such additional payments to the Administrative Agent in an
aggregate amount sufficient, upon distribution thereof as appropriate (which may be outright payment, purchases by the assignee of participations or subparticipations, or other compensating actions, including funding, with the consent of the
Borrower and the Administrative Agent, the applicable pro rata share of Loans previously requested but not funded by the Defaulting Lender, to each of which the applicable assignee and assignor hereby irrevocably consent), to (x) pay and
satisfy in full all payment liabilities then owed by such Defaulting Lender to the Administrative Agent, the L/C Issuer, the Swing Line Lender and each other Lender hereunder (and interest accrued thereon), and (y) acquire (and fund as
appropriate) its full pro rata share of all Loans and participations in Letters of Credit and Swing Line Loans in accordance with its Revolving Commitment Percentage. Notwithstanding the foregoing, in the event that any assignment of rights and
obligations of any Defaulting Lender hereunder shall become effective under applicable Law without compliance with the provisions of this paragraph, then the assignee of such interest shall be deemed to be a Defaulting Lender for all purposes of
this Agreement until such compliance occurs. 
 Subject to acceptance and recording thereof by the Administrative Agent pursuant to subsection
(c) of this Section, from and after the effective date specified in each Assignment and Assumption, the assignee thereunder shall be a party to this Credit Agreement and, to the extent of the interest assigned by such Assignment and Assumption,
have the rights and obligations of a Lender under this Credit Agreement, and the assigning Lender thereunder shall, to the extent of the interest assigned by such Assignment and Assumption, be released from its obligations under this Credit
Agreement (and, in the case of an Assignment and Assumption covering all of the assigning Lender’s rights and obligations under this 

  
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Credit Agreement, such Lender shall cease to be a party hereto) but shall continue to be entitled to the benefits of Sections 3.01, 3.04, 3.05, 9.04 and 9.05
with respect to facts and circumstances occurring prior to the effective date of such assignment; provided, that expect to the extent otherwise expressly agreed by the affected parties, no assignment by a Defaulting Lender will constitute
a waiver or release of any claim of any party hereunder arising from that Lender having been a Defaulting Lender. Any assignment or transfer by a Lender of rights or obligations under this Credit Agreement that does not comply with this subsection
shall be treated for purposes of this Agreement as a sale by such Lender of a participation in such rights and obligations in accordance with subsection (d) of this Section. 

(c) Register. The Administrative Agent, acting solely for this purpose as an agent of the Borrower, shall
maintain at the Administrative Agent’s Office a copy of each Assignment and Assumption delivered to it and a register for the recordation of the names and addresses of the Lenders, and the Revolving Commitments of, and principal amounts of the
Loans and L/C Obligations owing to, each Lender pursuant to the terms hereof from time to time (the “Register”). The entries in the Register shall be conclusive in the absence of manifest error, and the Borrower, the Administrative
Agent and the Lenders may treat each Person whose name is recorded in the Register pursuant to the terms hereof as a Lender hereunder for all purposes of this Credit Agreement. The Register shall be available for inspection by the Borrower and any
Lender, at any reasonable time and from time to time upon reasonable prior notice. 
 (d) Participations. Any Lender may
at any time, without the consent of, or notice to, the Borrower or the Administrative Agent, sell participations to any Person (other than a natural person or the Borrower or any of the Borrower’s Affiliates or Subsidiaries) (each, a
“Participant”) in all or a portion of such Lender’s rights and/or obligations under this Credit Agreement (including all or a portion of its Commitment and/or the Loans (including such Lender’s participations in L/C
Obligations and/or Swing Line Loans) owing to it); provided that (i) such Lender’s obligations under this Credit Agreement shall remain unchanged, (ii) such Lender shall remain solely responsible to the other parties hereto for
the performance of such obligations and (iii) the Borrower, the Administrative Agent, the Lenders and the L/C Issuer shall continue to deal solely and directly with such Lender in connection with such Lender’s rights and obligations under
this Credit Agreement. 
 Any agreement or instrument pursuant to which a Lender sells such a participation shall provide that
such Lender shall retain the sole right to enforce such Lender’s rights under this Credit Agreement (subject to Section 9.03) and to approve any amendment, modification or waiver of any provision of this Credit Agreement;
provided that such agreement or instrument may provide that such Lender will not, without the consent of the Participant, agree to any amendment, waiver or other modification described in the first proviso to Section 9.01 that
affects such Participant. Subject to subsection (e) of this Section, the Borrower agrees that each Participant shall be entitled to the benefits of Sections 3.01, 3.04 and 3.05 to the same extent as if it were a Lender and
had acquired its interest by assignment pursuant to subsection (b) of this Section. To the extent permitted by law, each Participant also shall be entitled to the benefits of Section 9.09 as though it were a Lender, provided
such Participant agrees to be subject to Section 2.12 as though it were a Lender. 
 (e) Limitations upon
Participant Rights. A Participant shall not be entitled to receive any greater payment under Section 3.01 or 3.04 than the applicable Lender would have been entitled to receive with respect to the participation sold to such
Participant, unless the sale of the participation to such Participant is made with the Borrower’s prior written consent. A Participant that would be a Foreign Lender if it were a Lender shall not be entitled to the benefits of
Section 3.01 unless the Borrower is notified of the participation sold to such Participant and such Participant agrees, for the benefit of the Borrower, to comply with Section 3.01(e) as though it were a Lender. 

  
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 (f) Certain Pledges. Any Lender may at any time pledge or assign a security interest
in all or any portion of its rights under this Credit Agreement (including under its Note, if any) to secure obligations of such Lender, including any pledge or assignment to secure obligations to a Federal Reserve Bank; provided that no such
pledge or assignment shall release such Lender from any of its obligations hereunder or substitute any such pledgee or assignee for such Lender as a party hereto. 
 (g) Resignation as L/C Issuer or Swing Line Lender after Assignment. Notwithstanding anything to the contrary contained herein, if at any time Wells Fargo assigns all of its Revolving Commitment
and Revolving Loans pursuant to subsection (b) above, Wells Fargo may, (i) upon thirty (30) days’ notice to the Borrower and the Lenders, resign as L/C Issuer and/or (ii) upon thirty (30) days’ notice to the
Borrower, resign as Swing Line Lender. In the event of any such resignation as L/C Issuer or Swing Line Lender, the Borrower shall be entitled to appoint (with such appointee’s consent) from among the Lenders a successor L/C Issuer or Swing
Line Lender hereunder; provided, however, that no failure by the Borrower to appoint any such successor shall affect the resignation of Wells Fargo as L/C Issuer or Swing Line Lender, as the case may be. If Wells Fargo resigns as L/C
Issuer, it shall retain all the rights, powers, privileges and duties of the L/C Issuer hereunder with respect to all Letters of Credit outstanding as of the effective date of its resignation as L/C Issuer and all L/C Obligations with respect
thereto (including the right to require the Lenders to make Base Rate Loans or fund risk participations in Unreimbursed Amounts pursuant to Section 2.03(c)). If Wells Fargo resigns as Swing Line Lender, it shall retain all the rights of
the Swing Line Lender provided for hereunder with respect to Swing Line Loans made by it and outstanding as of the effective date of such resignation, including the right to require the Lenders to make Base Rate Loans or fund risk participations in
outstanding Swing Line Loans pursuant to Section 2.04(b). Upon the appointment of a successor L/C Issuer and/or Swing Line Lender, (a) such successor shall succeed to and become vested with all of the rights, powers, privileges and
duties of the retiring L/C Issuer or Swing Line Lender, as the case may be, and (b) the successor L/C Issuer shall issue letters of credit in substitution for the Letters of Credit, if any, outstanding at the time of such succession or make
other arrangements satisfactory to Wells Fargo to effectively assume the obligations of Wells Fargo with respect to such Letters of Credit. 
 9.08 Confidentiality. 
 Each of the
Administrative Agent, the Lenders and the L/C Issuer agrees to maintain the confidentiality of the Confidential Information (as defined below), except that Confidential Information may be disclosed (a) to its Affiliates and to its and its
Affiliates’ respective partners, directors, officers, employees, agents, trustees, advisors and representatives (it being understood that the Persons to whom such disclosure is made will be informed of the confidential nature of such
Confidential Information and instructed to keep such Confidential Information confidential), (b) to the extent requested by any regulatory authority purporting to have jurisdiction over it (including any self-regulatory authority, such as the
National Association of Insurance Commissioners), (c) to the extent required by applicable laws or regulations or by any subpoena or similar legal process, (d) to any other party hereto, (e) in connection with the exercise of any
remedies hereunder or under any other Credit Document or any action or proceeding relating to this Credit Agreement or any other Credit Document or the enforcement of rights hereunder or thereunder, (f) subject to an agreement containing
provisions substantially the same as those of this Section, to (i) any assignee of or Participant in, or any prospective assignee of or Participant in, any of its rights or obligations under this Credit Agreement or any Eligible Assignee
invited to be a Lender pursuant to Section 9.15 or (ii) any actual or prospective counterparty (or its advisors) to any swap or derivative transaction relating to the Borrower and its obligations, (g) with the consent of the
Borrower or (h) to the extent such Confidential Information (x) becomes publicly available other than as a result of a breach of this Section or (y) becomes available to the Administrative Agent, any Lender, the L/C Issuer or any of
their respective Affiliates on a nonconfidential basis from a source other than the Borrower. 

  
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 For purposes of this Section, “Confidential Information” means all
information received from the Borrower or any Subsidiary relating to the Borrower or any Subsidiary or any of their respective businesses, other than any such information that is available to the Administrative Agent, any Lender or the L/C Issuer on
a nonconfidential basis prior to disclosure by the Borrower or any Subsidiary, provided that, in the case of information received from the Borrower or any Subsidiary after the date hereof, such information is clearly identified at the time of
delivery as confidential. Any Person required to maintain the confidentiality of Confidential Information as provided in this Section shall be considered to have complied with its obligation to do so if such Person has exercised the same degree of
care to maintain the confidentiality of such Confidential Information as such Person would accord to its own confidential information. 
 Each of the Administrative Agent, the Lenders and the L/C Issuer acknowledges that (a) the Confidential Information may include material non-public information concerning the Borrower or a
Subsidiary, as the case may be, (b) it has developed compliance procedures regarding the use of material non-public information and (c) it will handle such material non-public information in accordance with applicable Law, including United
States Federal and state securities Laws. 
 9.09 Set-off. 

In addition to any rights and remedies of the Lenders provided by law, upon the occurrence and during the continuance of any Event of
Default, each Lender and each of its Affiliates are authorized at any time and from time to time, without prior notice to the Borrower or any other Credit Party, any such notice being waived by the Borrower (on its own behalf and on behalf of each
Credit Party) to the fullest extent permitted by law, but in the case of a Lender or any Affiliate of a Lender, subject to receipt of the prior written consent of the Required Lenders exercised in their sole discretion, to set off and apply any and
all deposits (general or special, time or demand, provisional or final) at any time held by, and other indebtedness at any time owing by, such Lender or Affiliate to or for the credit or the account of the respective Credit Parties against any and
all Obligations owing to such Lender hereunder or under any other Credit Document, now or hereafter existing, irrespective of whether or not the Administrative Agent or such Lender shall have made demand under this Credit Agreement or any other
Credit Document and although such Obligations may be contingent or unmatured or denominated in a currency different from that of the applicable deposit or indebtedness. Each Lender agrees promptly to notify the Borrower and the Administrative Agent
after any such set-off and application made by such Lender; provided, however, that the failure to give such notice shall not affect the validity of such set-off and application. Notwithstanding anything to the contrary in this
Section, if any Defaulting Lender shall exercise any such right of setoff, all amounts so set off shall be paid over immediately to the Administrative Agent for further application in accordance with the provisions of Section 2.14 and, pending
such payment, shall be segregated by such Defaulting Lender from its other funds and deemed held in trust for the benefit of the Administrative Agent and the Lenders. 
 9.10 Interest Rate Limitation. 

Notwithstanding anything to the contrary contained in any Credit Document, the interest paid or agreed to be paid under the Credit
Documents shall not exceed the maximum rate of non-usurious interest permitted by applicable Law (the “Maximum Rate”). If the Administrative Agent or any Lender shall receive interest in an amount that exceeds the Maximum Rate, the
excess interest shall be applied to the principal of the Loans or, if it exceeds such unpaid principal, refunded to the Borrower. In determining whether the interest contracted for, charged, or received by the Administrative Agent or a Lender
exceeds the Maximum Rate, such Person may, to the extent permitted by applicable Law, (a) characterize any payment that is not principal as an expense, fee, or premium rather than interest, (b) exclude voluntary prepayments and the effects
thereof, and (c) amortize, prorate, allocate, and spread in equal or unequal parts the total amount of interest throughout the contemplated term of the Obligations hereunder. 

  
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 9.11 Counterparts. 

This Credit Agreement may be executed in one or more counterparts, each of which shall be deemed an original, but all of which together
shall constitute one and the same instrument. 
 9.12 Integration; Effectiveness.

 (a) This Credit Agreement, together with the other Credit Documents, comprises the complete and integrated agreement of the
parties on the subject matter hereof and thereof and supersedes all prior agreements, written or oral, on such subject matter. In the event of any conflict between the provisions of this Credit Agreement and those of any other Credit Document, the
provisions of this Credit Agreement shall control; provided that the inclusion of supplemental rights or remedies in favor of the Administrative Agent or the Lenders in any other Credit Document shall not be deemed a conflict with this Credit
Agreement. Each Credit Document was drafted with the joint participation of the respective parties thereto and shall be construed neither against nor in favor of any party, but rather in accordance with the fair meaning thereof. 

(b) Except as provided in Section 4.01, this Credit Agreement shall become effective when it shall have been executed by the
Administrative Agent and when the Administrative Agent shall have received counterparts hereof that, when taken together, bear the signatures of each of the other parties hereto. Delivery of an executed counterpart of a signature page of this
Agreement by telecopy or other electronic imaging means shall be effective as delivery of a manually executed counterpart of this Agreement. 
 9.13 Survival of Representations and Warranties. 
 All representations and warranties made hereunder and in any other Credit Document or other document delivered pursuant hereto or thereto or in connection herewith or therewith shall survive the execution
and delivery hereof and thereof. Such representations and warranties have been or will be relied upon by the Administrative Agent and each Lender, regardless of any investigation made by the Administrative Agent or any Lender or on their behalf and
notwithstanding that the Administrative Agent or any Lender may have had notice or knowledge of any Default or Event of Default at the time of any Extension of Credit, and shall continue in full force and effect as long as any Loan or any other
Obligation hereunder shall remain unpaid or unsatisfied or any Letter of Credit shall remain outstanding. 
 
9.14 Severability. 
 If any provision of this Credit Agreement or the other Credit Documents is held to be illegal,
invalid or unenforceable, (a) the legality, validity and enforceability of the remaining provisions of this Credit Agreement and the other Credit Documents shall not be affected or impaired thereby and (b) the parties shall endeavor in
good faith negotiations to replace the illegal, invalid or unenforceable provisions with valid provisions the economic effect of which comes as close as possible to that of the illegal, invalid or unenforceable provisions. The invalidity of a
provision in a particular jurisdiction shall not invalidate or render unenforceable such provision in any other jurisdiction. 

  
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 9.15 Replacement of Lenders. 

If (a) any Lender requests compensation under Section 3.04, (b) the Borrower is required to pay any additional
amount to any Lender or any Governmental Authority for the account of any Lender pursuant to Section 3.01, (c) any Lender is a Defaulting Lender, or (d) any Lender breaches the terms of this Credit Agreement in a material
manner, then the Borrower may, at its sole expense and effort, upon notice to such Lender and the Administrative Agent, require such Lender to assign and delegate, without recourse (in accordance with and subject to the restrictions contained in,
and consents required by, Section 9.07), all of its interests, rights and obligations under this Credit Agreement and the related Credit Documents to an assignee that shall assume such obligations (which assignee may be another Lender,
if a Lender accepts such assignment), provided that: 
 (i) the Borrower shall have paid to the
Administrative Agent the assignment fee specified in Section 9.07(b); 
 (ii) such Lender shall have
received payment of an amount equal to the outstanding principal of its Loans, accrued interest thereon, accrued fees and all other amounts payable to it hereunder and under the other Credit Documents (including any amounts under
Section 3.05) from the assignee (to the extent of such outstanding principal and accrued interest and fees) or the Borrower (in the case of all other amounts); 

(iii) in the case of any such assignment resulting from a claim for compensation under Section 3.04 or
payments required to be made pursuant to Section 3.01, such assignment will result in a reduction in such compensation or payments thereafter; and 
 (iv) such assignment does not conflict with applicable Laws. 
 A Lender shall not be required to
make any such assignment or delegation if, prior thereto, as a result of a waiver by such Lender or otherwise, the circumstances entitling the Borrower to require such assignment and delegation cease to apply. 

9.16 GOVERNING LAW. 
 (a) GOVERNING LAW. THIS CREDIT AGREEMENT SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAW OF THE STATE OF NEW YORK. 

(b) SUBMISSION TO JURISDICTION. THE BORROWER IRREVOCABLY AND UNCONDITIONALLY AGREES THAT IT WILL NOT COMMENCE ANY ACTION,
LITIGATION OR PROCEEDING OF ANY KIND OR DESCRIPTION, WHETHER IN LAW OR EQUITY, WHETHER IN CONTRACT OR IN TORT OR OTHERWISE, AGAINST THE ADMINISTRATIVE AGENT, ANY LENDER OR ANY RELATED PARTY OF THE FOREGOING IN ANY WAY RELATING TO THIS AGREEMENT OR
ANY OTHER CREDIT DOCUMENT OR THE TRANSACTIONS RELATING HERETO OR THERETO, IN ANY FORUM OTHER THAN THE COURTS OF THE STATE OF NEW YORK SITTING IN NEW YORK COUNTY, AND OF THE UNITED STATES DISTRICT COURT OF THE SOUTHERN DISTRICT OF NEW YORK, AND ANY
APPELLATE COURT FROM ANY THEREOF, AND EACH OF THE PARTIES HERETO IRREVOCABLY AND UNCONDITIONALLY SUBMITS TO THE JURISDICTION OF SUCH COURTS AND AGREES THAT ALL CLAIMS IN RESPECT OF ANY SUCH ACTION, LITIGATION OR PROCEEDING MAY BE HEARD AND
DETERMINED IN SUCH NEW YORK 

  
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STATE COURT OR, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, IN SUCH FEDERAL COURT. EACH OF THE PARTIES HERETO AGREES THAT A FINAL JUDGMENT IN ANY SUCH ACTION, LITIGATION OR PROCEEDING
SHALL BE CONCLUSIVE AND MAY BE ENFORCED IN OTHER JURISDICTIONS BY SUIT ON THE JUDGMENT OR IN ANY OTHER MANNER PROVIDED BY LAW. NOTHING IN THIS AGREEMENT OR IN ANY OTHER CREDIT DOCUMENT SHALL AFFECT ANY RIGHT THAT THE ADMINISTRATIVE AGENT OR ANY
LENDER MAY OTHERWISE HAVE TO BRING ANY ACTION OR PROCEEDING RELATING TO THIS AGREEMENT OR ANY OTHER CREDIT DOCUMENT AGAINST THE BORROWER OR ITS PROPERTIES IN THE COURTS OF ANY JURISDICTION. THE CHOICE OF FORUM SET FORTH IN THIS SECTION SHALL NOT BE
DEEMED TO PRECLUDE THE BRINGING OF ANY ACTION BY THE ADMINISTRATIVE AGENT OR ANY LENDER OR THE ENFORCEMENT BY THE ADMINISTRATIVE AGENT OR ANY LENDER OF ANY JUDGMENT OBTAINED IN SUCH FORUM IN ANY OTHER APPROPRIATE JURISDICTION. 

(c) WAIVER OF VENUE. THE BORROWER AND EACH OTHER CREDIT PARTY IRREVOCABLY AND UNCONDITIONALLY WAIVES, TO THE FULLEST EXTENT
PERMITTED BY APPLICABLE LAW, ANY OBJECTION THAT IT MAY NOW OR HEREAFTER HAVE TO THE LAYING OF VENUE OF ANY ACTION OR PROCEEDING ARISING OUT OF OR RELATING TO THIS CREDIT AGREEMENT OR ANY OTHER CREDIT DOCUMENT IN ANY COURT REFERRED TO IN
PARAGRAPH (B) OF THIS SECTION. EACH OF THE PARTIES HERETO HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, THE DEFENSE OF AN INCONVENIENT FORUM TO THE MAINTENANCE OF SUCH ACTION OR PROCEEDING IN ANY SUCH COURT.

 (d) SERVICE OF PROCESS. EACH PARTY HERETO IRREVOCABLY CONSENTS TO SERVICE OF PROCESS IN THE MANNER PROVIDED FOR
NOTICES IN SECTION 9.02. NOTHING IN THIS CREDIT AGREEMENT WILL AFFECT THE RIGHT OF ANY PARTY HERETO TO SERVE PROCESS IN ANY OTHER MANNER PERMITTED BY APPLICABLE LAW. 

9.17 WAIVER OF RIGHT TO TRIAL BY JURY. 

EACH PARTY HERETO HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY RIGHT IT MAY HAVE TO A TRIAL BY JURY
IN ANY LEGAL PROCEEDING DIRECTLY OR INDIRECTLY ARISING OUT OF OR RELATING TO THIS CREDIT AGREEMENT OR ANY OTHER CREDIT DOCUMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY OR THEREBY (WHETHER BASED ON CONTRACT, TORT OR ANY OTHER THEORY). EACH PARTY
HERETO (A) CERTIFIES THAT NO REPRESENTATIVE, AGENT OR ATTORNEY OF ANY OTHER PERSON HAS REPRESENTED, EXPRESSLY OR OTHERWISE, THAT SUCH OTHER PERSON WOULD NOT, IN THE EVENT OF LITIGATION, SEEK TO ENFORCE THE FOREGOING WAIVER AND
(B) ACKNOWLEDGES THAT IT AND THE OTHER PARTIES HERETO HAVE BEEN INDUCED TO ENTER INTO THIS CREDIT AGREEMENT AND THE OTHER CREDIT DOCUMENTS BY, AMONG OTHER THINGS, THE MUTUAL WAIVERS AND CERTIFICATIONS IN THIS SECTION. 

9.18 No Conflict. 
 To the extent there is any conflict or inconsistency between the provisions hereof and the provisions of any Credit Document, this Credit Agreement shall control. 

  
 -96-

 9.19 USA PATRIOT Act Notice. 

Each Lender that is subject to the Patriot Act and the Administrative Agent (for itself and not on behalf of any Lender) hereby notifies
the Borrower that pursuant to the requirements of the Patriot Act, it is required to obtain, verify and record information that identifies the Borrower, which information includes the name and address of the Borrower and other information that will
allow such Lender or the Administrative Agent, as applicable, to identify such Borrower in accordance with the Patriot Act. 
 
9.20 No Advisory or Fiduciary Responsibility. 
 In connection with all aspects of each transaction contemplated
hereby (including in connection with any amendment, waiver or other modification hereof or of any other Credit Document), the Borrower acknowledges and agrees, and acknowledges its Affiliates’ understanding, that: (i) (A) the
arranging and other services regarding this Credit Agreement provided by the Administrative Agent, the Arrangers and the Lenders are arm’s-length commercial transactions between the Borrower, on the one hand, and the Administrative Agent, the
Arrangers and the Lenders, on the other hand, (B) the Borrower has consulted its own legal, accounting, regulatory and tax advisors to the extent it has deemed appropriate, and (C) the Borrower is capable of evaluating, and understands and
accepts, the terms, risks and conditions of the transactions contemplated hereby and by the other Credit Documents; (ii) (A) each of the Administrative Agent, the Arrangers and the Lenders has been acting solely as a principal and, except
as expressly agreed in writing by the relevant parties, has not been, is not, and will not be acting as an advisor, agent or fiduciary for the Borrower or any of its Affiliates, or any other Person and (B) none of the Administrative Agent, the
Arrangers or any Lender has any obligation to the Borrower or any of its Affiliates with respect to the transactions contemplated hereby except those obligations expressly set forth herein and in the other Credit Documents; and (iii) the
Administrative Agent, the Arrangers and the Lenders and their respective Affiliates may be engaged in a broad range of transactions that involve interests that differ from those of the Borrower and its Affiliates, and none of the Administrative
Agent, the Arrangers and the Lenders has any obligation to disclose any of such interests to the Borrower or any of its Affiliates. To the fullest extent permitted by law, the Borrower hereby waives and releases any claims that it may have against
the Administrative Agent, the Arrangers and the Lenders with respect to any breach or alleged breach of agency or fiduciary duty in connection with any aspect of any transaction contemplated hereby. 

9.21(Intentionally Omitted). 

9.22 Entire Agreement. 
 THIS CREDIT AGREEMENT AND THE OTHER CREDIT DOCUMENTS REPRESENT THE FINAL AGREEMENT AMONG THE PARTIES AND MAY NOT BE CONTRADICTED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS, OR SUBSEQUENT ORAL AGREEMENTS OF THE
PARTIES. THERE ARE NO UNWRITTEN ORAL AGREEMENTS AMONG THE PARTIES. 
 [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] 

  
 -97-

 IN WITNESS WHEREOF, the parties hereto have caused this Credit Agreement to be duly executed
as of the date first above written. 
  

					
	BORROWER:	 	 HEALTHCARE REALTY TRUST
 INCORPORATED, a Maryland corporation

			
		 	By:	 	 /s/ Andrew E. Loope

		 	Name:	 	Andrew E. Loope
		 	Title:	 	 Senior Vice President and

Corporate Counsel

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 
  

					
	LENDERS:	 	 WELLS FARGO BANK, NATIONAL ASSOCIATION,
 as Administrative Agent, the L/C Issuer, the Swing Line
 Lender and as a
Lender

			
		 	By:	 	 /s/ Andrew W. Hussion

		 	Name:	 	Andrew W. Hussion
		 	Title:	 	Vice President

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	JPMORGAN CHASE BANK, N.A.
		
	By:	 	/s/ Marc Costantino
	Name:	 	Marc Costantino
	Title:	 	Executive Director

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	BARCLAYS BANK PLC
		
	By:	 	/s/ Diane Rolfe
	Name:	 	Diane Rolfe
	Title:	 	Director

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
		
	By:	 	/s/ John Bosco
	Name:	 	John Bosco
	Title:	 	Vice President
		
	By:	 	/s/ Pamela Donnelly
	Name:	 	Pamela Donnelly
	Title:	 	Managing Director

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	BANK OF AMERICA, N.A.
		
	By:	 	/s/ Amie L. Edwards
	Name:	 	Amie L. Edwards
	Title:	 	Director

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	BANK OF MONTREAL – CHICAGO BRANCH
		
	By:	 	/s/ Lloyd Baron
	Name:	 	Lloyd Baron
	Title:	 	Vice President

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	COMPASS BANK, an Alabama Banking Corporation
		
	By:	 	/s/ Dan Killian
	Name:	 	Dan Killian
	Title:	 	Senior Vice President

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	FIFTH THIRD BANK
		
	By:	 	/s/ John Stringfield
	Name:	 	John Stringfield
	Title:	 	Vice President

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	ROYAL BANK OF CANADA
		
	By:	 	/s/ Dan LePage
	Name:	 	Dan LePage
	Title:	 	Authorized Signatory

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	SUNTRUST BANK
		
	By:	 	/s/ Joshua J. Turner
	Name:	 	Joshua J. Turner
	Title:	 	Vice President

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	THE BANK OF NOVA SCOTIA
		
	By:	 	 /s/ Mark Sparrow

	Name:	 	Mark Sparrow
	Title:	 	Director

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	PNC BANK, NATIONAL ASSOCIATION
		
	By:	 	/s/ Andrew T. White
	Name:	 	Andrew T. White
	Title:	 	Senior Vice President

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	BRANCH BANKING AND TRUST COMPANY
		
	By:	 	 /s/ R. Andrew Beam

	Name:	 	R. Andrew Beam
	Title:	 	Senior Vice President

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	REGIONS BANK
		
	By:	 	/s/ Craig Gardella
	Name:	 	Craig Gardella
	Title:	 	S V P

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	FIRST TENNESSEE BANK, NATIONAL ASSOCIATION
		
	By:	 	/s/ Cathy Wind
	Name:	 	Cathy Wind
	Title:	 	Senior Vice President

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	PINNACLE NATIONAL BANK
		
	By:	 	/s/ Todd Carter
	Name:	 	Todd Carter
	Title:	 	Senior Vice President

 [Signatures Continued on Next Page] 

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	FIRST COMMERCIAL BANK NEW YORK BRANCH
		
	By:	 	/s/ Jason Lee
	Name:	 	Jason Lee
	Title:	 	General Manager

 [Signature Page to Credit Agreement with 

Healthcare Realty Trust Incorporated] 

 

			
	[LENDER]
		
	By:	 	 
	Name:	 	
	Title:	 	

 Schedule 2.01 
 LENDERS AND COMMITMENTS 
  

									
	 Lender
	  	Revolving Commitment	 	  	Revolving 
Commitment
Percentage	 
	 Wells Fargo Bank, National Association
	  	$	70,000,000	  	  	 	10.000000000	% 
			
	 JPMorgan Chase Bank, N.A.
	  	$	70,000,000	  	  	 	10.000000000	% 
			
	 Barclays Bank PLC
	  	$	60,000,000	  	  	 	8.571428571	% 
			
	 Credit Agricole Corporate and Investment Bank
	  	$	60,000,000	  	  	 	8.571428571	% 
			
	 Bank of America, N.A.
	  	$	50,000,000	  	  	 	7.142857143	% 
			
	 Fifth Third Bank
	  	$	43,500,000	  	  	 	6.214285714	% 
			
	 Bank of Montreal – Chicago Branch
	  	$	43,500,000	  	  	 	6.214285714	% 
			
	 Royal Bank of Canada
	  	$	43,500,000	  	  	 	6.214285714	% 
			
	 SunTrust Bank
	  	$	43,500,000	  	  	 	6.214285714	% 
			
	 The Bank of Nova Scotia
	  	$	43,500,000	  	  	 	6.214285714	% 
			
	 Compass Bank, an Alabama Banking Corporation
	  	$	43,500,000	  	  	 	6.214285714	% 
			
	 PNC Bank, National Association
	  	$	34,000,000	  	  	 	4.857142857	% 
			
	 Branch Banking and Trust Company
	  	$	25,000,000	  	  	 	3.571428571	% 
			
	 Regions Bank
	  	$	25,000,000	  	  	 	3.571428571	% 
			
	 Pinnacle National Bank
	  	$	20,000,000	  	  	 	2.857142857	% 
			
	 First Tennessee Bank, National Association
	  	$	20,000,000	  	  	 	2.857142857	% 
			
	 First Commercial Bank New York Branch
	  	$	5,000,000	  	  	 	0.714285714	% 
		  	  
	  
	 	  	  
	  
	 
	 Total:
	  	$	700,000,000	  	  	 	100.000000000	% 
		  	  
	  
	 	  	  
	  
	 

 Schedule 5.04 
 Litigation 
 None. 

 Schedule 5.06 
 Environmental Matters 
 None. 

 Schedule 5.07 

Material Subsidiaries and Specified Affiliates(1) 
  

					
	 Entity Name
	  	 Jurisdiction of Organization
	  	 Ownership(2)

	 HRT Properties of Texas, Ltd.
	  	TX	  	100% by Healthcare Acquisition of Texas, Inc., which is 100% owned by HR Acquisition I Corporation, which is 100% owned by Borrower
			
	 HR Acquisition of San Antonio, Ltd.
	  	AL	  	100% by Healthcare Acquisition of Texas, Inc., which is 100% owned by HR Acquisition I Corporation, which is 100% owned by Borrower
			
	 HR Acquisition I Corporation
	  	TN	  	100% owned by Borrower
			
	 HR of Carolinas, LLC
	  	DE	  	100% owned by HR Carolinas Holdings, LLC, which is 100% owned by Borrower
			
	 HRT of Tennessee Inc.
	  	TN	  	100% owned by Borrower
			
	 HR of Iowa, LLC
	  	DE	  	100% owned by Borrower
			
	 HRT of Illinois, Inc.
	  	DE	  	100% owned by Borrower
			
	 HR of Indiana, LLC
	  	DE	  	100% owned by HRT of Delaware, Inc., which is 100% owned by Borrower
			
	 HR Acquisition of Pennsylvania, Inc.
	  	PA	  	100% owned by HR Acquisition I Corporation, which is 100% owned by Borrower
			
	 HR of Pima, LLC
	  	DE	  	100% owned by Borrower
			
	 Pennsylvania HRT, Inc.
	  	PA	  	100% owned by Borrower
			
	 HRT of Roanoke, Inc.
	  	VA	  	100% owned by Borrower
			
	 HR of Los Angeles, Ltd.
	  	AL	  	66.67% owned by HR of Los Angeles, Inc. and 33.33% owned by Kerlan Jobe Ortho-Clinic, L.P. HR Los Angeles, Inc. is 100% owned by HR Acquisition I Corporation, which is 100% owned
by Borrower;
			
	 HR St. Mary’s South MOB SPE, LLC
	  	DE	  	100% owned by HR Richmond Manager, LLC, which is 100% owned by Borrower

					
			
	 Lakewood MOB, LLC
	  	DE	  	100% owned by HR of Iowa, LLC, which is 100% owned by Borrower
			
	 HR Lowry Medical Center SPE, LLC
	  	DE	  	100% owned by Borrower
			
	 HR MAC II, LLC
	  	DE	  	100% owned by Borrower
			
	 Clive Wellness Campus Building One, LLC
	  	DE	  	100% owned by HR LADCO Holdings, LLC, which is 100% owned by HR of Iowa, LLC, which is 100% owned by Borrower
			
	 Stevens Pavilion, LLC
	  	DE	  	100% owned by Stevens Pavilion Parent, LLC, which is 100% owned by HR Washington MOB Venture, LLC which is 100% owned by HR Acquisition I Corporation, which is 100% owned by
Borrower
			
	 HR Briargate, LLC
	  	DE	  	100% owned by HR Assets, LLC, which is 100% owned by Borrower
			
	 Roseburg Surgery Center, LLC
	  	DE	  	100% owned by HR Oregon MOB Venture, LLC, which is 100% owned by HR Acquisition I Corporation, which is 100% owned by Borrower
			
	 Yakima Valley Subsidiary, LLC
	  	DE	  	100% owned by Yakima Valley Parent, LLC, which is 100% owned by HR Washington MOB Venture, LLC, which is 100% owned by HR Acquisition I Corporation, which is 100% owned by
Borrower
			
	 Allenmore C, LLC
	  	DE	  	100% owned by HR Washington MOB Venture, LLC, which is 100% owned by HR Acquisition I Corporation, which is 100% owned by Borrower

  

	(1)	There are no Specified Affiliates. 

	(2)	There are no outstanding options, warrants, rights of conversion or purchase or any other similar rights relating to the ownership of the Material Subsidiaries, except
as follows: LADCO MPF I, LLC, an entity unaffiliated with the Borrower, has the right to purchase up to 20%, in 5% increments, of the equity ownership of HR LADCO Holdings, LLC, which owns 100% of Clive Wellness Campus Building One, LLC. The
subsidiaries listed under the ownership column but not under the Material Subsidiary column do not directly own real estate assets meeting the Individual Subsidiary Test. 

 Schedule 5.10 
 Compliance with Laws 
 None. 

 Schedule 5.12 
 Indebtedness 
  

							
	  	  	 Principal Loan Balance as of

October 14,
2011(1)
	 	  	 Maturity Dates

	 Senior Notes due 2014, net of discount
	  	$	264,737,000	  	  	April 2014
			
	 Senior Notes due 2017, net of discount
	  	$	300,000,000	  	  	January 2017
			
	 Senior Notes due 2021, net of discount
	  	$	400,000,000	  	  	January 2021
			
	 Mortgage notes payable, net of discount and including premium
	  	$	219,381,655	  	  	Various from April 2013 to October 2030

  

	(1)	Principal balances are before discounts or premiums. 

 Schedule 5.13 
 Contingent Liabilities 
 None. 

 Schedule 5.14 
 Investments 
 Borrower holds an investment in Wentworth Holdings, LLC, an
unconsolidated limited liability company that is accounted for under the cost method and was valued at $1.3 million as of June 30, 2011. 

 Schedule 9.02 
 NOTICE ADDRESSES 
 Credit Parties: 

Healthcare Realty Trust Incorporated 
 3310 West
End Avenue 
 Suite 700 
 Nashville,
Tennessee 37203 

			
	Attention:	 	John M. Bryant, Jr.
	Telephone:	 	(615) 269-8175
	Facsimile No.:	 	(615) 463-7739

 Administrative Agent: 
 For payments and Requests for Credit Extensions: 
 Wells Fargo Bank, National Association

 608 2nd Avenue S., 11th Floor 

Minneapolis, Minnesota 55402 

			
	Attention:	 	Kimberly Perreault – Disbursement Administrator
	Telephone:	 	(612) 316-3738
	Facsimile:	 	(866) 494-8802
	Email:	 	Kimberly.g.perreault@wellsfargo.com

 Wiring Instructions: 
 Wells Fargo Bank, National Association 
 Minneapolis, Minnesota 

ABA No.: 053000219 
 Account No.: 01459670123418

 Account Name: Wells Fargo Bank 
 Ref:
Healthcare Realty Trust Incorporated 
 Attention: Kimberly Perreault 

 For all other notices: 
 Wells Fargo Bank, National Association 
 2859 Paces Ferry Road, Suite 1200 

Atlanta, Georgia 30339 

			
	Attention:	  	Loan Administration Manager
	Telephone:	  	(770) 435-3800
	Facsimile:	  	(770) 435-2262

 With a copy to: 

Alston & Bird LLP 
 1201 West Peachtree
Street 
 Atlanta, Georgia 30309 

			
	Attention:	  	Paul M. Cushing
	Telephone:	  	(404) 881-7578
	Facsimile:	  	(404) 881-4777

 EXHIBIT 1.01 

TRANSFER AUTHORIZER DESIGNATION 
 (For Disbursement of Loan Proceeds by Funds Transfer) 
  ̈ NEW  ̈ REPLACE PREVIOUS DESIGNATION  ̈ ADD  ̈
CHANGE  ̈ DELETE LINE NUMBER              ̈ INITIAL LOAN DISBURSEMENT

 The following representatives of HEALTHCARE REALTY TRUST INCORPORATED (the “Borrower”) are authorized to request the
disbursement of proceeds of the Loans and initiate funds transfers for Loan Number                    assigned to the unsecured revolving credit
facility evidenced by the Credit Agreement dated October [    ], 2011 (the “Credit Agreement”) by and among the Borrower, each of the financial institutions initially a signatory thereto together with
their assignees under Section 9.07. thereof (the “Lenders”), Wells Fargo Bank, National Association, as the Administrative Agent for the Lenders (the “Administrative Agent”), and the other parties
thereto. The Administrative Agent is authorized to rely on this Transfer Authorizer Designation until it has received a new Transfer Authorizer Designation signed by the Borrower, even in the event that any or all of the foregoing information may
have changed. Capitalized terms used herein that are not defined shall have the meanings given to such terms in the Credit Agreement. 
  

							
	 	  	 Name
	  	 Title
	  	 Maximum Wire

Amount1

	1.	  		  		  	
	2.	  		  		  	
	3.	  		  		  	
	4.	  		  		  	
	5.	  		  		  	

 Initial Loan Disbursement Authorization  ̈ Not Applicable
 ̈ Applicable — The Administrative Agent is hereby authorized to accept wire transfer instructions
from                    (ie. specify title company escrow) to be delivered, via fax, email, letter or other method, to the Administrative Agent for
title/escrow #            and/or loan #            . Said instructions shall include the title/escrow company’s
Receiving Party Account Name, city and state, Receiving Party Account Number, the Administrative Agent’s (ABA) Routing Number, Maximum Transfer Amount required, Borrower’s name, title order/escrow number to which the Administrative Agent
shall fund the Initial Loan Disbursement under the loan number referenced above. The amount of said transfer shall not exceed $        . Borrower acknowledges and agrees that the acceptance of and wire
transfer of funds by the Administrative Agent in accordance with the title/escrow company instructions shall be governed by this Transfer Authorizer Designation form and any other Loan Documents. The Administrative Agent shall not be further
required to confirm said wiring instructions received from title/escrow company with the Borrower. This Initial Loan Disbursement Authorization is in effect until a new authorization request shall be required. The Borrower shall instruct
title/escrow company via a separate letter, to deliver said wiring instructions in writing, directly 
  

	1 	 Maximum Wire Amount may not exceed the Loan Amount. 

 to the Administrative Agent at its address. The Borrower also hereby authorizes the Administrative Agent to
attach a copy of the title/escrow company’s written wire instructions to this Transfer Authorizer Designation form upon receipt of said instructions. 
  

	
	 Beneficiary Bank and Account Holder Information

 1. 

			
	          Transfer Funds to (Receiving Party Account Name):
	
	          Receiving Party Account Number:
		
	          Receiving Bank Name, City and State:	  	Receiving             Bank
	 	  	Routing                (ABA)
	 	  	Number
	          Maximum Transfer Amount:	  	 
	
	          Further Credit Information/Instructions:

2. 

			
	          Transfer Funds to (Receiving Party Account Name):
	
	          Receiving Party Account Number:
		
	          Receiving Bank Name, City and State:	  	Receiving             Bank
	 	  	Routing (ABA) Number
	          Maximum Transfer Amount:	  	 
	
	          Further Credit Information/Instructions:

3. 

			
	          Transfer Funds to (Receiving Party Account Name):
	
	          Receiving Party Account Number:
		
	          Receiving Bank Name, City and State:	  	Receiving             Bank
	 	  	Routing (ABA) Number
	          Maximum Transfer Amount:	  	 
	
	          Further Credit Information/Instructions:

 Date:                ,
20     
 “BORROWER” 
 HEALTHCARE REALTY TRUST INCORPORATED 
  

					
	By:	 	  

		 	Name:	 	  

		 	Title:	 	  

 [Signature Page to Transfer Authorizer Designation] 

 Exhibit 2.02 
 FORM OF LOAN NOTICE 

Date:                , 201     

 

	To:	Wells Fargo Bank, National Association, as Administrative Agent 

  

	Re:	Credit Agreement (as amended, modified, supplemented and extended from time to time, the “Credit Agreement”) dated as of October
    , 2011 among Healthcare Realty Trust Incorporated, a Maryland corporation (the “Borrower”), the Lenders identified therein, and Wells Fargo Bank, National Association, as Administrative Agent. Capitalized
terms used but not otherwise defined herein have the meanings provided in the Credit Agreement. 

 Ladies and Gentlemen:

 The undersigned hereby requests (select one): 
  

					
	 ̈  A Borrowing	  	 ̈  A Continuation	  	 ̈  A Conversion

 Of Revolving Loans: 
  

	1.	On:                     , 201    (which is a
Business Day). 

  

	2.	In the amount of:             . 

 

	3.	Comprised of:                     (Type of Loan).

  

	4.	For Eurodollar Rate Loans: with an Interest Period of             months. 

 ̈  a Borrowing of Swing Line Loans: 

 

	1.	On:                     , 201    (which is a
Business Day). 

  

	2.	In the amount of:             . 

 With respect to any Borrowing or any conversion or continuation requested herein, the undersigned Borrower hereby represents and warrants that (a) in the case of Revolving Loans, such request
complies with the requirements of Section 2.01(a) of the Credit Agreement, in the case of Swing Line Loans, such request complies with the requirements of Section 2.01(c) of the 

 
Credit Agreement, (b) each of the conditions set forth in Section 2.02 of the Credit Agreement have been satisfied on and as of the date of such Borrowing or such conversion or
continuation and (c) the conditions referenced in subsections (b) through (e) of Section 4.02 of the Credit Agreement have been satisfied on or prior to the proposed date of the requested Extension of Credit. 

[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] 

 
			
	HEALTHCARE REALTY TRUST
INCORPORATED, a Maryland corporation
		
	By:	 	  

	Name:	 	
	Title:	 	

 Exhibit 2.13-1 

FORM OF REVOLVING NOTE 
  

			
	$             	  	October     , 2011

 FOR VALUE RECEIVED, the undersigned, HEALTHCARE REALTY TRUST INCORPORATED (the “Borrower”), hereby unconditionally promises to pay to the order of
                    (the “Lender”), in care of Wells Fargo Bank, National Association, as Administrative Agent (the “Administrative
Agent”), to Wells Fargo Bank, National Association, 608 2nd Avenue S.,
11th Floor, Minneapolis, Minnesota 55402, or at such
other address as may be specified by the Administrative Agent to the Borrower, the principal sum of             AND     /100 DOLLARS
($            ), or such lesser amount as may be the then outstanding and unpaid balance of all Revolving Loans made by the Lender to the Borrower pursuant to, and in accordance with the
terms of, the Credit Agreement. 
 The Borrower further agrees to pay interest at said office, in like money, on the unpaid
principal amount owing hereunder from time to time on the dates and at the rates and at the times specified in the Credit Agreement. 
 This Note is one of the “Revolving Notes” referred to in the Credit Agreement dated as of October     , 2011 (as amended, restated, supplemented or otherwise modified from
time to time, the “Credit Agreement”), by and among the Borrower, the financial institutions party thereto and their assignees under Section 9.07 thereof, the Administrative Agent, and the other parties thereto, and is subject to, and
entitled to, all provisions and benefits thereof. Capitalized terms used herein and not defined herein shall have the respective meanings given to such terms in the Credit Agreement. The Credit Agreement, among other things, (a) provides for
the making of Revolving Loans by the Lender to the Borrower from time to time in an aggregate amount not to exceed at any time outstanding the Dollar amount first above mentioned, (b) permits the prepayment of the Loans by the Borrower subject
to certain terms and conditions and (c) provides for the acceleration of the Revolving Loans upon the occurrence of certain specified events. 
 The Borrower hereby waives presentment, demand, protest and notice of any kind. No failure to exercise, and no delay in exercising any rights hereunder on the part of the holder hereof shall operate as a
waiver of such rights. 
 Time is of the essence for this Note. 

 THIS NOTE SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF
NEW YORK APPLICABLE TO CONTRACTS EXECUTED, AND TO BE FULLY PERFORMED, IN SUCH STATE. 
 [Signature on Following Page] 

 IN WITNESS WHEREOF, the undersigned has executed and delivered this Revolving Note under
seal as of the date first written above. 
  

			
	HEALTHCARE REALTY TRUST
INCORPORATED, a Maryland corporation
		
	By:	 	  

	Name:
	Title:

 Exhibit 2.13-2 

FORM OF SWING LINE NOTE 
  

			
	$             	  	October     , 2011

 FOR VALUE RECEIVED, the undersigned, HEALTHCARE REALTY TRUST INCORPORATED (the “Borrower”), hereby promises to pay to the order of WELLS FARGO BANK, NATIONAL ASSOCIATION (the “Swing Line
Lender”) to its address at 608 2nd Avenue S.,
11th Floor, Minneapolis, Minnesota 55402, or at such
other address as may be specified by the Swing Line Lender to the Borrower, the principal sum of             AND NO/100 DOLLARS
($            ) (or such lesser amount as shall equal the aggregate unpaid principal amount of Swing Line Loans made by the Swing Line Lender to the Borrower under the Credit
Agreement), on the dates and in the principal amounts provided in the Credit Agreement, and to pay interest on the unpaid principal amount owing hereunder, at the rates and on the dates provided in the Credit Agreement. 

The date, amount of each Swing Line Loan, and each payment made on account of the principal thereof, shall be recorded by the Swing Line
Lender on its books and, prior to any transfer of this Note, endorsed by the Swing Line Lender on the schedule attached hereto or any continuation thereof, provided that the failure of the Swing Line Lender to made any such recordation or
endorsement shall not affect the obligations of the Borrower to make a payment when due of any amount owing under the Credit Agreement or hereunder in respect of the Swing Line Loans. 

This Note is the “Swing Line Note” referred to in the Credit Agreement dated as of October     , 2011 (as
amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), by and among the Borrower, the financial institutions party thereto and their assignees under Section 9.07 thereof, the Administrative
Agent, and the other parties thereto, and evidences Swing Line Loans made to the Borrower thereunder. Terms used but not otherwise defined in this Note have the respective meanings assigned to them in the Credit Agreement. 

The Credit Agreement provides for the acceleration of the maturity of this Note upon the occurrence of certain events and for prepayments
of Swing Line Loans upon the terms and conditions specified therein. 
 THIS NOTE SHALL BE GOVERNED BY, AND CONSTRUED IN
ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK APPLICABLE TO CONTRACTS EXECUTED, AND TO BE FULLY PERFORMED, IN SUCH STATE. 

 The Borrower hereby waives presentment for payment, demand, notice of demand, notice of
non-payment, protest, notice of protest and all other similar notices. 
 Time is of the essence for this Note. 

[Signature on Following Page] 

 IN WITNESS WHEREOF, the undersigned has executed and delivered this Swing Line Note under
seal as of the date first written above. 
  

	
	 HEALTHCARE REALTY TRUST
 INCORPORATED, a Maryland corporation

	
	 By:

	 Name:

	 Title:

	

 Exhibit 6.01 
 FORM OF COMPLIANCE CERTIFICATE 
 Financial Statement Date:
            , 201     
  

	To:	Wells Fargo Bank, National Association, as Administrative Agent 

  

	Re:	Credit Agreement (as amended, modified, supplemented and extended from time to time, the “Credit Agreement”) dated as of October
    , 2011 among Healthcare Realty Trust Incorporated, a Maryland corporation (the “Borrower”), the Lenders identified therein, and Wells Fargo Bank, National Association, as Administrative Agent. Capitalized
terms used but not otherwise defined herein have the meanings provided in the Credit Agreement. 

 Ladies and Gentlemen:

 The undersigned Responsible Officer hereby certifies as of the date hereof that [he/she] is the
            of the Borrower, and that, in [his/her] capacity as such, [he/she] is authorized to execute and deliver this Certificate to the Administrative Agent on the behalf of the
Borrower, and that: 
 [Use following paragraph 1 for fiscal year-end financial statements:] 

[1. [Attached hereto as Schedule 1 are the] [The] year-end audited financial statements required by
Section 6.01(a) of the Credit Agreement for the fiscal year of the Borrower ended as of the above date, together with the report and opinion of an independent certified public accountant required by such section [have been electronically
delivered to the Administrative Agent pursuant to the conditions set forth in Section 6.01 of the Credit Agreement].] 
 [Use
following paragraph 1 for fiscal quarter-end financial statements:] 
 [1. [Attached hereto as Schedule 1 are the]
[The] unaudited financial statements required by Section 6.01(b) of the Credit Agreement for the fiscal quarter of the Borrower ended as of the above date [have been electronically delivered to the Administrative Agent pursuant to the
conditions set forth in Section 6.01 of the Credit Agreement]. Such financial statements fairly present the financial condition, results of operations and cash flows of the Consolidated Group in accordance with GAAP as at such date and
for such period, subject only to normal year-end audit adjustments and the absence of footnotes.] 

 2. The undersigned has reviewed and is familiar with the terms of the Credit Agreement and
has made, or has caused to be made, a detailed review of the transactions and condition (financial or otherwise) of each member of the Consolidated Group during the accounting period covered by the attached financial statements. 

3. A review of the activities of each member of the Consolidated Group during such fiscal period has been made under the supervision of
the undersigned with a view to determining whether during such fiscal period the Credit Parties have performed and observed all their respective Obligations under the Credit Documents, and 
 [select one:] 
 [to the best knowledge of the undersigned during such fiscal period, each of the
Credit Parties has performed and observed each covenant and condition of the Credit Documents applicable to it.] 
 [or:] 

[the following covenants or conditions have not been performed or observed and the following is a list of each such Default and its nature and status:]

 4. The representations and warranties of the Credit Parties contained in the Credit Agreement, any other Credit Document or
any other certificate or document furnished at any time under or in connection with the Credit Documents, are true and correct on and as of the date hereof, except to the extent that such representations and warranties specifically refer to an
earlier date, in which case they are true and correct as of such earlier date. 
 5. The financial covenant analyses and
information set forth on Schedule 2 hereto are true and accurate on and as of the date of this Certificate. 
 6.
The Borrower’s Debt Ratings are as follows: 

 IN WITNESS WHEREOF, the undersigned has executed this Certificate as of
                    , 201    . 

 

			
	 HEALTHCARE REALTY TRUST
 INCORPORATED, a Maryland corporation

		
	By:	 	  

	Name:
	Title:

 [Schedule 1 
 [YEAR-END AUDITED FINANCIAL STATEMENTS] 
 [UNAUDITED QUARTERLY FINANCIAL
STATEMENTS]] 

 Schedule [1][2] 

FINANCIAL COVENANT ANALYSES AND INFORMATION 

 Exhibit 6.20 
 FORM OF GUARANTY 
 THIS GUARANTY AGREEMENT, dated as of
                    , 201     (this “Guaranty”) is given by 

Each of the Persons identified as a “Guarantor” on the signature pages hereto and from time to time joined as a Guarantor
hereunder (the “Guarantors”); in favor of: 
 (i) WELLS FARGO BANK, NATIONAL ASSOCIATION, in its capacity as
administrative agent (in such capacity, the “Administrative Agent”) for the Lenders under the Credit Agreement dated as of October     , 2011 (as amended, modified, supplemented and extended from time to time,
the “Credit Agreement”) among Healthcare Realty Trust Incorporated, a Maryland corporation (the “Borrower”), the lenders identified therein (the “Lenders”) and the Administrative Agent; and
(ii) THE LENDERS. Capitalized terms used but not otherwise defined herein shall have the meanings provided in the Credit Agreement. 
 RECITALS: 
 WHEREAS, pursuant to the Credit Agreement, the Lenders have
agreed, subject to certain terms and conditions, to make available Loans and Letters of Credit to the Borrower; 
 WHEREAS, each
of the Guarantors is a direct or indirect wholly-owned subsidiary or Specified Affiliate of the Borrower; and 
 WHEREAS, in
connection with the Credit Agreement, the Lenders have required, among other things, each of the Guarantors to guarantee all of the Borrower’s obligations arising under the Credit Agreement and the other Credit Documents referred to therein;

 NOW, THEREFORE, for and in consideration of the execution and delivery by the Lenders of the Credit Agreement, and other good
and valuable consideration, receipt whereof is hereby acknowledged, each Guarantor hereby agrees as follows: 
 1. Guarantee
of Payment. The Guarantors hereby irrevocably and unconditionally guarantee, as primary obligors and not merely as surety on a joint and several basis, to the Administrative Agent and the Lenders the prompt payment, when due, by acceleration or
otherwise, of the Indebtedness. For the purposes hereof, “Indebtedness” shall mean, without duplication, all Obligations of the Borrower (including interest accruing after an event of bankruptcy or insolvency, regardless of whether
such interest is allowed as a claim under the Bankruptcy Code) to the Lenders and the Administrative Agent, whenever arising, under the Credit Agreement, the Notes or the other Credit Documents. The guaranty of the Guarantors as set forth in this
section is a guaranty of payment and not of collection. 

 Notwithstanding any provision to the contrary contained herein or in any other of the Credit
Documents, the obligations of each Guarantor hereunder shall be limited to an aggregate amount equal to the largest amount that would not render its obligations hereunder subject to avoidance under Section 548 of the United States Bankruptcy
Code or any comparable provisions of any applicable state law. 
 2. Release of Collateral, Parties Liable, etc. Each of
the Guarantors agrees that the whole or any part of the security now or hereafter held for the Indebtedness may be exchanged, compromised, released or surrendered from time to time; that neither the Administrative Agent nor the Lenders shall have
any obligation to protect, perfect, secure or insure any Liens now or hereafter held for the Indebtedness or the properties subject thereto; that the time or place of payment of the Indebtedness may be changed or extended, in whole or in part, to a
time certain or otherwise, and may be renewed or accelerated, in whole or in part; that the Borrower may be granted indulgences generally; that any provisions of the Credit Documents or any other documents executed in connection with this
transaction, may be modified, amended or waived; that any party liable for the payment of the Indebtedness may be granted indulgences or released; and that any deposit balance for the credit of the Borrower or any other party liable for the payment
of the Indebtedness or liable upon any security therefor may be released, in whole or in part, at, before and/or after the stated, extended or accelerated maturity of the Indebtedness, all without notice to or further assent by the Guarantors, who
shall remain bound thereon, notwithstanding any such exchange, compromise, surrender, extension, renewal, acceleration, modification, indulgence or release. 
 3. Waiver of Rights. Each of the Guarantors expressly waives: (a) notice of acceptance of this Guaranty by the Administrative Agent and the Lenders and of all extensions of credit to the
Borrower by the Administrative Agent or any Lender; (b) presentment and demand for payment of any of the Indebtedness; (c) protest and notice of dishonor or of default to such Guarantor or to any other party with respect to the
Indebtedness or with respect to any security therefor; (d) notice of the Administrative Agent or any Lender obtaining, amending, substituting for, releasing, waiving or modifying the Indebtedness, any security interest, Liens, or the
encumbrances now or hereafter securing the Indebtedness, or the Administrative Agent’s or any Lender’s subordinating, compromising, discharging or releasing such security interests, Liens or encumbrances; (e) all other notices to
which such Guarantor might otherwise be entitled; (f) demand for payment under this Guaranty; and (g) any right to assert against the Administrative Agent or any Lender, as a defense, counterclaim, set-off, or cross-claim any defense
(legal or equitable), set-off, counterclaim or claim which such Guarantor may now or hereafter have against the Administrative Agent or any Lender or the Borrower, but such waiver shall not prevent such Guarantor from asserting against the
Administrative Agent or any Lender in a separate action, any claim, action, cause of action, or demand that such Guarantor might have, whether or not arising out of this Guaranty. 

 4. Primary Liability of Guarantors. Each of the Guarantors agrees that this Guaranty
may be enforced by the Administrative Agent and the Lenders without the necessity at any time of resorting to or exhausting any other security or collateral and without the necessity at any time of having recourse to the Notes or any collateral now
or hereafter securing the Indebtedness or otherwise, and each of the Guarantors hereby waives the right to require the Administrative Agent and the Lenders to proceed against the Borrower or any other person (including a co-guarantor) or to require
the Administrative Agent and the Lenders to pursue any other remedy or enforce any other right. In addition, each of the Guarantors hereby waives and renounces any and all rights it has or may have for subrogation, indemnity, reimbursement or
contribution against the Borrower for amounts paid under this Guaranty. This waiver is expressly intended to prevent the existence of any claim in respect of such subrogation, indemnity, reimbursement or contribution by a Guarantor against the
estate of the Borrower within the meaning of Section 101 of the United States Bankruptcy Code, and to prevent such Guarantor from being deemed a “creditor” of the Borrower in respect of such subrogation, indemnity, reimbursement or
contribution within the meaning of Section 547(b) of the United States Bankruptcy Code in the event of a subsequent case involving the Borrower. Each of the Guarantors further agrees that nothing contained herein shall prevent the
Administrative Agent or the Lenders from suing on the Notes or foreclosing its security interest in or Lien on any collateral now or hereafter securing the Indebtedness or from exercising any other rights available to the Administrative Agent or the
Lenders under the Notes, or any other instrument of security if neither the Borrower nor the Guarantors timely perform the obligations of the Borrower thereunder, and the exercise of any of the aforesaid rights and the completion of any foreclosure
proceedings shall not constitute a discharge of any Guarantor’s obligations hereunder; it being the purpose and intent of each of the Guarantors that such Guarantor’s obligations hereunder shall be absolute, independent and unconditional
under any and all circumstances. Neither the Guarantors’ obligations under this Guaranty nor any remedy for the enforcement thereof shall be impaired, modified, changed or released in any manner whatsoever by an impairment, modification,
change, release or limitation of the liability of the Borrower, by reason of the Borrower’s bankruptcy or insolvency or by reason of the invalidity or unenforceability of all or any portion of the Indebtedness. Each of the Guarantors
acknowledges that the term “Indebtedness” as used herein includes any payments made by the Borrower to the Administrative Agent or any Lender and subsequently recovered by the Borrower or a trustee for the Borrower pursuant to the
Borrower’s bankruptcy or insolvency and that the guaranty of each of the Guarantors hereunder shall be reinstated to the extent of such recovery. 
 5. Attorneys’ Fees and Costs of Collection. If at any time or times after the occurrence of an Event of Default the Administrative Agent or the Lenders employ counsel to pursue collection, to
intervene, to sue for enforcement of the terms hereof or of the Notes, or to file a petition, complaint, answer, motion or other pleading in any suit or proceeding relating to 

 
this Guaranty or the Notes, then in such event, all of the reasonable attorneys’ fees relating thereto shall be an additional liability of the Guarantors to the Administrative Agent and the
Lenders hereunder, payable on demand. 
 6. Security Interests and Setoff. As security for such Guarantor’s
obligations hereunder, each Guarantor agrees that in the event such Guarantor fails to pay its obligations hereunder when due and payable under this Guaranty, (a) any of such Guarantor’s assets of any kind, nature or description
(including, without limitation, deposit accounts) in the possession, control or custody of the Administrative Agent or any Lender may, without prior notice (but promptly confirmed in writing by the Administrative Agent or such Lender, as applicable,
to such Guarantor, provided that failure to provide such written confirmation will not affect the liabilities of such Guarantor hereunder) to such Guarantor, be reduced to cash or the like and applied by the Administrative Agent or such
Lender in reduction or payment of such Guarantor’s obligations hereunder; and (b) the Administrative Agent and each Lender shall have the right, immediately and without further action by them, to set off pro tanto against the
Indebtedness all money owed by the Administrative Agent or such Lender in any capacity to such Guarantor, whether or not due, and the Administrative Agent or such Lender shall be deemed to have made a charge against any such money immediately upon
the occurrence of such obligation becoming due even though such charge is made or entered on the books of the Administrative Agent or such Lender subsequent thereto; provided, however, that neither the Administrative Agent or the
Lender shall exercise the rights under this Section 6 without the prior written consent of the Required Lenders exercised in their sole discretion. 
 7. Term of Guarantee; Warranties. This Guaranty shall continue in full force and effect until the Indebtedness is fully and indefeasibly paid, performed and discharged and all Commitments under the
Credit Agreement shall have been terminated. This Guaranty covers the Indebtedness whether presently outstanding or arising subsequent to the date hereof including all amounts advanced by the Administrative Agent or any Lender in stages or
installments. Each Guarantor warrants and represents to the Administrative Agent (i) that such Guarantor is a corporation duly incorporated, validly existing and in good standing under the laws of its jurisdiction of incorporation,
(ii) that such Guarantor has all corporate powers and all material governmental licenses, authorizations, consents and approvals required to carry on its business as now conducted, (iii) that the execution and delivery by such Guarantor of
this Guaranty and the other Credit Documents to which it is a party and the performance by such Guarantor of its obligations hereunder and thereunder are within the corporate power of such Guarantor, have been duly authorized by all necessary
corporate action, require no action by or in respect of, or filing with, any governmental body, agency or official (except for any such action or filing that has been taken and is in full force and effect) and do not contravene, or constitute a
default under, any provision of applicable law or regulation or of the certificate of incorporation or bylaws (or other constitutional documents) of such Guarantor or of any material agreement, judgment, injunction, order, decree, or other material
instrument binding upon such Guarantor or result in the creation or imposition (other than pursuant to the Credit Documents) of any Lien on 

 
any asset of such Guarantor and (iv) that this Guaranty and the other Credit Documents to which such Guarantor is a party constitute valid and binding agreements of such Guarantor and, when
executed and delivered will constitute valid and binding obligations of such Guarantor enforceable in accordance with their terms. 
 8. Further Representations and Warranties. Each Guarantor agrees that the Administrative Agent and the Lenders will have no obligation to investigate the financial condition or affairs of the
Borrower for the benefit of such Guarantor nor to advise such Guarantor of any fact respecting, or any change in, the financial condition or affairs of the Borrower which might come to the knowledge of the Administrative Agent or any Lender at any
time, whether or not the Administrative Agent or any Lender knows or believes or has reason to know or believe that any such fact or change is unknown to such Guarantor or might (or does) materially increase the risk of such Guarantor as guarantor
or might (or would) affect the willingness of such Guarantor to continue as guarantor with respect to the Indebtedness. 
 9.
Additional Liability of Guarantors. If any Guarantor is or becomes liable for any indebtedness owing by the Borrower to the Administrative Agent or any Lender by endorsement or otherwise other than under this Guaranty, such liability shall
not be in any manner impaired or reduced hereby but shall have all and the same force and effect it would have had if this Guaranty had not existed and such Guarantor’s liability hereunder shall not be in any manner impaired or reduced thereby.

 10. Cumulative Rights. All rights of the Administrative Agent and the Lenders hereunder or otherwise arising under any
documents executed in connection with or as security for the Indebtedness are separate and cumulative and may be pursued separately, successively or concurrently, or not pursued, without affecting or limiting any other right of the Administrative
Agent or any Lender and without affecting or impairing the liability of the Guarantors. 
 11. Usury. Notwithstanding any
other provisions herein contained, no provision of this Guaranty shall require or permit the collection from any Guarantor of interest in excess of the maximum rate or amount that such Guarantor may be required or permitted to pay pursuant to any
applicable law. In the event any such interest is collected, it shall be applied in reduction of the Guarantor’s obligations hereunder, and the remainder of such excess collected shall be returned to the Guarantors once such obligations have
been fully satisfied. 
 12. The Administrative Agent. In acting under or by virtue of this Guaranty, the Administrative
Agent shall be entitled to all the rights, authority, privileges and immunities provided in Article VIII of the Credit Agreement, all of which provisions are incorporated by reference herein with the same force and effect as if set forth
herein. Each of the Guarantors hereby releases the Administrative Agent from any liability for any act or omission relating to this Guaranty, except such as may result from the Administrative Agent’s gross negligence or willful misconduct.

 13. Successors and Assigns. This Guaranty shall be binding on and enforceable against
each Guarantor and its successors and assigns. This Guaranty is intended for and shall inure to the benefit of the Administrative Agent and each Lender and each and every person who shall from time to time be or become the owner or holder of any of
the Indebtedness, and each and every reference herein to “Administrative Agent” or “Lender” shall include and refer to each and every successor or assignee of the Administrative Agent or any Lender at any time holding or owning
any part of or interest in any part of the Indebtedness. This Guaranty shall be transferable and negotiable with the same force and effect, and to the same extent, that the Indebtedness is transferable and negotiable, it being understood and
stipulated that upon assignment or transfer by the Administrative Agent or any Lender of any of the Indebtedness the legal holder or owner of the Indebtedness (or a part thereof or interest therein thus transferred or assigned by the Administrative
Agent or any Lender) shall (except as otherwise stipulated by the Administrative Agent or any such Lender in its assignment) have and may exercise all of the rights granted to the Administrative Agent or such Lender under this Guaranty to the extent
of that part of or interest in the Indebtedness thus assigned or transferred to said person. Each Guarantor expressly waives notice of transfer or assignment of the Indebtedness, or any part thereof, or of the rights of the Administrative Agent or
any Lender hereunder. Failure to give notice will not affect the liabilities of the Guarantors hereunder. 
 14. Application
of Payments. The Administrative Agent and each Lender shall apply any payments received pursuant to this Guaranty as set forth in Section 7.02 of the Credit Agreement. 

15. Modifications. This Guaranty and the provisions hereof may be changed, discharged or terminated only by an instrument in
writing signed by each of the Guarantors affected thereby and the Administrative Agent. 
 16. Discharge and Release. In
the event that (i) any Guarantor is sold as contemplated by Section 6.08(b) of the Credit Agreement, (ii) this Guaranty or any portion hereof is released as contemplated by Section 9.01(a)(vi) of the Credit Agreement or
(iii) the Indebtedness shall have been paid in full and the obligations of the Lenders to extend credit to the Borrower under the Credit Agreement shall have terminated, the Administrative Agent, on behalf of the Lenders, shall discharge and
release the relevant Guarantor(s) from all of its obligations under this Guaranty. Upon any such release and discharge, the Administrative Agent, on behalf of the Lenders, will execute and deliver to the relevant Guarantor(s) such documents as such
Guarantor(s) shall reasonably request to evidence such discharge and release. 
 17. Notices. All communications provided
for herein shall be made as set forth in Section 9.02 of the Credit Agreement. 

 18. Severability. If any provision of this Guaranty is held to be illegal, invalid or
unenforceable, (a) the legality, validity and enforceability of the remaining provisions of this Guaranty shall not be affected or impaired thereby and (b) the parties shall endeavor in good faith negotiations to replace the illegal,
invalid or unenforceable provisions with valid provisions the economic effect of which comes as close as possible to that of the illegal, invalid or unenforceable provisions. The invalidity of a provision in a particular jurisdiction shall not
invalidate or render unenforceable such provision in any other jurisdiction. 
 19. Applicable Law; Consent to Jurisdiction
and Venue; Waiver of Jury Trial. 
 (a) GOVERNING LAW. THIS GUARANTY SHALL BE GOVERNED BY, AND CONSTRUED IN
ACCORDANCE WITH, THE LAW OF THE STATE OF NEW YORK. 
 (b) SUBMISSION TO JURISDICTION. EACH OF THE UNDERSIGNED GUARANTORS
IRREVOCABLY AND UNCONDITIONALLY AGREES THAT IT WILL NOT COMMENCE ANY ACTION, LITIGATION OR PROCEEDING OF ANY KIND OR DESCRIPTION, WHETHER IN LAW OR EQUITY, WHETHER IN CONTRACT OR IN TORT OR OTHERWISE, AGAINST THE ADMINISTRATIVE AGENT, ANY LENDER OR
ANY RELATED PARTY OF THE FOREGOING IN ANY WAY RELATING TO THIS GUARANTY OR ANY OTHER CREDIT DOCUMENT OR THE TRANSACTIONS RELATING HERETO OR THERETO, IN ANY FORUM OTHER THAN THE COURTS OF THE STATE OF NEW YORK SITTING IN NEW YORK COUNTY, AND OF THE
UNITED STATES DISTRICT COURT OF THE SOUTHERN DISTRICT OF NEW YORK, AND ANY APPELLATE COURT FROM ANY THEREOF, AND EACH OF THE PARTIES HERETO IRREVOCABLY AND UNCONDITIONALLY SUBMITS TO THE JURISDICTION OF SUCH COURTS AND AGREES THAT ALL CLAIMS IN
RESPECT OF ANY SUCH ACTION, LITIGATION OR PROCEEDING MAY BE HEARD AND DETERMINED IN SUCH NEW YORK STATE COURT OR, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, IN SUCH FEDERAL COURT. EACH OF THE PARTIES HERETO AGREES THAT A FINAL JUDGMENT IN
ANY SUCH ACTION, LITIGATION OR PROCEEDING SHALL BE CONCLUSIVE AND MAY BE ENFORCED IN OTHER JURISDICTIONS BY SUIT ON THE JUDGMENT OR IN ANY OTHER MANNER PROVIDED BY LAW. NOTHING IN THIS GUARANTY OR IN ANY OTHER CREDIT DOCUMENT SHALL AFFECT ANY RIGHT
THAT THE ADMINISTRATIVE AGENT OR ANY LENDER MAY OTHERWISE HAVE TO BRING ANY ACTION OR PROCEEDING RELATING TO THIS GUARANTY OR ANY OTHER CREDIT DOCUMENT AGAINST ANY OF THE UNDERSIGNED GUARANTORS OR THEIR PROPERTIES IN THE COURTS OF ANY JURISDICTION.
THE CHOICE OF FORUM SET FORTH IN THIS SECTION SHALL NOT BE DEEMED TO PRECLUDE THE BRINGING OF ANY ACTION BY THE ADMINISTRATIVE AGENT OR ANY LENDER OR THE ENFORCEMENT BY THE ADMINISTRATIVE AGENT OR ANY LENDER OF ANY JUDGMENT OBTAINED IN SUCH FORUM IN
ANY OTHER APPROPRIATE JURISDICTION. 
 (c) WAIVER OF VENUE. EACH OF THE UNDERSIGNED GUARANTORS IRREVOCABLY AND
UNCONDITIONALLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY OBJECTION THAT IT MAY NOW OR HEREAFTER HAVE TO THE LAYING OF VENUE OF ANY ACTION OR PROCEEDING 

 
ARISING OUT OF OR RELATING TO THIS GUARANTY OR ANY OTHER CREDIT DOCUMENT IN ANY COURT REFERRED TO IN PARAGRAPH (B) OF THIS SECTION. EACH OF THE PARTIES HERETO HEREBY IRREVOCABLY WAIVES, TO
THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, THE DEFENSE OF AN INCONVENIENT FORUM TO THE MAINTENANCE OF SUCH ACTION OR PROCEEDING IN ANY SUCH COURT. 
 (d) SERVICE OF PROCESS. EACH OF THE UNDERSIGNED GUARANTORS IRREVOCABLY CONSENTS TO SERVICE OF PROCESS IN THE MANNER PROVIDED FOR NOTICES IN SECTION 17 ABOVE. NOTHING IN THIS GUARANTY
WILL AFFECT THE RIGHT OF ANY PARTY HERETO TO SERVE PROCESS IN ANY OTHER MANNER PERMITTED BY APPLICABLE LAW. 
 (e) WAIVER OF
JURY TRIAL. EACH OF THE UNDERSIGNED GUARANTORS HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY RIGHT IT MAY HAVE TO A TRIAL BY JURY IN ANY LEGAL PROCEEDING DIRECTLY OR INDIRECTLY ARISING OUT OF OR RELATING TO
THIS GUARANTY OR ANY OTHER CREDIT DOCUMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY OR THEREBY (WHETHER BASED ON CONTRACT, TORT OR ANY OTHER THEORY). EACH OF THE UNDERSIGNED GUARANTORS (A) CERTIFIES THAT NO REPRESENTATIVE, AGENT OR ATTORNEY OF
ANY OTHER PERSON HAS REPRESENTED, EXPRESSLY OR OTHERWISE, THAT SUCH OTHER PERSON WOULD NOT, IN THE EVENT OF LITIGATION, SEEK TO ENFORCE THE FOREGOING WAIVER AND (B) ACKNOWLEDGES THAT IT AND THE OTHER PARTIES HERETO HAVE BEEN INDUCED TO ENTER
INTO THIS CREDIT AGREEMENT AND THE OTHER CREDIT DOCUMENTS BY, AMONG OTHER THINGS, THE MUTUAL WAIVERS AND CERTIFICATIONS IN THIS SECTION. 
 20. Headings. The headings in this instrument are for convenience of reference only and shall not limit or otherwise affect the meaning of any provisions hereof. 

21. Counterparts. This Guaranty may be executed in any number of counterparts and by different parties hereto on separate
counterparts, each constituting an original, but all together one and the same instrument. 
 22. Rights of the Required
Lenders. All rights of the Administrative Agent hereunder, if not exercised by the Administrative Agent, may be exercised by the Required Lenders. 
 23. Entire Agreement. THIS GUARANTY AND THE OTHER CREDIT DOCUMENTS REPRESENT THE FINAL AGREEMENT AMONG THE PARTIES AND MAY NOT BE CONTRADICTED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS, OR SUBSEQUENT
ORAL AGREEMENTS OF THE PARTIES. THERE ARE NO UNWRITTEN ORAL AGREEMENTS AMONG THE PARTIES. 

 IN WITNESS WHEREOF, each of the Guarantors has caused this Guaranty to be duly executed as
of the date first above written. 
  

			
	 [GUARANTOR],
 a                     
                        , as Guarantor

		
	By:	 	  

	Name:
	Title:

 Exhibit 9.07 
 FORM OF ASSIGNMENT AND ASSUMPTION 
 This Assignment and
Assumption (this “Assignment and Assumption”) is dated as of the Effective Date set forth below and is entered into by and between [the][each] Assignor identified in item 1 below ([the][each, an] “Assignor”) and
[the][each] Assignee identified in item 2 below ([the][each, an] “Assignee”). [It is understood and agreed that the rights and obligations of [the Assignors][the Assignees] hereunder are several and not joint.] Capitalized terms
used but not defined herein shall have the meanings given to them in the Credit Agreement identified below (the “Credit Agreement”), receipt of a copy of which is hereby acknowledged by the Assignee. The Standard Terms and
Conditions set forth in Annex 1 attached hereto are hereby agreed to and incorporated herein by reference and made a part of this Assignment and Assumption as if set forth herein in full. 

For an agreed consideration, [the][each] Assignor hereby irrevocably sells and assigns to [the Assignee][the respective Assignees], and
[the][each] Assignee hereby irrevocably purchases and assumes from [the Assignor][the respective Assignors], subject to and in accordance with the Standard Terms and Conditions and the Credit Agreement, as of the Effective Date inserted by the
Administrative Agent as contemplated below (i) all of [the Assignor’s][the respective Assignors’] rights and obligations in [its capacity as a Lender][their respective capacities as Lenders] under the Credit Agreement and any other
documents or instruments delivered pursuant thereto to the extent related to the amount and percentage interest identified below of all of such outstanding rights and obligations of [the Assignor][the respective Assignors] under the respective
facilities identified below (including, without limitation, the Letters of Credit and the Swing Line Loans included in such facilities) and (ii) to the extent permitted to be assigned under applicable law, all claims, suits, causes of action
and any other right of [the Assignor (in its capacity as a Lender)][the respective Assignors (in their respective capacities as Lenders)] against any Person, whether known or unknown, arising under or in connection with the Credit Agreement, any
other documents or instruments delivered pursuant thereto or the loan transactions governed thereby or in any way based on or related to any of the foregoing, including, but not limited to, contract claims, tort claims, malpractice claims, statutory
claims and all other claims at law or in equity related to the rights and obligations sold and assigned pursuant to clause (i) above (the rights and obligations sold and assigned by [the][any] Assignor to [the][any] Assignee pursuant to clauses
(i) and (ii) above being referred to herein collectively as [the][an] “Assigned Interest”). Each such sale and assignment is without recourse to [the][any] Assignor and, except as expressly provided in this Assignment and
Assumption, without representation or warranty by [the][any] Assignor. 

	1.	Assignor[s]:    _____________________________________________________ 

	                          
      _____________________________________________________	

  

	2.	Assignee[s]:    _____________________________________________________ 

	                          
      _____________________________________________________	

 [for each Assignee, indicate
[Affiliate][Approved Fund] of [identify Lender]] 
  

	3.	Borrower(s):    _____________________________________________________ 

 

	4.	Administrative Agent: Wells Fargo Bank, National Association, as the Administrative Agent under the Credit Agreement 

 
  

	5.	Credit Agreement: Credit Agreement (as amended, modified, supplemented and extended from time to time, the “Credit Agreement”) dated as of
October ___, 2011 among Healthcare Realty Trust Incorporated, a Maryland corporation (the “Borrower”), the Lenders identified therein, the Lenders identified therein, and Wells Fargo Bank, National Association, as Administrative
Agent, L/C Issuer, and Swing Line Lender 

  
  

	6.	Assigned Interest[s]: 

											
	 Assignor[s]
	 	Assignee [s]	 	 Aggregate
 Amount of
 Revolving
Commitments/

Revolving Loans
 for all Lenders
	 	 Amount of
 Revolving
Commitments/
 Revolving

Loans Assigned
	 	 Percentage
 Assigned of
 Revolving
Commitments/

Revolving Loans
	 	 CUSIP

Number

						
		 		 	$            	 	$            	 	                             
   %	 	
						
		 		 	$            	 	$            	 	                             
   %	 	
						
		 		 	$            	 	$            	 	                             
   %	 	

  
 155

	[7.	Trade Date:                     ]

 Effective Date:
                    , 201     [TO BE INSERTED BY ADMINISTRATIVE AGENT AND WHICH SHALL BE THE EFFECTIVE DATE OF RECORDATION OF
TRANSFER IN THE REGISTER THEREFOR.] 
 The terms set forth in this Assignment and Assumption are hereby agreed to: 

 

	
	 ASSIGNOR

	[NAME OF ASSIGNOR]
	
	 By:

	  

	       Title:

	
	 ASSIGNEE

	[NAME OF ASSIGNEE]
	
	 By:

	  

	       Title:

 [Consented to and]2 Accepted: 
  

			
	 WELLS FARGO BANK, NATIONAL ASSOCIATION, as Administrative Agent

	
	 By:  

	     Title:
	 	

 [Consented to:]3 

 

	2 	 To be added only if the consent of the Administrative Agent is required by the terms of the Credit Agreement. 

	3 	 To be added only if the consent of the Borrower and/or other parties (e.g. Swing Line Lender, L/C Issuer) is required by the terms of the Credit
Agreement. 

  
 156

			
	HEALTHCARE REALTY TRUST INCORPORATED
		
	 By:
	 	  

		 	 Title:

  
 157

 ANNEX 1 TO ASSIGNMENT AND ASSUMPTION 

STANDARD TERMS AND CONDITIONS FOR 
 ASSIGNMENT AND ASSUMPTION 
 1. Representations and Warranties. 

1.1 Assignor. [The][Each] Assignor (a) represents and warrants that (i) it is the legal and beneficial owner of
[the][[the relevant] Assigned Interest, (ii) [the][such] Assigned Interest is free and clear of any lien, encumbrance or other adverse claim and (iii) it has full power and authority, and has taken all action necessary, to execute and
deliver this Assignment and Assumption and to consummate the transactions contemplated hereby and (iv) it is [not] a Defaulting Lender; and (b) assumes no responsibility with respect to (i) any statements, warranties or
representations made in or in connection with the Credit Agreement or any other Credit Document, (ii) the execution, legality, validity, enforceability, genuineness, sufficiency or value of the Credit Documents or any collateral thereunder,
(iii) the financial condition of the Borrower, any of its Subsidiaries or Affiliates or any other Person obligated in respect of any Credit Document or (iv) the performance or observance by the Borrower, any of its Subsidiaries or
Affiliates or any other Person of any of their respective obligations under any Credit Document. 
 1.2. Assignee.
[The][Each] Assignee (a) represents and warrants that (i) it has full power and authority, and has taken all action necessary, to execute and deliver this Assignment and Assumption and to consummate the transactions contemplated hereby and
to become a Lender under the Credit Agreement, (ii) it meets all the requirements to be an Eligible Assignee as defined in the Credit Agreement (subject to such consents, if any, as may be required under such definition), (iii) from and
after the Effective Date, it shall be bound by the provisions of the Credit Agreement as a Lender thereunder and, to the extent of [the][the relevant] Assigned Interest, shall have the obligations of a Lender thereunder, (iv) it is
sophisticated with respect to decisions to acquire assets of the type represented by [the][such] Assigned Interest and either it, or the Person exercising discretion in making its decision to acquire [the][such] Assigned Interest, is experienced in
acquiring assets of such type, (v) it has received a copy of the Credit Agreement, and has received or has been accorded the opportunity to receive copies of the financial statements referenced in Section 5.19 thereof or of the most recent
financial statements delivered pursuant to Section 6.01(a) or Section 6.01(b) thereof, as applicable, and such other documents and information as it deems appropriate to make its 

  
 158

 
own credit analysis and decision to enter into this Assignment and Assumption and to purchase [the][such] Assigned Interest, (vi) it has, independently and without reliance upon the
Administrative Agent, the Assignor or any other Lender and based on such documents and information as it has deemed appropriate, made its own credit analysis and decision to enter into this Assignment and Assumption and to purchase [the][such]
Assigned Interest, and (vii) if it is a Foreign Lender, attached hereto is any documentation required to be delivered by it pursuant to the terms of the Credit Agreement, duly completed and executed by [the][such] Assignee; and (b) agrees
that (i) it will, independently and without reliance upon the Administrative Agent, [the][any] Assignor or any other Lender, and based on such documents and information as it shall deem appropriate at the time, continue to make its own credit
decisions in taking or not taking action under the Credit Documents, and (ii) it will perform in accordance with their terms all of the obligations which by the terms of the Credit Documents are required to be performed by it as a Lender.

 2. Payments. From and after the Effective Date, the Administrative Agent shall make all payments in respect of
[the][each] Assigned Interest (including payments of principal, interest, fees and other amounts) to [the][the relevant] Assignee whether such amounts have accrued prior to, on or after the Effective Date specified for this Assignment and
Assumption. The Assignor[s] and the Assignee[s] shall make all appropriate adjustments in payments by the Administrative Agent for periods prior to such Effective Date or with respect to the making of this assignment directly between themselves.

 3. General Provisions. This Assignment and Assumption shall be binding upon, and inure to the benefit of, the parties
hereto and their respective successors and assigns. This Assignment and Assumption may be executed in any number of counterparts, which together shall constitute one instrument. Delivery of an executed counterpart of a signature page of this
Assignment and Assumption by telecopy shall be effective as delivery of a manually executed counterpart of this Assignment and Assumption. This Assignment and Assumption shall be governed by, and construed in accordance with, the law of the State of
New York. 

  
 159Contract No. HHSN266200600019C

 Exhibit 10.23 

 

			
	Argos Therapeutics, Inc.	 	Contract No. HHSN266200600019C

 Confidential Materials omitted and filed separately with the Securities and 

Exchange Commission. Asterisks denote omissions. 
 PART I - THE SCHEDULE 
 SECTION A - SOLICITATION/CONTRACT FORM 

 

													
	 	 	 1.     THIS CONTRACT IS A RATED
ORDER
	 	RATING	 	PAGE OF PAGES
	AWARD/CONTRACT	 	   UNDER DPAS (15 CFR 350)
	 	u	 	N/A	 	1	 	39
	 2.     CONTRACT
(Proc. Inst. blank) NO.
	 	 3.     EFFECTIVE DATE
	 	
4.     REQUISITION/PURCHASE REQUEST/PROJECT BO.

	  HHSN266200600019C
	 	09/30/2006	 	 	 		 		 		 	 
	 5.     ISSUED BY
CODE
	 	 	 	6. ADMINISTERED BY (If other than Item 6)         CODE	 	N/A	 	 
	  
  National Institutes of Health
  National Institutes of Allergy and
Infectious Diseases
  DEA, Contract Management Program

 6700-B Rockledge Dr., Room 3214, MSC 7612
  Bethesda, Maryland 20892-7612
	 		 		 	                  
  OMB Approval No. 2700-0042
	 	ADB NUMBER N01-AI-60019	 		 		 	 
	 	 RFP NIH-NIAID-06-19
  

 
  
	 		 		 		 	 

							
	
7.     NAME AND ADDRESS OF CONTRACTOR (No. street, county, state and Zip Code)
	  	8. DELIVERY	  	 
	 	  		  	 ̈ FOB ORIGIN	  	  x OTHER (see below)
	 Argos Therapeutics, Inc.

4233 Technology Drive
 Durham, North Carolina 27704
	  		  	FOB Destination
	  	
9.     DISCOUNT FOR PROMPT PAYMENT

	  	N/A	  	 
	 		 	 
	 	  		  	10. SUBMIT INVOICES	  	ITEM
	 	  		  	OMB Approval 2700-0042
	CODE	  	FACILITY CODE	  	ADDRESS SHOWN IN	  	ARTICLE G.3

															
	 11.   SHIP TO MARK
FOR
	 	CODE	 	N/A	 	 12.   PAYMENT WILL BE MADE BY
	 	CODE	 	N/A	 	 
	 		 				 
	  SECTION D and SECTION F
	 		 	See ARTICLE G.3.	 		 		 		 	 
	 13.   AUTHORITY
FOR USING OTHER FULL AND OPEN COMPETITION
	 	
14.   ACCOUNTING AND APPROPRIATION DATA

	   ̈ 10 U.S.C. 2304(c)
(     )
	 	 ̈ 41 U.S.C. 253(c) (   )	 	EIN 1-56-211007-A1        SOCC
25.55        CAN     6-8467038     $[**]
	  15A. ITEM NO.
	 	        15B. SUPPLIES/SERVICES	 	15C. QUANTITY	 	15D. UNIT	 	15E. UNIT PRICE	 	15F. AMOUNT
	 Title: HIV Vaccine Design
and Development Teams (HVDDT)
 Period: September 30, 2006 through September 29, 2011

Principal Investigator: Charles Nicolette, Ph.D.
	 	 	 	 	 	FY 2006	 	 	 	[**]
	 	 	 	 	 	FY 2007	 	 	 	[**]
	 	 	 	 	 	FY 2008	 	 	 	[**]
	 	 	 	 	 	FY 2009	 	 	 	[**]
	 	 	 	 	 	FY 2010	 	 	 	[**]
	          
                                         
                                         
                                15G. TOTAL AMOUNT OF
CONTRACT                    u	 	 	 	$ 21,325,093

															
	16. TABLE OF
CONTENTS
	(ü)	 	SEC.	 	DESCRIPTION	 	PAGE(S)	 	(ü)	 	SEC.	 	DESCRIPTION	 	PAGE(S)
	PART I – THE SCHEDULE	 	PART II – CONTRACT CLAUSES
	x	 	A	 	SOLICITATION/CONTRACT FORM	 	1	 	x	 	I	 	CONTRACT CLAUSES	 	30
	x	 	B	 	SUPPLIES OR SERVICES AND PRICE/COST	 	4	 	    PART III – LIST OF DOCUMENTS, EXHIBITS AND OTHER
ATTACH.
	x	 	C	 	DESCRIPTION/SPECS/WORK STATEMENT	 	9	 	x	 	J	 	LIST OF ATTACHMENTS	 	38
	x	 	D	 	PACKAGING AND MARKING	 	14	 	PART IV – REPRESENTATIONS AND INSTRUCTIONS
	x	 	E	 	INSPECTION AND ACCEPTANCE	 	14	 	x	 	K	 	REPRESENTATIONS, CERTIFICATIONS	 	38
	x	 	F	 	DELIVERIES OR PERFORMANCE	 	14	 		 		 	AND OTHER STATEMENTS OF OFFERORS	 	 
	x	 	G	 	CONTRACT ADMINISTRATION DATA	 	16	 	 ̈	 	L	 	INSTRS., CONDS., AND NOTICES TO OFFERORS	 	 
	x	 	H	 	SPECIAL CONTRACT REQUIREMENTS	 	19	 	 ̈	 	M	 	EVALUATION FACTORS FOR AWARD	 	 

							
	CONTRACTING
OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE
	17.     x
CONTRACTOR’S NEGOTIATED AGREEMENT (Contractor is required to sign this document and return 2 copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified
above and on any continuation sheets for the consideration stated herein. The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award/contract, (b) the
solicitation, if any, and (c) such provisions, representations, certifications, and specifications as are attached or incorporated by reference herein. (Attachments are listed herein.)	  	18.      ̈
AWARD (Contractor is not required to sign this document) Your offer on solicitation Number
                                         
                           , including the additions or changes made by you which additions or changes are set
forth above, is hereby accepted as to the items listed above and on any continuation sheets. This award consummates the contract, which consists of the following documents: (a) the Government’s solicitation and your offer, and (b) this
award/contract. No further contractual document is necessary.
	19A.     NAME AND TITLE OF SIGNER (Type or
print)	  	20A.     NAME OF CONTRACTING OFFICER
	Jeff Abbey, Vice President Business Devel.	  	Eileen Webster-Cissel
	 	  		  	Contracting Officer, Office of Acquisitions, NIAID
	19B.    NAME OF CONTRACTOR	  	 19C. DATE
 SIGNED
	  	20B.    UNITED STATES OF AMERICA	  	20C. DATE SIGNED
	 	 	 	 
	            /s/ Jeff
Abbey                                       
                 	  	9/28/06	  	BY     /s/ Eileen Webster Cissel                	  	9/28/06
	            (Signature of
person authorized to sign)	  	 	  	                    (Signature of
Contracting Officer)	  	 

					
	NSN 7540-01-152-8069	 	26-107	 	STANDARD FORM 26 (REV 485)
	PREVIOUS EDITION UNUSUABLE	 	Computer Generated	 	Prescribed by GSA
		 		 	FAR (48 CFR) 53.214(a)

  
 1 

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

 DETAILED TABLE OF CONTRACT CONTENTS 

 

							
	 PART I - THE SCHEDULE
	  	 	1	  
	 SECTION A - SOLICITATION/CONTRACT FORM
	  	 	1	  
	 SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS
	  	 	4	  
	 ARTICLE B.1
	  	BRIEF DESCRIPTION OF SUPPLIES OR SERVICES	  	 	4	  
	 ARTICLE B.2
	  	ESTIMATED COST AND FIXED FEE	  	 	4	  
	 ARTICLE B.3
	  	PROVISIONS APPLICABLE TO DIRECT COSTS	  	 	5	  
	 ARTICLE B.4
	  	ADVANCE UNDERSTANDINGS	  	 	6	  
	 SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT
	  	 	9	  
	 ARTICLE C.1
	  	STATEMENT OF WORK	  	 	9	  
	 ARTICLE C.2
	  	REPORTING REQUIREMENTS	  	 	9	  
	 ARTICLE C.3
	  	INVENTION REPORTING REQUIREMENT	  	 	13	  
	 SECTION D - PACKAGING, MARKING AND SHIPPING
	  	 	14	  
	 SECTION E - INSPECTION AND ACCEPTANCE
	  	 	14	  
	 SECTION F - DELIVERIES OR PERFORMANCE
	  	 	14	  
	 ARTICLE F.1
	  	DELIVERIES	  	 	14	  
	 ARTICLE F.2
	  	CLAUSES INCORPORATED BY REFERENCE, FAR 52.252-2 (FEBRUARY 1998)	  	 	15	  
	 SECTION G - CONTRACT ADMINISTRATION DATA
	  	 	16	  
	 ARTICLE G.1
	  	PROJECT OFFICER	  	 	16	  
	 ARTICLE G.2
	  	KEY PERSONNEL	  	 	16	  
	 ARTICLE G.3
	  	INVOICE SUBMISSION/CONTRACT FINANCING REQUEST AND CONTRACT FINANCIAL REPORT	  	 	17	  
	 ARTICLE G.4
	  	INDIRECT COST RATES	  	 	18	  
	 ARTICLE G.5
	  	GOVERNMENT PROPERTY	  	 	18	  
	 ARTICLE G.6
	  	POST AWARD EVALUATION OF CONTRACTOR PERFORMANCE	  	 	19	  
	 SECTION H - SPECIAL CONTRACT REQUIREMENTS
	  	 	19	  
	 ARTICLE H.1.
	  	HUMAN SUBJECTS	  	 	19	  
	 ARTICLE H.2.
	  	REQUIRED EDUCATION IN THE PROTECTION OF HUMAN RESEARCH PARTICIPANTS	  	 	20	  
	 ARTICLE H.3.
	  	DATA AND SAFETY MONITORING IN CLINICAL TRIALS	  	 	20	  
	 ARTICLE H.4.
	  	HUMAN MATERIALS (ASSURANCE OF OHRP COMPLIANCE)	  	 	21	  
	 ARTICLE H.5.
	  	RESEARCH INVOLVING RECOMBINANT DNA MOLECULES (Including Human Gene Transfer Research)	  	 	21	  
	 ARTICLE H.6.
	  	CONTINUED BAN ON FUNDING OF HUMAN EMBRYO RESEARCH	  	 	22	  
	 ARTICLE H.7.
	  	NEEDLE EXCHANGE	  	 	22	  
	 ARTICLE H.8.
	  	PRIVACY ACT	  	 	23	  
	 ARTICLE H.9.
	  	OMB CLEARANCE	  	 	23	  
	 ARTICLE H.10.
	  	SALARY RATE LIMITATION LEGISLATION PROVISIONS	  	 	23	  
	 ARTICLE H.11.
	  	INFORMATION SECURITY	  	 	24	  
	 ARTICLE H.12.
	  	ELECTRONIC AND INFORMATION TECHNOLOGY STANDARDS	  	 	27	  
	 ARTICLE H.13.
	  	ENERGY STAR REQUIREMENTS	  	 	27	  

  
 2 

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

							
	 ARTICLE H.14.
	  	CONFIDENTIALITY OF INFORMATION	  	 	27	  
	 ARTICLE H.15.
	  	PUBLICATION AND PUBLICITY	  	 	28	  
	 ARTICLE H.16.
	  	PRESS RELEASES	  	 	28	  
	 ARTICLE H.17.
	  	REPORTING MATTERS INVOLVING FRAUD, WASTE AND ABUSE	  	 	28	  
	 ARTICLE H.18.
	  	ANTI -LOBBYING	  	 	28	  
	 ARTICLE H.19.
	  	SHARING RESEARCH DATA	  	 	29	  
	 ARTICLE H.20.
	  	HOTEL AND MOTEL FIRE SAFETY ACT OF 1990 (P.L	  	 	29	  
	 ARTICLE H.21.
	  	NIH POLICY ON ENHANCING PUBLIC ACCESS TO ARCHIVED PUBLICATIONS RESULTING FROM NIH-FUNDED RESEARCH	  	 	29	  
		
	 PART II - CONTRACT CLAUSES
	  	 	30	  
	 SECTION I - CONTRACT CLAUSES
	  	 	30	  
	 ARTICLE I.1.
	  	GENERAL CLAUSES FOR A COST-REIMBURSEMENT RESEARCH AND DEVELOPMENT CONTRACT - FAR 52.252-2, CLAUSES INCORPORATED BY REFERENCE (FEBRUARY 1998)	  	 	30	  
	 ARTICLE I.2.
	  	AUTHORIZED SUBSTITUTIONS OF CLAUSES	  	 	33	  
	 ARTICLE I.3.
	  	ADDITIONAL CONTRACT CLAUSES	  	 	33	  
	 ARTICLE I.4.
	  	ADDITIONAL FAR CONTRACT CLAUSES INCLUDED IN FULL TEXT	  	 	34	  
		
	 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS
	  	 	37	  
	 SECTION J - LIST OF ATTACHMENTS
	  	 	37	  
		
	 PART IV - REPRESENTATION AND CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS
	  	 	38	  
	 SECTION K - REPRESENTATIONS AND CERTIFICATIONS
	  	 	38	  

  
 3 

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

 SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS 

ARTICLE B.1 BRIEF DESCRIPTION OF SUPPLIES OR SERVICES 
 The goal of this contract is to design, develop and clinically test an autologous HIV vaccine capable of eliciting therapeutic immune responses which is comprised of autologous monocyte-derived dendritic
cells modified to express selected autologous HIV proteins representing a multiplicity of patient specific quasispecies. 
 ARTICLE B.2
ESTIMATED COST AND FIXED FEE 
  

	a.	The estimated cost of this contract is $19,929,994. 

  

	b.	The fixed fee for this contract is $1,395,099. The fixed feel shall be subject to the withholding provisions of the clauses ALLOWABLE COST AND PAYMENT and FIXED FEE
referenced in the General Clause Listing in Part II, ARTICLE I.l, of this contract. The Contractor shall complete all work in accordance with the Statement of Work and the contract milestones set forth below. The distribution of the fixed fee shall
be paid in installments based on the Project Officer’s written certification regarding the completion of these milestones as follows: 

  

					
	  	 	MILESTONES	  	FIXED FEE
	1.	 	[**]	  	[**]
	2.	 	[**]	  	[**]
	3.	 	[**]	  	[**]
	4.	 	[**]	  	[**]
	5.	 	[**]	  	[**]
	6.	 	[**]	  	[**]
	7.	 	[**]	  	[**]
	8.	 	[**]	  	[**]
	9.	 	[**]	  	[**]
	10.	 	[**]	  	[**]
	11.	 	[**]	  	[**]
	12.	 	[**]	  	[**]
	13.	 	[**]	  	[**]
	14.	 	[**]	  	[**]
	15.	 	[**]	  	[**]
	16.	 	[**]	  	[**]
	17.	 	[**]	  	[**]
	  18.  	 	[**]	  	[**]

  
 4 

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

					
	  	  	MILESTONES	  	FIXED FEE
	19.	  	[**]	  	[**]
	  20.  	  	[**]	  	[**]

  

	c.	The Government’s obligation, represented by the sum of the estimated cost plus the fixed fee, is $21,325,093. 

 

	d.	Total funds currently available for payment and allotted to this contract are $[**], of which $[**] represents the estimated costs, and of which $[**] represents the
fixed fee. For further provisions on funding see the LIMITATION OF FUNDS clause referenced in Part II, ARTICLE 1.2., Authorized Substitutions of Clauses. 

  

	e.	It is estimated that the amount currently allotted will cover performance of the contract through September 29, 2007. 

 

	f.	The Contracting Officer may allot additional funds to the contract without the concurrence of the Contractor. Future increments to be allotted to this contract are
estimated as follows: 

  

							
	Period	  	Estimated Cost	  	Fixed Fee	  	Total CPFF
	 09/30/07-09/29/08
	  	[**]	  	[**]	  	[**]
	 091/30/08-09/29/09
	  	[**]	  	[**]	  	[**]
	 09/30/09-09/29/10
	  	[**]	  	[**]	  	[**]
	
09/30/10-09/29/11
	  	[**]	  	[**]	  	[**]

 ARTICLE B.3 PROVISIONS APPLICABLE TO DIRECT COSTS 

 

	a.	Items Unallowable Unless Otherwise Provided 

 Notwithstanding the clauses, ALLOWABLE COST AND PAYMENT and FIXED FEE, incorporated in this contract, unless authorized in writing by the Contracting Officer, the costs of the following items or
activities shall be unallowable as direct costs: 
  

	 	(1)	Acquisition, by purchase or lease, of any interest in real property; 

  

	 	(2)	Special rearrangement or alteration of facilities; 

  

	 	(3)	Purchase or lease of any item of general purpose office furniture or office equipment regardless of dollar value. (General purpose equipment is defined as any
items of personal property which are usable for purposes other than research, such as office equipment and furnishings, pocket calculators, etc.); 

  

	 	(4)	Travel to attend general scientific meetings; 

  

	 	(5)	Consultant costs; 

  

	 	(6)	Subcontracts; 

  

	 	(7)	Patient care costs; 

  

	 	(8)	Accountable Government property (defined as both real and personal property with an acquisition cost of $1,000 or more and a life expectancy of more than two years) and
“sensitive items” (defined and listed in the Contractor’s Guide for Control of Government Property), regardless of acquisition value. 

  
 5 

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

	b.	Light Refreshment and Meal Expenditures 

 Requests to use contract funds to provide light refreshments and/or meals to either federal or nonfederal employees must be submitted to the project officer, with a copy to the contracting officer, at
least six (6) weeks in advance of the event. The request shall contain the following information: (a) name, date, and location of the event at which the light refreshments and/or meals will be provided; (b) a brief description of the
purpose of the event; (c) a cost breakdown of the estimated light refreshment and/or meal costs; (d) the number of nonfederal and federal attendees receiving light refreshments and/or meals; and (e) if the event will be held somewhere
other than a government facility, provide an explanation of why the event is not being held at a government facility. Refer to NIH Manual Chapter 1160-1, Entertainment, for more information on NIH’s policy on the use of appropriated funds for
light refreshments and meals. 
  

	c.	Travel Costs 

  

	 	(1)	Domestic Travel 

  

	 	(a)	Total expenditures for domestic travel (transportation, lodging, subsistence, and incidental expenses) incurred in direct performance of this contract shall not exceed
$138,650 without the prior written approval of the Contracting Officer. 

  

	 	(b)	The Contractor shall invoice and be reimbursed for all travel costs in accordance with Federal Acquisition Regulations (FAR) 31.205-46. 

ARTICLE B.4 ADVANCE UNDERSTANDINGS 

Other provisions of this contract notwithstanding, approval of the following items within the limits set forth is hereby granted without further
authorization from the Contracting Officer. 
  

	a.	Fringe Benefits, Overhead, and G&A 

  

	  	The proposed rates of [**]% of direct salaries and wages for fringe benefits, [**]% of direct salaries and wages plus fringe benefits for Overhead and [**]% of total
direct costs excluding equipment and subcontract costs in excess of $25,000 per subcontract for G&A, are used for funding and billing purposes until such time that an indirect rate agreement is executed between Argos Therapeutics, Inc. and DFAS,
OAMP, NIH. Argos Therapeutics, Inc. will no longer be reimbursed indirect costs under the contract if it does not submit an adequate indirect cost proposal within the first 90 days of contract performance to DFAS, OAMP, NIH. Argos Therapeutics, Inc.
should immediately contact DFAS at 301-496-2444 to start the negotiation process. 

  

	b.	To negotiate a cost reimbursement type subcontract with [**] for an amount not to exceed $[**]. Award of the subcontract shall not proceed without the prior written
approval of the Contracting Officer upon review of the supporting documentation as required by the Subcontracts clause of the General Clauses incorporated in this contract. (After written approval of the subcontract by the Contracting Officer, a
copy of the signed, approved subcontract shall be provided to the Contracting Officer.) 

  
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	c.	To negotiate a cost reimbursement type subcontract with [**] for an amount not to exceed $[**] during the period September 30, 2006 through September 29,
2011. Award of the subcontract shall not proceed without the prior written approval of the Contracting Officer upon review of the supporting documentation as required by the Subcontracts clause of the General Clauses incorporated in this
contract. (After written approval of the subcontract by the Contracting Officer, a copy of the signed, approved subcontract shall be provided to the Contracting Officer.) 

 

	d.	To negotiate a cost reimbursement type subcontract with [**] for an amount not to exceed $[**] during the period September 30, 2006 through September 29,
2011. Award of the subcontract shall not proceed without the prior written approval of the Contracting Officer upon review of the supporting documentation as required by the Subcontracts clause of the General Clauses incorporated in this
contract. (After written approval of the subcontract by the Contracting Officer, a copy of the signed, approved subcontract shall be provided to the Contracting Officer.) 

 

	e.	To negotiate a cost reimbursement type subcontract with [**], for an amount not to exceed $[**] during the period September 30, 2006 through September 29,
2011. Award of the subcontract shall not proceed without the prior written approval of the Contracting Officer upon review of the supporting documentation as required by the Subcontracts clause of the General Clauses incorporated in this
contract. (After written approval of the subcontract by the Contracting Officer, a copy of the signed, approved subcontract shall be provided to the Contracting Officer.) 

 

	f.	To negotiate a cost reimbursement type subcontract with the [**] for an amount not to exceed $[**] during the period September 30, 2006 through September 29,
2011. Award of the subcontract shall not proceed without the prior written approval of the Contracting Officer upon review of the supporting documentation as required by the Subcontracts clause of the General Clauses incorporated in this
contract. (After written approval of the subcontract by the Contracting Officer, a copy of the signed, approved subcontract shall be provided to the Contracting Officer.) 

 

	g.	To negotiate a cost reimbursement type subcontract with [**] for an amount not to exceed $[**] during the period September 30, 2006 through September 29,
2011. Award of the subcontract shall not proceed without the prior written approval of the Contracting Officer upon review of the supporting documentation as required by the Subcontracts clause of the General Clauses incorporated in this
contract. (After written approval of the subcontract by the Contracting Officer, a copy of the signed, approved subcontract shall be provided to the Contracting Officer.) 

 

	h.	To negotiate a cost reimbursement type subcontract with [**] for an amount not to exceed $[**] during the period September 30,2006 through September 29, 2011.
Award of the subcontract shall not proceed without the prior written approval of the Contracting Officer upon review of the supporting documentation as required by the Subcontracts clause of the General Clauses incorporated in this contract.
(After written approval of the subcontract by the Contracting Officer, a copy of the signed, approved subcontract shall be provided to the Contracting Officer.) 

 

	i.	Consultants 

  
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	 	(1)	Consultant fees to be paid to the members of the External Advisory Board at a rate of $[**]/hour for [**] hours per year shall not exceed $[**] during the period
September 30, 2006 through September 29, 2011. 

  

	 	(2)	Consultant fees to be paid to [**] not exceed $[**] during the period September 30, 2006 through September 29, 2011. 

 

	j.	Invoices - Cost and Personnel Reporting, and Variances from the Negotiated Budget 

 

	 	(1)	The contractor agrees to provide a detailed breakdown on invoices of the following cost categories: 

 

	 	(a)	Direct Labor - List individuals by name, title/position, hourly/annual rate, level of effort, and amount claimed. 

 

	 	(b)	Fringe Benefits - Cite rate and amount 

  

	 	(c)	Overhead - Cite rate and amount 

  

	 	(d)	Materials & Supplies 

  

	 	(e)	Travel - Identify travelers, dates, destination, purpose of trip, and amount. Cite COA, if appropriate. List separately, domestic travel, general scientific meeting
travel, and foreign travel. 

  

	 	(f)	Consultants - Identify individuals and amounts. 

  

	 	(g)	Other Direct Costs - Include detailed breakdown when total amount is over $1,000. 

 

	 	(h)	Subcontracts - Identify by name and attach subcontractor invoice(s). 

  

	 	(i)	Equipment - Cite authorization and amount. 

  

	 	(j)	G&A - Cite rate and amount. 

  

	 	(k)	Total Cost 

 Monthly invoices
must include the cumulative total expenses to date, adjusted (as applicable) to show any amounts suspended by the Government. 
  

	 	(2)	The contractor agrees to immediately notify the contracting officer in writing if there is an anticipated over run (any amount) or unexpended balance (greater than [**]
percent) of the amount allotted to the contract, and the reasons for the variance. Also refer to the requirements of the Limitation of Funds and Limitation of Cost Clauses in the contract. 

 

	k.	Confidential Treatment of Sensitive Information 

 The Contractor shall guarantee strict confidentiality of the information/data that it is provided by the Government during the performance of the contract. The Government has determined that the
information/data that the Contractor will be provided during the performance of the contract is of a sensitive nature. 

Disclosure of the information/data, in, whole or in part, by the Contractor can only be made after the Contractor receives prior written
approval from the Contracting Officer. Whenever the Contractor is uncertain with regard to the proper handling of information/data under the contract, the Contractor shall obtain a written determination from the Contracting Officer. 

 

	l.	Audit of Production Facility 

  
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 The Contractor will be audited at the Project Officer’s discretion for GMP, GLP,
and QC/A capabilities. If efficiencies are noted, they shall be corrected (or addressed) within [**] months after issuance of the audit report. 
  

	m.	Contract Number Designation 

 On all correspondence submitted under this contract, the Contractor agrees to clearly identify the two contract numbers that appear on the face page of the contract as follows: 

Contract No. HHSN266200600019C 
 ADB Contract No. N01-AI-60019 
 SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT

 ARTICLE C.1 STATEMENT OF WORK 
  

	a.	Independently and not as an agent of the Government, the Contractor shall furnish all the necessary services, qualified personnel, material, equipment, and facilities,
not otherwise provided by the Government as needed to perform the Statement of Work, dated September 5, 2006, set forth in SECTION J, List of Attachments, attached hereto and made a part of this contract. 

ARTICLE C.2 REPORTING REQUIREMENTS 
 All
reports required herein shall be submitted in electronic format. In addition, one (l) hardcopy of each report shall be submitted to the Contracting Officer, unless otherwise specified. 

 

	a.	Technical Reports 

 In
addition to those reports required by the other terms of this contract, the Contractor shall prepare and submit the following reports in the manner stated below and in accordance with the DELIVERIES ARTICLE in SECTION F of this contract: 

 

	 	1.	Within [**] weeks after contract award, the Contractor shall submit a contract-specific information security plan for review and approval by NIAID.

  

	 	2.	Goals and Milestones Achievement Reports. Management milestones, and their expected accomplishment dates, will be re-established yearly by discussion between the
DAIDS Project Officer and the PI of each HIV Vaccine Team to facilitate monitoring contract progress; these milestones will not be written into the Contract document. The Contractor shall submit Goals and Milestones Achievement Reports for these
milestones during the contract period as specified by consultation with the DAIDS Project Officer. For for-profit Contractors, since the payment of contract fee portions will be tied to the accomplishment of predetermined goals and milestones
specified in the Contract, the Contractor shall submit similar Goals and Milestones Achievement Reports for fee-attached milestones prior to invoicing for fee payments. The original hard copy of each milestone achievement report shall be submitted
to the NIAID Contracting Officer, and two (2) copies (one hard copy and a copy in a digital medium) to the DAIDS Project Officer. Each report must consist of: 

  
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	 	(a)	A cover page identifying the Contract, Contractor, addressee, date of submission, and milestone. 

 

	 	(b)	Two clearly marked sections: 

  

	 	•	 	 SECTION A - An introduction describing the goal or milestone in detail 

 

	 	•	 	 SECTION B - A complete description of the results. The description shall include pertinent data and/or figures in sufficient detail to explain any
significant results from analysis and scientific evaluation of data accumulated to date under the goal or milestone. When appropriate, this report should detail specific requests and approvals for the conduct of human trials.

  

	 	3.	Clinical Trial Protocols and Data for Contractors who elect to perform clinical studies independently rather than through an NIAID/DAIDS-supported clinical trials
network Clinical Trial Protocol(s). NIAID has a responsibility to ensure that mechanisms and procedures are in place to protect the safety of participants in NIAID-supported clinical trials. Therefore, as described in the NIAID Clinical Terms of
Award (http://www.niaid.nih.gov/ncn/pdf/clinterm.pdf), the Contractors performing any clinical studies independently (i.e., not within a DAIDS-supported clinical trial network) with HIV Vaccine Team contract funds shall develop a protocol for
each clinical trial. Those HIV Vaccine Teams developing a therapeutic vaccine shall submit all protocols for review and approval by the NIAID Clinical Science Review Committee (CSRC). Protocols must include: (1) a description of the product;
(2) the results of preclinical (IND-enabling) toxicology studies; (3) a description of the trial design including definition of objectives, approaches, and procedures for implementation; (4) the plan for participant recruitment,
retention and follow-up; (5) the plan for data collection, quality control and management; (6) the data and safety monitoring plan; (7) the proposed approach to the analysis and interpretation of study data; (8) plans for
publication of results; and (9) a sample Informed Consent. Final approval of the protocol must take place prior to FDA IND submission and participant enrollment. [For trials to be conducted through DAIDS-sponsored Clinical Trial Networks, the
protocol must be developed in conjunction with the appropriate network and will be submitted by the network.]. 

  

	 	4.	DAIDS-Enterprise System (DAIDS-ES) Reporting. HIV Vaccine Teams Contractors who elect to perform clinical studies independently rather than through an
NIAID/DAIDS-supported clinical trials network will be required to provide clinical trials data through the DAIDS-ES as the appropriate components of the system become operational. Reporting of adverse events will be done through the DAIDS Expedited
Adverse Event Reporting System. Reporting on protocol development, registration, conduct, accrual, oversight, site monitoring, tracking and clinical trial closeout will be done through the DAIDS Protocol Management System. Details on interfacing
with these information management systems will be provided as the systems become operational. 

  

	 	5.	 Annual Technical Report. By the [**] working day of the twelfth month of each contract year, the Contractor shall submit an Annual Technical
Report as described below. The original hard copy shall be submitted to the NIAID 

  
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Contracting Officer, and two (2) copies (one hard copy and one copy in a digital medium) to the DAIDS Project Officer. The report should be factual and concise and consist of the following:

  

	 	(a)	A cover page identifying the Contract, Contractor, addressee, and date of submission 

 

	 	(b)	Four clearly marked 

  

	 	•	 	 Section A – An introduction covering the purpose and scope of the contract effort 

 

	 	•	 	 Section B – A description of overall progress plus a separate description for each task or other logical segment of work on which effort was
expended during the reporting period. The description shall include pertinent data and/or figures in sufficient detail to explain any significant results from analysis and scientific evaluation of data accumulated to date under the project. Special
emphasis shall be placed on goals or milestones that were reached, or problems that were encountered that prevented reaching a scheduled goal or milestone during the reporting period and how those problems were/will be addressed. In addition,
requests and approvals to conduct human trials, and Inclusion Enrollment Reports, when appropriate, shall be included. 

  

	 	•	 	 Section C – A summary of the proposed goals and milestones for the duration of the Contract, including any proposed revisions based on results
generated to date. For those goals and milestones expected to be completed during the next 12 months, provide a detailed description of the criteria to be used to define their accomplishment. 

 

	 	•	 	 Section D – Human Subject Enrollment Reports for non-NIAID network clinical studies or trials underway. To aid NIAID in fulfilling reporting
requirements, the Contractor must complete the Inclusion Enrollment Report showing cumulative accrual information for each active clinical study or clinical trial protocol. The format for the Inclusion Enrollment Report may be found at
http://grants.nih.gov/grants/funding/phs398/enrollmentreport.pdf. 

  

	 	6.	Annual Site Visit Review Report. A report of the annual site visit review shall be prepared by the Contractor and submitted to the DAIDS Project Officer (in hard
copy and digital medium) and the NIAID Contracting Officer (original hard copy) within [**] weeks following the date of the site visit. This report shall include the slide presentations made at the review as well as summaries of all discussions
about modifying goals or milestones, and discussions ofapproaches to overcoming problems encountered. 

  

	 	7.	 Final Technical Report. The Contractor shall submit the Final Technical Report, two (2) copies (one hard copy and one copy in a digital
medium) to the DAIDS 

  
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Project Officer, and the original hard copy to the NIAID Contracting Officer by the completion date of the Contract. The report should consist of the following: 

(1) A cover page identifying the Contract, Contractor, addressee, and date of submission 

(2) An introduction covering the purpose and scope of the contract effort including a short summary of salient results achieved during the
performance of the contract 
 (3) A detailed summary of the results of the entire contract work for the complete performance
period including the specifications of the optimized AIDS vaccine product developed during the course of the contract. These specifications shall include: (l) the identity of the vaccine strain or strains in the final product, (2) a
detailed description of the manipulations used in the vaccine design, (3) a detailed description of all processes used to expand, attenuate, inactivate, or purify the final vaccine product, (4) a detailed description of any adjuvants or
other potentiating agents used in the delivery of the final optimized product, (5) a detailed description of the suggested immunization schedule to be used for optimal reactivity in humans, (6) evidence that the vaccine product can be
manufactured under GMP conditions for use in human vaccine trials, (7) a list of all patent filings that have resulted from this Contract, and (8) data from clinical trials using the vaccine. In addition, the Contractor shall indicate
whether INDs were filed in relation to vaccine products developed during the course of the Contract, and provide a description of the IND and the results of the filings. For Contractors with foreign subcontracts, this report shall include details
concerning approvals for manufacturing or testing that have been obtained for or by the foreign subcontractors. 
  

	 	8.	Report Distribution 

  

					
	Type of Report	  	No. of Copies	  	Due Date
	Information Security Plan	  	 Original – NAID CO
 1 hard copy/1 electronic copy – DAIDS PO
	  	Within [**] weeks of contract award.
	Goals and Milestones Achievement Reports	  	 Original – NIAID CO
 1 hard copy/1 electronic copy – DAIDS PO
	  	Specific dates will be negotiated with the DAIDS PO
	Annual Technical Report	  	 Original – NIAID CO
 1 hard copy/1 electronic copy – DAIDS PO
	  	Due on/before the [**] working day after the anniversary date of the Contract. Not due when
the Final Report is due.
	Annual Site Visit Review Report	  	 Original – NIAID CO
 1 hard copy/1 electronic copy – DAIDS PO
	  	Due within [**] weeks following the date of the meeting.
	Final Technical Report	  	 Original – NIAID CO

1 hard copy/1 electronic copy – DAIDS PO
	  	Due on/before the completion date of the
Contract.

  

	 	9.	 If the Contractor is unable to deliver the reports specified hereunder within the established due dates because of unforeseen difficulties,
notwithstanding the 

  
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exercise of good faith and diligent efforts in performance of the work, the Contractor shall give the Contracting Officer immediate written notice of anticipated delays with reasons therefore. A
new delivery date must be established. 

  

	 	10.	Other Deliverables. Specific deliverables outlined in the Statement of Work for Projects 1 through 5, Clinical Trial Protocols, and DAIDS-Enterprise System
(DAIDS-ES) Reporting. 

  

	 	11.	Addressees: 

  

			
	 DAIDS Project Officer:
	  	National Institutes of Health, DHHS National Institute of Allergy and Infectious Diseases Division of AIDS, BSP 6700-B Rockledge Drive, Room 4100, MSC 7626 Bethesda, MD
20892-7626
		
	 NIAID Contracting Officer:
	  	National Institutes of Health, DHHS National Institute of Allergy and Infectious Diseases Office of Acquisitions, Division of Extramural Activities 6700-B Rockledge Drive, Room
3214, MSC 7612 Bethesda, MD 20892-7612

 ARTICLE C.3 INVENTION REPORTING REQUIREMENT 
 All reports and documentation required by FAR CLAUSE 52.227-11 including, but not limited to, the invention disclosure report, the confirmatory license, and the government support certification, shall be
directed to the Extramural Inventions and Technology Resources Branch, OPERA, NIH, 6705 Rockledge Drive, Room 1040-A, MSC 7980, Bethesda, Maryland 20892-7980 (Telephone: 301-435-1986). In addition, one copy of an annual utilization report, and a
copy of the final invention statement, shall be submitted to the Contracting Officer. The final invention statement (see FAR 27.303(a)(2)(ii)) shall be submitted to the Contracting Officer on the expiration date of the contract. 

The annual utilization report shall be submitted in accordance with the DELIVERIES Article in SECTION F of this contract. The final invention statement
(see FAR 27.303(a)(2)(ii)) shall be submitted on the expiration date of the contract. All reports shall be sent to the following address: 
 Contracting Officer 
 National Institutes of Health, DHHS 

National Institute of Allergy and Infectious Diseases 
 Office of Acquisitions, Division of Extramural Activities 
 6700B Rockledge Drive,
Room 3214, MSC 7612 
 Bethesda, Maryland 20892 -7612 
 If no invention is disclosed or no activity has occurred on a previously disclosed invention during the applicable reporting period, a negative report shall be submitted to the Contracting Officer at the
address listed above. 

  
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 To assist contractors in complying with invention reporting requirements of the clause, the NIH has
developed “Interagency Edison,” an electronic invention reporting system. Use of Interagency Edison is encouraged as it streamlines the reporting process and greatly reduces paperwork. Access to the system is through a secure interactive
Web site to ensure that all information submitted is protected. Interagency Edison and information relating to the capabilities of the system can be obtained from the Web (http://www.iedison.gov), or by contacting the Extramural Inventions
and Technology Resources Branch, OPERA, NIH. 
 SECTION D - PACKAGING, MARKING AND SHIPPING 

All deliverables required under this contract shall be packaged, marked and shipped in accordance with Government specifications. At a minimum, all
deliverables shall be marked with the contract number and contractor name. The Contractor shall guarantee that all required materials shall be delivered in immediate usable and acceptable condition. 

SECTION E - INSPECTION AND ACCEPTANCE 
  

	a.	The Contracting Officer or the duly authorized representative will perform inspection and acceptance of materials and services to be provided. 

 

	b.	For the purpose of this SECTION, the Project Officer indicated in ARTICLE G.1. is the authorized representative of the Contracting Officer. 

 

	c.	Inspection and acceptance will be performed at the location listed in ARTICLE G.1. Acceptance may be presumed unless otherwise indicated in writing by the Contracting
Officer or the duly authorized representative within [**] days of receipt. 

  

	d.	This contract incorporates the following clause by reference, with the same force and effect as if it were given in full text. Upon request, the Contracting Officer
will make its full text available. 

 FAR Clause 52.246-9, Inspection of Research And Development (Short
Form) (April 1984). 
 SECTION F - DELIVERIES OR PERFORMANCE 
 ARTICLE F.1 DELIVERIES 
 Satisfactory performance of the final contract shall be deemed to
occur upon performance of the work described in Article C.l. and upon delivery and acceptance by the Contracting Officer, or the duly authorized representative, of the following items in accordance with the stated delivery schedule: 

 

	a.	The items specified below as described in SECTION C, ARTICLE C.2. will be required to be delivered F.O.B. Destination as set forth in FAR 52.247-35, F.O.B. DESTINATION,
WITHIN CONSIGNEES PREMISES (APRIL 1984), and in accordance with and by the dates specified below: 

  

					
	Item  	  	Description	  	Delivery Schedule
	 1.
	  	 Information Security Plan

 
	  	Within [**] weeks of contract award.

  
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	Item  	  	Description	  	Delivery Schedule
	
2.
	  	 Goals and Milestones Achievement Reports

 
	  	Specific dates will be negotiated with the DAIDS PO
	
3.
	  	 Specific Deliverables for Projects 1 through 5, as outlined in the Statement of Work

 
	  	As required by the Project Officer
	
4.
	  	 Clinical Trials Protocol(s)
  
	  	As required by the Project Officer
	
5.
	  	 DAIDS Enterprise Systems Reporting

 
	  	On an ongoing basis as directed by DAIDS, NIAID
	
6.
	  	 Annual Technical Report
  
	  	[**] day of the twelfth month of each contract year
	
7.
	  	 Annual Site Visit Review and Report

 
	  	[**] month of each contract year
	 8.
	  	 Final Technical Report

 
	  	On or before contract expiration

  

	b.	The above items shall be addressed and delivered to: 

  

					
	Addressee	  	Deliverable Item	  	Quantity
	 Contracting Officer

OA, NIAID, NIH
 Room 3214, MSC 7612

6700-B Rockledge Drive
 Bethesda, MD
20892-7612
	  	 Information Security Plan
 Goals and Milestones Achievement Report
 Deliverables for Projects 1 through 5

Clinical Trials Protocol(s)
 Annual Technical
Report
 Annual Site Visit Review and Report
 Final Technical Report
	  	 1
Copy
 —  
 —  
 —  

1 Copy
 1
Copy
 1 Copy

	 Project
Officer
 Targeted Interventions Branch

Basic Science Program
 Division of AIDS,
NIAID,
 NIH Room 4100, MSC 7626
 6700-B
Rockledge Drive
 Bethesda, MD 20892-7626
	  	 Information Security Plan

Goals and Milestones Achievement Report

Deliverables for Project 1 through 5
 Clinical
Trials Protocol(s)
 Annual Technical Report
 Annual Site Visit Review and Report
 Final Technical Report
	  	 —  
 1 Copy *

1 Copy *
 1 Copy
*
 1 Copy *
 1 Copy *
 1 Copy *

  

	*	Plus one copy on 3.5 inch, high density computer diskette or other digital medium approved by the Project Officer. 

ARTICLE F.2 CLAUSES INCORPORATED BY REFERENCE, FAR 52.252-2 (FEBRUARY 1998) 

  
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 This contract incorporates the following clause(s) by reference, with the same force and effect as if it
were given in full text. Upon request, the Contracting Officer will make its full text available. Also, the full text of a clause may be accessed electronically at this address: http://www.acquisition.gov/comp/far/index.html. 

FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSE: 

52.242-15, Stop Work Order (August 1989) with Alternate I (April 1984). 

SECTION G - CONTRACT ADMINISTRATION DATA 

ARTICLE G.1 PROJECT OFFICER 
 The
following Project Officer will represent the Government for the purpose of this contract: 
 Anthony J. Conley, Ph.D. 

Targeted Interventions Branch 
 Basic Science Program Division of AIDS, NIAID, NIH, DHHS 
 Room 4100, MSC 7626

 6700-B Rockledge Drive, Bethesda, MD 20892-7626 
 Phone: (301) 451-2739              Fax: (301) 402-3211 
 Email: conleyto@niaid.nih.gov 
 The Project Officer is responsible for: (l) monitoring
the Contractor’s technical progress, including the surveillance and assessment of performance and recommending to the Contracting Officer changes in requirements; (2) interpreting the Statement of Work and any other technical performance
requirements; (3) performing technical evaluation as required; (4) performing technical inspections and acceptances required by this contract; and (5) assisting in the resolution of technical problems encountered during performance.

 The Contracting Officer is the only person with authority to act as agent of the Government under this contract. Only the Contracting Officer
has authority to: (1) direct or negotiate any changes in the Statement of Work; (2) modify or extend the period of performance; (3) change the delivery schedule; (4) authorize reimbursement to the Contractor any costs incurred
during the performance of this contract; or (5) otherwise change any terms and conditions of this contract. 
 The Contracting Officer
hereby delegates the Project Officer as the Contracting Officer’s authorized representative responsible for signing software license agreements issued as a result of this contract. 
 The Government may unilaterally change its Project Officer designation. 
 ARTICLE G.2 KEY
PERSONNEL 
 Pursuant to HHSAR Clause 352.270-5, Key Personnel, incorporated in Section I of this contract, the following individual is
considered to be essential to the work being performed hereunder: 
  

			
	Name	  	Title
	 [**]
	  	Principal 
Investigator

  
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 Prior to diverting any of the specified individuals to other programs, the Contractor shall notify the
Contracting Officer reasonably in advance and shall submit justification (including proposed substitutions) in sufficient detail to permit evaluation of the impact on the program. No diversion shall be made by the Contractor without the written
consent of the Contracting Officer; provided, that the Contracting Officer may ratify in writing such diversion and such ratification shall constitute the consent of the Contracting Officer. The contract may be modified from time to time during the
course of the contract to either add or delete personnel, as appropriate 
 ARTICLE G.3 INVOICE SUBMISSION/CONTRACT FINANCING REQUEST AND
CONTRACT FINANCIAL REPORT 
  

	a.	Invoice/Financing Request Instructions and Contract Financial Reporting for NIH Cost-Reimbursement Type Contracts NIH(RC)-4 are attached and made part of this contract.
The instructions and the following directions for the submission of invoices/financing request must be followed to meet the requirements of a “proper” payment request pursuant to FAR 32.9. 

These instructions also provide for the submission of financial and personnel reporting required by HHSAR 342.7002. 

 

	 	(1)	Invoices/financing requests shall be submitted as follows: 

  

	 	(a)	To be considered a “proper” invoice in accordance with FAR 32.9, Prompt Payment, each invoice shall clearly identify the two contract numbers that appear on
the face page of the contract as follows: 

 Contract No.: HHSN266200600019C 

ADB Contract No.: N0I-AI-60019 
  

	 	(b)	An original and two copies to the following designated billing office: 

Contracting Officer 
 National Institutes of Health, DHHS 
 National Institute of
Allergy and Infectious Diseases 
 Office of Acquisitions, Division of Extramural Activities 

6700B Rockledge Drive, Room 3214, MSC 7612 

Bethesda, Maryland 20892 -7612 
  

	 	(2)	Inquiries regarding payment of invoices should be directed to the designated billing office, (301) 496-0612. 

 

	b.	The Contractor shall include the following certification on every invoice for reimbursable costs incurred with Fiscal Year funds subject to the SALARY RATE LIMITATION
LEGISLATION PROVISIONS ARTICLE in SECTION H of this contract. For billing purposes, certified invoices are required for the billing period during which the applicable Fiscal Year funds were initially charged through the final billing period
utilizing the applicable Fiscal Year funds: 

  
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 “I hereby certify that the salaries charged in this invoice are in compliance with
P.L 109-149 and the SALARY RATE LIMITATION LEGISLATION PROVISIONS ARTICLE in SECTION H of the above referenced contract.” 
 ARTICLE G.4
INDIRECT COST RATES 
 In accordance with Federal Acquisition Regulation (FAR) (48 CFR Chapter 1) Clause 52.216-7 (d)(2), Allowable Cost and
Payment incorporated by reference in this contract in PART II, SECTION I, the cognizant Contracting Officer representative responsible for negotiating provisional and/or final indirect cost rates is identified as follows. These rates are hereby
incorporated without further action of the Contracting Officer. 
 Director, Division of Financial Advisory Services 

Office of Acquisition Management and Policy 
 National Institutes of Health 
 6100 Building, Room 6B05 

6100 EXECUTIVE BLVD MSC-7540 
 BETHESDA MD 20892-7540 
 ARTICLE G.5 GOVERNMENT PROPERTY 

 

	a.	In addition to the requirements of the clause, GOVERNMENT PROPERTY, incorporated in SECTION I of this contract, the Contractor shall comply with the provisions of HHS
Publication, “Contractor’s Guide for Control of Government Property,” which is incorporated into this contract by reference. This document can be accessed at: 

http://www.knownet.hhs.gov/log/AgencyPolicy/HHSLogPolicy/contractorsguide.htm. Among other issues, this publication provides a
summary of the Contractor’s responsibilities regarding purchasing authorizations and inventory and reporting requirements under the contract. A copy of this publication is available upon request to the Contracts Property Administrator.

 Requests for information regarding property under this contract should be directed to the following office: 

Division of Personal Property Services, NIH 
 6011 Building, Suite 637 
 6011 EXECUTIVE BLVD MSC 7670 

BETHESDA MD 20892-7670 
 (301) 496-6466 
  

	b.	Notwithstanding the provisions outlined in the HHS Publication, “Contractor’s Guide for Control of Government Property,” which is incorporated in this
contract in paragraph a. above, the contractor shall use the form entitled, “Report of Government Owned, Contractor Held Property” for performing annual inventories required under this contract. This form is included as an attachment in
SECTION J of this contract. 

  

	c.	Contractor-Acquired Government Property - Schedule I-A 

  
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	 	 	Pursuant to the clause, GOVERNMENT PROPERTY, incorporated in this contract, the Contractor is hereby authorized to acquire the property listed in the Schedule I-A below
for use in direct performance of the contract. 

 SCHEDULE 1-A 

 

									
	Item No.  	  	Description	  	Quantity	  	Unit Price	  	Total
	
1.
	  	[**]	  	[**]	  	[**]  	  	[**]
	 2.
	  	[**]	  	[**]	  	[**]  	  	[**]

 ARTICLE G.6 POST AWARD EVALUATION OF CONTRACTOR PERFORMANCE 

 

	a.	Contractor Performance Evaluations 

 Interim and final evaluations of contractor performance will be prepared on this contract in accordance with FAR 42.15. The final performance evaluation will be prepared at the time of completion of work.
In addition to the final evaluation, interim evaluations will be prepared bi-annually to coincide with the anniversary date of the contract. 
 Interim and final evaluations will be provided to the Contractor as soon as practicable after completion of the evaluation. The Contractor will be permitted [**] days to review the document and to submit
additional information or a rebutting statement. If agreement cannot be reached between the parties, the matter will be referred to an individual one level above the Contracting Officer, whose decision will be final. 

Copies of the evaluations, contractor responses, and review comments, if any, will be retained as part of the contract file, and may be
used to support future award decisions. 
  

	b.	Electronic Access to Contractor Performance Evaluations 

 Contractors that have Internet capability may access evaluations through a secure Web site for review and comment by completing the registration form that can be obtained at the following address:

 http://oamp.od.nih.gov/OD/CPS/cps.asp 
 The registration process requires the contractor to identify an individual that will serve as a primary contact and who will be authorized access to the evaluation for review and comment. In addition, the
contractor will be required to identify an alternate contact who will be responsible for notifying the cognizant contracting official in the event the primary contact is unavailable to process the evaluation within the required [**]-day time frame.

 SECTION H - SPECIAL CONTRACT REQUIREMENTS 
 ARTICLE H.1. HUMAN SUBJECTS 
 Research involving human subjects shall not be conducted under
this contract until the protocol developed in Phase I has been approved by the NIAID, written notice of such approval has been 

  
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provided by the NIAID, and the Contractor has provided to the Contracting Officer a properly completed “Protection of Human Subjects Assurance Identification/IRB Certification/Declaration of
Exemption”, Form OMB No. 0990-0263 (formerly Optional Form 310) certifying IRB review and approval of the protocol. The human subject certification can be met by submission of the Contractor’s self designated form, provided
that it contains the information required by the “Protection of Human Subjects Assurance Identification/IRB Certification/Declaration of Exemption”, Form OMB No. 0990-0263 (formerly Optional Form 310). 

When research involving Human Subjects will take place at collaborating sites or other performance sites, the Contractor shall obtain, and keep on file,
a properly completed “Protection of Human Subjects Assurance Identification/IRB Certification/Declaration of Exemption”, Form OMB No. 0990-0263 (formerly Optional Form 310) certifying IRE review and approval of the research. 

ARTICLE H.2. REQUIRED EDUCATION IN THE PROTECTION OF HUMAN RESEARCH PARTICIPANTS 
 NIH policy requires education on the protection of human subject participants for all investigators receiving NIH contract awards for research involving human subjects. For a complete description of the
NIH Policy announcement on required education in the protection of human subject participants, the contractor should access the NIH Guide for Grants and Contracts Announcement dated June 5, 2000 at the following website: 

http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html. 
 The information below is a summary of the NIH Policy Announcement: 
 The contractor shall maintain
the following information: (1) a list of the names and titles of the principal investigator and any other individuals working under the contract who are responsible for the design and/or conduct of the research; (2) the title of the
education program(s) in the protection of human subjects that has been completed for each named personnel and; (3) a one sentence description of the educational program(s) listed in (2) above. This requirement extends to investigators and
all individuals responsible for the design and/or conduct of the research who are working as subcontractors or consultants under the contract. 

Prior to any substitution of the Principal Investigator or any other individuals responsible for the design and/or conduct of the research under the
contract, the contractor shall provide the following written information to the Contracting Officer: the title of the education program and a one sentence description of the program that has been completed by the replacement. 

ARTICLE H.3. DATA AND SAFETY MONITORING IN CLINICAL TRIALS 
 The contractor is directed to the full text of the NIH Policy regarding Data and Safety Monitoring and Reporting of Adverse Events, which may be found at the following web sites: 

  
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 http://grants.nih.gov/grants/guide/notice-files/not98-084.html 

http://grants.nih.gov/grants/guide/notice-files/not99-107.html 

http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-038.html 
 The contractor must comply with the NIH Policy cited in these NIH Announcements and any other data and safety monitoring requirements found elsewhere in this contract. 

Data and Safety Monitoring shall be performed in accordance with the approved Data and Safety Monitoring Plan. 

The Data and Safety Monitoring Board and Plan shall be established and approved prior to beginning the conduct of the clinical trial. 

ARTICLE H.4. HUMAN MATERIALS (ASSURANCE OF OHRP COMPLIANCE) 
 The acquisition and supply of all human specimen material (including fetal material) used under this contract shall be obtained by the Contractor in full compliance with applicable State and Local laws
and the provisions of the Uniform Anatomical Gift Act in the United States, and no undue inducements, monetary or otherwise, will be offered to any person to influence their donation of human material. 

The Contractor shall provide written documentation that all human materials obtained as a result of research involving human subjects conducted under
this contract, by collaborating sites, or by subcontractors identified under this contract, were obtained with prior approval by the Office for Human Research Protections (OHRP) of an Assurance to comply with the requirements of 45 CFR 46 to protect
human research subjects. This restriction applies to all collaborating sites without OHRP-approved Assurances, whether domestic or foreign, and compliance must be ensured by the Contractor. 
 Provision by the Contractor to the Contracting Officer of a properly completed “Protection of Human Subjects Assurance Identification/IRB Certification/Declaration of Exemption”, Form OMB No.
0990-0263 (formerly Optional Form 310), certifying IRB review and approval of the protocol from which the human materials were obtained constitutes the written documentation required. The human subject certification can be met by submission of a
self designated form, provided that it contains the information required by the “Protection of Human Subjects Assurance Identification/IRB Certification/Declaration of Exemption”, Form OMB No. 0990-0263 (formerly Optional Form 310).

 ARTICLE H.5. RESEARCH INVOLVING RECOMBINANT DNA MOLECULES 
 (Including Human Gene Transfer Research) 
 All research involving Recombinant DNA Molecules
shall be conducted in accordance with the NIH Guidelines for Research Involving Recombinant DNA Molecules (http://www4.od.nih.gov/oba/rac/guidelines/guidelines.html) and the May 28, 2002 Notice, Compliance with the NIH Guidelines for
Research Involving Recombinant DNA Molecules (http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-02-052.html) (and any subsequent revisions to the Guide Notice) which stipulates biosafety and containment measures for recombinant DNA
research and delineates critical, ethical principles and key safety reporting 

  
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requirements for human gene transfer research (See Appendix M of the Guidelines). These guidelines apply to both basic and clinical research studies. 

The Recombinant DNA Advisory Committee (RAC) is charged with the safety of manipulation of genetic material through the use of recombinant DNA
techniques. Prior to beginning any clinical trials involving the transfer of recombinant DNA to humans, the trial must be registered with the RAC. If this contract involves new protocols that contain unique and/or novel issues, the RAC must discuss
them in a public forum and then the Institutional Biosafety Committee (IBC), the Institutional Review Board (IRB), and the project officer and contracting officer must approve the protocol prior to the start of the research. 

Failure to comply with these requirements may result in suspension, limitation, or termination of the contract for any work related to Recombinant DNA
Research or a requirement for contracting officer prior approval of any or all Recombinant DNA projects under this contract. This includes the requirements of the Standing Institutional Biosafety Committee (IBC) (See
http://www4.od.nih.gov/oba/IBC/IBCindexpg.htm). 
 As specified in Appendix M-1-C-4 of the NIH Guidelines, any serious adverse event must
be reported immediately to the IRB, the IBC, the Office for Human Research Protections (if applicable), and the NIH Office for Biotechnology Activities (OBA), followed by the filing of a written report with each office/group and copies to the
project officer and contracting officer. (http://www4.od.nih.gov/oba/rac/guidelines_02/Appendix_M.htm#_Toc7255836). 
 ARTICLE H.6.
CONTINUED BAN ON FUNDING OF HUMAN EMBRYO RESEARCH 
  

	a.	Pursuant to Public Law(s) cited in paragraph b., below, NIH is prohibited from using appropriated funds to support human embryo research. Contract funds may not be used
for (l) the creation of a human embryo or embryos for research purposes; or (2) research in which a human embryo or embryos are destroyed, discarded, or knowingly subjected to risk of injury or death greater than that allowed for research
on fetuses in utero under 45 CFR 46.204(b) and Section 498(b) of the Public Health Service Act (42 U.S.C. 289g(b)). The term “human embryo or embryos” includes any organism, not protected as a human subject under 45 CFR 46 as of the
date of the enactment of this Act, that is derived by fertilization, parthenogenesis, cloning, or any other means from one or more human gametes or human diploid cells. 

Additionally, in accordance with a March 4, 1997 Presidential Memorandum, Federal funds may not be used for cloning of human beings.

  

							
	b.	  	Public Law and Section No.	  	Fiscal Year	  	Period Covered
		  	 P. L. 109-149, Title V-General Provisions

Section 509
	  	2006	  	(10/1/2005-9/30/2006)

 ARTICLE H.7. NEEDLE EXCHANGE 
  

	a.	Pursuant to Public Law(s) cited in paragraph b., below, contract funds shall not be used to carry out any program of distributing sterile needles or syringes for the
hypodermic injection of any illegal drug. 

  
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	b.	  	Public Law and Section No.	  	Fiscal Year	  	Period Covered
		  	 P. L. 109-149, Title V-General Provisions Section 505
	  	2006	  	(10/1/2005-9/30/2006)

 ARTICLE H.8. PRIVACY ACT 
 This procurement action requires the Contractor to do one or more of the following: design, develop, or operate a system of records on individuals to accomplish an agency function in accordance with the
Privacy Act of 1974, Public Law 93-579, December 31, 1974 (5 USC 552a) and applicable agency regulations. Violation of the Act may involve the imposition of criminal penalties. 

The Privacy Act System of Records applicable to this project is Number 09-25-0200. This document may be accessed on the Internet at the
following URL: http://oma.od.nih.gov/ms/privacy/pa-files/0200.htm . 
 ARTICLE H.9. OMB CLEARANCE 

In accordance with HHSAR 352.270-7, Paperwork Reduction Act, the Contractor shall not proceed with surveys or interviews until such time as Office of
Management and Budget (OMS) Clearance for conducting interviews has been obtained by the Project Officer and the Contracting Officer has issued written approval to proceed. 
 ARTICLE H.10. SALARY RATE LIMITATION LEGISLATION PROVISIONS 
  

	a.	Pursuant to the P.L.(s) cited in paragraph b., below, no NIH Fiscal Year funds may be used to pay the direct salary of an individual through this contract at a rate in
excess of the applicable amount shown or the applicable Executive Level for the fiscal year covered. Direct salary is exclusive of fringe benefits, overhead and general and administrative expenses (also referred to as indirect costs or facilities
and administrative (F&A) costs). Direct salary has the same meaning as the term institutional base salary. An individual’s direct salary (or institutional base salary) is the annual compensation that the contractor pays for an
individual’s appointment whether that individual’s time is spent on research, teaching, patient care or other activities. Direct salary (or institutional base salary) excludes any income that an individual may be permitted to earn outside
of duties to the contractor. The per year salary rate limitation also applies to individuals proposed under subcontracts. It does not apply to fees paid to consultants. If this is a multiple year contract, it may be subject to unilateral
modifications by the Government if an individual’s salary rate used to establish contract funding exceeds any salary rate limitation subsequently established in future HHS appropriation acts. 

 

							
	b.	  	Public Law No.	  	Fiscal Year	  	 Dollar amount of
 Salary Rate Limitation

		  	 P.L. 109-149, Public Health & Social Services Emergency Fund General Provisions, Section 204
	  	FY 06	  	Executive Level I

  
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	c.	Payment of direct salaries is limited to the Executive Level 1* rate which was in effect on the date(s) the expense was incurred. 

For the period 10/1/05 -12/31/05, the Executive Level I rate is $180,100. Effective January 1, 2006, the Executive Level I rate
increased to $183,500 and will remain at that rate until it is revised. See the web site listed below for the Executive Schedule rates of pay: 
 FOR FY-06 EXECUTIVE LEVEL SALARIES EFFECTIVE JANUARY 1, 2006:  
 http://www.opm.gov/oca/06tables/html/ex.asp  
 (Note: This site
shows the FY-06 rates. For previous years, click on “salaries and wages” and then scroll down to the bottom of the page and click on the year to locate the desired Executive Level salary rates.) 

ARTICLE H.11. INFORMATION SECURITY 
 The
Statement of Work (SOW) requires the contractor to (1) develop, (2) have the ability to access, or (3) host and/or maintain a Federal information system(s). Pursuant to Federal and HHS Information Security Program Policies, the
contractor and any subcontractor performing under this contract shall comply with the following requirements: 
  

	 	Federal Information Security Management Act of 2002 (FISMA), Title III, E-Government Act of 2002, Pub. L. No. 107-347 (Dec. 17, 2002);
http://csrc.nist.gov/policies/FISMA-final.pdf 

  

	a.	Information Type 

Administrative, Management and Support Information 
  

	b.	Security Category and Levels 

  

									
	 Confidentiality
	  	Level:	  	[   ] Low	  	[X] Moderate	  	[   ] High
	 Integrity
	  	Level:	  	[   ] Low	  	[X] Moderate	  	[   ] High
	 Availability
	  	Level:	  	[X] Low	  	[   ] Moderate	  	[   ] High
	
Overall
	  	Level:	  	[   ] Low	  	[X] Moderate	  	[   ] High

  

	c.	Position Sensitivity Designations 

  

	 	(1)	The following position sensitivity designations and associated clearance and investigation requirements apply under this contract. 

Level 1: Non Sensitive (Requires Suitability Determination with an NACI). Contractor employees assigned to a Level I position are
subject to a National Agency Check and Inquiry Investigation (NACI). 
  

	 	(2)	 The Contractor shall submit a roster, by name, position and responsibility, of all staff (including subcontractor staff) working under the contract who
will develop, have the ability to access, or host and/or maintain a Federal information system(s). The roster shall be submitted to the Project Officer, with a copy to the 

  
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Contracting Officer, within [**] calendar days of the effective date of the contract. Any revisions to the roster as a result of staffing changes shall be submitted within [**] calendar days of
the change. The Contracting Officer shall notify the contractor of the appropriate level of suitability investigations to be performed. An electronic template, “Roster of Employees Requiring Suitability Investigations,” is available for
contractor use at: 
 http://ais.nci.nih.gov/forms/Suitabilitv-roster.xls. 

Upon receipt of the Government’s notification of applicable Suitability Investigations required, the contractor shall complete and
submit the required forms within [**] days of the notification. Additional submission instructions can be found at the “NCI Information Technology Security Policies, Background Investigation Process” website: http://ais.nci.nih.gov.

 Contractor/subcontractor employees who have met investigative requirements within the past [**] years may only require an
updated or upgraded investigation. 
  

	 	(3)	Contractor/subcontractor employees shall comply with the HHS criteria for the assigned position sensitivity designations prior to performing any work under this
contract. The following exceptions apply: 

 Levels 5 and 1: Contractor/subcontractor employees may begin
work under the contract after he contractor has submitted the name, position and responsibility of the employee to the Project Officer, as described in paragraph c.(2) above. 
 Level 6: In special circumstances the Project Officer may request a waiver of the pre-appointment investigation. If the waiver is granted, the Project Officer will provide written authorization for
the contractor/subcontractor employee to work under the contract. 
  

	 	d.	Information Security Training 

 The contractor shall ensure that each contractor/subcontractor employee has completed the NIH Computer Security Awareness Training course at: http://irtsectraining.nih.gov/ prior to performing any
contract work, and thereafter completing the NIH-specified fiscal year refresher course during the period of performance of the contract. 
 The contractor shall maintain a listing by name and title of each contractor/subcontractor employee working under this contract that has completed the NIH required training. Any additional security
training completed by contractor/subcontractor staff shall be included on this listing. The listing of completed training shall be included in the first technical progress report. (See Article C.2. Reporting Requirements.) Any revisions to this
listing as a result of staffing changes shall be submitted with next required technical progress report. 
  

	e.	Rules of Behavior 

  
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 The contractor/subcontractor employees shall comply with the NIH Information Technology
General Rules of Behavior at: http://irm.cit.nih.gov/security/nihitrob.html. 
  

	f.	Personnel Security Responsibilities 

 The contractor shall perform and document the actions identified in the “Employee Separation Checklist”, attached and made a part of this contract, when a contractor/subcontractor employee
terminates work under this contract. All documentation shall be made available to the Project Officer and/or Contracting Officer upon request. 
  

	g.	Commitment to Protect Non-Public Departmental Information Systems and Data 

 

	 	(1)	Contractor Agreement 

 The
Contractor and its subcontractors performing under this SOW shall not release, publish, or disclose non-public Departmental information to unauthorized personnel, and shall protect such information in accordance with provisions of the following laws
and any other pertinent laws and regulations governing the confidentiality of such information: 
  

	 	•	 	 18 U.S.C. 641 (Criminal Code: Public Money, Property or Records) 

 

	 	•	 	 18 U.S.C. 1905 (Criminal Code: Disclosure of Confidential Information) 

 

	 	•	 	 Public Law 96-511 (Paperwork Reduction Act) 

  

	 	(2)	Contractor-Employee Non-Disclosure Agreements 

 Each contractor/subcontractor employee who may have access to non-public Department information under this contract shall complete the Commitment to Protect Non-Public Information - Contractor Agreement.
A copy of each signed and witnessed Non-Disclosure agreement shall be submitted to the Project Officer prior to performing any work under the contract. 
  

	h.	NIST SP 800-26 Self-Assessment Questionnaire 

 The contractor shall annually update and re-submit its Self-Assessment Questionnaire required by NIST Draft SP 800-26, Revision 1, Guide for Information Security Program Assessments and System Reporting
Form (http://csrc.nist.gov/publications/drafts/Draft-sp800-26Revl.pdf - See Appendix B for format). 
 Subcontracts: The
contractor’s annual update to its Self-Assessment Questionnaire shall include similar information for any subcontractor that performs under the SOW to (1) develop a Federal information system(s) at the
contractor’s/subcontractor’s facility, or (2) host and/or maintain a Federal information system(s) at the contractor’s/subcontractor’s facility. 
 The annual update shall be submitted to the Project Officer, with a copy to the Contracting Officer on the anniversary date of the contract award. 

  
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	 	i.	Information System Security Plan 

 The contractor’s draft ISSP submitted with its proposal shall be finalized in coordination with the Project Officer no later than [**] calendar days after contract award. 

Following approval of its draft ISSP, the contractor shall update and resubmit its ISSP to the Project Officer every [**] years or when a
major modification has been made to its internal system. The contractor shall use the current ISSP template in Appendix A of NIST SP 800-18, Guide to Developing Security Plans for Federal Information Systems.
(http://csrc.nist.gov/publications/nistpubs/800-18-Revl/sp800-18-Revl-final.pdf). The details contained in the contractor’s ISSP shall be commensurate with the size and complexity of the requirements of the SOW based on the System
Categorization determined above in subparagraph (b) Security Categories and Levels of this Article. 
 Subcontracts: The
contractor shall include similar information for any subcontractor performing under the SOW with the contractor whenever the submission of an ISSP is required. 
 ARTICLE H.12. ELECTRONIC AND INFORMATION TECHNOLOGY STANDARDS 
 Pursuant to Section 508
of the Rehabilitation Act of 1973 (29 U.S.C. 794d) as amended by P.L. 105-220 under Title IV (Rehabilitation Act Amendments of 1998) all Electronic and Information Technology (EIT) developed, procured, maintained and/or used under this contract
shall be in compliance with the “Electronic and Information Technology Accessibility Standards set forth by the Architectural and Transportation Barriers Compliance Board (also referred to as the “Access Board” in 36 CFR Part 1194.
The complete text of Section 508 Final Standards can be accessed at http://www.access-board.gov/. The standards applicable to this requirement are identified in the Statement of Work. 

ARTICLE H.13. ENERGY STAR REQUIREMENTS 

Executive Order 13123, “Greening the Government Through Efficient Energy Management” and FAR 23.203 require that when Federal Agencies acquire
energy using products, they select, where life-cycle cost-effective, and available, ENERGY STAR7 or other energy efficient products. 
 Unless
the Contracting Officer determines otherwise, all energy-using products acquired under this contract must be either an ENERGY STAR7 or other energy efficient product designated by the Department of Energy’s Federal Energy Management Program
(FEMP). 
 For more information about ENERGY STAR7 see http://www.energystar.gov/ For more information about FEMP see
http://www.eere.energy.gov/ 
 ARTICLE H.14. CONFIDENTIALITY OF INFORMATION 

The following information is covered by HHSAR Clause 352.224-70, Confidentiality of Information (MARCH 2005): Any information that includes patient
identifiers. 

  
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 ARTICLE H.15. PUBLICATION AND PUBLICITY 
 The contractor shall acknowledge the support of the National Institutes of Health whenever publicizing the work under this contract in any media by including an acknowledgment substantially as follows:

 “This project has been funded in whole or in part with Federal funds from the National Institute of Allergy and
Infectious Diseases, National Institutes of Health, Department of Health and Human Services, under Contract No. N0I-AI-60019.” 

ARTICLE H.16. PRESS RELEASES 
  

	a.	Pursuant to Public Law(s) cited in paragraph b., below, the contractor shall clearly state, when issuing statements, press releases, requests for proposals, bid
solicitations and other documents describing projects or programs funded in whole or in part with Federal money: (1) the percentage of the total costs of the program or project which will be financed with Federal money; (2) the dollar
amount of Federal funds for the project or program; and (3) the percentage and dollar amount of the total costs of the project or program that will be financed by nongovernmental sources. 

 

									
	b.	 	Public Law and Section No.	  	Fiscal Year	  	Period Covered	  	 
		 	 P.L. 109-149, Title V-General Provisions
	  	2006	  	(10/1/2005-9/30/2006)	  	
		 	 Section 506
	  		  		  	

 ARTICLE H.17. REPORTING MATTERS INVOLVING FRAUD, WASTE AND ABUSE 

Anyone who becomes aware of the existence or apparent existence of fraud, waste and abuse in NIH funded programs is encouraged to report such matters to
the HHS Inspector General’s Office in writing or on the Inspector General’s Hotline. The toll free number is 1-800-HHS-TIPS (1-800-447-8477). All telephone calls will be handled confidentially. The e-mail address is
Htips@os.dhhs.gov and the mailing address is: 
 Office of Inspector General 

Department of Health and Human Services 
 TIPS HOTLINE 
 P.O. Box 23489 

Washington, D.C. 20026 

ARTICLE H.18. ANTI-LOBBYING 
  

	a.	Pursuant to Public Law(s) cited in paragraph C., below, contract funds shall only be used for normal and recognized executive-legislative relationships. Contract funds
shall not be used, for publicity or propaganda purposes; or for the preparation, distribution, or use of any kit, pamphlet, booklet, publication, radio, television, or video presentation designed to support or defeat legislation pending before the
Congress or any State legislature, except in presentation to the Congress or any State legislature itself. 

  
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	b.	Contract funds shall not be used to pay salary or expenses of the contractor or any agent acting for the contractor, related to any activity designed to influence
legislation or appropriations pending before the Congress or any State legislature. 

  

									
	c.	 	Public Law and Section No.	  	Fiscal Year	  	Period Covered	  	
		 	for a., above: P. L. 109-149, Title V-General Provisions Section 503a	  	FY-06	  	(10/1/2005-9/30/2006)	  	
		 	for b., above: P.L. 109-149, Title V-General Provisions Section 503b.	  	FY-06	  	(10/1/2005-9/30/2006)	  	

 ARTICLE H.19. SHARING RESEARCH DATA 
 The data sharing plan submitted by the contractor is acceptable. The contractor agrees to adhere to its plan and shall request prior approval of the Contracting Officer for any changes in its plan.

 The NIH endorses the sharing of final research data to expedite the translation of research results into knowledge, products, and procedures
to improve human health. This contract is expected to generate research data that must be shared with the public and other researchers. NIH’s data sharing policy may be found at the following Web site:
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-032.html 
 NIH recognizes that data sharing may be complicated or limited, in
some cases, by institutional policies, local IRB rules, as well as local, state and Federal laws and regulations, including the Privacy Rule (see HHS-published documentation on the Privacy Rule at http://www.hhs.gov/ocr/). The rights and
privacy of people who participate in NIH-funded research must be protected at all times; thus, data intended for broader use should be free of identifiers that would permit linkages to individual research participants and variables that could lead
to deductive disclosure of the identity of individual subjects. 
 ARTICLE H.20. HOTEL AND MOTEL FIRE SAFETY ACT OF 1990 (P.L. 101-391)

 Pursuant to Public Law 101-391, no Federal funds may be used to sponsor or fund in whole or in part a meeting, convention, conference or
training seminar that is conducted in, or that otherwise uses the rooms, facilities, or services of a place of public accommodation that do not meet the requirements of the fire prevention and control guidelines as described in the Public Law. This
restriction applies to public accommodations both foreign and domestic. Public accommodations that meet the requirements can be accessed at: http://www.usfa.fema.gov/hotel/index.htm 
 ARTICLE H.21. NIH POLICY ON ENHANCING PUBLIC ACCESS TO ARCHIVED PUBLICATIONS RESULTING FROM NIH-FUNDED RESEARCH 
 The Policy requests that beginning May 2, 2005, NIH-funded investigators submit to the NIH National Library of Medicine’s (NLM) PubMed Central (PMC) an electronic version of the author’s
final manuscript, upon acceptance for publication, resulting from research supported in whole or in part with direct costs from NIH. NIH defines the author’s final manuscript as the final version accepted for journal publication, and includes
all modifications from the publishing peer review process. The PMC archive will preserve permanently these manuscripts for use by the public, health care providers, educators, scientists, and NIH. The Policy directs electronic

  
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submissions to the NIHINLM/PMC: http://www.pubmedcentral.nih.gov. Additional information is available at http://grants.nih.gov/grants/guide/notice-filesINOT-OD-05-022.html.

 PART II - CONTRACT CLAUSES 
 SECTION I - CONTRACT CLAUSES 
 ARTICLE I.1. GENERAL CLAUSES FOR A COST-REIMBURSEMENT
RESEARCH AND DEVELOPMENT CONTRACT - FAR 52.252-2, CLAUSES INCORPORATED BY REFERENCE (FEBRUARY 1998) 
 This contract incorporates the
following clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this
address: http://www.acquisition.gov/comp/far/index.html. 
 a. FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES:

  

					
	 FAR
 CLAUSE NO.
	  	 DATE
	  	 TITLE

			
	 52.202-1
	  	Jul 2004	  	Definitions (Over $100,000)
			
	 52.203-3
	  	Apr 1984	  	Gratuities (Over $100,000)
			
	 52.203-5
	  	Apr 1984	  	Covenant Against Contingent Fees (Over $100,000)
			
	 52.203-6
	  	Jul 1995	  	Restrictions on Subcontractor Sales to the Government (Over $100,000)
			
	 52.203-7
	  	Jul 1995	  	Anti-Kickback Procedures (Over $100,000)
			
	 52.203-8
	  	Jan 1997	  	Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity (Over $100,000)
			
	 52.203-10
	  	Jan 1997	  	Price or Fee Adjustment for Illegal or Improper Activity (Over $100,000)
			
	 52.203-12
	  	Sep 2005	  	Limitation on Payments to Influence Certain Federal Transactions (Over $100,000)
			
	 52.204-4
	  	Aug 2000	  	Printed or Copied Double-Sided on Recycled Paper (Over $100,000)
			
	 52.204-7
	  	Jul 2006	  	Central Contractor Registration
			
	 52.209-6
	  	Jan 2005	  	Protecting the Government’s Interests When Subcontracting With Contractors Debarred, Suspended, or Proposed for Debarment (Over $25,000)
			
	 52.215-2
	  	Jun 1999	  	Audit and Records - Negotiation (Over $100,000)
			
	 52.215-8
	  	Oct 1997	  	Order of Precedence - Uniform Contract Format
			
	 52.215-10
	  	Oct 1997	  	Price Reduction for Defective Cost or Pricing Data

  
 30 

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

					
	 FAR
 CLAUSE NO.
	  	 DATE
	  	 TITLE

			
	 52.215-12
	  	Oct 1997	  	Subcontractor Cost or Pricing Data (Over $500,000)
			
	 52.215-14
	  	Oct 1997	  	Integrity of Unit Prices (Over $100,000)
			
	 52.215-15
	  	Oct 2004	  	Pension Adjustments and Asset Reversions
			
	 52.215-18
	  	Jul 2005	  	Reversion or Adjustment of Plans for Post-Retirement Benefits (PRB) other than Pensions
			
	 52.215-19
	  	Oct 1997	  	Notification of Ownership Changes
			
	 52.215-21
	  	Oct 1997	  	Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data – Modifications
			
	 52.216-7
	  	Dec 2002	  	Allowable Cost and Payment
			
	 52.216-8
	  	Mar 1997	  	Fixed Fee
			
	 52.219-8
	  	May 2004	  	Utilization of Small Business Concerns (Over $100,000)
			
	 52.219-9
	  	Jul 2005	  	Small Business Subcontracting Plan (Over $500,000, $1,000,000 for Construction)
			
	 52.219-16
	  	Jan 1999	  	Liquidated Damages - Subcontracting Plan (Over $500,000, $1,000,000 for Construction)
			
	 52.222-2
	  	Jul 1990	  	Payment for Overtime Premium (Over $100,000) (Note: The dollar amount in paragraph (a) of this clause is $0 unless otherwise specified in the contract.)
			
	 52.222-3
	  	Jun 2003	  	Convict Labor
			
	 52.222-21
	  	Feb 1999	  	Prohibition of Segregated Facilities
			
	 52.222-26
	  	Apr 2002	  	Equal Opportunity
			
	 52.222-35
	  	Dec 2001	  	Equal Opportunity for Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans
			
	 52.222-36
	  	Jun 1998	  	Affirmative Action for Workers with Disabilities
			
	 52.222-37
	  	Dec 2001	  	Employment Reports on Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans
			
	 52.222-50
	  	Apr 2006	  	Combating Trafficking in Persons
			
	 52.223-6
	  	May 2001	  	Drug-Free Workplace
			
	 52.223-14
	  	Aug 2003	  	Toxic Chemical Release Reporting (Over $100,000)
			
	 52.225-1
	  	Jun 2003	  	Buy American Act -Supplies
			
	 52.225-13
	  	Feb 2006	  	Restrictions on Certain Foreign Purchases
			
	 52.227-1
	  	Jul 1995	  	Authorization and Consent, Alternate I (Apr 1984)
			
	 52.227-2
	  	Aug 1996	  	Notice and Assistance Regarding Patent and Copyright Infringement (Over $100,000)

  
 31 

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

					
	 FAR
 CLAUSE NO.
	  	 DATE
	  	 TITLE

			
	 52.227-11
	  	Jun 1997	  	Patent Rights -Retention by the Contractor (Short Form) (Note: In accordance with FAR 27.303(a)(2), paragraph (f) is modified to include the requirements in FAR 27.303(a)(2)(i)
through (iv). The frequency of reporting in (i) is annual.
			
	 52.227-14
	  	Jun 1987	  	Rights in Data - General
			
	 52.232-9
	  	Apr 1984	  	Limitation on Withholding of Payments
			
	 52.232-17
	  	Jun 1996	  	Interest (Over $100,000)
			
	 52.232-20
	  	Apr 1984	  	Limitation of Cost
			
	 52.232-23
	  	Jan 1986	  	Assignment of Claims
			
	 52.232-25
	  	Oct 2003	  	Prompt Payment, Alternate I (Feb 2002)
			
	 52.232-33
	  	Oct 2003	  	Payment by Electronic Funds Transfer--Central Contractor Registration
			
	 52.233-1
	  	Jul 2002	  	Disputes
			
	 52.233-3
	  	Aug 1996	  	Protest After Award, Alternate I (Jun 1985)
			
	 523.233-4
	  	Oct 2004	  	Applicable Law for Breach of Contract Claim
			
	 52.242-1
	  	Apr 1984	  	Notice of Intent to Disallow Costs
			
	 52.242-3
	  	Aug 1996	  	Penalties for Unallowable Costs (Over $500,000)
			
	 52.242-4
	  	Jan 1997	  	Certification of Final Indirect Costs
			
	 52.242-13
	  	Jul 1995	  	Bankruptcy (Over $100,000)
			
	 52.243-2
	  	Aug 1987	  	Changes - Cost Reimbursement, Alternate V (Apr 1984)
			
	 52.244-2
	  	Aug 1998	  	Subcontracts, Alternate I (January 2006)
			
	 52.244-5
	  	Dec 1996	  	Competition in Subcontracting (Over $100,000)
			
	 52.244-6
	  	Feb 2006	  	Subcontracts for Commercial Items
			
	 52.245-5
	  	May 2004	  	Government Property (Cost-Reimbursement, Time and Material, or Labor-Hour Contract)
			
	 52.245-9
	  	Aug 2005	  	Use and Charges
			
	 52.246-23
	  	Feb 1997	  	Limitation of Liability (Over $100,000)
			
	 52.249-6
	  	Sep 1996	  	Termination (Cost-Reimbursement)
			
	 52.249-14
	  	Apr 1984	  	Excusable Delays
			
	 52.253-1
	  	Jan 1991	  	Computer Generated Forms

  
 32 

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

	b.	DEPARTMENT OF HEALTH AND HUMAN SERVICES ACQUISITION REGULATION (HHSAR) (48 CFR CHAPTER 3) CLAUSES: 

 

					
	 HHSAR CLAUSE NO
	  	 DATE
	  	 TITLE

			
	 352.202-1
	  	Jan 2001	  	Definitions - with Alternate paragraph (h) (Jan 2001)
			
	 352.216-72
	  	Oct 1990	  	Additional Cost Principles
			
	 352.228-7
	  	Dec 1991	  	Insurance - Liability to Third Persons
			
	 352.232-9
	  	Apr 1984	  	Withholding of Contract Payments
			
	 352.233-70
	  	Apr 1984	  	Litigation and Claims
			
	 352.242-71
	  	Apr 1984	  	Final Decisions on Audit Findings
			
	 352.270-5
	  	Apr 1984	  	Key Personnel
			
	 352.270-6
	  	Jul 1991	  	Publications and Publicity
			
	 352.270-7
	  	Jan 2001	  	Paperwork Reduction Act

 ARTICLE I.2. AUTHORIZED SUBSTITUTIONS OF CLAUSES 
 ARTICLE 1.1. of this SECTION is hereby modified as follows: 
 FAR
Clause 52.232-20, Limitation of Cost (April 1984), is deleted in its entirety and FAR Clause 52.232-22, Limitation Of Funds (April 1984) is substituted therefor. [NOTE: When
this contract is fully funded, FAR Clause 52.232-22, LIMITATION OF FUNDS will no longer apply and FAR Clause 52.232-20, LIMITATION OF COST will become applicable.] 
 ARTICLE I.3. ADDITIONAL CONTRACT CLAUSES 
 This contract incorporates the following clauses
by reference, with the same force and effect, as if they were given in full text. Upon request, the contracting officer will make their full text available. 
  

	a.	FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES 

  

	 	(1)	FAR Clause 52.215-17, Waiver of Facilities Capital Cost of Money (October 1997). 

 

	 	(2)	FAR Clause 52.219-4, Notice of Price Evaluation Preference for HUBZone Small Business Concerns (July 2005). 

“(c) Waiver of evaluation preference... 
         [ ] Offeror elects to waive the evaluation preference.” 
  

	 	(3)	FAR Clause 52.219-25, Small Disadvantaged Business Participation Program-Disadvantaged Status and Reporting (October 1999). 

  
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	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

	 	(4)	FAR Clause 52.223-12, Refrigeration Equipment and Air Conditioners (May 1995) 

 

	 	(5)	FAR Clause 52.224-1, Privacy Act Notification (April 1984). 

  

	 	(6)	FAR Clause 52.224-2, Privacy Act (April 1984). 

  

	 	(7)	FAR Clause 52.227-14, Rights in Data - General (June 1987). 

  

	 	(8)	Alternate V (June 1987), FAR Clause 52.227-14, Rights in Data - General (June 1987). Specific data items that are not subject to paragraph
(j) include: None 

  

	 	(9)	FAR Clause 52.227-16, Additional Data Requirements (June 2987) 

  

	 	(10)	FAR Clause 52.242-3, Penalties for Unallowable Costs (May 2001). 

  

	 	(11)	FAR Clause 52.247-63, Preference for U.S. Flag Air Carriers (June 2003). 

 

	b.	DEPARTMENT OF HEALTH AND HUMAN SERVICES ACQUISITION REGULATION (HHSAR) (48 CHAPTER 3) CLAUSES: 

 

	 	(1)	HHSAR Clause 352.223-70, Safety and Health (January 2001). [This clause is provided in full text in SECTION J - Attachments.] 

 

	 	(2)	HHSAR Clause 352.224-70, Confidentiality of Information (April 1984 -including revisions mandated by the 1/3/2005 Federal Register notice which was effective
March 2005). 

  

	 	(3)	HHSAR Clause 352.270-8, Protection of Human Subjects (March 2005). 

 

	c.	NATIONAL INSTITUTES OF HEALTH (NIH) RESEARCH CONTRACTING (RC) CLAUSES: 

 The following clauses are attached and made a part of this contract: 
  

	 	(1)	NIH (RC)-7, Procurement of Certain Equipment (April 1984). 

  

	 	(2)	NIH(RC)-11, Research Patient Care Costs (4/1/84). 

 ARTICLE I.4. ADDITIONAL FAR CONTRACT CLAUSES INCLUDED IN FULL TEXT 
 This contract
incorporates the following clauses in full text. 
 FEDERAL ACQUISITION REGULATION (FAR)(48 CFR CHAPTER 1) CLAUSES: 

 

	a.	FAR Clause 52.222-39, Notification Of Employee Rights Concerning Payment Of Union Dues Or Fees (December 2004) 

 

	 	(a)	Definition. As used in this clause— - 

  
 34 

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

 United States means the 50 States, the District of Columbia, Puerto Rico, the
Northern Mariana Islands, American Samoa, Guam, the U.S. Virgin Islands, and Wake Island. 
  

	 	(b)	Except as provided in paragraph (e) of this clause, during the term of this contract, the Contractor shall post a notice, in the form of a poster, informing
employees of their rights concerning union membership and payment of union dues and fees, in conspicuous places in and about all its plants and offices, including all places where notices to employees are customarily posted. The notice shall include
the following information (except that the information pertaining to National Labor Relations Board shall not be included in notices posted in the plants or offices of carriers subject to the Railway Labor Act, as amended (45 U.S.C. 151-188)).

 Notice to Employees 
 Under Federal law, employees cannot be required to join a union or maintain membership in a union in order to retain their jobs. Under certain conditions, the law permits a union and an employer to enter
into a union-security agreement requiring employees to pay uniform periodic dues and initiation fees. However, employees who are not union members can object to the use of their payments for certain purposes and can only be required to pay their
share of union costs relating to collective bargaining, contract administration, and grievance adjustment. 
 If you do not want
to pay that portion of dues or fees used to support activities not related to collective bargaining, contract administration, or grievance adjustment, you are entitled to an appropriate reduction in your payment. If you believe that you have been
required to pay dues or fees used in part to support activities not related to collective bargaining, contract administration, or grievance adjustment, you may be entitled to a refund and to an appropriate reduction in future payments. 

For further information concerning your rights, you may wish to contact the National Labor Relations Board (NLRB) either at one of its
Regional offices or at the following address or toll free number: 
 National Labor Relations Board 

Division of Information 
 1099 14th Street, N.W. 
 Washington, DC 20570 

1-866-667-6572 

1-866-316-6572 (TTY) 
 To locate the nearest NLRB office, see NLRB’s website at http://www.nlrb.gov. 

  
 35 

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

	 	(c)	The Contractor shall comply with all provisions of Executive Order 13201 of February 17, 2001, and related implementing regulations at 29 CFR part 470, and orders
of the Secretary of Labor. 

  

	 	(d)	In the event that the Contractor does not comply with any of the requirements set forth in paragraphs (b), (c), or (g), the Secretary may direct that this contract be
cancelled, terminated, or suspended in whole or in part, and declare the Contractor ineligible for further Government contracts in accordance with procedures at 29 CFR part 470, Subpart B—Compliance Evaluations, Complaint Investigations and
Enforcement Procedures. Such other sanctions or remedies may be imposed as are provided by 29 CFR part 470, which implements Executive Order 13201, or as are otherwise provided by law. 

 

	 	(e)	The requirement to post the employee notice in paragraph (b) does not apply to— 

 

	 	(1)	Contractors and subcontractors that employ fewer than 15 persons; 

  

	 	(2)	Contractor establishments or construction work sites where no union has been formally recognized by the Contractor or certified as the exclusive bargaining
representative of the Contractor’s employees; 

  

	 	(3)	Contractor establishments or construction work sites located in a jurisdiction named in the definition of the United States in which the law of that jurisdiction
forbids enforcement of union-security agreements; 

  

	 	(4)	Contractor facilities where upon the written request of the Contractor, the Department of Labor Deputy Assistant Secretary for Labor-Management Programs has waived the
posting requirements with respect to any of the Contractor’s facilities if the Deputy Assistant Secretary finds that the Contractor has demonstrated that— 

 

	 	(i)	The facility is in all respects separate and distinct from activities of the Contractor related to the performance of a contract; and 

 

	 	(ii)	Such a waiver will not interfere with or impede the effectuation of the Executive order; or 

 

	 	(5)	Work outside the United States that does not involve the recruitment or employment of workers within the United States. 

 

	 	(f)	The Department of Labor publishes the official employee notice in two variations; one for contractors covered by the Railway Labor Act and a second for all other
contractors. The Contractor shall— 

  

	 	(1)	 Obtain the required employee notice poster from the Division of Interpretations and Standards, Office of Labor-Management Standards, U.S. Department of
Labor, 200 Constitution Avenue, NW, Room N-5605, Washington, DC 20210, or from any field office of the Department’s 

  
 36 

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

	 	
Office of Labor-Management Standards or Office of Federal Contract Compliance Programs; 

  

	 	(2)	Download a copy of the poster from the Office of Labor-Management Standards website at http://www.olms.dol.gov; or 

 

	 	(3)	Reproduce and use exact duplicate copies of the Department of Labor’s official poster. 

 

	 	(g)	The Contractor shall include the substance of this clause in every subcontract or purchase order that exceeds the simplified acquisition threshold, entered into in
connection with this contract, unless exempted by the Department of Labor Deputy Assistant Secretary for Labor-Management Programs on account of special circumstances in the national interest under authority of 29 CFR 470.3(c). For indefinite
quantity subcontracts, the Contractor shall include the substance of this clause if the value of orders in any calendar year of the subcontract is expected to exceed the simplified acquisition threshold. Pursuant to 29 CFR part 470, Subpart
B—Compliance Evaluations, Complaint Investigations and Enforcement Procedures, the Secretary of Labor may direct the Contractor to take such action in the enforcement of these regulations, including the imposition of sanctions for noncompliance
with respect to any such subcontractor purchase order. If the Contractor becomes involved in litigation with a subcontractor or vendor, or is threatened with such involvement, as a result of such direction, the Contractor may request the United
States, through the Secretary of Labor, to enter into such litigation to protect the interests of the United States. 

 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS 
 SECTION J - LIST OF
ATTACHMENTS 
 The following documents are attached and incorporated in this contract: 

 

	 	1.	Statement of Work, August 2006, 15 pages. 

  

	 	2.	Invoice/Financing Request and Contract Financial Reporting Instructions for NIH Cost-Reimbursement Type Contracts, NIH(RC)-4, (11/03), 5 pages.

  

	 	3.	Inclusion Enrollment Report, 5/01 (Modified OAMP: 10/01), 2 pages. 

  

	 	4.	Safety and Health, HHSAR Clause 352.223-70, (1/01), 1 page. 

  

	 	5.	Procurement of Certain Equipment, NIH(RC)-7, 4/1/84, 1 page. 

  

	 	6.	Research Patient Care Costs, NIH(RC)-11, 4/1/84, 1 page 

  

	 	7.	Disclosure of Lobbying Activities, SF LLL, 3 pages. 

  

	 	8.	Employee Separation Checklist, 1 page. Fillable PDF format located at: http://rcb.cancer.gov/rcb-internet.nci.nih.gov/forms/Emp-sep-checklist.pdf

  

	 	9.	Report of Government Owned, Contractor Held Property, 1 page. 

  
 37 

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

 PART IV - REPRESENTATION AND CERTIFICATIONS 

AND OTHER STATEMENTS OF OFFERORS 
 SECTION K - REPRESENTATIONS AND CERTIFICATIONS 
 The following documents are incorporated by
reference in this contract: 
  

	1.	Representations and Certifications dated 8/10/06. In addition, the Contractor agrees to complete an Annual Representations and Certifications located at the Online
Representations and Certifications Application (ORCA) website. [This includes the changes identified in paragraph (b) of the FAR provision 52.204-8, Annual Representations and Certifications, contained in the contractor’s proposal.

  

	2.	Human Subjects Assurance Identification Number FWA00010561, dated 08/28/2006. 

END of the SCHEDULE 
 (CONTRACT) 

  
 38 

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

 STATEMENT OF WORK 
 Independently, and not as an agent of the Government, the Contractor shall furnish all necessary services, qualified professional, technical, and administrative personnel, material, equipment and
facilities, not otherwise provided by the Government under the terms of this contract, as needed to perform the tasks set forth below. 
 The
goal of this Research Program is to design, develop, and clinically test an autologous HIV immunotherapy capable of eliciting therapeutic immune responses and which is comprised of [**]. The Research Program described in this proposal is divided
into 5 Projects, an Administrative Core and a pre-clinical RNA Core. A schematic of the overall Research Program is depicted in Figure 1 below: 
 [**] 
 Figure 1. Schematic of the overall Research program. See text for details

 Argos therapeutics has developed an autologous HIV immunotherapy. This product, designated AGS-004, consists of [**]. 

 
 Project 1: 

 Summary. [**]. 

Project 1 deliverables: 
  

	 	•	 	 [**]. 

 
 Project 2: 

 Summary. 
 [**]. 
 Project 2 deliverables: 

 

	 	•	 	 [**] 

 
 Project 3: 

 Summary. Activities described in Project 3 will [**]. 

Project 3 deliverables: 
  

	 	•	 	 [**] 

 
 Project 4: 

  

					
	Statement of Work dated 08/2006	 	1	 	Attachment 1

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

 Summary. In order to [**]. 
 Project 4 deliverables: 
  

	 	•	 	 [**] 

 
 Project 5: 

  

	 	•	 	 Summary. Since the overall goal of this Contract is to identify improvements to Argos’ RNA/DC HIV ‘base product’ (designated
AGS-004), [**]. 

 Project 5 deliverables. 
 [**] 
 Timelines 

[**] 
 Milestones

 [**]  

 
 Contract Administration and Organizational Structure 

 The organizational structure
for this Program centers upon the Administrative Core. This Core provides a formal structure for oversight and planning of the research and other activities, and provides for coordination among the research projects and between research, research
translation, and clinical activities. Lines of accountability are clearly defined. This structure monitors scientific progress, quality control and operational issues, and budgetary oversight. This structure also provides a mechanism for sharing of
information or resources with investigators at other institutions. An organizational diagram appears below. In this diagram, the direct reporting lines from Project and Core and Project Directors to the PI denote scientific exchange, while the
Administrative Core itself provides a structure for assimilation of this information and dissemination of findings among investigators. 

  

					
	Statement of Work dated 08/2006	 	2	 	Attachment 1

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

 

 
 The Administrative Core is designed to cover 3 functional areas: 

 

	 	1.	Program administration - The Principle Investigator will administer over all technical aspects of the Contract and assume responsibility for all reporting
requirements. 

  

	 	2.	Fiscal administration - Oversight of all fiscal matters including invoice tracking, financial reporting to NIAD, and periodic financial audits of subcontractors.

  

	 	3.	General administration - Management of all documents associated with the Contract, maintain current contact information, and coordinate NIAID site visits,
Executive Committee meetings, and External Advisory Board meetings. 

 Executive Committee. The Executive Committee will
teleconference [**] with each active performance site to coordinate activities, monitor progress, and to discuss how to overcome problems that have been or may be encountered. Minutes from these teleconferences will be distributed to all performance
sites for the purpose of sharing data and progress updates, soliciting feedback and facilitating communication between the researchers. 

External Advisory Board. Members of the External Advisory Board will be jointly agreed upon by the Contractor and NIAID after award of the
Contract. Members should be experts in the relevant field(s) of research and not associated in any way with the contracted work plan. The Contractor suggests that the Board should consist of [**] members and has budgeted accordingly for estimated
annual travel and per diem consulting fees. 

  

					
	Statement of Work dated 08/2006	 	3	 	Attachment 1

					
	Argos Therapeutics, Inc.	 		 	Contract No. HHSN266200600019C

  

 Reporting. The Principle Investigator assumes responsibility for all technical and fiscal
reporting requirements. The Administrative Core along with the Executive Committee provides support for these activities. 
 Specifically, the
Contractor shall furnish, from the office of the Principle Investigator: 
  

	 	•	 	 An Information Security plan within [**] weeks of the Contract award 

 

	 	•	 	 Goals and Milestones Achievement Reports at NIAID’s request 

 

	 	•	 	 An annual Technical Report within [**] weeks of each annual anniversary 

 

	 	•	 	 An annual Site Visit Review Report within [**] weeks of each meeting 

 

	 	•	 	 A Final Technical Report no later than the completion date of the Contract 

  

					
	Statement of Work dated 08/2006	 	4	 	Attachment 1

					
		 		 	Contract No. HHSN266200600019C

  

 INVOICE/FINANCING REQUEST AND CONTRACT FINANCIAL REPORTING INSTRUCTIONS FOR NIH
COST-REIMBURSEMENT CONTRACTS, NIH(RC)-4 
 General: The contractor shall submit claims for reimbursement in the manner and format
described herein and as illustrated in the sample invoice/financing request. 
 Format: Standard Form 1034, “Public Voucher for
Purchases and Services Other Than Personal,” and Standard Form 1035, “Public Voucher for Purchases and Services Other Than Personal—Continuation Sheet,” or reproduced copies of such forms marked ORIGINAL should be used to submit
claims for reimbursement. In lieu of SF-1034 and SF-1035, claims may be submitted on the payee’s letter-head or self-designed form provided that it contains the information shown on the sample invoice/financing request. 

Number of Copies: As indicated in the Invoice Submission Clause in the contract. 
 Frequency: Invoices/financing requests submitted in accordance with the Payment Clause shall be submitted monthly unless otherwise authorized by the contracting officer. 

Cost Incurrence Period: Costs incurred must be within the contract performance period or covered by precontract cost provisions. 

Billing of Costs Incurred: If billed costs include: (1) costs of a prior billing period, but not previously billed; or (2) costs
incurred during the contract period and claimed after the contract period has expired, the amount and month(s) in which such costs were incurred shall be cited. 
 Contractor’s Fiscal Year: Invoices/financing requests shall be prepared in such a manner that costs claimed can be identified with the contractor’s fiscal year. 

Currency: All NIH contracts are expressed in United States dollars. When payments are made in a currency other than United States dollars,
billings on the contract shall be expressed, and payment by the United States Government shall be made, in that other currency at amounts coincident with actual costs incurred. Currency fluctuations may not be a basis of gain or loss to the
contractor. Notwithstanding the above, the total of all invoices paid under this contract may not exceed the United States dollars authorized. 

Costs Requiring Prior Approval: Costs requiring the contracting officer’s approval, which are not set forth in an Advance Understanding in
the contract shall be so identified and reference the Contracting Officer’s Authorization (COA) Number. In addition, any cost set forth in an Advance Understanding shall be shown as a separate line item on the request. 

Invoice/Financing Request Identification: Each invoice/financing request shall be identified as either: 

 

	(a)	Interim Invoice/Contract Financing Request - These are interim payment requests submitted during the contract performance period. 

 

	(b)	 Completion Invoice - The completion invoice is submitted promptly upon completion of the work; but no later than one year from the contract
completion date, or within 120 

  

					
	 NIH(RC)-4
 Rev.
11/2003
	 	1	 	ATTACHMENT 2

					
		 		 	Contract No. HHSN266200600019C

  

	 	
days after settlement of the final indirect cost rates covering the year in which this contract is physically complete (whichever date is later). The completion invoice should be submitted when
all costs have been assigned to the contract and all performance provisions have been completed. 

  

	(c)	Final Invoice - A final invoice may be reqUired after the amounts owed have been settled between the Government and the contractor (e.g., resolution of all
suspensions and audit exceptions). 

 Preparation and Itemization of the Invoice/Financing Request: The contractor shall
furnish the information set forth in the explanatory notes below. These notes are keyed to the entries on the sample invoice/financing request. 
  

	(a)	Designated Billing Office Name and Address - Enter the designated billing office and address, identified in the Invoice Submission Clause of the contract, on all
copies of the invoice/financing request. 

  

	(b)	Invoice/Financing Request Number - Insert the appropriate serial number of the invoice/financing request. 

 

	(c)	Date Invoice/Financing Request Prepared - Insert the date the invoice/financing request is prepared. 

 

	(d)	Contract Number, ADB Number and Date - Insert both the contract number and the ADS number (which appears in the upper left hand corner of the face page of the
contract), and the effective date of the contract. 

  

	(e)	Payee’s Name and Address - Show the contractor’s name (as it appears in the contract), correct address, and the title and phone number of the
responsible official to whom payment is to be sent. When an approved assignment has been made by the contractor, or a different payee has been designated, then insert the name and address of the payee instead of the contractor.

  

	(f)	Total Estimated Cost of Contract - Insert the total estimated cost of the contract, exclusive of fixed-fee. For incrementally funded contracts, enter the amount
currently obligated and available for payment. 

  

	(g)	Total Fixed-Fee - Insert the total fixed-fee (where applicable). For incrementally funded contracts, enter the amount currently obligated and available for
payment. 

  

	(h)	Billing Period - Insert the beginning and ending dates (month, day, and year) of the period in which costs were incurred and for which reimbursement is claimed.

  

	(i)	Incurred Cost - Current - Insert the amount billed for the major cost elements, adjustments, and adjusted amounts for the current period.

  

	(j)	Incurred Cost - Cumulative - Insert the cumulative amounts billed for the major cost elements and adjusted amounts claimed during this contract.

  

					
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 Rev.
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	 	2	 	ATTACHMENT 2

					
		 		 	Contract No. HHSN266200600019C

  

	(k)	Direct Costs - Insert the major cost elements. For each .element, consider the application of the paragraph entitled “Costs Requiring Prior Approval”
on page 1 of these instructions. 

  

	 	(l)	Direct Labor - Include salaries and wages paid (or accrued) for direct performance of the contract. For Key Personnel, list each employee on a separate line.
List other employees as one amount unless otherwise required by the contract. 

  

	 	(2)	Fringe Benefits - List any fringe benefits applicable to direct labor and billed as a direct cost. Fringe benefits included in indirect costs should not be
identified here. 

  

	 	(3)	Accountable Personal Property - Include permanent research equipment and general purpose equipment having a unit acquisition cost of $1,000 or more and having an
expected service life of more than two years, and sensitive property regardless of cost (see the HHS Contractor’s Guide for Control of Government Property). Show permanent research equipment separate from general purpose equipment.
Prepare and attach the NIH Form entitled, Report of Government Owned, Contractor Held Property,” in accordance with the following instructions: 

 List each item for which reimbursement is requested. A reference shall be made to the following (as applicable): 
  

	 	•	 	 The item number for the specific piece of equipment listed in the Property Schedule. 

 

	 	•	 	 The Contracting Officer’s Authorization letter and number, if the equipment is not covered by the Property Schedule. 

 

	 	•	 	 An asterisk (*) shall precede the item if the equipment is below the approval level. 

 

	 	(4)	Materials and Supplies - Include equipment with unit costs of less than $1,000 or an expected service life of two years or less, and consumable material and
supplies regardless of amount. 

  

	 	(5)	Premium Pay - List remuneration in excess of the basic hourly rate. 

 

	 	(6)	Consultant Fee - List fees paid to consultants. Identify consultant by name or category as set forth in the contract’s Advance Understanding or in the COA
letter, as well as the effort (i.e., number of hours, days, etc.) and rate being billed. 

  

	 	(7)	Travel - Include domestic and foreign travel. Foreign travel is travel outside of Canada, the United States and its territories and possessions. However, for an
organization located outside Canada, the United States and its territories and possessions, foreign travel means travel outside that country. Foreign travel must be billed separately from domestic travel. 

  

					
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 Rev.
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	 	3	 	ATTACHMENT 2

					
		 		 	Contract No. HHSN266200600019C

  

	 	(8)	Subcontract Costs - List subcontractor(s) by name and amount billed. 

 

	 	(9)	Other - List all other direct costs in total unless exceeding $1,000 in amount. If over $1,000, list cost elements and dollar amounts separately. If the contract
contains restrictions on any cost element, that cost element must be listed separately. 

  

	(l)	Cost of Money (COM) - Cite the COM factor and base in effect during the time the cost was incurred and for which reimbursement is claimed.

  

	(m)	Indirect Costs - Overhead - Identify the cost base, indirect cost rate, and amount billed for each indirect cost category. 

 

	(n)	Fixed-Fee Earned - Cite the formula or method of computation for the fixed-fee (if any). The fixed-fee must be claimed as provided for by the contract.

  

	(o)	Total Amounts Claimed - Insert the total amounts claimed for the current and cumulative periods. 

 

	(p)	Adjustments - Include amounts conceded by the contractor, outstanding suspensions, and/or disapprovals subject to appeal. 

 

	(q)	Grand Totals 

 The contracting officer
may require the contractor to submit detailed support for costs claimed on one or more interim invoices/financing requests. 

  

					
	 NIH(RC)-4
 Rev.
11/2003
	 	4	 	ATTACHMENT 2

					
		 		 	Contract No. HHSN266200600019C

  

 FINANCIAL REPORTING INSTRUCTIONS: 
 These instructions are keyed to the Columns on the sample invoice/financing request. 
 Column
A—Expenditure Category - Enter the expenditure categories required by the contract. 
 Column B—Cumulative Percentage of
Effort/Hrs.-Negotiated - Enter the percentage of effort or number of hours agreed to doing contract negotiations for each employee or labor category listed in Column A. 
 Column C—Cumulative Percentage of Effort/Hrs.-Actual - Enter the percentage of effort or number of hours worked by each employee or labor category listed in Column A. 

Column D—Incurred Cost-Current - Enter the costs, which were incurred during the current period. 

Column E—Incurred Cost-Cumulative - Enter the cumulative cost to date. 
 Column F—Cost at Completion -Enter data only when the contractor estimates that a particular expenditure category will vary from the amount negotiated. Realistic estimates are essential.

 Column G—Contract Amount - Enter the costs agreed to during contract negotiations for all expenditure categories listed in Column
A. 
 Column H—Variance (Over or Under) - Show the difference between the estimated costs at completion (Column F) and negotiated
costs (Column G) when entries have been made in Column F. This column need not be filled in when Column F is blank. When a line item varies by plus or minus 10 percent, i.e., the percentage arrived at by dividing Column F by Column G, an explanation
of the variance should be submitted. In the case of an overrun (net negative variance), this submission shall not be deemed as notice under the Limitation of Cost (Funds) Clause of the contract. 

Modifications: Any modification in the amount negotiated for an item since the preceding report should be listed in the appropriate cost category.

 Expenditures Not Negotiated: An expenditure for an item for which no amount was negotiated (e.g., at the discretion of the contractor
in performance of its contract) should be listed in the appropriate cost category and all columns filled in, except for G. Column H will of course show a 100 percent variance and will be explained along with those identified under H above.

  

					
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 Rev.
11/2003
	 	5	 	ATTACHMENT 2

					
		 		 	Contract No. HHSN266200600019C

  

 SAMPLE INVOICE/FINANCING REQUEST AND CONTRACT FINANCIAL REPORT 

			
	 (a)    Billing Office Name and Address
	  	 (b)    Invoice/Financing Request
No.
                                         
                                         
      

	  
 NATIONAL INSTITUTES OF HEALTH

National Cancer Institute, OA EPS
 Room 6120, EXECUTIVE BLVD MSC
 Bethesda, MD 20892-

 
 (e)    Payee’s Name
and Address
 ABC CORPORATION
 100 Main Street
 Anywhere, USA zip code

 
 Attn: Name, Title & Phone Number of
Official to
           Whom Payment is
Sent
	  	  

(c)    Date Invoice

Prepared
                                         
                                     

 

(d)    Contract
 No.
                                         
                                         
      
 ADB
 No.
                                         
                                         
      
 Effective

Date
                                         
                                         
    
  

(f)     Total Estimated Cost
          __________________________________________
  

(g)    Total Fixed
 Fee                                 
                                         
                         

																	
	 
	 (h)        This invoice/financing request represents reimbursable costs for
the period from              to
            

															
	 	 	 	 	 	 
	Expenditure Category*
A	  	Cumulative Percentage of
Efforts/Hrs.	  	Incurred Cost	  	Cost at
Completion
F	  	Contact
Amount
G	  	Variance
H
	  	Negotiated
B	  	Actual
C	  	(i) Current
D	  	(j) Cumulative
E	  	  	  
	 (k) Direct Costs:
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (1) Direct Labor
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (2) Fringe Benefits
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (3) Accountable Property
(attach HHS-565)
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (4) Materials & Supplies
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (5) Premium Pay
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (6) Consultant Fees
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (7) Travel
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (8) Subcontracts
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (9) Other
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 Total Direct Costs
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (1) Cost of Money
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (m) Overhead
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 G&A
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (n) Fixed Fee
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (o) Total Amount Claimed
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (p) Adjustments
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (q) Grand Totals
	  	 	  	 	  	 	  	 	  	 	  	 	  	 

 I certify that all payments are for appropriate purposes and in accordance with the contract. 

 

					
		  	____________________________________________	  	______________________________________________
		  	(Name of Official)	  	(Title)

  

	*	Attach details as specified in the contract 

  

  

					
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 Rev.
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	 	6	 	ATTACHMENT 2

					
		 		 	Contract No. HHSN266200600019C

  

 INCLUSION ENROLLMENT REPORT 

This report format should NOT be used for data collection from study participants 

 

											
	 Study Title:
	  	 	  	 	  	 	  	 	  	 
	 Total
Enrollment:
	  	Protocol Number:
	 Contract
Number:
	  	 
	 PART A.   TOTAL ENROLLMENT REPORT: Number of Subjects Enrolled to Date (Cumulative) by Ethnicity and Race

									
	Ethnic Category	  	Sex/Gender
	  	Females	  	Males	  	Unknown or Not
Reported	  	Total
	 Hispanic or Latino
	  	 	  	 	  	 	  	 
	 Not Hispanic or Latino
	  	 	  	 	  	 	  	 
	 Unknown (Individuals not reporting
ethnicity)
	  	 	  	 	  	 	  	 
	 Ethnic Category: Total of all
Subjects*
	  	 	  	 	  	 	  	 
	Racial Categories	  	  	  	  	  	  	  	  
	 American Indian/Alaska
Native
	  	 	  	 	  	 	  	 
	 Asian
	  	 	  	 	  	 	  	 
	 Native Hawaiian or Other Pacific
Islander
	  	 	  	 	  	 	  	 
	 Black or African American
	  	 	  	 	  	 	  	 
	 White
	  	 	  	 	  	 	  	 
	 More than one race
	  	 	  	 	  	 	  	 
	 Unknown or not reported
	  	 	  	 	  	 	  	 
	 Racial Categories: Total of all
Subjects*
	  	 	  	 	  	 	  	 
	 
	 
	 PART B:   HISPANIC ENROLLMENT REPORT: Number of Hispanics or Latinos Enrolled to Date (Cumulative)

	 	 	 	 	 
	Racial Categories	  	Females	  	Males	  	Unknown or Not
Reported	  	Total
	 American Indian or Alaska
Native
	  	 	  	 	  	 	  	 
	 Asian
	  	 	  	 	  	 	  	 
	 Native
Hawaiian or Other Pacific Islander
	  	 	  	 	  	 	  	 

  

					
	 Annual Technical Progress Report Format
 July, 1994
	 	1	 	ATTACHMENT 3

					
		 		 	Contract No. HHSN266200600019C

  

									
	 Black or African American
	  	 	  	 	  	 	  	 
	 White
	  	 	  	 	  	 	  	 
	 More Than One Race
	  	 	  	 	  	 	  	 
	 Unknown or not reported
	  	 	  	 	  	 	  	 
	 Racial
Categories: Total of Hispanics or Latinos**
	  	 	  	 	  	 	  	 
	 *       These totals must agree
 **     These totals must agree
	  	 	  	 	  	 	  	 

  

					
	 Annual Technical Progress Report Format
 July, 1994
	 	2	 	ATTACHMENT 3

					
		 		 	Contract No. HHSN266200600019C

  

 HHSAR 352.223-70 SAFETY AND HEALTH (JANUARY 2001) 

 

	(a)	To help ensure the protection of the life and health of all persons and to help prevent damage to property, the Contractor shall comply with all Federal, State and
local laws and regulations applicable to the work being performed under the contract. These laws are implemented and/or enforced by the Environmental Protection Agency, Occupational Safety and Health Administration and other agencies at the Federal,
State and local levels (Federal, State and local regulatory/enforcement agencies). 

  

	(b)	Further, the Contractor shall take or cause to be taken additional safety measures as the Contracting Officer in conjunction with the project or other appropriate
officer, determines to be reasonably necessary. If compliance with these additional safety measures results in an increase or decrease in the cost or time required for performance of any part of work under this contract, an equitable adjustment will
be made in accordance with the applicable “Changes” Clause set forth in this contract. 

  

	(c)	The Contractor shall maintain an accurate record of, and promptly report to the Contracting Officer, all accidents or incidents resulting in the exposure of persons to
toxic substances, hazardous materials or hazardous operations; the injury or death of any person; and/or damage to property incidental to work performed under the contract and all violations for which the Contractor has been cited by any
Federal, State or local regulatory/enforcement agency. The report shall include a copy of the notice of violation and the findings of any inquiry or inspection, and an analysis addressing the impact these violations may have on the work remaining to
be performed. The report shall also state the required action(s), if any, to be taken to correct any violation(s) noted by the Federal, State or local regulatory/enforcement agency and the time frame allowed by the agency to accomplish the necessary
corrective action. 

  

	(d)	If the Contractor fails or refuses to comply promptly with the Federal, State or local regulatory/enforcement agency’s directive(s) regarding any violation(s) and
prescribed corrective action(s), the Contracting Officer may issue an order stopping all or part of the work until satisfactory corrective action (as approved by the Federal, State or local regulatory/enforcement agencies) has been taken and
documented to the Contracting Officer. No part of the time lost due to any stop work order shall be subject to a claim for extension of time or costs or damages by the Contractor. 

 

	(e)	The Contractor shall insert the substance of this clause in each subcontract involving toxic substances, hazardous materials, or operations. Compliance with the
provisions of this clause by subcontractors will be the responsibility of the Contractor. 

 (End of clause)

  

					
	 Safety and Health Clause
 HHSR
352.223-70, (1/01)
	 	1	 	ATTACHMENT 4

					
		 		 	Contract No. HHSN266200600019C

  

 PROCUREMENT OF CERTAIN EQUIPMENT 

Notwithstanding any other clause in this contract, the Contractor will not be reimbursed for the purchase, lease, or rental of any item of equipment
listed in the following Federal Supply Groups, regardless of the dollar value, without the prior written approval of the Contracting Officer. 
  

	
	 67 – Photographic Equipment

	 69 – Training Aids and Devices

	 70 – General Purpose ADP Equipment, Software, Supplies and Support (Excluding 7045-ADP Supplies and Support
    Equipment.)

	 71 – Furniture

	 72 – Household and Commercial Furnishings and Appliances

	 74 – Office Machines and Visible Record Equipment

	 77 – Musical Instruments, Phonographs, and Home-type Radios

	 78 – Recreational and Athletic Equipment

 When equipment in these Federal Supply Groups is requested by the Contractor and determined essential by the Contracting
Officer, the Government will endeavor to fulfill the requirement with equipment available from its excess personal property sources, provided the request is made under a contract. Extensions or renewals of approved existing leases or rentals for
equipment in these Federal Supply Groups are excluded from the provisions of this article. 

  

					
	NIH(RC)-7 (4/1/84)	 		 	ATTACHMENT 5

					
		 		 	Contract No. HHSN266200600019C

  

 RESEARCH PATIENT CARE COSTS 

 

	(a)	Research patient care costs are the costs of routine and ancillary services provided to patients participating in research programs described in this contract.

  

	(b)	Patient care costs shall be computed in a manner consistent with the principles and procedures used by the Medicare Program for determining the part of Medicare
reimbursement based on reasonable costs. The Diagnostic Related Group (DRG) prospective reimbursement method used to determine the remaining portion of Medicare reimbursement shall not be used to determine patient care costs. Patient care rates or
amounts shall be established by the Secretary of HHS or his duly authorized representative. 

  

	(c)	Prior to submitting an invoice for patient care costs under this contract, the contractor must make every reasonable effort to obtain third party payment, where third
party payors (including Government agencies) are authorized or are under a legal obligation to pay all or a portion of the charges incurred under this contract for patient care. 

 

	(d)	The contractor must maintain adequate procedures to identify those research patients participating in this contract who are eligible for third party reimbursement.

  

	(e)	Only those charges not recoverable from third party payors or patients and which are consistent with the terms and conditions of the contract are chargeable to this
contract. 

  

					
	 NIH (RC)-11

(4/1/84)
	 		 	ATTACHMENT 6

					
		 		 	Contract No. HHSN266200600019C

  

 DISCLOSURE OF LOBBYING ACTIVITIES 

Approved by OMB 

0348-0046 

Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 

(See reverse for public burden disclosure). 
  

					
	1. Type of Federal Action:	  	2. Status of Federal Action	  	3. Report Type:
	 	 	 
	 	  		  	 
	 	 	 
	 a. contract
 b. grant
 c. Cooperative agreement
 d. loan
 e. loan guarantee
 f. loan insurance
	  	 a. bid/offer application
 b.
initial award
 c. post-award
	  	 a. initial filing
 b. material change
 For Material Change Only:

year ____ quarter _____
 date of last report
_____

							
	 4. Name and Address of Reporting
Entity:
 Prime
	  	 5. If Reporting Entity in
No.4 is Subawardee, Enter
 Name and Address of Prime

	 	 	G         Subawardee	  	 
	 	 	Tier             , if known:	  	 
	 	 
	Congressional District, if known:	  	Congressional District, if known:
	 6. Federal
Department/Agency:
	  	 7. Federal Program
Name/Description
  
 CFDA Number, if applicable:
_______________

	 8. Federal Action Number, if
known:
  
 a. Name and Address of Lobbying Entity

    (if individual, last name, first name, MI):
  

Information requested through this form is authorized by title 31 U.S.C. section. This disclosure o( lobbying activities is a material representation of
fact upon reliance was placed by the tier above when this transaction was made or into. This disclosure is required pursuant to 31 U.S.C. 1352. This information available for public inspection. Any person who fails to file the required di shall be
subject to a civil penalty of not less than $10,000 and not mo $100,000 for each failure.
  
  
	  	 9. Award Amount, if
known:
     $
  

Individual Performing Services (including address if different from No. 10a) (last name, first name, MI)

 
 Signature:___________________________________

 
 Print Name:__________________________________

 
 Title:_______________________________________

 
 Telephone No.:_____________ Date:______________

	  

Federal Use Only
	  	  

Authorized for Local Reproduction
 Standard Form
– LL (Rev 7-97)

  

					
	 Disclosure of Lobbying Activities
 SF-LLLL
	 	1	 	ATTACHMENT 7

					
		 		 	Contract No. HHSN266200600019C

  

 INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES 

This disclosure form shall be completed by the reporting entity, whether subawardee of prime Federal recipient, at the initiation or receipt of a covered
Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for influencing of attempting to influence an
officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action. Use the SF-LLL-A Continuation Sheet for additional information if the
space on the form is inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information. 

 

	1.	Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action.

  

	2.	Identify the status of the covered Federal action. 

  

	3.	Identify the appropriate classification of this report. If this is a follow-up report caused by a material change to the information previously reported, enter the year
and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal action. 

  

	4.	Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if known. Check the appropriate classification of the
reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts,
subgrants and contract awards under grants. 

  

	5.	If the organization filing the report in item 4 checks “Subawardee,” then enter the full name, address. city, state and zip code of the prime Federal
recipient. Include Congressional District, if known. 

  

	6.	Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level below agency name, if known. For example, Department
of Transportation, United States Coast Guard. 

  

	7.	Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for
grants, cooperative agreements, loans, and loan commitments. 

  

	8.	Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number, Invitation for Bid
(IFB) number, grant announcement number, the contract, grant, or loan award number, the application/proposal control number assigned by the Federal agency). Include prefixes, e.g., “RFP-DE-90-001.” 

  

					
	 Disclosure of Lobbying Activities
 SF-LLLL
	 	2	 	ATTACHMENT 7

					
		 		 	Contract No. HHSN266200600019C

  

	9.	For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime
entity identified in item 4 or 5. 

  

	10.    (a)    	Enter the full name, address, city, state and zip code of the lobbying registrant under the Lobbying Disclosure of 1995 engaged by the reporting entity identified in
item 4 to influence the covered Federal action. 

  

	 	(b)   	Enter the full names of the individual(s) performing services, and include full address if different from 10(a); Enter Last Name, First Name, and Middle Initial (MI).

  

	11.	The certifying official shall sign and date the form, print his/her name, title and telephone number. 

 

According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection
of information unless it displays a valid OMB Control Number. The valid OMB control number for this information collection is OMS 0348-0046. Public reporting burden for this collection of information is estimated to average 10 minutes per response,
including time for reviewing instructions. searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of
this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, D.C. 20503. 

  

					
	 Disclosure of Lobbying Activities
 SF-LLLL
	 	3	 	ATTACHMENT 7

					
		 		 	Contract No. HHSN266200600019C

  

 DISCLOSURE OF LOBBYING ACTIVITIES 

CONTINUATION SHEET 
 Approved by OMB 
 0348-0046 

 

Reporting Entity:
                                       Page
         of          
  

Authorized for Local Production 

  

					
	 Disclosure of Lobbying Activities
 SF-LLLL
	 	4	 	ATTACHMENT 7

					
		 		 	Contract No. HHSN266200600019C

  

 Standard Form – LLL-A 

  

					
	 Disclosure of Lobbying Activities
 SF-LLLL
	 	5	 	ATTACHMENT 7

					
		 		 	Contract No. HHSN266200600019C

  

 EMPLOYEE SEPARATION CHECKLIST 

 

			
	Contractor:
                                         
                                       	 	Contract No.:
                                         
       
		
	Departing Staff Member’s Name:
                                         
   	 	Separation Date:
                                         
   

 Check and complete one of the columns below as appropriate: 

 

							
	 I. FRIENDLY
SEPARATION
  
	  	 II. UNFRIENDLY
SEPARATION
  

	Date
(Mandatory)	  	Action	  	Date
(Mandatory)	  	Action
	 	  	Remove all network and system access privileges.	  	 	  	Disable system access as quickly as possible preferably just before the individual is
notified of his or her dismissal.
	 	 	 	 
	 	  	Collect any authentication tokens.	  		  	Terminate access to systems immediately when an employee notifies the Department of a resignation that is on unfriendly
terms.
	 	 	 	 
	 	  	Retrieve any access cards or Departmental identification badges.	  		  	Notify support functions (e.g., help desk) that an employee is no longer authorized access.
	 	 	 	 
	 	  	Recover all keys.	  		  	Restrict the area and function of employees during the period between termination and leaving.
	 	 	 	 
	 	  	Brief employee on continuing confidentiality and privacy responsibilities.	  		  	Immediately notify the Project Officer, appropriate NIH security officials (including the NIH Help Desk at 301496-4357),
and the assigned IT Systems Manager of the time of removal.
	 	 	 	 
	 	  	Review any employee contracts that remain valid after separation.	  		  	Request the Project Officer to have the combinations changed on all locks to which the contractor employee has
access.
	 	 	 	 
	 	  	Return property belonging to the United States Government.	  		  	Collect any authentication tokens.
	 	 	 	 
	 	  	Identify any unique problems, filing schemes, or data backups created by the employee.	  		  	Retrieve any access cards or Departmental identification badges.
	 	 	 	 
	 	  	Instruct employees on proper Aclean up@ procedures for their personal computers (PC) before leaving.	  		  	Recover all keys.
	 	 	 	 
	 	  	Determine the employee’s access termination date, and notify the Project Officer, appropriate NIH security officials (including the NIH Help Desk at 301 ~496-4357), and the
assigned IT Systems Manager within 24 hours of the time of termination.	  		  	Review the employee’s duties and responsibilities under this contract with the Project Officer and assess the level of
risk to the Government.
	 	 	 	 
	 	  	Notify the Project Officer in writing upon completion of these actions.	  		  	Escort individual off premises in cases where the potential for retaliation is high.
	 	 	 	 
	 	  	 	  	 	  	Notify the Project Officer in writing upon completion of these actions.

 CERTIFICATION: By signing below, I certify that the above actions were taken on the dates indicated.

  

					
	  	 		 	  
	Signature and Date	 		 	Typed Name of Individual Authorized to Certify for Contractor
			
		 		 	 
		 		 	Title of Individual Authorized to Certify for Contractor

  

					
	 Contract Handbook – Rev. 8/4/06
 Employee Separation Checklist
	 	1	 	ATTACHMENT 8

					
		 		 	Contract No. HHSN266200600019C

  

 REPORT OF GOVERNMENT OWNED, CONTRACTOR 

HELD PROPERTY 
  

			
	CONTRACTOR:	 	CONTRACT NUMBER
		
	ADDRESS	 	REPORT DATE:
		
		 	FISCAL YEAR:

  

															
	 CLASSIFICATION
	  	BEGINNING OF
PERIOD	  	ADJUSTMENTS	  	END OF PERIOD
	 	  	#
ITEMS	  	VALUE	  	GFP
ADDED	  	CAP
ADDED	  	DELETIONS	  	#
ITEMS	  	VALUE
	 LAND > = $25K
	  		  		  		  		  		  		  	
	 LAND < = $25K
	  		  		  		  		  		  		  	
	 OTHER REAL > = $25K
	  		  		  		  		  		  		  	
	 OTHER REAL < = $25K
	  		  		  		  		  		  		  	
	 PROPERTY UNDER CONST > = $25K
	  		  		  		  		  		  		  	
	 PROPERTY UNDER CONST < = $25K
	  		  		  		  		  		  		  	
	 PLANT EQUIP > = $25K
	  		  		  		  		  		  		  	
	 PLANT EQUIP < = $25K
	  		  		  		  		  		  		  	
	 SPECIAL TOOLING>= $25K
	  		  		  		  		  		  		  	
	 SPECIAL TOOLING<= $25K
	  		  		  		  		  		  		  	
	 SPECIAL TEST EQUIP>$25K
	  		  		  		  		  		  		  	
	 SPECIAL TEST EQUIP<$25K
	  		  		  		  		  		  		  	
	 AGENCY PECULIAR> =$25K
	  		  		  		  		  		  		  	
	 AGENCY PECULIAR< =$25K
	  		  		  		  		  		  		  	
	 MATERIAL> =$25K (CUMULATIVE)
	  		  		  		  		  		  		  	
	 PROPERTY UNDER MFR>=$25K
	  		  		  		  		  		  		  	
	 PROPERTY UNDER MFR>=$25K
	  		  		  		  		  		  		  	
			
	 SIGNED BY:
	  		  	DATE SIGNED:

  

					
	 Contract Handbook – Rev. 8/4/06
 Report of Government Owned,
 Contractor Held Property
	 		 	ATTACHMENT 9

					
	DEPARTMENT OF HEALTH & HUMAN SERVICES	 	Public Health Service

  
  

 

			
	 	 	National Institutes of Health (NIH)
	Phone: 301-496-0612	 	National Institute of Allergy and Infectious Diseases (NIAID)
	Fax: 301-480-5253	 	Office of Acquisitions, DEA
	http://www.niaid.nih.gov/	 	6700B Rockledge Drive, Room 3214
		 	Bethesda, MD 20892-7612

 June 21, 2007 
 Jeffrey Abbey 
 Argos Therapeutics, Inc. 
 4233 Technology Drive 
 Durham, NC 27704 

 

	Subject:	Contract No.: NO1-AI-60019 

	    	Modification No. 1 

 Dear Mr. Abbey:

 The purpose of this modification is to revise the contract article that describes the process for submitting invoices for payment. An e-mail
was sent to your organization’s business representative. The NIH has launched a new business system. This system requires a change to the current invoice submission procedures. All contracts are being modified to reflect these new procedures.

 Effective June 4, the Office of Financial Management (OFM), NIH, is the official point of receipt for invoices (details included in the
enclosed modification). All original invoices must be sent to the OFM where they will be received, processed and forwarded to the designated Institute for review and approval. Failure to follow the new instructions may result in the return of your
invoice. Please note that the NIAID is not requiring the receipt of duplicate copies by our contract specialists. 
 I am enclosing an
executed copy of the subject modification for your retention. If you have any questions regarding its administration, please contact the undersigned at (301) 451-3691. 

 

	
	Sincerely,
	
	/s/ Cassandra Ellis
	Cassandra Ellis
	Contract Specialist

 Enclosure: a/s 

 OMB Approval 2700-0042 

																							
	AMENDMENT 
OF SOLICITATION/MODIFICATION OF CONTRACT	  	 1.   CONTRACT ID
CODE
	  	PAGE      OF PAGES
	  	 	  	 	  	 	  	1	  	2
	 	 	 	 
	 2.   AMENDMENT/MODIFICATION NO.
  

      One (1)
	  	
3.   EFFECTIVE DATE

 

      06/04/2007
	  	
4.   REQUISITION/PURCHASE REQ. NO
	  	 5.   PROJECT NO. (If applicable)

	 	 	 	 	 	 
	 6.   ISSUED BY
	  	CODE    	  	 	  	 7.   ADMINISTERED BY (IF OTHER THAN ITEM 6)
	  	 CODE
	  	 
			 	 	 
	
      Office of Acquisitions, DEA, NIAID

      National Institutes of Health, DHHS

      Room 3214, MSC 7612

      6700-B Rockledge Drive

      Bethesda, MD 20892-7612
	  	 	  	 	  	 	  	 
	 8.   NAME AND ADDRESS OF CONTRACTOR (No., Street, County,
State, and Zip Code)
	  	( ̈)	  	 9A.  AMENDMENT OF SOLICITATION NO.

	       Argos Therapeutics, Inc.

      4233 Technology Drive

      Durham, NC 27704
	  	 	  	
	  		  	 9B.   DATED (SEE ITEM
11)
  

	  		  	 10A.MODIFICATION OF CONTRACT/ORDER
NO.
  

        N01-AI-60019

	 	  	 	  	X	  	
10B.DATED (SEE ITEM 11)
  

        September 30, 2006

	CODE	  	FACILITY CODE	  	  
	
	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

  

	 ̈	The above numbered solicitation is amended as set forth in item 14. The hour and date specified for receipt of Offers  ̈
is extended  ̈ is not extended. 

 Offers must acknowledge receipt of this
amendment prior to the hour and date specified in the solicitation or as amended by one of the following methods: 
 (a) By completing Items 8
and 15, and returning one (1) copy of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an
offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified. 

									
	 
	 12. ACCOUNTING AND APPROPRIATION DATA
(If Required)
  

    N/A

	
	 13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF
CONTRACTS/ORDERS,
 IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14

	
( ̈)
	  	 A.    THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET
FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A

	 	  	 
	 X
	  	 B.    THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO
REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

	 	  	 C.    THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO
PURSUANT TO AUTHORITY OF:

	 	  	 D.    OTHER (Specify type of modification and
authority)

	
	 E. IMPORTANT:  Contractor    x is not,     ̈ is required to sign this document and return          copies to the issuing
office.

	
	 14.  DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section
headings, including solicitation/contract subject matter where feasible.)
  
 PURPOSE: To modify the invoicing instructions for the contract.
  

TOTAL ESTIMATED COST: $[**] (Unchanged)

TOTAL FUNDS ALLOTTED: $[**] (Unchanged)

 
 FUNDED THROUGH: September 29, 2007
(Unchanged)
 COMPLETION DATE: September 29, 2011 (Unchanged)

	
	Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and
effect.
	
15A.  NAME AND TITLE OF SIGNER (Type or print)
	  	
16A.  NAME AND TITLE OF CONTRACTING OFFICER (Type or pint)

 
 Michelle L. Scala
 Contracting Officer, OA, NIAID, NIH, DHHS

	 15B.   CONTRACTOR/OFFEROR
	  	 15C.   DATE SIGNED
	  	 16B.   UNITED STATES OF
AMERICA
  
 BY /s/ Michelle L.
Scala                                        

	  	 16C.   DATE SIGNED

 

        6/25/07

	(Signature of person authorized
to sign)	  	 	  	(Signature of Contracting Officer)	  	 

					
			
	NSN 7540-01-152-8070	  	30-105	  	STANDARD FORM 30 (REV. 10-83)
	PREVIOUS EDITION UNUSABLE	  	Computer Generated	  	 Prescribed by GSA
 FAR (48 CFR)
53.

					
	 Contract No. N01-AI-60019

Modification No. 1
	 	Special Provisions	 	Page 2 of 2

 ARTICLE G.3. INVOICE SUBMISSION/CONTRACT FINANCING REQUEST AND CONTRACT FINANCIAL REPORT - is hereby modified to read
as follows: 
  

	a.	Invoice/Financing Request Instructions and Contract Financial Reporting for NIH Cost-Reimbursement Type Contracts NIH(RC)-4 are attached and made part of this contract.
The Contractor shall follow the attached instructions and submission procedures specified below to meet the requirements of a “proper invoice” pursuant to FAR Subpart 32.9, Prompt Payment. 

 

	 	(1)	Payment requests shall be submitted as follows: 

 One original to the following designated billing office: 
 National Institutes of
Health 
 Office of Financial Management 
 Commercial Accounts 
 2115 East Jefferson Street, Room 4B-432, MSC 8500

 Bethesda, MD 20892-8500 
  

	 	(2)	In addition to the requirements specified in FAR Subpart 32.9 for a proper invoice, the Contractor shall include the following information on all payment requests:

  

	 	(a)	Name of the Office of Acquisitions. The Office of Acquisitions for this contract is NIAID. 

 

	 	(b)	Central Point of Distribution. For the purpose of this contract, the Central Point of Distribution is NIAIDOAInvoices. 

 

	 	(c)	Vendor Identification Number: 1109171. 

  

	 	(d)	DUNS number or DUNS+4 that identifies the Contractor’s name and address exactly as stated on the face page of the contract. 

 

	 	(e)	Identification of whether payment is to be made using a two-way or three-way match. This contract requires a two-way match. 

 

	 	b.	Inquiries regarding payment shall be directed to the designated billing office, (301) 496-6088. 

SECTION J – Attachment 2, Invoice/Financing Request Instructions and Contract Financial Reporting for NIH Cost-Reimbursement Type Contracts
NIH(RC)-4 is hereby replaced with the following updated attachment. 

  
 HHS-556 

 INVOICE/FINANCING REQUEST AND CONTRACT FINANCIAL REPORTING INSTRUCTIONS FOR NIH COST-REIMBURSEMENT
CONTRACTS, NlH(RC)-4 
 Format: Payment requests shall be submitted on the Contractor’s self-generated form in the manner and
format prescribed herein and as illustrated in the Sample Invoice/Financing Request. Standard Form 1034, Public Voucher for Purchases and Services Other Than Personal, may be used in lieu of the Contractor’s self-generated form provided it
contains all of the information shown on the Sample Invoice/Financing Request. DO NOT include a cover letter with the payment request. 

Number of Copies: Payment requests shall be submitted in the quantity specified in the Invoice Submission Instructions in Section G of the
Contract Schedule. 
 Frequency: Payment requests shall not be submitted more frequently than once every two weeks in accordance with the
Allowable Cost and Payment Clause incorporated into this contract. Small business concerns may submit invoices/financing requests more frequently than every two weeks when authorized by the Contracting Officer. 

Cost Incurrence Period: Costs incurred must be within the contract performance period or covered by precontract cost provisions. 

Billing of Costs Incurred: If billed costs include (1) costs of a prior billing period, but not previously billed, or (2) costs incurred
during the contract period and claimed after the contract period has expired, the Contractor shall site the amount(s) and month(s) in which it incurred such costs. 
 Contractor’s Fiscal Year: Payment requests shall be prepared in such a manner that the Government can identify costs claimed with the Contractor’s fiscal year. 

Currency: All NIH contracts are expressed in United States dollars. When the Government pays in a currency other than United States dollars,
billings shall be expressed, and payment by the Government shall be made, in that other currency at amounts coincident with actual costs incurred. Currency fluctuations may not be a basis of gain or loss to the Contractor. Notwithstanding the above,
the total of all invoices paid under this contract may not exceed the United States dollars authorized. 
 Costs Requiring Prior Approval:
Costs requiring the Contracting Officer’s approval, which are not set forth in an Advance Understanding in the contract, shall be identified and reference the Contracting Officer’s Authorization (COA) Number. In addition, the
Contractor shall show any cost set forth in an Advance Understanding as a separate line item on the payment request. 
 Invoice/Financing
Request Identification: Each payment request shall be identified as either: 
  

	(a)	Interim Invoice/Contract Financing Request: These are interim payment requests submitted during the contract performance period. 

 

	(b)	Completion Invoice: The completion invoice shall be submitted promptly upon completion of the work, but no later than one year from the contract completion date,
or within 120 days after settlement of the final indirect cost rates covering the year in which the contract is physically complete (whichever date is later). The Contractor shall submit the completion invoice when all costs have been assigned to
the contract and it completes all performance provisions. 

  

	(c)	Final Invoice: A final invoice may be required after the amounts owed have been settled between the Government and the Contractor (e.g., resolution of all
suspensions and audit exceptions). 

  

			
	NIH(RC)-4	  	Attachment 2
	Rev. 05/2007	  	Page 1 of 6

 Preparation and Itemization of the Invoice/Financing Request: The Contractor shall furnish the
information set forth in the instructions below. The instructions are keyed to the entries on the Sample Invoice/Financing Request. 
  

	(a)	Designated Billing Office Name and Address: Enter the designated billing office name and address, as identified in the invoice Submission Instructions in Section
G of the Contract Schedule. 

  

	(b)	Contractor’s Name, Address, Point of Contact, VIN, and DUNS or DUNS+4 Number: Show the Contractor’s name and address exactly as they appear in the
contract, along with the name, title, phone number, and e-mail address of the person to notify in the event of an improper invoice or, in the case of payment by method other than Electronic Funds Transfer, to whom payment is to be sent. Provide the
Contractor’s Vendor Identification Number (VIN), and Data Universal Numbering System (DUNS) number or DUNS+4. The DUNS number must identify the Contractor’s name and address exactly as stated on the face page of the contract. When an
approved assignment has been made by the Contractor, or a different payee has been designated, provide the same information for the payee as is required for the Contractor (i.e., name, address, point of contact, VIN, and DUNS).

  

	(c)	Invoice/Financing Request Number: Insert the appropriate serial number of the payment request. 

 

	(d)	Date Invoice/Financing Request Prepared: Insert the date the payment request is prepared. 

 

	(e)	Contract Number and Order Number (if applicable): Insert the contract number and order number (if applicable). 

 

	(f)	Effective Date: Insert the effective date of the contract or if billing under an order, the effective date of the order. 

 

	(g)	Total Estimated Cost of Contract/Order: Insert the total estimated cost of the contract, exclusive of Fixed-fee. If billing under an order, insert the total
estimated cost of the order, exclusive of fixed-fee. For incrementally funded contracts/orders, enter the amount currently obligated and available for payment. 

 

	(h)	Total Fixed-Fee: Insert the total fixed-fee (where applicable). For incrementally funded contracts/orders, enter the amount currently obligated and available for
payment. 

  

	(i)	Two-Way/Three-Way Match: Identify whether payment is to be made using a two-way or three-way match. To determine required payment method, refer to the Invoice
Submission Instructions in Section G of the Contract Schedule. 

  

	(j)	Office of Acquisitions: Insert the name of the Office of Acquisitions, as identified in the Invoice Submission Instructions in Section G of the Contract
Schedule. 

  

	(k)	Central Point of Distribution: Insert the Central Point of Distribution, as identified in the Invoice Submission Instructions in Section G of the Contract
Schedule. 

  

	(l)	Billing Period: Insert the beginning and ending dates (month, day, and year) of the period in which costs were incurred and for which reimbursement is claimed.

  

	(m)	Amount Billed - Current Period: Insert the amount claimed for the current billing period by major cost element, including any adjustments and fixed-fee. If the
Contract Schedule contains separately priced line items, identify the contract line item(s) on the payment request and include a separate breakdown (by major cost element) for each line item. 

  

			
	NIH(RC)-4	  	Attachment 2
	Rev. 05/2007	  	Page 2 of 6

	(n)	Amount Billed - Cumulative: Insert the cumulative amounts claimed by major cost element, including any adjustments and fixed-fee. If the Contract Schedule
contains separately priced line items, identify the contract line item(s) on the payment request and include a separate breakdown (by major cost element) for each line item. 

 

	(o)	Direct Costs: Insert the major cost elements. For each element, consider the application of the paragraph entitled “Costs Requiring Prior Approval” on
page 1 of these instructions. 

  

	 	(1)	Direct Labor: Include salaries and wages paid (or accrued) for direct performance of the contract. 

For Level of Effort contracts only, the Contractor shall provide the following information on a separate sheet of paper attached to the
payment request: 
  

	 	•	 	 hours or percentage of effort and cost by labor category (as specified in the Level of Effort Article in Section F of the contract) for the current
billing period, and 

  

	 	•	 	 hours or percentage of effort and cost by labor category from contract inception through the current billing period. (NOTE: The Contracting Officer may
require the Contractor to provide additional breakdown for direct labor, such as position title, employee name, and salary or hourly rate.) 

  

	 	(2)	Fringe Benefits: List any fringe benefits applicable to direct labor and billed as a direct cost. Do not include in this category fringe benefits that are
included in indirect costs. 

  

	 	(3)	Accountable Personal Property: Include permanent research equipment and general purpose equipment having a unit acquisition cost of $1,000 or more, with a life
expectancy of more than two years, and sensitive property regardless of cost (see the HHS Contractor’s Guide for Control of Government Property). Show permanent research equipment separate from general purpose equipment.

 On a separate sheet of paper attached to the payment request, list each item for which
reimbursement is requested. An asterisk (*) shall precede the item if the equipment is below the $1,000 approval level. Include reference to the following (as applicable): 

 

	 	•	 	 item number for the specific piece of equipment listed in the Property Schedule, and 

 

	 	•	 	 COA number, if the equipment is not covered by the Property Schedule. 

The Contracting Officer may require the Contractor to provide further itemization of property having specific limitations
set forth in the contract. 
  

	 	(4)	Materials and Supplies: Include equipment with unit costs of less than $1,000 or an expected service life of two years or less, and consumable material and
supplies regardless of amount. 

  

	 	(5)	Premium Pay: List remuneration in excess of the basic hourly rate. 

  

	 	(6)	Consultant Fee: List fees paid to consultants. Identify consultant by name or category as set forth in the contract or COA, as well as the effort (i.e., number
of hours, days, etc.) and rate billed. 

  

			
	 NIH(RC)-4
 Rev.
05/2007
	 	 Attachment 2
 Page 3 of 6

	 	(7)	Travel: Include domestic and foreign travel. Foreign travel is travel outside of Canada, the United States and its territories and possessions. However, for an
organization located outside Canada, the United States and its territories and possessions, foreign travel means travel outside that country. Foreign travel must be billed separately from domestic travel. 

 

	 	(8)	Subcontract Costs: List subcontractor(s) by name and amount billed. 

 

	 	(9)	Other: List all other direct costs in total unless exceeding $1,000 in amount. If over $1,000, list cost elements and dollar amounts separately. If the contract
contains restrictions on any cost element, that cost element must be listed separately. 

  

	(p)	Cost of Money (COM): Cite the COM factor and base in effect during the time the cost was incurred and for which reimbursement is claimed.

  

	(q)	Indirect Costs: Identify the indirect cost base (IDC), indirect cost rate, and amount billed for each indirect cost category. 

 

	(r)	Fixed-Fee: Cite the formula or method of computation for fixed-fee, if applicable. The fixed-fee must be claimed as provided for by the contract.

  

	(s)	Total Amounts Claimed: Insert the total amounts claimed for the current and cumulative periods. 

 

	(t)	Adjustments: Include amounts conceded by the Contractor, outstanding suspensions, and/or disapprovals subject to appeal. 

 

	(u)	Grand Totals 

  

	(v)	Certification of Salary Rate Limitation: If required by the contract (see Invoice Submission Instructions in Section G of the Contract Schedule), the Contractor
shall include the following certification at the bottom of the payment request: 

 “I hereby certify that the
salaries billed in this payment request are in compliance with the Salary Rate Limitation Provisions in Section H of the contract.” 

The Contracting Officer may require the Contractor to submit detailed support for costs claimed on one or more interim payment requests.

  

			
	 NIH(RC)-4
 Rev.
05/2007
	 	 Attachment 2
 Page 4 of 6

 FINANCIAL REPORTING INSTRUCTIONS: 
 These instructions are keyed to the Columns on the sample invoice/financing request. 
 Column A
- Expenditure Category: Enter the expenditure categories required by the contract. 
 Column B - Cumulative Percentage of Effort/Hrs. -
Negotiated: Enter the percentage of effort or number of hours agreed to for each employee or labor category listed in Column A. 
 Column
C - Cumulative Percentage of Effort/Hrs. - Actual: Enter the percentage of effort or number of hours worked by each employee or labor category listed in Column A. 
 Column D - Amount Billed - Current: Enter amounts billed during the current period. 

Column E - Amount Billed - Cumulative: Enter the cumulative amounts to date. 
 Column F - Cost at Completion: Enter data only when the Contractor estimates that a particular expenditure category will vary from the amount negotiated. Realistic estimates are essential.

 Column G - Contract Amount: Enter the costs agreed to for all expenditure categories listed in Column A. 

Column H - Variance (Over or Under): Show the difference between the estimated costs at completion (Column F) and negotiated costs (Column G) when
entries have been made in Column F. This column need not be filled in when Column F is blank. When a line item varies by plus or minus 10 percent, i.e., the percentage arrived at by dividing Column F by Column G, an explanation of the variance
should be submitted. In the case of an overrun (net negative variance), this submission shall not be deemed as notice under the Limitation of Cost (Funds) Clause of the contract. 
 Modifications: Any modification in the amount negotiated for an item since the preceding report should be listed in the appropriate cost category. 

Expenditures Not Negotiated: An expenditure for an item for which no amount was negotiated (e.g., at the discretion of the Contractor in
performance of its contract) should be listed in the appropriate cost category and all columns filled in, except for G. Column H will of course show a 100 percent variance and will be explained along with those identified under H above. 

  

			
	 NIH(RC)-4
 Rev.
05/2007
	 	 Attachment 2
 Page 5 of 6

 SAMPLE INVOICE/FINANCING REQUEST AND CONTRACT FINANCIAL REPORT 

 

			
	 (a)    Designated Billing Office Name and Address:
	  	 (c)    Invoice/Financing Request No.:

		 
	 National Institutes of Health Office of Financial Management Commercial Accounts
	  	 (d)    Date Invoice Prepared:

 
 (e)    Contract No. and
Order No. (if applicable):                         

	 2115 East Jefferson Street, Room 4B432, MSC 8500

Bethesda, MD 20892-8500
	  	 (f)     Effective Date:

	 (b)    Contractor’s Name, Address, Point of Contact, VIN, and
DUNS or DUNS+4 Number:
	  	 (g)    Total Estimated Cost of Contract/Order:

		 
	 ABC CORPORATION
	  	 (h)    Total Fixed-Fee (if applicable):

	 100 Main Street
 Anywhere, USA Zip Code
	  	  

(i)     Two-Way
Match:   ̈    Three-Way Mate   ̈

		 
		  	 (j)     Office of Acquisitions:

		 
	 Name, Title, Phone Number, and E-mail Address of person to notify in the event of an improper invoice or, in the case of payment by method other than
Electronic Funds Transfer, to whom payment is to be sent.
	  	 (k)    Central Point of Distribution:

		 
	 VIN:

DUNS or DUNS+4:
  
	  	 

	(I)	This invoice/financing request represents reimbursable costs for the period from             
to 

															
	  	  	Cumulative Percentage of
Effort/Hrs.	  	Amount Billed	  	Cost at
Completion
F	  	Contract
Amount
G	  	Variance
H
	 Expenditure Category*

            A
	  	Negotiated
B	  	Actual
C	  	(m)
Current
D	  	
(n)

Cumulative

E
	  	  	  
	 (o)
Direct Costs:
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (1)
Direct Labor
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (2)
Fringe Benefits
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (3)
Accountable Property
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (4)
Materials & Supplies
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (5)
Premium Pay
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (6)
Consultant Fees
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (7)
Travel
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (8)
Subcontracts
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (9)
Other
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 Total
Direct Costs
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (p) Cost
of Money
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (q)
Indirect Costs
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (r) Fixed
Fee
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (s) Total
Amount Claimed
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (t)
Adjustments
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 (u) Grand
Totals
	  	 	  	 	  	 	  	 	  	 	  	 	  	 
			
	I certify that all payments are for appropriate purposes and in accordance with the contract.	  		  	
			
	
                  
                                         
                                         
                    

            (Name of
Official)                                 (Title)
	  		  	

  

	*	Attach details as specified in the contract 

  

  

			
	 NIH(RC)-4
 Rev.
05/2007
	 	 Attachment 2
 Page 6 of 6

			
	DEPARTMENT OF HEALTH & HUMAN SERVICES	  	Public Health Service

  
  

 

			
		  	National Institutes of Health (NIH)
	 Phone: 301-496-0612
 Fax:
301-480-5253
 http://www.niaid.nih.gov/
	  	 National Institute of Allergy and Infectious Diseases (NIAID)
 Office of Acquisitions, DEA
 6700B Rockledge Drive, Room 3214

Bethesda, MD 20892-7612

 August 20, 2007 
 Jeffrey Abbey 
 Argos Therapeutics, Inc. 
 4233 Technology Drive 
 Durham, NC 27704 

 

			
	Subject:	  	 Contract No.: HHSN266200600019C/ NO1-AI-60019
 Modification No. 2

 Dear Mr. Abbey: 
 I am enclosing an executed copy of the subject modification for your retention. If you have any questions regarding its administration, please contact the undersigned at (301) 451-0612. 

 

	
	Sincerely,
	
	/s/ Michelle L. Scala
	 Michelle L. Scala

Contracting Officer

	
	Enclosure: a/s

 OMB Approval 2700-0042 

 

																							
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT	  	 1. CONTRACT ID CODE
	  	PAGE     OF PAGES
	  		  		  		  	1    	  	2
	 2. AMENDMENT/MODIFICATION NO.

 
 Two (2)
	  	 3. EFFECTIVE DATE

 
 See Block 16C
	  	 4. REQUISITION/PURCHASE REQ. NO

 
 48159
	  	5. PROJECT NO. (If applicable)
	6. ISSUED BY	  	CODE    	  	 	  	7. ADMINISTERED BY (IF OTHER THAN ITEM 6)	  	CODE    	  	 
	  
 Office of Acquisitions, DEA,
NIAID
 National Institutes of Health, DHHS
 Room 3214, MSC 7612
 6700-B Rockledge Drive

Bethesda, MD 20892-7612
	  	  
 AIDS
RCB

	 8. NAME AND ADDRESS OF CONTRACTOR (No., Street, County, State, and Zip
Code)
	  	( ̈)	  	 9A.AMENDMENT OF SOLICITATION NO.

	  
 Argos Therapeutics,
Inc.
 4233 Technology Drive
 Durham, NC 27704
	  	 	  	
	  		  	 9B. DATED (SEE ITEM 11)

 

	  	 	  	 10A. MODIFICATION OF CONTRACT/ORDER NO.
HHSN266200600019C/N01-AI-60019

	  	X	  	 10B. DATED (SEE ITEM
13)
         September 30, 2006

	 CODE
	  	 	  	 	  	FACILITY CODE	  	 	  
	
	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

	 ̈	The above numbered, solicitation is amended as set forth in item 14. The hour and date specified for receipt of Offers  ̈
is extended  ̈ is not extended. 

 Offers must acknowledge receipt of this amendment
prior to the hour and date specified in the solicitation or as amended by one of the following methods: 
 (a) By completing Items 8 and 15, and
returning one (1) copy of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers.
FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already
submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified. 

 

									
	 12.ACCOUNTING AND APPROPRIATION DATA (If
Required)
 EIN: 1-56-211007-AI SOCC: 255.55 CAN: 7-8470035 Amount: $[**]

	 13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF
CONTRACTS/ORDERS,
 IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14

	 ( ̈)
	  	 A.    THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET
FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A

	 	  	
	 	  	 B.    THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO
REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

	 	  	 C.    THIS SUPPLEMENTAL
AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
  

	 X
	  	 D.    OTHER (Specify
type of modification and authority)
 FAR 1.602-1; FAR 52.232-22, Limitation of Funds; and Public Law 110-005

	 E.
IMPORTANT:   Contractor     x is not,      ̈ is required to sign this document and return
             copies to the issuing office.

	
	 14. DESCRIPTIONOF AMENDMENT/MODIFICATION (Organized by UCF section
headings, including solicitation/contract subject matter where feasible.)
  
 PURPOSE: To provide FY 07 incremental funding and update provisions in Section H.

  

																									
	 	  	TOTAL FUNDS ALLOTTED	 	    	TOTAL ESTIMATED COSTS	 
	 	  	Cost	 	  	Fixed Fee	 	  	Total CPFF	 	    	Cost	 	  	Fixed Fee	 	  	Total CPFF	 
	 Prior to this mod
	  	 	[**]	  	  	 	[**]	  	  	 	[**]	  	    	 	[**]	  	  	 	[**]	  	  	 	[**]	  
	 This mod. No. 2
	  	 	[**]	  	  	 	[**]	  	  	 	[**]	  	    	 	-	  	  	 	-	  	  	 	-	  
		  				  				  				    	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Total
	  	 	[**]	  	  	 	[**]	  	  	 	[**]	  	    	 	[**]	  	  	 	[**]	  	  	 	[**]	  

  

			
	 TOTAL ESTIMATED COST: $[**] (Unchanged)
	  	FUNDED THROUGH: September 29, 2008 (Changed)
	 TOTAL FUNDS ALLOTTED: $[**] (Changed)
	  	COMPLETION DATE: September 29, 2011 (Unchanged)

  

							
	Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and
effect.
	 15A.  NAME AND TITLE OF SIGNER (Type or print)
	  	16A. NAMEAND TITLE OF CONTRACTING OFFICER (Type or pint)
Michelle L. Scala
Contracting Officer, OA, NIAID, NIH,
DHHS
	 15B. CONTRACTOR/OFFEROR
	  	 15C.DATE SIGNED
	  	16B.UNITED STATES OF AMERICA  

BY /s/ Michelle L. Scala                 
   
	  	 16C. DATE SIGNED

 
 8/16/07

	  

(Signature of person authorized to sign)
	  	 	  	(Signature of Contracting Officer)	  	 

					
			
	NSN 7540-01-152-8070	  	30-105	  	STANDARD FORM 30 (REV. 10-83)
	PREVIOUS EDITION UNUSABLE	  	Computer Generated	  	Prescribed by GSA
FAR (48 CFR) 53.

					
	 Contract No. N01-AI-60019
 Modification No: 2
	  	SPECIAL PROVISIONS	  	Page 2 of 2

 ARTICLE
B.2. ESTIMATED COST AND FIXED FEE, paragraphs d. and e., are hereby read as follows: 
  

	 	d.	Total funds currently available for payment and allotted to this contract are hereby increased by $[**] from $[**] to $[**]; of which $[**] represents an increase to
the estimated cost from $[**] to $[**]; and of which $[**] represents an increase to the fixed fee from $[**] to $[**]. 

  

	 	e.	It is estimated that the amount currently allotted will cover performance of the contract through September 29, 2008. 

ARTICLE H.6. CONTINUED BAN ON FUNDING OF HUMAN EMBRYO RESEARCH, paragraph b. is hereby modified to add the following: 

 

							
	b.	 	Public Law and Section No.	  	Fiscal Year	  	Period Covered
		 	P.L. 110-005*	  	2007	  	10/01/06 - 09/30/07

  

	*	Public Law 110-005, Revised Continuing Appropriations Resolution, 2007, extends the legislative provisions provided in the FY 2006 Appropriations Act (Public Law
109-149) through the end of FY 2007. 

 ARTICLE H.7. NEEDLE EXCHANGE, paragraph b. is hereby modified to add the
following: 
  

							
	b.	 	Public Law and Section No.	  	Fiscal Year	  	Period Covered
		 	P.L. 110-005*	  	2007	  	10/01/06 - 09/30/07

  

	*	Public Law 110-005, Revised Continuing Appropriations Resolution, 2007, extends the legislative provisions provided in the FY 2006 Appropriations Act (Public Law
109-149) through the end of FY 2007. 

 ARTICLE H.10. SALARY RATE LIMITATION LEGISLATION PROVISIONS, paragraphs
b. and c. are hereby modified to add the following: 
  

							
	b.	 	Public Law No.	  	Fiscal Year	  	Salary Limitation*
		 	P.L. 110-005*	  	2007	  	Executive Level I

  

	*	Public Law 110-005, Revised Continuing Appropriations Resolution, 2007, extends the legislative provisions provided in the FY 2006 Appropriations Act (Public Law
109-149) through the end of FY 2007. Therefore, the provision that restricts the amount of direct salary to Executive Level I of the Federal Executive Pay Scale continues through FY 2007. The Executive Level I annual salary rate was $183,500 for the
period January 1 through December 31, 2006. Effective January 1, 2007, the Executive Level 1 salary rate increased to $186,600. 

  

	c.	Payment of direct salaries is limited to the Executive Level I rate which was in effect on the date(s) the expense was incurred. 

 

	NOTE:	All prior Public Laws and related Executive Levels incorporated in the Basic Award and all previous Modifications shall remain in effect for the applicable fiscal
year and related funds. 

 ARTICLE H. 16. PRESS RELEASES, paragraph b., is hereby modified to add the
following: 
  

							
	b.	 	Public Law and Section No.	  	Fiscal Year	  	Period Covered
		 	P.L. 110-005*	  	2007	  	10/01/06 - 09/30/07

  

	*	Public Law 110-005, Revised Continuing Appropriations Resolution, 2007, extends the legislative provisions provided in the FY  2006 Appropriations Act (Public
Law 109-149) through the end of FY 2007. 

 ARTICLE H.18. ANTI-LOBBYING. paragraph c., is hereby modified to add
the following: 
  

							
	c.	 	Public Law and Section No.	  	Fiscal Year	  	Period Covered
		 	P.L. 110-005*	  	2007	  	10/1/06 - 9/30/07

  

	*	Public Law 110-005, Revised Continuing Appropriations Resolution, 2007, extends the legislative provisions provided in the FY2006 Appropriations Act (Public Law
109-149) through the end of FY 2007. 

  

			
	DEPARTMENT OF HEALTH & HUMAN SERVICES	  	Public Health Service

  

 
  

			
	 	  	National Institutes of Health (NIH)
	 Phone: 301-496-0612
	  	National Institute of Allergy and Infectious Diseases (NIAID)
	 Fax: 301-480-5253
	  	Office of Acquisitions, DEA
	 http://www.niaid.nih.gov/
	  	6700B Rockledge Drive, Room 3214
		  	Bethesda, MD 20892-7612

 September 19, 2008 
 Jeffrey Abbey 
 Argos Therapeutics, Inc. 
 4233 Technology Drive 
 Durham, NC 27704 

 

			
	Subject:	  	 Contract No.: N01-AI-60019

Modification No. 3

 Dear Mr. Abbey: 
 Enclosed is an executed copy of the referenced modification for your retention. Should you have any questions regarding its administration, please contact Jason Bell, Contract Specialist, at
belljas@niaid.nih.gov or write to: 
 Contracting Officer 

Office of Acquisitions, DEA 
 National Institute of Allergy and Infectious Diseases 
 National Institutes of
Health, DHHS 
 6700-B Rockledge Drive 
 Room 3214, MSC 7612 
 Bethesda, Maryland 20892-7612 

 

	
	Sincerely,
	
	  
	Michelle L. Scala

 Michelle L. Scala 
 Contracting Officer 
 Office of Acquisitions 

AIDS Research Contracts Branch 
 National
Institute of Allergy 
 and Infectious Diseases 
 Enclosure 

 OMB Approval 2700-0042         

 

																							
	AMENDMENT OF SOLICITATION/MODIFICATION OF
CONTRACT	  	 1.   CONTRACT ID CODE
	  	PAGE      OF PAGES
	  	 	  	 	  	 	  	1	  	1
	
2.   AMENDMENT/MODIFICATION NO.

 
       Three
(3)
	  	
3.   EFFECTIVE DATE

 

      09/09/2008
	  	
4.   REQUISITION/PURCHASE REQ. NO
	  	 5.   PROJECT NO. (If
applicable)

	 6.   ISSUED BY
	  	CODE  	  	 	  	 7.   ADMINISTERED BY (IF OTHER THAN ITEM 6)
	  	 CODE
	  	 
			 	 	 
	
      Office of Acquisitions, DEA, NIAID

      National Institutes of Health, DHHS

      Room 3214, MSC 7612

      6700-B Rockledge Drive

      Bethesda, MD 20892-7612
	  	 	  	 	  	 	  	 
	 8. NAME AND ADDRESS OF CONTRACTOR (No., Street, County, State,
and Zip Code)
  
 Argos Therapeutics, Inc.

4233 Technology Drive
 Durham, NC 27704
	  	( ̈)  	  	 9A.  AMENDMENT OF SOLICITATION
NO.

	  	 	  	 9B.   DATED (SEE ITEM
11)

		  		  		  		  		  	 	  	
10A.MODIFICATION OF CONTRACT/ORDER NO.

 

        N01-AI-60019

		  		  	X  	  	
10B.DATED (SEE ITEM 13)
  

        September 30, 2006

	CODE	  	FACILITY CODE	  	  
	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

	 ̈	The above numbered solicitation is amended as set forth in item 14. The hour and date specified for receipt of Offers  ̈
is extended  ̈ is not extended. 

 Offers must acknowledge receipt of this
amendment prior to the hour and date specified in the solicitation or as amended by one of the following methods: 
 (a) By completing Items 8
and 15, and returning one (1) copy of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an
offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified. 

									
	
12. ACCOUNTING AND APPROPRIATION DATA (If Required)

 
     N/A

	 13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF
CONTRACTS/ORDERS,
 IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14

	
( ̈)
	  	 A.        THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify
authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A

	 	  	 	  	 	  	 	  	 
	 X
	  	 B.         THE ABOVE NUMBERED
CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

	 	  	
C.         THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO
AUTHORITY OF:
  

	 	  	
D.         OTHER (Specify type of modification and
authority)
  

	 E. IMPORTANT:  Contractor    x is not,     ̈ is required to sign this document and return          copies to the issuing
office.

	
	 14.  DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section
headings, including solicitation/contract subject matter where feasible.)
  
 PURPOSE: To modify an internal accounting administrative change for the contract.
  

TOTAL ESTIMATED COST: $[**] (Unchanged)

TOTAL FUNDS ALLOTTED: $[**] (Unchanged)

 
 FUNDED THROUGH: September 29, 2008
(Unchanged)
 COMPLETION DATE: September 29, 2011 (Unchanged)

	
	Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and
effect.
	 15A.  NAME AND TITLE OF SIGNER
(Type or print)
	  	
16A.  NAME AND TITLE OF CONTRACTING OFFICER (Type or pint)

 
 Michelle L. Scala
 Contracting Officer, OA, NIAID, HIH, DHHS

	 15B.   CONTRACTOR/OFFEROR
	  	 15C.   DATE SIGNED
	  	 16B.   UNITED STATES OF AMERICA

 
 BY /s/ Michelle L.
Scala                                        

	  	 16C.   DATE SIGNED

 

        9/19/08

	(Signature of person authorized to sign)	  	 	  	(Signature of Contracting Officer)	  	 

					
			
	NSN 7540-01-152-8070	  	30-105	  	STANDARD FORM 30 (REV. 10-83)
	PREVIOUS EDITION UNUSABLE	  	Computer Generated	  	 Prescribed by GSA
 FAR (48 CFR)
53.

					
	DEPARTMENT OF HEALTH & HUMAN SERVICES	  		  	Public Health Service

  
  

			
		  	National Institutes of Health (NIH)
	 Phone: 301-496-0612
	  	National Institute of Allergy and Infectious Diseases (NIAID)
	 Fax: 301-480-5253
	  	Office of Acquisitions, DEA
	 http://www.niaid.nih.gov/
	  	6700B Rockledge Drive, Room 3214
		  	Bethesda, MD 20892-7612

 September 24, 2008 
 Jeffrey Abbey 
 Argos Therapeutics, Inc. 
 4233 Technology Drive 
 Durham, NC 27704 

 

					
	 Subject:
	  	 Contract No.: N01-AI-60019

Modification No. 4
	  	

 Dear Mr. Abbey: 
 Enclosed is an executed copy of the referenced modification for your retention. Should you have any questions regarding its administration, please contact Jason Bell, Contract Specialist, at
belljas@niaid.nih.gov or write to: 
 Jason Bell 
 Contract Specialist 
 Office of Acquisitions, DEA 

National Institute of Allergy and Infectious Diseases 
 National Institutes of Health, DHHS 
 6700-B Rockledge Drive 

Room 3214, MSC 7612 
 Bethesda, Maryland 20892-7612 
 Sincerely, 

	
	
	/s/ Matthew Gormley
	 Matthew Gormley
 Contracting
Specialist
 Office of Acquisitions

Division of AIDS Research Contracts Branch

National Institute of Allergy and Infectious Diseases

 Enclosure 

 OMB Approval 2700-0042         

 

																							
	AMENDMENT OF
SOLICITATION/MODIFICATION OF CONTRACT	  	 1.   CONTRACT ID CODE

      N/A
	  	PAGE      OF PAGES
	  	  	1	  	4
	 2.   AMENDMENT/MODIFICATION NO.
  

      Four (4)
	  	 3.   EFFECTIVE DATE
  

      See Block 16C
	  	 4.   REQUISITION/PURCHASE REQ. NO
  

      755503
	  	
5.   PROJECT NO. (If applicable)

 

      N/A

	 6.   ISSUED BY
	  	CODE  	  	 	  	 7.   ADMINISTERED BY (IF OTHER THAN ITEM
6)
	  	
        CODE  
	  	
    N/A

	 	 
	       Office of Acquisitions, DEA
       National Institutes of Allergy and Infectious Diseases
       National Institutes of Health, DHHS
       Room 3214, MSC 7612

      6700-B Rockledge Drive

      Bethesda, MD 20892-7612
	  	       AIDS-RCB

	 8.   NAME AND
ADDRESS OF CONTRACTOR (No., Street, County, State, and Zip Code)
	  	( ̈)  	  	 9A.  AMENDMENT OF SOLICITATION NO.

	 Argos Therapeutics, Inc.

4233 Technology Drive
 Durham, NC 27704
	  	 	  	 
	  	 	  	
9B.   DATED (SEE ITEM 11)

 

	  	 	  	
10A. MODIFICATION OF CONTRACT/ORDER NO.

 

        HHSN266200600019C

	 	  	 	  	X  	  	
10B. DATED (SEE ITEM 13)

 

        September 30, 2006

	CODE	  	FACILITY CODE	  	  
	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

	 ̈	The above numbered, solicitation is amended as set forth in item 14. The hour and date specified for receipt of Offers  ̈
is extended  ̈ is not extended. 

 Offers must acknowledge receipt of this
amendment prior to the hour and date specified in the solicitation or as amended by one of the following methods: 
 (a) By completing Items 8
and 15, and returning one (1) copy of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and
amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an
offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified. 

									
	
12. ACCOUNTING AND APPROPRIATION DATA (If Required)

 
     EIN:
1-56-211007-A1        SOC: 25.55        CAN 8-8470035        AMOUNT $[**]

	
	 13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF
CONTRACTS/ORDERS,
 IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14

		 
	
( ̈)
	  	 A.    THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET
FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A

	 	  	 
		 
	 	  	 B.    THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO
REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

		 
	 	  	 C.    THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO
PURSUANT TO AUTHORITY OF:

		 
	X	  	 D.    OTHER (Specify
type of modification and authority)
  
 FAR 52.232-22, Limitation of Funds;
and P.L. 110-161

	 E. IMPORTANT:  Contractor    X is
not,     ̈ is required to sign this document and return          copies to the issuing office.

	
	 14.  DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section
headings, including solicitation/contract subject matter where feasible.)
  
 PURPOSE: To provide incremental funding and update provisions in Sections B and H.

 

													
	 	  	TOTAL FUNDS ALLOTTED	 
	 	  	Cost	 	 	Fixed Fee	 	 	Total CPFF	 
	 Prior to this mod:
	  	 	[	**] 	 	 	[	**] 	 	 	[	**] 
	 This mod. No. 4:
	  	 	[	**] 	 	 	[	**] 	 	 	[	**] 
	 Total
	  	 	[	**] 	 	 	[	**] 	 	 	[	**] 

  

			
	TOTAL ESTIMATED COST: $[**] (Unchanged)	  	FUNDED THROUGH: March 31, 2010 (Changed)
	TOTAL FUNDS ALLOTTED: $[**](Changed)	  	COMPLETION DATE: September 29, 2011 (Unchanged)

									
	
	
	
	Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed,
remains unchanged and in full force and effect.
	 15A.  NAME AND TITLE OF SIGNER (Type or
print)
	  	 16A.  NAME AND TITLE OF
CONTRACTING OFFICER (Type or pint)
  
 Eileen Webster-Cissel

Contracting Officer, OA, NIAID, NIH, DHHS

	 15B.   CONTRACTOR/OFFEROR
	  	 15C.   DATE SIGNED
	  	 16B.   UNITED STATES OF AMERICA

 
 BY /s/ Eileen Webster-Cissel
                                        

	  	 16C.   DATE SIGNED

 

        9/24/08

	(Signature of person authorized to sign)	  	 	  	(Signature of Contracting Officer)	  	 

					
			
	NSN 7540-01-152-8070	  	30-105	  	STANDARD FORM 30 (REV. 10-83)
	PREVIOUS EDITION UNUSABLE	  	Computer Generated	  	 Prescribed by GSA
 FAR (48 CFR)
53.

					
	 Contract No. N01-AI-60019
 Modification No: 4
	  	SPECIAL PROVISIONS	  	Page 2 of 4

  

 BEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE CONTRACT IS HEREBY REVISED AS FOLLOWS:

 ARTICLE B.2. ESTIMATED COST AND FIXED FEE, paragraphs d, e., and f., are hereby modified to read as follows: 

 

	 	d.	Total funds currently available for payment and allotted to this contract are hereby increased from $[**] to $[**]; a net increase of $[**]; of which $[**] represents
an increase to the estimated cost from $[**] to $[**]; and of which $[**] represents an increase to the fixed fee from $[**] to $[**]. 

  

	 	e.	It is estimated that the amount currently allotted will cover performance of the contract through March 31, 2010. 

 

	 	f.	The Contracting Officer may allot additional funds to the contract without the concurrence of the Contractor. Future increments to be allotted to this contract are
estimated as follows: 

  

							
	 Period
	  	Estimated
Cost	 	Fixed
Fee	 	Total
CPFF
	 09/30/09-09/29/10
	  	[**]	 	[**]	 	[**]
	 09/30/10-09/29/11
	  	[**]	 	[**]	 	[**]

 ARTICLE H.6. CONTINUED BAN ON FUNDING OF HUMAN EMBRYO RESEARCH is deleted in its entirety and replaced
with: 
 Pursuant to the current HHS annual appropriations act, the Contractor shall not use contract funds for (1) the creation of a human
embryo or embryos for research purposes; or (2) research in which a human embryo or embryos are destroyed, discarded, or knowingly subjected to risk of injury or death greater than that allowed for research on fetuses in utero under 45 CFR
46.204(b) and Section 498(b) of the Public Health Service Act (42 U.S.C. 289g(b)). The term “human embryo or embryos” includes any organism, not protected as a human subject under 45 CFR 46 as of the date of the enactment of this Act,
that is derived by fertilization, parthenogenesis, cloning, or any other means from one or more human gametes or human diploid cells. 

Additionally, in accordance with a March 4, 1997 Presidential Memorandum, Federal funds may not be used for cloning of human beings. 

ARTICLE H.7. NEEDLE EXCHANGE is deleted in its entirety and replaced with: 
 Pursuant to the current HHS annual appropriations act, the Contractor shall not use contract funds to carry out any program of distributing sterile needles or syringes for the hypodermic injection of any
illegal drug. 
 ARTICLE H.10. SALARY RATE LIMITATION LEGISLATION PROVISIONS is deleted in its entirety and replaced with:

 Pursuant to the current HHS annual appropriations act, the Contractor shall not use NIH Fiscal Year funds to pay the direct
salary of an individual through this contract at a rate in excess of Executive Level I. Direct salary is exclusive of fringe benefits, overhead and general and administrative expenses (also referred to as “indirect costs” or
“facilities and administrative (F&A) costs”). Direct salary has the same meaning as the term “institutional base salary.” An individual’s direct salary (or institutional base salary) is the annual compensation that the
Contractor pays for an individual’s appointment whether that individual’s time is spent on research, teaching, patient care or other activities. Direct salary (or institutional base salary) excludes any income that an individual may be
permitted to earn outside of duties to the Contractor. The annual saiary rate limitation also applies to individuals proposed under subcontracts. It does not apply to fees paid to consultants. If this is a multiple year contract, it may be subject
to unilateral modifications by the Government if an individual’s salary rate used to establish contract funding exceeds any salary rate limitation subsequently established in future HHS appropriation acts. 

  

					
	 Contract No. N01-AI-60019
 Modification No: 4
	  	SPECIAL PROVISIONS	  	Page 3 of 4

  

	b.	Payment of direct salaries is limited to the Executive Level I rate which was in effect on the date(s) the expense was incurred. See the following Web site for
Executive Schedule rates of pay: http://www.opm,qov/oca/. (For current year rates, click on Salaries and Wages / Executive Schedule / Rates of Pay for the Executive Schedule. For prior year rates, click on Salaries and Wages / cursor to
bottom of page and select year / Executive Schedule / Rates of Pay for the Executive Schedule. Rates are effective January 1 of each calendar year unless otherwise noted.) 

 

			
	 NOTE:
	 	All prior Public Laws and related Executive Levels incorporated in the Basic Award and all previous Modifications shall remain in effect for the applicable fiscal year and
related funds.

 ARTICLE H.16. PRESS RELEASES is deleted in its entirety and replaced with: 

Pursuant to the current HHS annual appropriations act, the Contractor shall clearly state, when issuing statements, press releases, requests for
proposals, bid solicitations and other documents describing projects or programs funded in whole or in part with Federal money: (1) the percentage of the total costs of the program or project which will be financed with Federal money;
(2) the dollar amount of Federal funds for the project or program; and (3) the percentage and dollar amount of the total costs of the project or program that will be financed by nongovernmental sources. 

ARTICLE H.18. ANTI-LOBBYING is deleted in its entirety. It is now covered under HHSAR Clause 352.270-10, incorporated in ARTICLE 1.1.

 THE FOLLOWING ARTICLES ARE RENUMBERED AS A RESULT OF THE ABOVE CHANGES: 
 ARTICLE H.19. SHARING RESEARCH DATA, is renumbered to read ARTICLE H18.  
 ARTICLE
H.20. HOTEL AND MOTEL FIRE SAFETY ACT OF 1990, is renumbered to read ARTICLE H.19.  
 ARTICLE H.21. NIH POLICY ON ENHANCING PUBLIC
ACCESS TO ARCHIVED PUBLICATIONS RESULTING FROM NIH-FUNDED RESEARCH, is renumbered to read ARTICLE H.20. 
 THE FOLLOWING NEW ARTICLES ARE
HEREBY ADDED TO THIS CONTRACT IN COMPLIANCE WITH THE CONTINUING LEGISLATIVE MANDATES FOR FY2008 (P.L. 110-161). 
 ARTICLE H.21.
DISSEMINATION OF FALSE OR DELIBERATELY MISLEADING SCIENTIFIC INFORMATION 
 Pursuant to the current HHS annual appropriations act, the
Contractor shall not use contract funds to disseminate scientific information that is deliberately false or misleading. 
 ARTICLE H.22.
RESTRICTION ON EMPLOYMENT OF UNAUTHORIZED ALIEN WORKERS 
 Pursuant to the current HHS annual appropriations act, the Contractor shall
not use contract funds to employ workers described in section 274A(h)(3) of the Immigration and Nationality Act, which reads as follows: 

“(3) Definition of unauthorized alien.-As used in this section, the term ‘unauthorized alien’ means, with respect to the employment of an
alien at a particular time, that the alien is not at that time either (A) an alien lawfully admitted for permanent residence, or (B) authorized to be so employed by this Act or by the Attorney General.” 

ARTICLE H.23. RESTRICTION ON ABORTIONS 
 Pursuant to the current HHS annual appropriations act, the Contractor shall not use contract funds for any abortion. 
 ARTICLE H.24. REGISTRATION OF CLINICAL TRIALS IN THE GOVERNMENT DATABASE (ClinicalTrials.gov) 
 Pursuant to Public Law 110-85, Food and Drug Administration Amendments Act of 2007, Title Vlll-Clinical Trial Databases, the Contractor shall register the clinical trial(s) performed under this contract
in the Government database, ClinicalTrials.gov ( http://www.ClinicalTrials.gov ) by the later of December 27, 2007, or 21 days after the first patient is enrolled. 

  

					
	 Contract No. N01-AI-60019
 Modification No: 4
	  	SPECIAL PROVISIONS	  	Page 4 of 4

  

 Additional information is available at: http://prsinfo.ciinicaltrials.gov . 

THE FOLLOWING SECTON I ARTICLE IS UPDATED IN COMPLIANCE WITH PUBLIC LAW (P.L.) 110-161: 
 ARTICLE I.1. GENERAL CONTRACT CLAUSES FOR A COST-REIMBURSEMENT RESEARCH AND DEVELOPMENT CONTRACT, subparagraph b., is revised to add the following clause: 

HHSAR Clause No. 352.270-10, Jan 2006, Anti-Lobbying 
 END OF MODIFICATION #4 CONTRACT NO. HHSN266200600019C 

  

			
	DEPARTMENT OF HEALTH & HUMAN SERVICES	  	Public Health Service

  
  

 

			
	 National Institutes of Health (NIH)
	  	
	 Phone: 301-496-0612
	  	National Institute of Allergy and Infectious Diseases (NIAID)
	 Fax: 301-480-4675
	  	Office of Acquisitions, DEA
	http://www.niaid.nih.gov/	  	6700B Rockledge Drive, Room 3214
		  	Bethesda, MD 20892-7612

 July 17, 2009 
 Jeffrey Abbey 
 Argos Therapeutics, Inc. 
 4233 Technology Drive 
 Durham, NC 27704 

 

	Subject:	    Contract No. N01-AI-60019 

 Modification No. 5 
 Dear Mr. Abbey: 

Enclosed is an executed copy of the referenced modification for your retention. Should you have any questions regarding its administration, please contact
Jason Bell, Contracting Officer Representative, at belljas@niaid.nih.gov or write to: 
 Sincerely, 

	
	
	  
	Jason Bell

 Contracting Officer Representative 
 Office of Acquisitions, DEA 
 National Institute of Allergy and Infectious Diseases 

National Institutes of Health, DHHS 
 6700-B
Rockledge Drive 
 Room 3214, MSC 7612 

Bethesda, Maryland 20892-7612 
 Enclosure

 OMB Control
No. 2700-0042                                      
   

																							
	AMENDMENT OF
SOLICITATION/MODIFICATION OF CONTRACT	  	
1.   CONTRACT ID CODE

N/A
	  	PAGE    OF PAGES
	  	  	1	  	3
	
2.   AMENDMENT/MODIFICATION NO.

 
       Five
(5)
	  	
3.   EFFECTIVE DATE

 
       See
Block 16C
	  	
4.   REQUISITION/PURCHASE REQ. NO
	  	
5.   PROJECT NO. (If applicable)
 N/A

	 6.   ISSUED BY
	  	CODE  	  	 	  	 7.   ADMINISTERED BY (If other than Item
6)
	  	 CODE  
	  	N/A
		 
	
      Office of Acquisitions, DEA

      National Institute of Allergy and Infectious Diseases

      National Institutes of Health

      Room 3214, MSC 7612

      6700-B Rockledge Drive

      Bethesda, MD 20892-7612
	  	AIDS-RCB
	 8. NAME AND ADDRESS OF CONTRACTOR (No., Street, county, State, and ZIP
Code)
	  	(X)  	  	 9A.  AMENDMENT OF SOLICITATION NO.

	 Argos Therapeutics, Inc.

4233 Technology Drive
 Durham, NC 27704
	  	 	  	
	  		  	 9B.   DATED (SEE ITEM
11)
  

	  	X  	  	
10A.MODIFICATION OF CONTRACT/ORDER NO.

 

        HHSN266200600019C

	  	 	  	
10B. DATED (SEE ITEM 13)

 

        September 30, 2006

	CODE	  	FACILITY CODE	  	  
	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

	 ̈	  The above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers     ̈  is extended     ̈  is not extended. 

 

	Offers	must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:

 (a) By completing Items 8 and 15, and returning one (1) copy of the amendment; (b) By acknowledging receipt of this
amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF
OFFERS PRIOR TO THE HOUR AND DATA SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes
reference to the solicitation and this amendment, and is received prior to the opening hour and data specified. 

							
	
12. ACCOUNTING AND APPROPRIATION DATA (If required)

 
     N/A

	 13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF
CONTRACTS/ORDERS,
 IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14

	 (X)
	  	 A.        THIS CHANGE
ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A

	 	  
	 	  	 B.         THE ABOVE NUMBERED
CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

	 	  	 C.         THIS SUPPLEMENTAL
AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

	 X
	  	
D.         OTHER Specify type of modification and
authority)
 Public Law (P.L.) 111-8 and P.L. 110-85

 

	 E. IMPORTANT:  Contractor    x is not,     ̈ is required to sign this document and return          copies to the issuing
office.

	 14.  DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section
headings, including solicitation/contract subject matter where feasible.)
  
 PURPOSE: To update provisions in Sections H and I.4
  

TOTAL ESTIMATED COST: $[**] (Unchanged)

TOTAL FUNDS ALLOTTED: $[**] (Unchanged)

 
 FUNDED THROUGH: March 29, 2010
(Unchanged)
 COMPLETION DATE: September 29, 2011 (Unchanged)

	
	Except at provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed,
remains unchanged and in full force and effect.
	 	
	 15A.  NAME AND
TITLE OF SIGNER (Type or print)
	  	
16A.  NAME AND TITLE OF CONTRACTING OFFICER (Type or 
print)
  
 Michelle L. Scala

Contracting Officer, OA, DEA, NIAID, NIH, DHHS

													
	15B. CONTRACTOR/OFFEROR	 	 	  	15C. DATE SIGNED	  	16B. UNITED STATES OF AMERICA	  	16C. DATE SIGNED
				 		 	
		 		 		  	 	  	BY	  	/s/ Michelle L. Scala	  	7/17/09
	 	 	(Signature of person authorized to sign)	 	 	  	 	  	 	  	(Signature of Contracting Officer)	  	 
		 		 		  		  		  		  	

  

											
	 NSN 7540-01-152-8070

30 (REV. 10-83)
 PREVIOUS EDITION
UNUSABLE
	  	 30-105
  

Computer Generated
	  	 STANDARD FORM
  

Prescribed by GSA
 FAR (48 CFR)
53.243

  

					
	 Contract No. N01-AI-60019

Modification No: 5
	  	SPECIAL PROVISIONS	  	Page 2 of 3

 BEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE CONTRACT IS HEREBY REVISED AS FOLLOWS: 

ARTICLE H.25. NIH POLICY ON ENHANCING PUBLIC ACCESS TO ARCHIVED PUBLICATIONS RESULTING FROM NIH-FUNDED RESEARCH is added as follows:

 NIH-funded investigators shall submit to the NIH National Library of Medicine’s (NLM) PubMed Central (PMC) an electronic version of the
author’s final manuscript, upon acceptance for publication, resulting from research supported in whole or in part with direct costs from NIH. NIH defines the author’s final manuscript as the final version accepted for journal publication,
and includes all modifications from the publishing peer review process. The PMC archive will preserve permanently these manuscripts for use by the public, health care providers, educators, scientists, and NIH. The Policy directs electronic
submissions to the NIH/NLM/PMC: http://www.pubmedcentral.nih.gov. 
 Additional information is available at
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-033.html 
 THE FOLLOWING ARTICLE IS ADDED IN COMPLIANCE WITH PUBLIC LAW
(P.L.) 110-85: 
 ARTICLE 1.4. ADDITIONAL FAR CONTRACT CLAUSE INCLUDED IN FULL TEXT, is modified to
add 
 This contract incorporates the following clause in full text. 
 FAR Clause 52.219-28, Post-Award Small Business Program Representation (April 2009). (a) Definitions. As used in this clause— 

Long-term contract means a contract of more than five years in duration, including options. However, the term does not include
contracts that exceed five years in duration because the period of performance has been extended for a cumulative period not to exceed six months under the clause at 52.217-8, Option to Extend Services, or other appropriate authority. 

Small business concern means a concern, including its affiliates, that is independently owned and operated, not dominant in the
field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria in 13 CFR part 121 and the size standard in paragraph (c) of this clause. Such a concern is “not dominant in its field
of operation” when it does not exercise a controlling or major influence on a national basis in a kind of business activity in which a number of business concerns are primarily engaged. In determining whether dominance exists, consideration
shall be given to all appropriate factors, including volume of business, number of employees, financial resources, competitive status or position, ownership or control of materials, processes, patents, license agreements, facilities, sales
territory, and nature of business activity. 
 (b) If the Contractor represented that it was a small business concern prior to
award of this contract, the Contractor shall represent its size status according to paragraph (e) of this clause or, if applicable, paragraph (g) of this clause, upon the occurrence of any of the following: 

 (1) Within 30 days after execution of a novation agreement or within 30 days after
modification of the contract to include this clause, if the novation agreement was executed prior to inclusion of this clause in the contract. 
 (2) Within 30 days after a merger or acquisition that does not require a novation or within 30 days after modification of the contract to include this clause, if the merger or acquisition occurred
prior to inclusion of this clause in the contract. 
 (3) For long-term contracts— 

(i) Within 60 to 120 days prior to the end of the fifth year of the contract; and 

(ii) Within 60 to 120 days prior to the date specified in the contract for exercising any option thereafter. 

 

					
	 Contract No. N01-AI-60019

Modification No: 5
	  	SPECIAL PROVISIONS	  	Page 3 of 3

 (c) The Contractor shall represent its size status in accordance with the size standard in effect at the
time of this representation that corresponds to the North American Industry Classification System (NAICS) code assigned to this contract. The small business size standard corresponding to this NAICS code can be found at
http://www.sba.gov/services/contractingopportunities/sizestandardstopics/ . 
 (d) The small business size standard for a
Contractor providing a product which it does not manufacture itself, for a contract other than a construction or service contract, is 500 employees. 
 (e) Except as provided in paragraph (g) of this clause, the Contractor shall make the representation required by paragraph (b) of this clause by validating or updating all its representations in
the Online Representations and Certifications Application and its data in the Central Contractor Registration, as necessary, to ensure that they reflect the Contractor’s current status. The Contractor shall notify the contracting office in
writing within the timeframes specified in paragraph (b) of this clause that the data have been validated or updated, and provide the date of the validation or update. 
 (f) If the Contractor represented that it was other than a small business concern prior to award of this contract, the Contractor may, but is not required to, take the actions required by paragraphs
(e) or (g) of this clause. 
 (g) If the Contractor does not have representations and certifications in ORCA, or does
not have a representation in ORCA for the NAICS code applicable to this contract, the Contractor is required to complete the following representation and submit it to the contracting office, along with the contract number and the date on which the
representation was completed: 
 The Contractor represents that it [ ] is, [ ] is not a small business concern under NAICS Code
assigned to contract number. 
 [Contractor to sign and date and insert authorized signer’s name and title].

 (End of clause) 
 END OF MODIFICATION #5 CONTRACT NO. HHSN266200600019C 

			
	DEPARTMENT OF HEALTH & HUMAN SERVICES	  	Public Health Service

  
  

 

			
	 Phone: 301-496-0612
 Fax:
301-480-4675
 http://www.niaid.nih.gov/
	 	 National Institutes of Health (NIH)
 National Institute of Allergy and Infectious Diseases (NIAID) Office of Acquisitions, DEA
 6700B
Rockledge Drive, Room 3214
 Bethesda, MD 20892-7612

 October 5, 2010 
 Jeffrey Abbey 
 Argos Therapeutics, Inc. 
 4233 Technology Drive 
 Durham, NC 27704 

 
  

			
	 Subject:
	  	 Contract No.: N01-AI-60019

Modification No. 6

 Dear Mr. Abbey: 
 Enclosed is an executed copy of the referenced modification for your retention. Should you have any questions regarding its administration, please contact the undersigned at patelkianiaid.nih.gov
or write to: 
 Office of Acquisitions, DEA 
 National Institute of Allergy and Infectious Diseases 
 National Institutes of
Health, DHHS 
 6700-B Rockledge Drive 
 Room 3214, MSC 7612 
 Bethesda, Maryland 20892-7612 

 

	
	Sincerely,
	
	  
	 Kishan Patel
 Contract
Specialist
 Office of Acquisitions

Division of AIDS Research Contracts Branch

National Institute of Allergy
 and Infectious
Diseases

 Enclosure: a/s 

																													
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT	  	1. CONTRACT ID CODE	 	PAGE         OF PAGES
	  	  	  	  	  	  	 	1	 	13
	 2. AMENDMENT/MODIFICATION NO.
Six
(6)
	  	 3. EFFECTIVE DATE
July 1,
2010
	  	 4.
REQUISITION/PURCHASE REQ. N0.
1796906
	  	
5. PROJECT NO. (If applicable)
N/A

	
6. ISSUED BY                     
                    CODE
	  	 	  	7. ADMINISTERED BY (If other than Item 6)         CODE	  	N/A
	  
 National Institutes of Health
 National Institute of Allergy and Infectious
Diseases
 DEA, Office of Acquisitions
 Room 3214, MSC 7612
 6700-B Rockledge Drive

Bethesda, MD 20892-7612
	  	  
 AIDS-RCB

	 8. NAME AND ADDRESS OF CONTRACTOR (No. Street, County, State and ZIP
Code)
	  	( ̈)  	  	9A. AMENDMENT OF SOLICITATION NO.
	  
 Argos Therapeutics, Inc.
 4233 Technology Drive

Durham, NC 27704
	  	VIN # 1109171	  	 	  	  
 9B. DATED (SEE ITEM 11)

	  		  		  		  	X  	  	 10A. MODIFICATION OF CONTRACT/ORDER NO.

 
 HHSN266200600019C

 

	  	 	  	 	  	 	  	 	  	 10B. DATED (SEE ITEM
13)
  
 September 30, 2006

	 CODE
	  	FACILITY CODE	  	 	  
	  
 11. THIS ITEM ONLY APPLIES TO
AMENDMENTS OF SOLICITATIONS

	  

 ̈    The above numbered solicitation is
amended as set forth in Item 14. The hour and date specified for receipt of Offers
	  	  ̈    Is extended,
	  	
 ̈    Is not extended.

	  
 Offers must acknowledge receipt of this amendment
prior to the hour and date specified in the solicitation or as amended, by one of the following methods;

	  
 (a) By
completing Items 8 and 15, and returning one (1) copy of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the
solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATA SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire
to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and data
specified.

	12. ACCOUNTING AND APPROPRIATION DATA (if required)
	  
 SOC; 25.55
TIN: 56211007 DUNS: [**] CAN: 10-8470035 AMOUNT: $[**] (Reg. #1796906) $[**] (Reg. #1817895)

	 13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,

IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

 

																													
	
( ̈)
	  	 A.    THIS CHANGE ORDER IS ISSUED PURSUANT TO:
(Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A.

		  		  		  		  		  		  		  		  		  		  		  		  		  		  	
	 	  	
B.    THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES
(such as changes in paying office, appropriation date, etc.) SET
  

	  
 X
	  	  

C.    THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:

 
 FAR 1.602-1; FAR 17.202; FAR 43.102

 

	 	  	 D.    OTHER (Specify
type of modification and authority)

																													
			
	E.  IMPORTANT: Contractor	  	 ̈ is not,	  	x is required to sign this document and return 2 copies to the issuing
office.
	
	14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)
	
	PURPOSE: To modify the contract to incorporate: 1) Identify one separate non-severable Option within the existing Statement of Work; 2) to exercise Option 1; 3)
change the Completion Date; and 4) update contract provisions.

  

																									
	 	  	Total Funds Currently Obligated	 	  	Total Estimated Cost	 
	 	  	Cost	 	  	Fee	 	  	Total	 	  	Cost	 	  	Fee	 	  	Total	 
	 Prior to this Mod
	  	 	[**]	  	  	 	[**]	  	  	 	[**]	  	  	$	26,482,126	  	  	$	1,395,099	  	  	$	27,877,225	  
	 This Mod #
	  	 	[**]	  	  	 	[**]	  	  	 	[**]	  	  	 	0	  	  	 	0	  	  	 	0	  
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Revised Total
	  	$	26,482,126	  	  	$	1,395,099	  	  	$	27,877,225	  	  	$	26,482,126	  	  	$	1,395,099	  	  	$	27,877,225	  

																													
								
	COMPLETION DATE: May 31, 2013	  		  		  		  		  		  		  	
	  
 Except as provided herein, all terms and conditions
of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect.

																													
	 	 
	 15A. NAME AND TITLE OF SIGNER (Type or print)

 
 Jeff Abbey, President and CEO
	 	 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

 
 Michelle L Scala

 
 Contracting Officer, OA, DEA, NIAID, NIH

											
	 15B. CONTRACTOR/OFFEROR
  

/s/ Jeff
Abbey                        
 (Signature of person authorized to sign)
	  	 15C. DATE SIGNED
  

9-27-10
	  	 16B. UNITED STATES OF AMERICA
  

By:/s/ Michelle L. Scala                

(Signature of Contracting Officer)
  
	  	 16C. DATE SIGNED
  

9/28/10

											
			
	 NSN 7540-01-152-8070
  

PREVIOUS EDITION UNUSABLE
	  	 30-105
  

Computer Generated
	  	 STANDARD FORM 30 (REV. 10-83)
 Prescribed by GSA
 FAR (48 CFR) 53.243

					
	 Contract No.
HHSN266200600019C 
 Modification No: 06
	 	SPECIAL PROVISIONS	 	Page 1 of 13

  

 BEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE GOVERNMENT AND THE CONTRACTOR MUTUALLY
AGRESS AS FOLLOWS: 
 ARTICLE B.2. ESTIMATED COST, is hereby deleted in its entirety and replaced with the following:

 ARTICLE B.2. ESTIMATED COST - OPTION 
  

	a.	The estimated cost of this contract is $26,482,126. 

  

	b.	The fixed fee for this contract is $1,395,099. Payment shall be subject to the withholding provisions of the clauses ALLOWABLE COST AND PAYMENT, and FIXED FEE,
referenced in the General Clause Listing in Part II, ARTICLE I.1. of this contract. The Contractor shall complete all work in accordance with the Statement of Work and the contract milestones set forth below. The distribution of the fixed fee shall
be paid in installments based on the Project Officer’s written certification regarding the completion of these milestones as follows: 

  

							
	  	  	MILESTONES FOR THE BASE	  	FIXED FEE	 
	 	 	 
	1.	  	[**]	  	 	[**]	  
	 	 	 
	2.	  	[**]	  	 	[**]	  
	 	 	 
	3.	  	[**]	  	 	[**]	  
	 	 	 
	4.	  	[**]	  	 	[**]	  
	 	 	 
	5.	  	[**]	  	 	[**]	  
	 	 	 
	6.	  	[**]	  	 	[**]	  
	 	 	 
	7.	  	[**]	  	 	[**]	  
	 	 	 
	8.	  	[**]	  	 	[**]	  
	 	 	 
	9.	  	[**]	  	 	[**]	  
	 	 	 
	10.	  	[**]	  	 	[**]	  
	 	 	 
	 	  	[**]	  	 	 	 
	 	 	 
	11.	  	[**]	  	 	[**]	  
	 	 	 
	12.	  	[**]	  	 	[**]	  
	 	 	 
	13.	  	[**]	  	 	[**]	  

  

					
	 Contract No.

HHSN266200600019C

 Modification No:
06
	 	SPECIAL PROVISIONS	 	Page 2 of 13

  

							
	  	  	MILESTONES FOR THE BASE	  	FIXED FEE	 
	 	 	 
	14.	  	[**]	  	 	[**]	  
	 	 	 
	15.	  	[**]	  	 	[**]	  
	 	 	 
	16.	  	[**]	  	 	[**]	  
	 	 	 
	17.	  	[**]	  	 	[**]	  
	 	 	 
	18.	  	[**]	  	 	[**]	  
	 	 	 
	19.	  	[**]	  	 	[**]	  
	 	 	 
	20.	  	[**]	  	 	[**]	  

  

	c.	The total estimated amount of the contract, represented by the sum of the estimated cost plus the fixed fee is $27,877,225. 

 

	d.	If the Government exercises its options pursuant to the OPTION PROVISION Article in SECTION H of this contract, the Government’s total estimated contract amount,
represented by the sum of the estimated cost plus fixed fee, will be increased as follows: 

  

															
	  	  	Period of
Performance	  	Estimated Cost	 	  	Fixed Fee	 	  	Estimated CPFF	 
	 Base
	  	09/30/2006-05/31/2013	  	 	[**]	  	  	 	[**]	  	  	 	[**]	  
	 Option 1 - Autologous Vaccine and Clinical Trial
	  	07/01/2010-05/31/2013	  	 	[**]	  	  	 	[**]	  	  	 	[**]	  
	 Total Base Period plus Option
	  	 	  	$	26,482,126	  	  	$	1,395,099	  	  	$	27,877,225	  

 ARTICLE B.3. PROVISIONS APPLICABLE TO DIRECT COSTS, paragraph c, Travel Costs, subparagraph 1, Domestic
Travel, is hereby revised to incorporate Option periods as follows: 
  

	 	1.	Domestic Travel  

 Total
expenditures for domestic travel (transportation, lodging, subsistence, and incidental expenses) incurred in direct performance of this contract shall not exceed the total amount of $[**], without the prior written approval of the Contracting
Officer. 
 If the Government exercises its Options pursuant to the OPTION PROVISION Article in SECTION H of this contract, the
Government’s total estimated amount for domestic travel shall not exceed the amounts indicated below: 

  

					
	 Contract No.
HHSN266200600019C

 Modification No: 06
	 	SPECIAL PROVISIONS	 	Page 3 of 13

  

					
	  	  	Period of Performance	  	Total Cost
Not to Exceed
	 Base
	  	09/30/2006-05/31/2013	  	[**]
	 Option 1
	  	07/01/2010-05/31/2013	  	[**]
	 Total Base
plus Options
	  	 	  	[**]

 ARTICLE B.4. ADVANCE UNDERSTANDINGS, is hereby revised to read as follows: 

Paragraph b, c, d, e, f, g and h, is hereby deleted in its entirety and incorporated to read as follows: 

 

	b.	Subcontract Modification 

  

	 	1.	The Contractor is authorized to negotiate a modification to their subcontracts with the following: 

[**] 
 The
subcontracts shall reflect the Estimated Base and Option Periods and related Estimated Cost/Price identified in the below table. Award of the subcontract modification shall not proceed without the prior written consent of the Contracting Officer
upon review of the supporting documentation required by FAR 52.244-2, Subcontracts. After receiving written consent of the subcontract modification by the Contracting Officer, a copy of the signed, executed subcontract modification shall be provided
to the Contracting Officer. 
  

	2.	The subcontract shall include pre-negotiated Options for periods of performance not to exceed beyond the prime contractor’s period of performance, as follows:

  

							
	Subcontractors	  	Base Period	  	Option 1	  	Total Cost 
Not to
Exceed
	 [**]
	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]
	 [**]
	  	[**]	  	[**]	  	[**]

  

	3.	The Contractor shall submit a draft of the subcontract modification within [**] days following the effective date of this modification. The subcontract modification
shall include a breakdown (by Base Year and Options) of cost and effort (hours) similar to that shown in this contract under Articles B.2 and F.3. 

  

					
	 Contract No.
HHSN266200600019C
 Modification No: 06
	 	SPECIAL PROVISIONS	 	Page 4 of 13

  

	4.	Within [**] calendar days after receiving written consent from the Contracting Officer to enter into the subcontract modification, a copy of the signed, executed
subcontract modification shall be provided to the Contracting Officer. 

 The Contractor is required to negotiate modifications
with all existing Subcontractors to coordinate with the Base and Option Periods identified in Article B.2. per this Modification, and submit these subcontract modifications to the Contracting Officer for consent. Award of these subcontract
modifications shall not proceed without the prior written consent of the Contracting Officer upon review of the supporting documentation required by FAR 52.244-2, Subcontracts. After receiving written consent to the modifications of these
subcontracts by the Contracting Officer, a copy of each signed, executed subcontract modification shall be provided to the Contracting Officer. 

Paragraph i, Consultants is hereby renumbered and modified to read as follows: 

 

	c.	Consultants 

  

	 	(1)	Consultant fees to be paid to the members of the External Advisory Board are authorized as indicated below: 

 

							
	 Option
	  	Period of Performance	  	Total Cost,
Excluding Travel,
Not to Exceed	 
	 Base
	  	09/30/2006-05/31/2013	  	 	[**]	  
	 Option 1
	  	07/01/2010-05/31/2013	  	 	[**]	  
	 Total Base Plus Option
	  		  	 	[**]	  

  

	 	(2)	Consultant fees to be paid to [**] are authorized as indicated below: 

  

							
	 Option
	  	Period of Performance	  	Total Cost,
Excluding Travel,
Not to Exceed	 
	 Base
	  	09/30/2006-05/31/2013	  	 	[**]	  
	 Option 1
	  	07/01/2010-05/31/2013	  	 	[**]	  
	 Total Base Plus Option
	  		  	 	[**]	  

 Paragraph j. is renumbered to d., Paragraph k. is renumbered to e., Paragraph l. is renumbered to f., Paragraph m. is
renumbered to g., and paragraph h. is incorporated and shall read as follows: 
  

	h.	Subcontract Modifications 

The Contractor is required to negotiate modifications with all existing Subcontractors to coordinate with the Base and Option Periods
identified in Article B.2. per this Modification, and submit these subcontract modifications to the Contracting Officer for consent. Award of these subcontract modifications shall not proceed without the prior written consent of the Contracting
Officer upon review of the supporting documentation required by FAR 52.244-2, Subcontracts. After receiving written consent to the modifications of these subcontracts by the Contracting Officer, a copy of each signed, executed subcontract
modification shall be provided to the Contracting Officer. 

  

					
	 Contract No.
HHSN266200600019C
 Modification No: 06
	 	SPECIAL PROVISIONS	 	Page 5 of 13

  

 ARTICLE C.1. STATEMENT OF WORK, Attachment 1, Statement of Work, dated August, 2006, is
hereby modified to delineate the work to be performed during the Base and Option Period. 
 ARTICLE F.1. DELIVERIES. Paragraph a,
is hereby revised to identify deliverables for the Base and Option Periods as follows: 
  

	a.	For Base, the items specified below as described in SECTION C, ARTICLE C.2. REPORTING REQUIREMENTS will be required to be delivered F.O.B Destination as set forth in
FAR 52.247-35, F.O.B. DESTINATION, WITHIN CONSIGNEES PREMISES (APRIL 1984), and in accordance with and by the dates specified below and any specifications stated in SECTION D, PACKAGING, MARKING AND SHIPPING, of this contract:

  

							
	Items	  	Description	  	Quantity	  	Delivery Schedule
	1.	  	Information Security Plan	  	1 - Original - CO
1 - Copy -COTR	  	Within [**] weeks of contract award
	2.	  	Goals and Milestones Achievement Reports	  	1 - Copy - COTR	  	Specific dates will be negotiated with the DAIDS
COTR
	3.	  	Specific Deliverable for Projects 1, 2, 3 and 5 as outlined in the Statement of
Work	  	1 - Copy - COTR	  	As Required by the COTR
	4.	  	DAIDS Enterprise Systems Reporting	  	 	  	On an ongoing basis as directed by DAIDS,
NIAID
	5.	  	Annual Technical Report	  	1 - Original - CO
1 - Copy - COTR	  	[**] day of the twelfth month of each contract
year
	6.	  	Annual Site Visit Review and Report	  	1 - Original - CO
1 - Copy - COTR	  	[**] month of each contract year.

  

	b.	For Option 1, the items specified below as described in SECTION C, ARTICLE C.2. REPORTING REQUIREMENTS will be required to be delivered F.O.B. Destination as set forth
in FAR 52.247-35, F.O.B. DESTINATION, WITHIN CONSIGNEES PREMISES (APRIL 1984), and in accordance with and by the dates specified below and any specification stated in SECTION D, PACKAGING, MARKING AND SHIPPING, of this contract:

  

							
	Items	  	Description	  	Quantity	  	Delivery Schedule
	1.	  	Goals and Milestones Achievement Reports	  	1 - Copy - COTR	  	Specific dates will be negotiated with the DAIDS
COTR
	2.	  	Specific Deliverable for Projects 4 and 5 as outlined in the Statement of
Work	  	1 - Copy - COTR	  	As Required by the COTR
	3.	  	Clinical Trial Protocol(s)	  	1 - Copy - COTR	  	As Required by the COTR
	4.	  	DAIDS Enterprise Systems Reporting	  	 	  	On an ongoing basts as directed by DAIDS,
NIAID
	5.	  	Annual Technical Report	  	1 - Original - CO
1 - Copy - COTR	  	[**] day of the twelfth month of each contract
year
	6.	  	Annual Site Visit Review and Report	  	1 - Original - CO
1 - Copy - COTR	  	[**] month of each contract
year.

  

					
	 Contract No.
HHSN266200600019C
 Modification No: 06
	 	SPECIAL PROVISIONS	 	Page 6 of 13

  

							
	7.	  	Final Technical Report	  	1 - Original - CO
1 - Copy - COTR	  	On or before contract expiration

 ARTICLE F.3. OPTION PERIODS, is hereby incorporated into this contract and shall read as follows:

 ARTICLE F.3. OPTION PERIODS  
 If the Government exercises its options pursuant to the OPTION PROVISION Article in Section H of this contract, the completion date of the contract will be extended as follows: 

 

					
	Option	  	Period	 
	 Base Period
	  	 	09/30/2006-05/31/2013	  
	 Option 1
	  	 	07/01/2010-05/31/2013	  

 ARTICLE G.1. PROJECT OFFICER, is hereby deleted in its entirety and replaced with the following:

 ARTICLE G.1. CONTRACTING OFFICER’S TECHNICAL REPRESENTATIVE (COTR)  

The following Contracting Officer’s Technical Representative (COTR) will represent the Government for the purpose of this contract: 

Anthony J. Conley, Ph.D. 
 Targeted Interventions Branch 
 Basic Science Program Division of AIDS, NIAID, NIH,
DHHS 
 Room 4100, MSC 7626 
 6700B Rockledge Drive 
 Bethesda, Maryland 20892-7626 

Email: conleytoaniaid.nih.gov 
 The COTR is responsible for: (1) monitoring the Contractor’s technical progress, including the surveillance and assessment of performance and recommending to the Contracting Officer changes in
requirements; (2) interpreting the statement of work and any other technical performance requirements; (3) performing technical evaluation as required; (4) performing technical inspections and acceptances required by this contract;
and (5) assisting in the resolution of technical problems encountered during performance. 
 The Contracting Officer is the only person
with authority to act as agent of the Government under this contract. Only the Contracting Officer has authority to: (1) direct or negotiate any changes in the statement of work; (2) modify or extend the period of performance;
(3) change the delivery schedule; (4) authorize reimbursement to the Contractor for any costs incurred during the performance of this contract; or (5) otherwise change any terms and conditions of this contract. 

The Government may unilaterally change its COTR designation. 

  

					
	 Contract No.
HHSN266200600019C
 Modification No: 06
	 	SPECIAL PROVISIONS	 	Page 7 of 13

  

 ARTICLE G.3. INVOICE SUBMISSION/CONTRACT FINANCING REQUEST AND CONTRACT FINANCIAL REPORT,
is hereby modified to incorporate the following paragraph: 
  

	c.	The Contractor’s invoices shall include a summary page of the expenditures for the current billing period, showing a breakdown by each expenditure category. In
addition, the Contractor shall provide a separate attachment for each individual funding period (base and any option periods) utilizing the same cost breakdown by cost category. Monthly invoices shall include the cumulative total expenses to date,
adjusted (as applicable) to show any amounts suspended by the Government. 

 SECTION H SPECIAL CONTRACT
REQUIREMENTS, is hereby revised to update special contract provisions as follows: 
 ARTICLE H.5. RESEARCH INVOLVING RECOMBINANT
DNA MOLECULES (Including Human Gene Transfer Research, is hereby modified to update the link and to reference the most recent policy on this issue, and shall read as follows: 
 All research involving Recombinant DNA Molecules shall be conducted in accordance with the NIH Guidelines for Research Involving Recombinant DNA Molecules
(http://oba.od.nih.gov/rdna/nih_guidelines_oba.html) and the September 24, 2007 Notice, “Reminder of NIH Policy for Enhancing the Science, Safety, and Ethics of Recombinant DNA Research”
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-096.html) (and any subsequent revisions to the Guide Notice) which stipulates biosafety and containment measures for recombinant DNA research and delineates critical, ethical principles and
key safety reporting requirements for human gene transfer research (See Appendix M of the Guidelines). These guidelines apply to both basic and clinical research studies. 
 The Recombinant DNA Advisory Committee (RAC) is charged with the safety of manipulation of genetic material through the use of recombinant DNA techniques. Prior to beginning any clinical trials involving
the transfer of recombinant DNA to humans, the trial must be registered with the RAC. If this contract involves new protocols that contain unique and/or novel issues, the RAC must discuss them in a public forum and then the Institutional Biosafety
Committee (IBC), the Institutional Review Board (IRB), and the Contracting Officer’s Technical Representative (COTR) and Contracting Officer must approve the protocol prior to the start of the research. 

Failure to comply with these requirements may result in suspension, limitation, or termination of the contract for any work related to Recombinant DNA
Research or a requirement for Contracting Officer prior approval of any or all Recombinant DNA projects under this contract. This includes the requirements of the Standing Institutional Biosafety Committee (IBC) (See
http://oba.od.nih.gov/rdnaibc/ibc.html). 
 As specified in Appendix M-1-C-4 of the NIH Guidelines, any serious adverse event must be
reported immediately to the IRB, the IBC, the Office for Human Research Protections (if applicable), and the NIH Office for Biotechnology Activities (OBA), followed by the filing of a written report with each office/group and copies to the COTR and
Contracting Officer. (http://oba.od.nih.gov/oba/rac/quidelines_02/APPENDIX_M.htm). 
 ARTICLE H.7. NEEDLE EXCHANGE, is
hereby deleted in its entirety and replaced with the following: 

  

					
	 Contract No.
HHSN266200600019C
 Modification No: 06
	 	SPECIAL PROVISIONS	 	Page 8 of 13

  

 ARTICLE H.7. NEEDLE DISTRIBUTION  
 The Contractor shall not use contract funds to distribute any needle or syringe for the purpose of preventing the spread of blood borne pathogens in any location that has been determined by authorities to
be inappropriate for such distribution. 
 ARTICLE H.8. PRIVACY ACT, is hereby deleted in its entirety and replaced with the
following: 
 ARTICLE H.8. PRIVACY ACT. HHSAR 352.224-70 (January 2006)  
 This contract requires the Contractor to perform one or more of the following: (a) Design; (b) develop; or (c) operate a Federal agency system of records to accomplish an agency function in
accordance with the Privacy Act of 1974 (Act) (5 U.S.C. 552a(m)(1)) and applicable agency regulations. The term “system of records” means a group of any records under the control of any agency from which information is retrieved by the
name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual. Violations of the Act by the Contractor and/or its employees may result in the imposition of criminal penalties (5 U.S.C.
552a(i)). The Contractor shall ensure that each of its employees knows the prescribed rules of conduct and that each employee is aware that he/she is subject to criminal penalties for violation of the Act to the same extent as Department of Health
and Human Services employees. These provisions also apply to all subcontracts the Contractor awards under this contract which require the design, development or operation of the designated system(s) of records [5 U.S.C. 552a(m)(1)]. The contract
work statement: (a) identifies the system(s) of records and the design, development, or operation work the Contractor is to perform; and (b) specifies the disposition to be made of such records upon completion of contract performance. (End
of clause) 
 45 CFR Part 5b contains additional information which includes, the rules of conduct and other Privacy Act requirements and can be
found at: http://www.access.gpo.gov/nara/cfr/waisidx_06/45cfr5b_06.html 
 The Privacy Act System of Records applicable to this project
is Number. This document is incorporated into this contract as an Attachment in SECTION J of this contract. This document is also available at: http://oma.od.nih.gov/ms/privacy/pa-files/read02systems.htm 

ARTICLE H.10. SALARY RATE LIMITATION LEGISLATION PROVISIONS, is hereby deleted in its entirety and replaced with the following: 

ARTICLE H.10. SALARY RATE LIMITATION, HHSAR 352.231-70 (January 2010) 

 

	 	a.	Pursuant to the current and applicable prior HHS appropriations acts, the Contractor shall not use contract funds to pay the direct salary of an individual at a rate in
excess of the Federal Executive Schedule Level I in effect on the date an expense is incurred. 

  

	 	b.	For purposes of the salary rate limitation, the terms “direct salary,” “salary,” and “institutional base salary” have the same meaning and
are collectively referred to as “direct salary” in this clause. An individual’s direct salary is the annual compensation that the Contractor pays for an individual’s direct effort (costs) under the contract. Direct salary
excludes any income that an individual may be permitted to earn outside of duties to the Contractor. Direct salary also excludes fringe benefits, overhead, and general and administrative expenses (also referred to as indirect costs or facilities and
administrative [F&A] costs). 

  

					
	 Contract No.
HHSN266200600019C
 Modification No: 06
	 	SPECIAL PROVISIONS	 	Page 9 of 13

  

 Note: The salary rate limitation does not restrict the salary that an organization may
pay an individual working under an HHS contract or order; it merely limits the portion of that salary that may be paid with Federal funds. 
  

	 	c.	The salary rate limitation also applies to individuals under subcontracts. If this is a multiple-year contract or order, it may be subject to unilateral modification by
the Contracting Officer to ensure that an individual is not paid at a rate that exceeds the salary rate limitation provision established in the HHS appropriations act in effect when the expense is incurred regardless of the rate initially used to
establish contract or order funding. 

  

	 	d.	See the salaries and wages pay tables on the U.S. Office of Personnel Management Web site for Federal Executive Schedule salary levels that apply to the current and
prior periods. 

 (End of clause) 
 See the following Web site for Executive Schedule rates of pay: http://www.opm.gov/oca/. (For current year rates, click on Salaries and Wages / Executive Schedule / Rates of Pay for the
Executive Schedule. For prior year rates, click on Salaries and Wages / select Another Year at the top of the page / Executive Schedule / Rates of Pay for the Executive Schedule. Rates are effective January 1 of each calendar year unless
otherwise noted.) 
 ARTICLE H.15. PUBLICATION AND PUBLICITY, is hereby modified to read as follows: 

In addition to the requirements set forth in HHSAR Clause 352.227-70, Publications and Publicity incorporated by reference in SECTION I of this contract,
the Contractor shall acknowledge the support of the National Institutes of Health whenever publicizing the work under this contract in any media by including an acknowledgment substantially as follows: 

“This project has been funded in whole or in part with Federal funds from the National Institutes of Allergy and Infectious Diseases,
National Institutes of Health, Department of Health and Human Services, under Contract No. HHSN266200600019C.” 
 ARTICLE H.16. PRESS
RELEASES, is hereby modified to read as follows: 
 The Contractor shall clearly state, when issuing statements, press releases,
requests for proposals, bid solicitations and other documents describing projects or programs funded in whole or in part with Federal money: (1) the percentage of the total costs of the program or project which will be financed with Federal
money; (2) the dollar amount of Federal funds for the project or program; and (3) the percentage and dollar amount of the total costs of the project or program that will be financed by nongovernmental sources. 

ARTICLE H.20. NIH POLICY ON ENHANCING PUBLIC ACCESS TO ARCHIVED PUBLICATIONS RESULTING FROM NIH-FUNDED RESEARCH, is hereby modified to read
as follows: 

  

					
	 Contract No.
HHSN266200600019C
 Modification No: 06
	 	SPECIAL PROVISIONS	 	Page 10 of 13

  

 NIH-funded investigators shall submit to the NIH National Library of Medicine’s (NLM) PubMed
Central (PMC) an electronic version of the author’s final manuscript, upon acceptance for publication, resulting from research supported in whole or in part with direct costs from NIH. NIH defines the author’s final manuscript as the final
version accepted for journal publication, and includes all modifications from the publishing peer review process. The PMC archive will preserve permanently these manuscripts for use by the public, health care providers, educators, scientists, and
NIH. The Policy directs electronic submissions to the NIH/NLM/PMC: http://www.pubmedcentral.nih.gov. 
 Additional information is
available at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-033.html 
 ARTICLE H.25. NIH POLICY ON ENHANCING PUBLIC
ACCESS TO ARCHIVED PUBLICATIONS RESULTING FROM NIH-FUNDED RESEARCH, is deleted in its entirety since it is already stated in the contract as ARTICLE H.20. 
 ARTICLE H.25. OPTION PROVISIONS, is hereby incorporated into this contract as follows: 
 Unless the Government exercises its option pursuant to the Option Clause set forth in ARTICLE I.3., the contract will consist only of the Base Period of the Statement of Work as defined in Sections C and
F of the contract. Pursuant to FAR Clause 52.217-7 - Option for Increased Quantity - Separately Priced Line Item set forth in ARTICLE I.3. of this contract, the Government may, by unilateral contract modification, require the Contractor to perform
an additional option set forth in the Statement of Work and also defined in Sections C and F of the contract. If the Government exercises this option, notice must be given within [**] days prior to the completion date of this contract, and the
estimated cost of the contract will be increased as set forth in the ESTIMATED COST Article in SECTION B of this contract. 
 ARTICLE I.2.
AUTHORIZED SUBSTITUTION OF CLAUSES, is hereby modified to delete the following clause: 
 FAR Clause 52.232-20, Limitation of
Cost (April 1984), is deleted in its entirety and FAR Clause 52.232-22, Limitation of Funds (April 1984) is substituted therefore. [NOTE: When this contract is fully funded, FAR Clause 52.232-22, Limitation of Funds will no
longer apply and FAR Clause 52.232-20, Limitation of Cost will become applicable.] 
 ARTICLE I.3. ADDITIONAL CONTRACT
CLAUSES, is hereby modified to incorporate the following clauses: 
  

	(12)	FAR Clause 52.217-7, Option for Increased Quantity - Separately Priced Line Item (March 1989) 

“...The Contracting Officer may exercise the option by written notice to the Contractor within [**] days,” 

END OF MODIFICATION 6 CONTRACT NO. HHSN266200600019C 

  

																									
	  

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT

 
	  	1. CONTRACT ID CODE        	 	Page of Pages
	  	N/A.	 	1	  	2

																									
	 2. AMENDMENT/MODIFICATION
NO.        
     Seven (7)    
	 	
3. EFFECTIVE DATE                    

     See Block 16C    
	 	 4. REQUISITION/PURCHASE

REQ. NO.

        2166401
	  		 	
5. PROJECT NO. (If applicable)            

        N/A.    

	 	 	  	 	 	 
	 6.  ISSUED BY
	 	CODE 	  	N/A.	 	7. ADMINISTERED BY (If other than Item 6)	  	CODE 	  	 
	   National Institutes of
Health
   National Institute of Allergy and Infectious Diseases
   DEA, Office of Acquisitions
   Room 3214, MSC 7612

  6700-B Rockledge Drive
   Bethesda,
MD 20892-7612
  
	 	  

    AIDS-RCB

	 8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State,
and ZIP Code)
  

    Argos Therapeutics, Inc.
                                         
           VIN #1109171

    4233 Technology Drive

    Durham, NC 27704
	 	(X) 	  	 9A.  AMENDMENT OF SOLICITATION NO.

	 	 	  		  		 		  		  	
	 	 ̈	  	 9B.   DATED (SEE ITEM 11)

	 	 	  		  		 		  		  	
	 	 	  	
10A.  MODIFICATION OF CONTRACT/ORDER NO.

	 	x 	  	           HHSN266200600019C    

	 	  	 10B.   DATED (SEE ITEM 13)

	 CODE	  	FACILITY CODE 	  	 	 	 	  	            September
30, 2006    

	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
	  ̈ The above numbered solicitation
is amended as set forth in Item 14. The hour and date specified for receipt of
Offers            
         ̈ is extended.          ̈ is not extended.
  
 Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods:

 
 (a) By completing Items 8 and 15, and returning one (1) copy of the amendment; (b) By
acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE
DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment your desire to change an offer already submitted, such change may be made by telegram or letter, provided
each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.

	12. ACCOUNTING AND APPROPRIATION DATA (If required)
	                     
                   SOC: 25.55
                            CAN: 11-8470035
                                         
   Amount: $1,985,104
	 13. THIS ITEM ONLY APPLIES TO MODIFICATION OF
CONTRACTS/ORDERS.
 IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN
ITEM 14.

																											
	 ̈   
	 	  
 A.
	 	  
 THIS CHANGE ORDER IS ISSUED PURSUANT TO:
(Specify Authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A.

	 	 		 
	 	 	B.	 	THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as
changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
	x	 	C. 	 	  
 THIS
SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:
 FAR 1.602-1; FAR 17.202; FAR 43.102

		 	D.	 	OTHER (Specify type of modification and authority)
	 	 	 
	 E. IMPORTANT:
Contractor             ̈ is not,        x is required to sign this document and return
    2     copies to the issuing office.
  

	 14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject
matter where feasible.)
     PURPOSE: To modify Article B.2. of the contract to include funding for a direct rate
adjustment and correct an error in fee line.

  

																									
	  	  	 Total Funds Currently Obligated
	 	  	 Total Estimated Cost
	 
	 	  	 Cost
	 	  	 Fee
	 	  	 Total
	 	  	 Cost
	 	  	 Fee
	 	  	 Total
	 
	 Prior to this Mod
	  	$	26,482,126	  	  	$	1,395,099	  	  	$	27,877,225	  	  	$	26,482,126	  	  	$	 1,395,099	  	  	$	27,877,225	  
	 This Mod #
	  	$	 1,985,104	  	  	$	 0	  	  	$	 1,985,104	  	  	$	 1,985,104	  	  	$	 0	  	  	$	 1,985,104	  
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Revised Total
	  	$	28,467,230	  	  	$	 1,395,099	  	  	$	 29,862,329	  	  	$	28,467,230	  	  	$	 1,395,099	  	  	$	 29,862,329	  

   COMPLETION DATE: May 31, 2013 

 

									
	  Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed,
remains unchanged and in full force and effect.
	15A. NAME AND TITLE OF SIGNER (Type or print)	 		  	16A.  NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
	 Jeffrey Abbey,

President & CEO
	 	 	  	 Michelle L. Scala

Contracting Officer, OA, DEA, NIAID, NIH

	15B. CONTRACTOR/OFFEROR	 	15C. DATE SIGNED        	 		  	16B. UNITED STATES OF AMERICA	  	16C. DATE SIGNED
	
By            /s/ Jeffrey Abbey     
                               
                   (Signature of person authorized to sign)
	 	6/29/11    
	 	
    By                     
                                         
                

                (Signature of Contracting Officer)
	  	 
	 NSN 7540-01-152-8070
 PREVIOUS
EDITION UNUSABLE
	 	 30-105
 Computer Generated
	  	 STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA
 FAR (48 CFR) 53.24

					
	Contract No.
HHSN266200600019C
Modification No.: 7	 	SPECIAL PROVISIONS	 	PAGE 2 OF 2

  

 BEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE GOVERNMENT AND THE CONTRACTOR MUTUALLY
AGREES AS FOLLOWS: 
 ARTICLE B.2. ESTIMATED COST – OPTION, paragraph a., c. and d. are hereby modified as follows: 

ARTICLE B.2. ESTIMATED COST – OPTION 
  

	a.	The estimated cost of this contract is increased by $1,985,104, from $26,482,126 to $28,467,230. 

 

	c.	The total estimated amount of the contract, represented by the sum of the estimated cost, plus the fixed fee is increased by $1,985,104 from $27,877,225
to $29,862,329. 

  

	d.	If the Government exercises its options pursuant to the OPTION PROVISION Article in SECTION H of this contract, the Government’s total estimated contract amount,
represented by the sum of the estimated cost plus fixed fee, will be increased as follows: 

  

																	
	  	  	Period 
of
Performance	 	  	Estimated Cost	 	  	Fixed Fee	 	  	Estimated
CPFF	 
	 Base
	  	 
  
	09/30/2006-

05/31/2013
	  
   
	  	$	 [**]	  	  	$	[**]	  	  	$	[**]	  
	 Option 1 – Autologous Vaccine and Clinical Trial
	  	 
  
	07/01/2010-

05/31/2013
	  
   
	  	$	 [**]	  	  	$	[**]	  	  	$	[**]	  
		  				  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Total Base Period plus Option
	  				  	$	28,467,230	  	  	$	1,395,099	  	  	$	29,862.329	  
		  				  	  
	  
	 	  	  
	  
	 	  	  
	  
	 

 END OF MODIFICATION 7 CONTRACT NO. HHSN266200600019C 

  

																									
	  

AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT
  
	  	1. CONTRACT ID CODE        	  	PAGE     OF     PAGES
	  	 	  	1	  	        3

																									
	 2. AMENDMENT/MODIFICATION
NO.        
     Eight (8)    
	 	
3. EFFECTIVE DATE                    

     09/30/2011    
	 	 4. REQUISITION/PURCHASE

REQ. NO.

        2285024
	  		 	
5. PROJECT NO. (If applicable)            

        N/A    

	 	 	  	 	 	 
	 6.  ISSUED BY
	 	CODE 	  	 	 	 7. ADMINISTERED BY (If
 other than Item 6)
	  	CODE 	  	      N/A
	   Office of Acquisitions,
DEA
   National Institute of Allergy and Infectious Diseases
   National Institutes of Health, DHHS
   Room 3214, MSC 7612

  6700-B Rockledge Drive
   Bethesda,
MD 20892-7612
  
	 	  

    AIDS-RCB

	 8. NAME AND ADDRESS OF CONTRACTOR (No. Street, county, State
and ZIP: Code)
  

    Argos Therapeutics, Inc.
                                         
           VIN# 1109171

    4233 Technology Drive

    Durham, NC 27704
	 	( ̈
) 	  	 9A.  AMENDMENT OF SOLICITATION NO.

	 	 	  		  		 		  		  	
	 	 	  	 9B.   DATED (SEE ITEM 11)

	 	 	  		  		 		  		  	
	 	x 	  	 10A.  MODIFICATION OF CONTRACT/ORDER NO.

	 	 	  	           HHSN266200600019C    

	 	 	  	 10B.   DATED (SEE ITEM 13)

	 CODE	  	FACILITY CODE 	  	 	 	 	  	            September
30, 2006    

	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS
	  ̈ The above numbered solicitation
is amended as set forth in Item 14. The hour and date specified for receipt of Offers                     ̈ is extended,          ̈ is not extended.
  

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following
methods:
  
 (a) By completing Items 8 and 15, and returning one (1) copy
of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR
ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATA SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change
may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and data specified.

	12. ACCOUNTING AND APPROPRIATION DATA (If required)
	                    
                    SOC: 25.55
                            CAN: 11-8470035
                                         
   Amount: $4,042,726
	 13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF
CONTRACTS/ORDERS,
 IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN
ITEM 14.

																											
	(C)   	 	  
 A.
	 	  
 THIS CHANGE ORDER IS ISSUED PURSUANT TO:
(Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A.
 FAR 52,243-2 Changes – Cost
Reimbursement, Alternate V
  

	 X   
	 		 
	 	 	B.	 	THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as
changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).
	 	 	  
 C. 
  
	 	  
 THIS
SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY OF:    
  

	 	 	D.	 	OTHER Specify type of modification and authority)
	 	Public Law (P.L.) 111-8 and P.L. 110-85
	 E. IMPORTANT:
Contractor             ̈ is not,        x is required to sign this document and return
    2     copies to the issuing office.
  

	 14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject
matter where feasible.)
     PURPOSE: To provide supplemental funds to cover the cost of a change order.

  

																									
	  	  	 Total Funds Currently Obligated
	 	  	 Total Estimated Cost
	 
	 	  	 Cost
	 	  	 Fee
	 	  	 Total
	 	  	 Cost
	 	  	 Fee
	 	  	 Total
	 
	 Prior to this Mod
	  	$	28,467,230	  	  	$	1,395,099	  	  	$	29,862,329	  	  	$	28,467,230	  	  	$	 1,395,099	  	  	$	29,862,329	  
	 This Mod #
	  	$	 4,042,726	  	  	$	 0	  	  	$	 4,042,726	  	  	$	 4,042,726	  	  	$	 0	  	  	$	 4,042,726	  
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Revised Total
	  	$	32,509,956	  	  	$	 1,395,099	  	  	$	 33,905,055	  	  	$	32,509,956	  	  	$	 1,395,099	  	  	$	 33,905,055	  

   COMPLETION DATE: May 31, 2013 

 

									
	 Except at provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore
changed, remains unchanged and in full force and effect.
	15A. NAME AND TITLE OF SIGNER (Type or print)	 		  	16A.  NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
	 Jeff Abbey

President & CEO
	 	 	  	 Michelle L. Scala

Contracting Officer, OA, DEA, NIAID, NIH,

	15B. CONTRACTOR/OFFEROR	 	15C. DATE SIGNED        	 		  	16B. UNITED STATES OF AMERICA	  	16C. DATE SIGNED
	
                        
/s/ Jeff
Abbey                                    

                  (Signature of person authorized to
sign)
	 	9/26/11    
	 	
    BY              /s/ Michelle L. Scala 
                     

                (Signature of Contracting Officer)
	  	    
9/26/11
	 NSN 7540-01 152-8070
 PREVIOUS
EDITION UNUSABLE
	 	 30-105
 Computer Generated
	  	 STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA
 FAR (48 CFR) 53.243

 BEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE GOVERNMENT AND THE CONTRACTOR MUTUALLY AGREE
AS FOLLOWS: 
 The Government is requesting that the Contractor perform increased activities which are within scope. The costs of these
activities are at a level that would make them difficult to cover under the costs provided for Option 1 of the contract. The activities are included below: 
 Argos Therapeutics, Inc. will add 12 additional subjects to the current phase IIB clinical study of the experimental autologous therapeutic DC based vaccine approach. This additional work is within the
scope of the contract and the addition of these subjects will not exceed the total number of subjects originally proposed in the statement of work. 
 In accordance with FAR 52.243-2, Changes-Cost Reimbursement, Alternate V, the above change is hereby made and in effect immediately. While there is no change in the scope of work, the tasks described
above will increase contract activity beyond what was originally anticipated. Pursuant to FAR 52,243-2, the Government and Contractor have negotiated increased costs for the changes noted above. This modification provides supplemental funds to cover
costs of this change order. Therefore, no further editable adjustment will be accepted. 
 ARTICLE B.2. ESTIMATED COST - OPTION,
paragraph a., c., and d. are hereby modified as follows: 
  

	a.	The estimated cost of this contract is increased by $4,042,726, from $28,467,230 to $32,509,956. 

 

	c.	The total estimated amount of the contract, represented by the sum of the estimated cost plus the fixed fee is increased by $4,042,726, from $29,862,329
to $33,905,055. 

  

	d.	If the Government exercises its options pursuant to the OPTION PROVISION Article in SECTION H of this contract, the Government’s total estimated contract amount,
represented by the sum of the estimated cost plus fixed fee, will be increased as follows: 

  

															
	 	  	Period of
Performance	  	Estimated Cost	 	  	Fixed Fee	 	  	Estimated
CPFF	 
	 Base
	  	09/30/2006-
05/31/2013	  	$	[**]	  	  	$	[**]	  	  	$	[**]	  
	 Option 1 – Autologous Vaccine and Clinical Trial
	  	07/01/2010-
05/31/2013	  	$	[**]	  	  	$	[**]	  	  	$	[**]	  
		  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Total Base Period plus Option
	  		  	$	32,509,956	  	  	$	1,395,099	  	  	$	33,905,055	  
		  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 

 ARTICLE B.4. ADVANCE UNDERSTANDINGS, is revised as follows: 

Paragraph b, Subcontract Modifications, subparagraph 2, is revised to reflect the increased “Not to Exceed” amounts for the subcontracts with
[**], as follows: 
  

													
	 Subcontractors
	  	Base
Period	 	  	Option 1	 	  	Total Cost
Not to Exceed	 
	 [**]
	  	 	[**]	  	  	 	[**]	  	  	 	[**]	  
	 [**]
	  	 	[**]	  	  	 	[**]	  	  	 	[**]	  
	 [**]
	  	 	[**]	  	  	 	[**]	  	  	 	[**]	  

 Paragraph c, Consultants, is hereby modified to add paragraph (3), and shall read as follows: 

 

	(3)	Consultant fees to be paid to [**] Medical Services are authorized as indicated below: 

 

									
	 Option
	  	Period of Performance	 	  	Total Cost, Excluding
Travel, Not to Exceed	 
	 Base
	  	 	09/30/2006-05/31/2013	  	  	$	[**]	  
	 Option 1
	  	 	07/01/2010-05/31/2013	  	  	$	[**]	  
		  				  	  
	  
	 
	 Total Base Plus Option
	  				  	$	[**]	  
		  				  	  
	  
	 

 END OF MODIFICATION 8 CONTRACT NO. HHSN266200600019C

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