Document:

Exhibit 10.2

 

EXECUTION
COPY

 

Confidential materials omitted and filed

separately with the Securities and Exchange

Commission. Asterisks denote omissions.

	
   

  	
   

  	
   

  

 

GUARANTEE AND COLLATERAL
AGREEMENT

 

dated as of

 

May 14, 2010,

 

among

 

IKARIA ACQUISITION INC.,

 

IKARIA, INC.,

 

the Subsidiaries of IKARIA, INC. from time to
time party hereto,

and

 

CREDIT SUISSE AG, CAYMAN
ISLANDS BRANCH

as Collateral Agent

	
   

  	
   

  	
   

  

 

 

TABLE OF CONTENTS

 

	
   

  	
   

  	
   

  	
  Page

  
	
   

  	
   

  	
   

  	
   

  
	
  ARTICLE I

  
	
   

  
	
  Definitions

  
	
   

  	
   

  	
   

  	
   

  
	
  SECTION 1.01.

  	
  Credit Agreement

  	
   

  	
  1

  
	
  SECTION 1.02.

  	
  Other Defined Terms

  	
   

  	
  1

  
	
   

  	
   

  	
   

  	
   

  
	
  ARTICLE
  II

  
	
   

  
	
  Guarantee

  
	
   

  	
   

  	
   

  	
   

  
	
  SECTION 2.01.

  	
  Guarantee

  	
   

  	
  6

  
	
  SECTION 2.02.

  	
  Guarantee of Payment

  	
   

  	
  7

  
	
  SECTION 2.03.

  	
  No Limitations, Etc.

  	
   

  	
  7

  
	
  SECTION 2.04.

  	
  Reinstatement

  	
   

  	
  8

  
	
  SECTION 2.05.

  	
  Agreement To Pay; Subrogation

  	
   

  	
  8

  
	
  SECTION 2.06. 

  	
  Information

  	
   

  	
  8

  
	
   

  	
   

  	
   

  	
   

  
	
  ARTICLE
  III

  
	
   

  
	
  Pledge of
  Securities

  
	
   

  	
   

  	
   

  	
   

  
	
  SECTION 3.01. 

  	
  Pledge

  	
   

  	
  8

  
	
  SECTION 3.02.

  	
  Delivery of the Pledged Collateral

  	
   

  	
  9

  
	
  SECTION 3.03. 

  	
  Representations, Warranties and Covenants

  	
   

  	
  10

  
	
  SECTION 3.04. 

  	
  Certification of Limited Liability Company Interests
  and Limited Partnership Interests

  	
   

  	
  11

  
	
  SECTION 3.05.

  	
  Registration in Nominee Name; Denominations

  	
   

  	
  11

  
	
  SECTION 3.06.

  	
  Voting Rights; Dividends and Interest, Etc.

  	
   

  	
  11

  
	
   

  	
   

  	
   

  	
   

  
	
  ARTICLE
  IV

  
	
   

  
	
  Security
  Interests in Personal Property

  
	
   

  	
   

  	
   

  	
   

  
	
  SECTION 4.01.

  	
  Security Interest

  	
   

  	
  13

  
	
  SECTION 4.02. 

  	
  Representations and Warranties

  	
   

  	
  15

  
	
  SECTION 4.03.

  	
  Covenants

  	
   

  	
  17

  
	
  SECTION 4.04.

  	
  Other Actions

  	
   

  	
  21

  
	
  SECTION 4.05.

  	
  Covenants Regarding Patent, Trademark and Copyright Collateral

  	
   

  	
  24

  

 

 

	
  ARTICLE V

  
	
   

  
	
  Remedies

  
	
   

  	
   

  	
   

  	
   

  
	
  SECTION 5.01.

  	
  Remedies upon Default

  	
   

  	
  25

  
	
  SECTION 5.02.

  	
  Application of Proceeds

  	
   

  	
  27

  
	
  SECTION 5.03.

  	
  Grant of License to Use Intellectual Property

  	
   

  	
  28

  
	
  SECTION 5.04.

  	
  Securities Act, Etc.

  	
   

  	
  28

  
	
   

  	
   

  	
   

  	
   

  
	
  ARTICLE
  VI

  
	
   

  
	
  Indemnity,
  Subrogation and Subordination

  
	
   

  	
   

  	
   

  	
   

  
	
  SECTION 6.01.

  	
  Indemnity and Subrogation

  	
   

  	
  29

  
	
  SECTION 6.02.

  	
  Contribution and Subrogation

  	
   

  	
  29

  
	
  SECTION 6.03.

  	
  Subordination

  	
   

  	
  30

  
	
   

  	
   

  	
   

  	
   

  
	
  ARTICLE
  VII

  
	
   

  
	
  Miscellaneous

  
	
   

  	
   

  	
   

  	
   

  
	
  SECTION 7.01.

  	
  Notices

  	
   

  	
  30

  
	
  SECTION 7.02.

  	
  Security Interest Absolute

  	
   

  	
  30

  
	
  SECTION 7.03. 

  	
  Survival of Agreement

  	
   

  	
  30

  
	
  SECTION 7.04.

  	
  Binding Effect; Several Agreement

  	
   

  	
  31

  
	
  SECTION 7.05.

  	
  Successors and Assigns

  	
   

  	
  31

  
	
  SECTION 7.06.

  	
  Collateral Agent’s Fees and Expenses;
  Indemnification

  	
   

  	
  31

  
	
  SECTION 7.07.

  	
  Collateral Agent Appointed Attorney-in-Fact

  	
   

  	
  32

  
	
  SECTION 7.08.

  	
  Applicable Law

  	
   

  	
  33

  
	
  SECTION 7.09.

  	
  Waivers; Amendment

  	
   

  	
  33

  
	
  SECTION 7.10.

  	
  WAIVER OF JURY TRIAL

  	
   

  	
  33

  
	
  SECTION 7.11.

  	
  Severability

  	
   

  	
  34

  
	
  SECTION 7.12.

  	
  Counterparts

  	
   

  	
  34

  
	
  SECTION 7.13.

  	
  Headings

  	
   

  	
  34

  
	
  SECTION 7.14.

  	
  Jurisdiction; Consent to Service of Process

  	
   

  	
  34

  
	
  SECTION 7.15.

  	
  Termination or Release

  	
   

  	
  35

  
	
  SECTION 7.16.

  	
  Additional Subsidiaries

  	
   

  	
  35

  
	
  SECTION 7.17.

  	
  Right of Setoff

  	
   

  	
  36

  

 

ii

 

	
  Schedules

  	
   

  
	
   

  	
   

  
	
  Schedule I

  	
  Subsidiary Guarantors

  
	
  Schedule II

  	
  Equity Interests; Pledged Debt Securities

  
	
  Schedule III

  	
  Intellectual Property

  
	
   

  	
   

  
	
  Exhibits

  	
   

  
	
   

  	
   

  
	
  Exhibit A

  	
  Form of Supplement

  
	
  Exhibit B

  	
  Form of
  Perfection Certificate

  

 

iii

 

GUARANTEE
AND COLLATERAL AGREEMENT dated as of May 14, 2010 (this “Agreement”), among IKARIA
ACQUISITION INC., a Delaware corporation (the “Borrower”),
IKARIA, INC., a Delaware corporation (“Holdings”),
the Subsidiaries of Holdings from time to time party hereto and CREDIT SUISSE
AG, CAYMAN ISLANDS BRANCH (“CS”), as collateral agent (in such
capacity, the “Collateral
Agent”).

 

PRELIMINARY STATEMENT

 

Reference
is made to the Credit Agreement dated as of May 14, 2010 (as amended,
supplemented or otherwise modified from time to time, the “Credit Agreement”), among the Borrower, Holdings, the lenders from time to time
party thereto (the “Lenders”) and CS, as administrative agent
(in such capacity, the “Administrative
Agent”) and
Collateral Agent.

 

The
Lenders and the Issuing Bank (such term and each other capitalized term used
but not defined in this preliminary statement having the meaning given or
ascribed to it in Article I) have agreed to extend credit to the Borrower
pursuant to, and upon the terms and conditions specified in, the Credit
Agreement.  The obligations of the
Lenders and the Issuing Bank to extend credit to the Borrower are conditioned
upon, among other things, the execution and delivery of this Agreement by the
Borrower and each Guarantor.  Each
Guarantor is an affiliate of the Borrower, will derive substantial benefits
from the extension of credit to the Borrower pursuant to the Credit Agreement
and is willing to execute and deliver this Agreement in order to induce the
Lenders and the Issuing Bank to extend such credit.  Accordingly, the parties hereto agree as
follows:

 

ARTICLE I

 

Definitions

 

SECTION 1.01.
Credit Agreement.  (a)  Capitalized terms used in this
Agreement and not otherwise defined herein have the meanings set forth in the
Credit Agreement.  All capitalized terms
defined in the New York UCC (as such term is defined herein) and not defined in
this Agreement have the meanings specified therein.  All references to the Uniform Commercial Code
shall mean the New York UCC.

 

(b) The
rules of construction specified in Section 1.02 of the Credit
Agreement also apply to this Agreement.

 

SECTION 1.02.
Other Defined Terms.  As used in this Agreement, the following
terms have the meanings specified below:

 

“Accounts
Receivable” shall mean all Accounts and all right, title
and interest in any returned goods, together with all rights, titles,
securities and guarantees with respect thereto, including any rights to stoppage in
transit, replevin, reclamation and

 

1

 

resales, and all related security interests, liens and pledges, whether
voluntary or involuntary, in each case whether now existing or owned or
hereafter arising or acquired.

 

“Administrative Agent” shall have the
meaning assigned to such term in the preliminary statement.

 

“Article 9
Collateral” shall have the meaning assigned to such term
in Section 4.01.

 

“Borrower” shall have the meaning
assigned to such term in the preamble.

 

“Cash Management Obligations” shall
mean the due and punctual payment and performance of all obligations of the
Grantors in respect of overdrafts and related liabilities and/or arising from
cash management services (including treasury, depository, overdraft, credit,
purchasing or debit card, electronic funds transfer, netting, ACH services and
other cash management arrangements), in each case owed to a counterparty that
is the Administrative Agent, a Lender or an Affiliate of the Administrative
Agent or a Lender (in such capacity, a “Cash Management Provider”).

 

“Cash
Management Provider” 
shall have the meaning assigned to such term in the definition of the
term “Cash Management Obligations”.

 

“Collateral” shall mean the
Article 9 Collateral and the Pledged Collateral.

 

“Collateral Agent” shall have the
meaning assigned to such term in the preamble.

 

“Copyright License” shall mean any written
agreement, now or hereafter in effect, granting any right to any third person
under any copyright now or hereafter owned by any Grantor or that such Grantor
otherwise has the right to license, or granting any right to any Grantor under
any copyright now or hereafter owned by any third person, and all rights of
such Grantor under any such agreement.

 

“Copyrights” shall mean all
of the following now owned or hereafter acquired by any Grantor:  (a) all copyright rights in any work
subject to the copyright laws of the United States or any other country,
whether as author, assignee, transferee or otherwise, and (b) all
registrations and applications for registration of any such copyright in the
United States or any other country, including registrations, recordings,
supplemental registrations and pending applications for registration in the
United States Copyright Office (or any successor office or any similar office
in any other country), including those listed on Schedule III.

 

“Credit Agreement” shall have the
meaning assigned to such term in the preliminary statement.

 

“Excluded Assets” shall mean at any
date any Assets of a Grantor which is subject to, or secured by, a Lien
permitted by Section 6.02(c), (f), (g), (i) or (l) of the

 

2

 

Credit Agreement if and to the extent, and only so long as, the terms
of the Indebtedness or obligations secured by such Lien prohibit, or require
any consent or establish any other conditions for, an assignment thereof, or a
grant of a security interest therein, by a Grantor; provided
that all proceeds paid or payable to any Grantor from any sale, transfer or
assignment or other voluntary or involuntary disposition of such Assets and all
rights to receive such proceeds shall be included in the Collateral to the
extent not otherwise required to be paid to the holder of such Capital Lease
Obligation or other purchase money security interest secured by such Assets.

 

“Exempt Deposit Accounts” shall mean (i) Deposit
Accounts the balance of which consists exclusively of (a) withheld income
taxes and federal, state or local employment taxes in such amounts as are
required in the reasonable judgment of the Borrower to be paid to the Internal
Revenue Service or state or local government agencies within the following two
months with respect to employees of any of the Loan Parties, and (b) amounts
required to be paid over to an employee benefit plan pursuant to DOL Reg. Sec.
2510.3-102 on behalf of or for the benefit of employees of one or more Loan
Parties, and (ii) all segregated Deposit Accounts constituting (and the
balance of which consists solely of funds set aside in connection with) tax
accounts, payroll accounts and trust accounts.

 

“Federal Securities Laws” shall have
the meaning assigned to such term in Section 5.04.

 

“General Intangibles” shall mean all
choses in action and causes of action and all other intangible personal
property of any Grantor of every kind and nature (other than Accounts) now
owned or hereafter acquired by any Grantor, including all rights and interests
in partnerships, limited partnerships, limited liability companies and other
unincorporated entities, corporate or other business records, indemnification
claims, contract rights (including rights under leases, whether entered into as
lessor or lessee, Hedging Agreements and other agreements), Intellectual
Property, goodwill, registrations, franchises, tax refund claims and any letter
of credit, guarantee, claim, security interest or other security held by or
granted to any Grantor to secure payment by an Account Debtor of any of the
Accounts.

 

“Grantors” shall mean the
Borrower and the Guarantors.

 

“Guarantors” shall mean
Holdings and the Subsidiary Guarantors.

 

“Holdings” has the
meaning assigned to such term in the preamble.

 

“Intellectual
Property” shall mean all intellectual and similar property of
any Grantor of every kind and nature now owned or hereafter acquired by any
Grantor, including inventions, designs, Patents, Copyrights, Licenses,
Trademarks, trade secrets, confidential or proprietary technical and business
information, know-how, show-how or other data or information, software and
databases and all embodiments or fixations thereof and related documentation,
registrations and franchises, and all additions,

 

3

 

improvements and accessions to, and books and records describing or
used in connection with, any of the foregoing.

 

“License” shall mean any
Patent License, Trademark License, Copyright License or other license or
sublicense agreement relating to Intellectual Property to which any Grantor is
a party, including those listed on Schedule III.

 

“Loan Document Obligations” shall
mean (a) the due and punctual payment of (i) the principal of and
interest (including interest accruing during the pendency of any bankruptcy,
insolvency, receivership or other similar proceeding, regardless of whether
allowed or allowable in such proceeding) on the Loans, when and as due, whether
at maturity, by acceleration, upon one or more dates set for prepayment or
otherwise, (ii) each payment required to be made by the Borrower under the
Credit Agreement in respect of any Letter of Credit (whether denominated in
dollars or an Alternative Currency), when and as due, including payments in
respect of reimbursement of disbursements, interest thereon and obligations to
provide cash collateral, and (iii) all other monetary obligations of the
Borrower to any of the Secured Parties under the Credit Agreement and each of
the other Loan Documents, including fees, costs, expenses and indemnities,
whether primary, secondary, direct, contingent, fixed or otherwise (including
monetary obligations incurred during the pendency of any bankruptcy,
insolvency, receivership or other similar proceeding, regardless of whether
allowed or allowable in such proceeding), (b) the due and punctual
performance of all other obligations of the Borrower under or pursuant to the
Credit Agreement and each of the other Loan Documents, and (c) the due and
punctual payment and performance of all the obligations of each other Loan
Party under or pursuant to this Agreement and each of the other Loan Documents.

 

“New York
UCC” shall mean the Uniform Commercial Code as from time
to time in effect in the State of New York.

 

“Obligations” shall mean (a) the
Loan Document Obligations, (b) Cash Management Obligations not to exceed
$20,000,000 in the aggregate at any time and (c) the due and punctual payment
and performance of all obligations of each Loan Party under each Hedging
Agreement that (i) is in effect on the Closing Date with a counterparty
that is the Administrative Agent or a Lender or an Affiliate of the
Administrative Agent or a Lender as of the Closing Date or (ii) is entered
into after the Closing Date with any counterparty that is the Administrative
Agent or a Lender or an Affiliate of the Administrative Agent or a Lender at
the time such Hedging Agreement is entered into, in each case regardless of
whether such counterparty thereafter ceases to be the Administrative Agent or a
Lender or an Affiliate of the Administrative Agent or a Lender.

 

“Patent
License” shall mean any written agreement, now or hereafter
in effect, granting to any third person any right to make, use or sell any
invention on which a patent, now or hereafter owned by any Grantor or that any
Grantor otherwise has the right to license, is in existence, or granting to any
Grantor any right to make, use or sell

 

4

 

any invention on which a patent, now or hereafter owned by any third
person, is in existence, and all rights of any Grantor under any such
agreement.

 

“Patents” shall mean all
of the following now owned or hereafter acquired by any Grantor:  (a) all letters patent of the United
States or the equivalent thereof in any other country, all registrations and
recordings thereof, and all applications for letters patent of the United
States or the equivalent thereof in any other country, including registrations,
recordings and pending applications in the United States Patent and Trademark
Office (or any successor or any similar offices in any other country),
including those listed on Schedule III, and (b) all reissues,
continuations, divisions, continuations-in-part, renewals or extensions
thereof, and the inventions disclosed or claimed therein, including the right
to make, use and/or sell the inventions disclosed or claimed therein.

 

“Perfection
Certificate” shall mean a certificate substantially in
the form of Exhibit B, completed and supplemented with the schedules and
attachments contemplated thereby, and duly executed by a Responsible Officer of
the Borrower.

 

“Pledged
Collateral” shall have the meaning assigned to such term
in Section 3.01.

 

“Pledged
Debt Securities” shall have the meaning
assigned to such term in Section 3.01.

 

“Pledged
Securities” shall mean any promissory notes, stock
certificates or other securities now or hereafter included in the Pledged
Collateral, including all certificates, instruments or other documents
representing or evidencing any Pledged Collateral.

 

“Pledged
Stock” shall have the meaning assigned to such term in Section 3.01.

 

“Secured Parties” shall mean (a) the
Lenders, (b) the Administrative Agent, (c) the Collateral Agent, (d) any
Issuing Bank, (e) each counterparty to any Hedging Agreement with a Loan
Party that either (i) is in effect on the Closing Date if such
counterparty is the Administrative Agent or a Lender or an Affiliate of the
Administrative Agent or a Lender as of the Closing Date or (ii) is entered
into after the Closing Date if such counterparty is the Administrative Agent or
a Lender or an Affiliate of the Administrative Agent or a Lender at the time
such Hedging Agreement is entered into, in each case regardless of whether such
counterparty thereafter ceases to be the Administrative Agent or a Lender or an
Affiliate of the Administrative Agent or a Lender, (f) each Cash
Management Provider, (g) the beneficiaries of each indemnification
obligation undertaken by any Loan Party under any Loan Document and (h) the
successors and assigns of each of the foregoing.

 

“Security
Interest” shall have the meaning assigned to such term in Section 4.01.

 

5

 

“Subsidiary Guarantor” shall mean (a) the
Subsidiaries identified on Schedule I hereto as Subsidiary Guarantors and (b) each
other Subsidiary that becomes a party to this Agreement as a Subsidiary
Guarantor after the Closing Date.

 

“Trademark
License” shall mean any written agreement, now or hereafter
in effect, granting to any third person any right to use any trademark now or
hereafter owned by any Grantor or that any Grantor otherwise has the right to
license, or granting to any Grantor any right to use any trademark now or
hereafter owned by any third person, and all rights of any Grantor under any
such agreement.

 

“Trademarks” shall mean all
of the following now owned or hereafter acquired by any Grantor:  (a) all trademarks, service marks, trade
names, corporate names, company names, business names, fictitious business
names, trade styles, trade dress, logos, other source or business identifiers,
designs and general intangibles of like nature, now existing or hereafter
adopted or acquired, all registrations and recordings thereof, and all
registration and recording applications filed in connection therewith,
including registrations and registration applications in the United States
Patent and Trademark Office (or any successor office) or any similar offices in
any State of the United States or any other country or any political
subdivision thereof, and all extensions or renewals thereof, including those
listed on Schedule III, (b) all goodwill associated therewith or
symbolized thereby and (c) all other assets, rights and interests that
uniquely reflect or embody such goodwill, but excluding in all cases any
intent-to-use United States trademark application for which an amendment to
allege use or statement of use has not been filed under 15 U.S.C § 1051(c) or
15 U.S.C § 1051(d), respectively, or, if filed, has not been deemed in
conformance with 15 U.S.C § 1051(a) or examined and accepted,
respectively, by the United States Patent and Trademark Office.

 

“Unfunded Advances/Participations”
shall mean (a) with respect to the Administrative Agent, the aggregate
amount, if any (i) made available to the Borrower on the assumption that
each Lender has made its portion of the applicable Borrowing available to the
Administrative Agent as contemplated by Section 2.02(d) of the Credit
Agreement and (ii) with respect to which a corresponding amount shall not
in fact have been returned to the Administrative Agent by the Borrower or made
available to the Administrative Agent by any such Lender and (b) with respect
to any Issuing Bank, the aggregate amount, if any, of participations in respect
of any outstanding L/C Disbursement that shall not have been funded by the
Revolving Credit Lenders in accordance with Sections 2.22(d) and 2.02(f) of
the Credit Agreement.

 

ARTICLE II

 

Guarantee

 

SECTION 2.01.
Guarantee.  Each Guarantor unconditionally guarantees,
jointly with the other Guarantors and severally, as a primary obligor and not
merely as a surety, the due and punctual payment and performance of the
Obligations.  Each

 

6

 

Guarantor further agrees
that the Obligations may be extended or renewed, in whole or in part, without
notice to or further assent from it, and that it will remain bound upon its
guarantee notwithstanding any extension or renewal of any Obligation.  Each Guarantor waives presentment to, demand
of payment from and protest to the Borrower or any other Loan Party of any
Obligation, and also waives notice of acceptance of its guarantee and notice of
protest for nonpayment.

 

SECTION 2.02.
Guarantee of Payment.  Each Guarantor further agrees that its
guarantee hereunder constitutes a guarantee of payment when due and not of
collection, and waives any right to require that any resort be had by the
Collateral Agent or any other Secured Party to any security held for the
payment of the Obligations or to any balance of any Deposit Account or credit
on the books of the Collateral Agent or any other Secured Party in favor of the
Borrower or any other person.

 

SECTION 2.03.
No Limitations, Etc.  (a) Except for termination of a
Guarantor’s obligations hereunder as expressly provided in Section 7.15,
the obligations of each Guarantor hereunder shall not be subject to any
reduction, limitation, impairment or termination for any reason, including any
claim of waiver, release, surrender, alteration or compromise, and shall not be
subject to any defense or setoff, counterclaim, recoupment or termination
whatsoever by reason of the invalidity, illegality or unenforceability of the
Obligations or otherwise.  Without
limiting the generality of the foregoing, the obligations of each Guarantor
hereunder shall not be discharged or impaired or otherwise affected by (i) the
failure of the Collateral Agent or any other Secured Party to assert any claim
or demand or to enforce any right or remedy under the provisions of any Loan
Document or otherwise, (ii) any rescission, waiver, amendment or
modification of, or any release from any of the terms or provisions of, any
Loan Document or any other agreement, including with respect to any other
Guarantor under this Agreement, (iii) the release of, or any impairment of
or failure to perfect any Lien on or security interest in, any security held by
the Collateral Agent or any other Secured Party for the Obligations or any of
them, (iv) any default, failure or delay, willful or otherwise, in the
performance of the Obligations, or (v) any other act or omission that may
or might in any manner or to any extent vary the risk of any Guarantor or otherwise
operate as a discharge of any Guarantor as a matter of law or equity (other
than the indefeasible payment in full in cash of all the Obligations).  Each Guarantor expressly authorizes the
Collateral Agent to take and hold security for the payment and performance of
the Obligations, to exchange, waive or release any or all such security (with
or without consideration), to enforce or apply such security and direct the
order and manner of any sale thereof in its sole discretion or to release or
substitute any one or more other guarantors or obligors upon or in respect of
the Obligations, all without affecting the obligations of any Guarantor
hereunder.

 

(b) To
the fullest extent permitted by applicable law, each Guarantor waives any
defense based on or arising out of any defense of the Borrower or any other
Loan Party or the unenforceability of the Obligations or any part thereof from
any cause, or the cessation from any cause of the liability of the Borrower or
any other Loan Party, other than the indefeasible payment in full in cash of
all the Obligations.  The Collateral
Agent and the other Secured Parties may, at their election, foreclose on any
security held

 

7

 

by one or more of them by
one or more judicial or nonjudicial sales, accept an assignment of any such
security in lieu of foreclosure, compromise or adjust any part of the
Obligations, make any other accommodation with the Borrower or any other Loan
Party or exercise any other right or remedy available to them against the
Borrower or any other Loan Party, without affecting or impairing in any way the
liability of any Guarantor hereunder except to the extent the Obligations have
been fully and indefeasibly paid in full in cash.  To the fullest extent permitted by applicable
law, each Guarantor waives any defense arising out of any such election even
though such election operates, pursuant to applicable law, to impair or to
extinguish any right of reimbursement or subrogation or other right or remedy
of such Guarantor against the Borrower or any other Loan Party, as the case may
be, or any security.

 

SECTION 2.04.
Reinstatement.  Each Guarantor agrees that its guarantee
hereunder shall continue to be effective or be reinstated, as the case may be,
if at any time payment, or any part thereof, of any Obligation is rescinded or
must otherwise be restored by the Collateral Agent or any other Secured Party
upon the bankruptcy or reorganization of the Borrower, any other Loan Party or
otherwise.

 

SECTION 2.05.
Agreement To Pay;
Subrogation.  In
furtherance of the foregoing and not in limitation of any other right that the
Collateral Agent or any other Secured Party has at law or in equity against any
Guarantor by virtue hereof, upon the failure of the Borrower or any other Loan
Party to pay any Obligation when and as the same shall become due, whether at
maturity, by acceleration, after notice of prepayment or otherwise, each
Guarantor hereby promises to and will forthwith pay, or cause to be paid, to
the Collateral Agent for distribution to the applicable Secured Parties in cash
the amount of such unpaid Obligation. 
Upon payment by any Guarantor of any sums to the Collateral Agent as
provided above, all rights of such Guarantor against the Borrower or any other
Guarantor arising as a result thereof by way of right of subrogation,
contribution, reimbursement, indemnity or otherwise shall in all respects be
subject to Article VI.

 

SECTION 2.06.
Information.  Each Guarantor assumes all responsibility for
being and keeping itself informed of the Borrower’s and each other Loan Party’s
financial condition and assets and of all other circumstances bearing upon the
risk of nonpayment of the Obligations and the nature, scope and extent of the
risks that such Guarantor assumes and incurs hereunder, and agrees that neither
the Collateral Agent nor any other Secured Party will have any duty to advise
such Guarantor of information known to it or any of them regarding such
circumstances or risks.

 

ARTICLE III

 

Pledge of Securities

 

SECTION 3.01.
Pledge.  As security for the payment or performance,
as the case may be, in full of the Obligations, each Grantor hereby assigns and
pledges to the Collateral Agent, its successors and assigns, for the ratable
benefit of the Secured Parties, and hereby grants to the Collateral Agent, its
successors and assigns, for the

 

8

 

ratable benefit of the
Secured Parties, a security interest in, all of such Grantor’s right, title and
interest in, to and under (a) the Equity Interests owned by such Grantor
on the date hereof (including all such Equity Interests listed on
Schedule II) and any other Equity Interests obtained in the future by such
Grantor and the certificates representing all such Equity Interests
(collectively referred to herein as the “Pledged Stock”); provided, however,
that the Pledged Stock shall not include (i) the issued and outstanding
Equity Interests of any Foreign Subsidiary that is not held directly by
Holdings, the Borrower or a Domestic Subsidiary, or (ii) more than 65% of
the issued and outstanding voting Equity Interests of any Foreign Subsidiary,
(b)(i) the debt securities held by such Grantor on the date hereof
(including all such debt securities listed opposite the name of such Grantor on
Schedule II), (ii) any debt securities in the future issued to such
Grantor and (iii) the promissory notes and any other instruments
evidencing such debt securities (collectively referred to herein as the “Pledged Debt Securities”),
(c) all other property that may be delivered to and held by the Collateral
Agent pursuant to the terms of this Section 3.01, (d) subject to Section 3.06,
all payments of principal or interest, dividends, cash, instruments and other
property from time to time received, receivable or otherwise distributed in
respect of, in exchange for or upon the conversion of, and all other Proceeds
received in respect of, the securities referred to in clauses (a) and
(b) above, (e) subject to Section 3.06, all rights and privileges
of such Grantor with respect to the securities and other property referred to
in clauses (a), (b), (c) and (d) above, and (f) all
Proceeds of any of the foregoing (the items referred to in clauses (a) through
(f) above being collectively referred to as the “Pledged Collateral”).

 

SECTION 3.02.
Delivery of the Pledged
Collateral.  (a)  Each
Grantor agrees promptly to deliver or cause to be delivered to the Collateral
Agent any and all Pledged Securities.

 

(b) Each
Grantor agrees promptly to deliver or cause to be delivered to the Collateral
Agent any and all Pledged Debt Securities with a face amount of $250,000 or
more (other than Pledged Debt Securities constituting Permitted Investments in
which a perfected security interest exists pursuant to Article IV hereto).

 

(c) Upon
delivery to the Collateral Agent, (i) any certificate, instrument or
document representing or evidencing Pledged Securities shall be accompanied by
undated stock powers duly executed in blank or other undated instruments of
transfer reasonably satisfactory to the Collateral Agent and duly executed in
blank and by such other instruments and documents as the Collateral Agent may
reasonably request and (ii) all other property comprising part of the
Pledged Collateral shall be accompanied by proper instruments of assignment
duly executed by the applicable Grantor and such other instruments or documents
as the Collateral Agent may reasonably request. 
Each delivery of Pledged Securities shall be accompanied by a schedule
describing the securities, which schedule shall be attached hereto as
Schedule II and made a part hereof; provided that
failure to attach any such schedule hereto shall not affect the validity of the
pledge of such Pledged Securities.  Each
schedule so delivered shall supplement any prior schedules so delivered.

 

9

 

SECTION 3.03.
Representations,
Warranties and Covenants. 
The Grantors jointly and severally represent, warrant and covenant to
and with the Collateral Agent, for the benefit of the Secured Parties, that:

 

(a) Schedule II
correctly sets forth the percentage of the issued and outstanding shares of
each class of the Equity Interests of the issuer thereof represented by such
Pledged Stock and includes all Equity Interests, debt securities and promissory
notes required to be pledged hereunder;

 

(b) the Pledged Stock
and Pledged Debt Securities have been duly and validly authorized and issued by
the issuers thereof and, in the case of Pledged Debt Securities, are legal,
valid and binding obligations of the issuers thereof;

 

(c) except for the
security interests granted hereunder (or otherwise permitted under the Credit
Agreement), each Grantor (i) is and, subject to any transfers made in
compliance with the Credit Agreement, will continue to be the direct owner,
beneficially and of record, of the Pledged Securities indicated on Schedule II
as owned by such Grantor, (ii) holds the same free and clear of all Liens,
(iii) will make no assignment, pledge, hypothecation or transfer of, or
create or permit to exist any security interest in or other Lien on, the
Pledged Collateral, other than transfers made in compliance with the Credit
Agreement, and (iv) subject to this Section 3.03 and Section 3.06,
will cause any and all Pledged Collateral, whether for value paid by such
Grantor or otherwise, to be forthwith deposited with the Collateral Agent and
pledged or assigned hereunder;

 

(d) except for
restrictions and limitations imposed by the Loan Documents or securities laws
generally, or except as otherwise permitted under the Credit Agreement, the
Pledged Collateral is and will continue to be freely transferable and
assignable, and none of the Pledged Collateral issued by a wholly-owned
Subsidiary is or will be subject to any option, right of first refusal,
shareholders agreement, charter or by-law provisions or contractual restriction
of any nature that might prohibit, impair, delay or otherwise affect the pledge
of such Pledged Collateral hereunder, the sale or disposition thereof pursuant
hereto or the exercise by the Collateral Agent of rights and remedies
hereunder;

 

(e) each Grantor (i) has
the power and authority to pledge the Pledged Collateral pledged by it
hereunder in the manner hereby done or contemplated and (ii) will defend
its title or interest thereto or therein against any and all Liens (other than
the Lien created or permitted by the Loan Documents), however arising, of all
persons whomsoever;

 

(f) no consent or
approval of any Governmental Authority, any securities exchange or any other
person was or is necessary to the validity of the pledge effected hereby (other
than such as have been obtained and are in full force and effect); and

 

10

 

(g) by virtue of the
execution and delivery by each Grantor of this Agreement, when any Pledged
Securities are delivered to the Collateral Agent in accordance with this
Agreement, the Collateral Agent will obtain a legal, valid and perfected
first-priority lien upon and security interest in such Pledged Securities as
security for the payment and performance of the Obligations.

 

SECTION 3.04.
Certification of Limited
Liability Company Interests and Limited Partnership Interests.  Each interest in any limited liability
company or limited partnership which is a Subsidiary and pledged hereunder
shall be represented by a certificate, shall be a “security” within the meaning
of Article 8 of the New York UCC and shall be governed by Article 8
of the New York UCC.

 

SECTION 3.05.
Registration in Nominee
Name; Denominations.  The
Collateral Agent, on behalf of the Secured Parties, shall hold the Pledged
Securities in the name of the applicable Grantor, endorsed or assigned in blank
or in favor of the Collateral Agent, but following the occurrence and during
the continuance of an Event of Default shall have the right (in its sole and absolute
discretion) to hold the Pledged Securities in its own name as pledgee, or in
the name of its nominee (as pledgee or as sub-agent).  Each Grantor will promptly give to the
Collateral Agent copies of any notices or other communications received by it with
respect to Pledged Securities in its capacity as the registered owner
thereof.  Following the occurrence and
during the continuation of an Event of Default, the Collateral Agent shall at
all times have the right to exchange the certificates representing Pledged
Securities for certificates of smaller or larger denominations for any purpose
consistent with this Agreement.

 

SECTION 3.06.
Voting Rights; Dividends
and Interest, Etc.  (a)  Unless
and until an Event of Default shall have occurred and be continuing and the
Collateral Agent shall have given the Grantors notice of its intent to exercise
its rights under this Agreement (which notice shall be deemed to have been
given immediately upon the occurrence of an Event of Default under
paragraph (g) or (h) of Article VII of the Credit
Agreement):

 

(i)                                     Each Grantor
shall be entitled to exercise any and all voting and/or other consensual rights
and powers inuring to an owner of Pledged Securities or any part thereof for
any purpose consistent with the terms of this Agreement, the Credit Agreement
and the other Loan Documents; provided,
however, that such rights and
powers shall not be exercised in any manner that could materially and adversely
affect the rights inuring to a holder of any Pledged Securities or the rights
and remedies of any of the Collateral Agent or the other Secured Parties under
this Agreement or the Credit Agreement or any other Loan Document or the
ability of the Secured Parties to exercise the same.

 

(ii)                                  The Collateral
Agent shall execute and deliver to each Grantor, or cause to be executed and
delivered to each Grantor, all such proxies, powers of attorney and other
instruments as such Grantor may reasonably request for the purpose of enabling
such Grantor to exercise the voting 

 

11

 

and/or consensual rights and powers it is
entitled to exercise pursuant to paragraph (i) above.

 

(iii)                               Each Grantor
shall be entitled to receive and retain any and all dividends, interest,
principal and other distributions paid on or distributed in respect of the
Pledged Securities to the extent and only to the extent that such dividends,
interest, principal and other distributions are permitted by, and otherwise
paid or distributed in accordance with, the terms and conditions of the Credit
Agreement, the other Loan Documents and applicable law; provided, however,
that any noncash dividends, interest, principal or other distributions that
would constitute Pledged Stock or Pledged Debt Securities, whether resulting
from a subdivision, combination or reclassification of the outstanding Equity
Interests of the issuer of any Pledged Securities or received in exchange for
Pledged Securities or any part thereof, or in redemption thereof, or as a
result of any merger, consolidation, acquisition or other exchange of assets to
which such issuer may be a party or otherwise, shall be and become part of the
Pledged Collateral, and, if received by any Grantor, shall not be commingled by
such Grantor with any of its other funds or property but shall be held separate
and apart therefrom, shall be held in trust for the ratable benefit of the
Collateral Agent and shall be forthwith delivered to the Collateral Agent in
the same form as so received (with any necessary endorsement or instrument of
assignment).  This paragraph (iii) shall
not apply to dividends between or among the Borrower, the Guarantors and any
Subsidiaries only of property subject to a perfected security interest under
this Agreement; provided that the
Borrower notifies the Collateral Agent in writing, specifically referring to
this Section 3.06 at the time of such dividend and takes any actions the
Collateral Agent reasonably specifies to ensure the continuance of its
perfected security interest in such property under this Agreement.

 

(b) Upon
the occurrence and during the continuance of an Event of Default, after the
Collateral Agent shall have notified (or shall be deemed to have notified
pursuant to Section 3.06(a)) the Grantors of the suspension of their
rights under paragraph (a)(iii) of this Section 3.06, then all rights
of any Grantor to dividends, interest, principal or other distributions that
such Grantor is authorized to receive pursuant to paragraph (a)(iii) of
this Section 3.06 shall cease, and all such rights shall thereupon become
vested in the Collateral Agent, which shall have the sole and exclusive right
and authority to receive and retain such dividends, interest, principal or
other distributions.  All dividends,
interest, principal or other distributions received by any Grantor contrary to
the provisions of this Section 3.06 shall be held in trust for the benefit
of the Collateral Agent, shall be segregated from other property or funds of
such Grantor and shall be forthwith delivered to the Collateral Agent upon
demand in the same form as so received (with any necessary endorsement or
instrument of assignment).  Any and all
money and other property paid over to or received by the Collateral Agent
pursuant to the provisions of this paragraph (b) shall be retained by
the Collateral Agent in an account to be established by the Collateral Agent
upon receipt of such money or other property and 

 

12

 

shall be applied in
accordance with the provisions of Section 5.02.  After all Events of Default have been cured
or waived and each applicable Grantor has delivered to the Administrative Agent
certificates to that effect, the Collateral Agent shall, promptly after all
such Events of Default have been cured or waived, repay to each applicable
Grantor (without interest) all dividends, interest, principal or other
distributions that such Grantor would otherwise be permitted to retain pursuant
to the terms of paragraph (a)(iii) of this Section 3.06 and that
remain in such account.

 

(c) Upon
the occurrence and during the continuance of an Event of Default, after the
Collateral Agent shall have notified (or shall be deemed to have notified
pursuant to Section 3.06(a)) the Grantors of the suspension of their
rights under paragraph (a)(i) of this Section 3.06, then all rights
of any Grantor to exercise the voting and consensual rights and powers it is
entitled to exercise pursuant to paragraph (a)(i) of this Section 3.06,
and the obligations of the Collateral Agent under paragraph (a)(ii) of
this Section 3.06, shall cease, and all such rights shall thereupon become
vested in the Collateral Agent, which shall have the sole and exclusive right
and authority to exercise such voting and consensual rights and powers; provided that, unless otherwise directed by the Required
Lenders, the Collateral Agent shall have the right from time to time following
and during the continuance of an Event of Default to permit the Grantors to
exercise such rights.

 

(d) Any
notice given by the Collateral Agent to the Grantors exercising its rights
under paragraph (a) of this Section 3.06 (i) may be given
by telephone if promptly confirmed in writing, (ii) may be given to one or
more of the Grantors at the same or different times and (iii) may suspend
the rights of the Grantors under paragraph (a)(i) or paragraph (a)(iii) in
part without suspending all such rights (as specified by the Collateral Agent
in its sole and absolute discretion) and without waiving or otherwise affecting
the Collateral Agent’s rights to give additional notices from time to time
suspending other rights so long as an Event of Default has occurred and is
continuing.

 

ARTICLE IV

 

Security Interests in Personal
Property

 

SECTION 4.01.
Security Interest.  (a)  As security for the payment or
performance, as the case may be, in full of the Obligations, each Grantor
hereby assigns and pledges to the Collateral Agent, its successors and assigns,
for the ratable benefit of the Secured Parties, and hereby grants to the
Collateral Agent, its successors and assigns, for the ratable benefit of the
Secured Parties, a security interest (the “Security Interest”), in all right, title or
interest in or to any and all of the following assets and properties now owned
or at any time hereafter acquired by such Grantor or in which such Grantor now
has or at any time in the future may acquire any right, title or interest
(collectively, the “Article 9
Collateral”):

 

(i)                                     all Accounts;

 

(ii)                                  all Chattel
Paper;

 

13

 

(iii)                               all cash and
Deposit Accounts;

 

(iv)                              all Documents;

 

(v)                                 all Equipment;

 

(vi)                              all General
Intangibles;

 

(vii)                           all
Instruments;

 

(viii)                        all Inventory;

 

(ix)                                all Investment
Property;

 

(x)                                   all
Letter-of-Credit Rights;

 

(xi)                                all Commercial
Tort Claims;

 

(xii)                             all books and
records pertaining to the Article 9 Collateral; and

 

(xiii)                          to the extent
not otherwise included, all proceeds and products of any and all of the
foregoing and all collateral security and guarantees given by any person with
respect to any of the foregoing.

 

Notwithstanding
anything herein to the contrary, in no event shall the Article 9
Collateral or the Pledged Collateral include, and no Grantor shall be deemed to
have granted a Security Interest in, any of such Grantor’s right, title or
interest (a) in any Intellectual Property if the grant of such security
interest shall constitute or result in (i) the abandonment, invalidation
or rendering unenforceable of any right, title or interest of any Grantor
therein, (ii) the breach or termination pursuant to the terms of, or a
default under, any Intellectual Property or (iii) the violation of any
applicable law, (b) in any General Intangible if the grant of such
security interest (i) shall violate any applicable law or be prohibited by
any contract, agreement, instrument or indenture governing such General
Intangible, (ii) would give any other party to such contract, agreement,
instrument or indenture the right to terminate its obligations thereunder or (iii) is
permitted only with the consent of another party to such contract, if such
consent has not been obtained, (c) in any lease, license, contract,
property rights or agreement to which any Grantor is a party or any of its
rights or interests thereunder if the grant of such security interest (i) shall
violate any applicable law or be prohibited by any contract, agreement,
instrument or indenture governing such lease, license, contract, property
rights or agreement, (ii) would give any other party to such contract,
agreement, instrument or indenture the right to terminate its obligations
thereunder, (iii) is permitted only with the consent of another party to
such contract, if such consent has not been obtained, (iv) shall
constitute or result in the abandonment, invalidation or unenforceability of
any right, title or interest of any Grantor therein or (v) shall
constitute or result in a breach or termination pursuant to the terms of, or a
default under, any such lease, license, contract, property rights or agreement;
in each case as to clauses (a), (b) and (c), other than to the extent that
any such term would be rendered ineffective pursuant to Section 9-406,
9-407, 9-408 or 9-

 

14

 

409
of the UCC (or any successor provision or provisions) of any relevant
jurisdiction or any other applicable law (including the Bankruptcy Code) (provided, however that such security interest shall attach,
immediately at such time as and to the extent severable, to any portion of such
Intellectual Property, General Intangible, lease, license, contract, property
rights or agreement that does not result or no longer results in any of the
consequences specified in clauses (a), (b) and/or (c) above), (d) in
any Exempt Deposit Accounts, (e) in any Excluded Assets, (f) vehicles
or leaseholds, (g) in any outstanding uncertificated Equity Interests of a
Foreign Subsidiary that is not held directly by Holdings, the Borrower or a
Domestic Subsidiary or that is in excess of 65% of the issued and outstanding
voting Equity Interests of such Foreign Subsidiary, or (h) assets as to
which the Administrative Agent has reasonably determined that the costs of
obtaining such a security interest are excessive in relation to the value of
the security to be afforded thereby.

 

(b) Each
Grantor hereby irrevocably authorizes the Collateral Agent at any time and from
time to time to file in any relevant jurisdiction any initial financing
statements (including fixture filings) with respect to the Article 9
Collateral or any part thereof and amendments thereto that (i) indicate
the Article 9 Collateral as all assets of such Grantor or words of similar
effect, and (ii) contain the information required by Article 9 of the
Uniform Commercial Code of each applicable jurisdiction for the filing of any
financing statement or amendment, including 
(A) whether such Grantor is an organization, the type of
organization and any organizational identification number issued to such
Grantor and (B) in the case of a financing statement filed as a fixture
filing, a sufficient description of the real property to which such Article 9
Collateral relates.  Each Grantor agrees
to provide such information to the Collateral Agent promptly upon request.

 

Each
Grantor also ratifies its authorization for the Collateral Agent to file in any
relevant jurisdiction any initial financing statements or amendments thereto if
filed prior to the date hereof.

 

The
Collateral Agent is further authorized to file with the United States Patent
and Trademark Office or United States Copyright Office (or any successor office
or any similar office in any other country) such documents as may be necessary
or advisable for the purpose of perfecting, confirming, continuing, enforcing
or protecting the Security Interest granted by each Grantor, without the
signature of any Grantor, and naming any Grantor or the Grantors as debtors and
the Collateral Agent as secured party.

 

(c) The
Security Interest is granted as security only and shall not subject the
Collateral Agent or any other Secured Party to, or in any way alter or modify,
any obligation or liability of any Grantor with respect to or arising out of
the Article 9 Collateral.

 

SECTION 4.02.
Representations and
Warranties.  The Grantors
jointly and severally represent and warrant to the Collateral Agent and the
Secured Parties that as at the date hereof:

 

15

 

(a) Each Grantor has
good and valid rights in the Article 9 Collateral with respect to which it
has purported to grant a Security Interest hereunder and has full power and
authority to grant to the Collateral Agent, for the ratable benefit of the
Secured Parties, the Security Interest in such Article 9 Collateral
pursuant hereto and to execute, deliver and perform its obligations in
accordance with the terms of this Agreement, without the consent or approval of
any other person other than any consent or approval that has been obtained.

 

(b) The Perfection
Certificate has been duly prepared, completed and executed and the information
set forth therein (including (x) the exact legal name of each Grantor and (y) the
jurisdiction of organization of each Grantor) is correct and complete as of the
Closing Date.  Uniform Commercial Code
financing statements (including fixture filings, as applicable) or other appropriate
filings, recordings or registrations containing a description of the Article 9
Collateral have been prepared by the Collateral Agent based upon the
information provided to the Administrative Agent and the Secured Parties in the
Perfection Certificate for filing in each governmental, municipal or other
office specified in Schedule 2 to the Perfection Certificate (or specified
by notice from the Borrower to the Administrative Agent after the Closing Date
in the case of filings, recordings or registrations required by
Sections 5.06 or 5.12 of the Credit Agreement), which are all the filings,
recordings and registrations (other than filings to be made in the United
States Patent and Trademark Office and the United States Copyright Office in
order to perfect the Security Interest in the Article 9 Collateral
consisting of United States Patents, Trademarks and Copyrights) that are
necessary as of the Closing Date to publish notice of and protect the validity
of and to establish a legal, valid and perfected security interest in favor of
the Collateral Agent (for the ratable benefit of the Secured Parties) in
respect of all Article 9 Collateral in which the Security Interest may be
perfected by filing, recording or registration in the United States (or any
political subdivision thereof) and its territories and possessions, and no
further or subsequent filing, refiling, recording, rerecording, registration or
reregistration is necessary in any such jurisdiction, except as provided under
applicable law with respect to the filing of continuation statements.  Each Grantor represents and warrants that a
fully executed agreement in the form hereof (or a fully executed short-form
agreement in form and substance reasonably satisfactory to the Collateral Agent
and the Borrower), and containing a description of all Article 9
Collateral consisting of United States Patents and United States registered
Trademarks (and Trademarks for which United States registration applications
are pending) and United States registered Copyrights will be delivered on the
Closing Date to the Collateral Agent for recording by the United States Patent
and Trademark Office and the United States Copyright Office pursuant to
35 U.S.C. §261, 15 U.S.C. §1060 or 17 U.S.C. §205 and
the regulations thereunder, as applicable, to protect the validity of and to
establish a legal, valid and perfected security interest in such Patents,
Trademarks and Copyrights in favor of the Collateral Agent (for the ratable
benefit of the Secured Parties) in respect of all Article 9 Collateral
consisting of such Patents, Trademarks and Copyrights in which a security
interest may be perfected by filing, recording or registration in the United
States 

 

16

 

(or any political subdivision thereof) and
its territories and possessions, and no further or subsequent filing, refiling,
recording, rerecording, registration or reregistration is necessary (other than
such actions as are necessary to perfect the Security Interest with respect to
any Article 9 Collateral consisting of such Patents, Trademarks and
Copyrights acquired or developed after the date hereof).

 

(c) The Security
Interest constitutes (i) a legal and valid security interest in all Article 9
Collateral securing the payment and performance of the Obligations, (ii) subject
to the filings described in Section 4.02(b), a perfected security interest
in all Article 9 Collateral in which a security interest may be perfected
by filing, recording or registering a financing statement or analogous document
in the United States (or any political subdivision thereof) and its territories
and possessions pursuant to the Uniform Commercial Code or other applicable law
in such jurisdictions and (iii) a security interest that shall be
perfected in all Article 9 Collateral in which a security interest may be
perfected  in the United States upon the
receipt and recording of this Agreement (or the short-form agreement referenced
in paragraph (b) above) with the United States Patent and Trademark Office
and the United States Copyright Office, as applicable.  The Security Interest is and shall be prior
to any other Lien on any of the Article 9 Collateral, other than Liens
expressly permitted pursuant to Section 6.02 of the Credit Agreement that
have priority as a matter of law.

 

(d) The Article 9
Collateral is owned by the Grantors free and clear of any Lien, except for
Liens expressly permitted pursuant to Section 6.02 of the Credit
Agreement.  No Grantor has filed or
consented to the filing of (i) any financing statement or analogous
document under the Uniform Commercial Code or any other applicable laws
covering any Article 9 Collateral, (ii) any assignment which is still
in effect in which any Grantor assigns any Article 9 Collateral or any
security agreement or similar instrument which is still in effect covering any Article 9
Collateral with the United States Patent and Trademark Office or the United
States Copyright Office, (iii) any notice under the Assignment of Claims
Act, or (iv) any assignment in which any Grantor assigns any Article 9
Collateral or any security agreement or similar instrument covering any Article 9
Collateral with any foreign governmental, municipal or other office, which
financing statement or analogous document, assignment, security agreement or
similar instrument is still in effect, except, in each case, for Liens
expressly permitted pursuant to Section 6.02 of the Credit Agreement.  As of the Closing Date, no Grantor holds any
Commercial Tort Claims except as indicated on the Perfection Certificate.

 

SECTION 4.03.
Covenants.  (a) Each Grantor agrees promptly to
notify the Collateral Agent in writing of any change in (i) its legal
name, (ii) its identity or type of organization or corporate structure, (iii) its
Federal Taxpayer Identification Number or organizational identification number
or (iv) in its jurisdiction of organization.  Each Grantor agrees promptly to provide the
Collateral Agent with certified organizational documents reflecting any of the
changes described in the first sentence of this paragraph.  Each Grantor agrees not to effect or permit
any change referred to in the preceding 

 

17

 

sentence unless all filings
have been made under the Uniform Commercial Code or otherwise that are required
in order for the Collateral Agent to continue at all times following such
change to have a valid, legal and perfected first priority security interest in
all the Article 9 Collateral.  Each
Grantor agrees promptly to notify the Collateral Agent if any material portion
of the Article 9 Collateral owned or held by such Grantor is damaged or
destroyed.

 

(b) Each
Grantor agrees to maintain, at its own cost and expense, such complete and
accurate records with respect to the Article 9 Collateral owned by it as
is consistent with its current practices and in accordance with such prudent
and standard practices used in industries that are the same as or similar to
those in which such Grantor is engaged, but in any event to include complete
accounting records indicating all payments and proceeds received with respect
to any part of the Article 9 Collateral, and, at such time or times as the
Collateral Agent may reasonably request, promptly to prepare and deliver to the
Collateral Agent a duly certified schedule or schedules in form and detail
reasonably satisfactory to the Collateral Agent showing the identity, amount
and location of any and all Article 9 Collateral.

 

(c) Each
year, at the time of delivery of annual financial statements with respect to
the preceding fiscal year pursuant to Section 5.04(a) of the Credit
Agreement, the Borrower shall deliver to the Collateral Agent a certificate
executed by a Responsible Officer of the Borrower (i) setting forth the
information required pursuant to the Perfection Certificate or confirming that
there has been no change in such information since the date of such certificate
or the date of the most recent certificate delivered pursuant to this Section 4.03(c) and
(ii) certifying that all Uniform Commercial Code financing statements
(including fixture filings, as applicable) or other appropriate filings
recordings or registrations, including all refilings, recordings and
registrations, containing a description of the Article 9 Collateral have
been filed of record in each governmental, municipal or other appropriate
office in each jurisdiction identified pursuant to clause (a) of this
Section 4.03 to the extent necessary to protect and perfect  the Security Interest for a period of not
less than 18 months after the date of such certificate (except as noted
therein with respect to any continuation statements to be filed within such
period).  Each certificate delivered
pursuant to this Section 4.03(c) shall identify in the format of
Schedule III all Patents and
registered or pending Trademarks and Copyrights of any Grantor in
existence on the date thereof and not then listed on such Schedules or
previously so identified to the Collateral Agent.

 

(d) Each
Grantor shall, at its own expense, take any and all actions necessary to defend
title to the Article 9 Collateral against all persons and to defend the
Security Interest of the Collateral Agent in the Article 9 Collateral and
the priority thereof against any Lien not expressly permitted pursuant to Section 6.02
of the Credit Agreement.

 

(e) Each
Grantor agrees, at its own expense, promptly to execute, acknowledge, deliver
and cause to be duly filed all such further instruments and documents and take
all such actions as the Collateral Agent may from time to time reasonably
request to better assure, obtain, preserve, protect and perfect the Security 

 

18

 

Interest and the rights and
remedies created hereby, including the payment of any fees and Taxes required
in connection with the execution and delivery of this Agreement, the granting
of the Security Interest and the filing of any financing or continuation
statements (including fixture filings) or other documents in connection
herewith or therewith.  If any amount
payable to any Grantor under or in connection with any of the Article 9
Collateral shall be or become evidenced by any promissory note or other
instrument in a face amount in excess of $250,000, such note or instrument
shall be promptly pledged and delivered to the Collateral Agent, duly endorsed
in a manner satisfactory to the Collateral Agent.

 

Without
limiting the generality of the foregoing, each Grantor hereby authorizes the
Collateral Agent, with prompt notice thereof to the Grantors, to supplement this
Agreement by supplementing Schedule III or adding additional schedules
hereto to identify specifically any asset or item of a Grantor that may
constitute Copyrights, Licenses, Patents or Trademarks; provided
that any Grantor shall have the right, exercisable within 10 Business Days
after it has been notified by the Collateral Agent of the specific
identification of such Collateral, to advise the Collateral Agent in writing of
any inaccuracy of the representations and warranties made by such Grantor hereunder
with respect to such Collateral.  Each
Grantor agrees that it will use commercially reasonable efforts to take such
action as shall be necessary in order that all representations and warranties
hereunder shall be true and correct with respect to such Collateral within
30 days after the date it has been notified by the Collateral Agent of the
specific identification of such Collateral.

 

(f) The
Collateral Agent and such agents as the Collateral Agent may designate shall
have the right, upon reasonable notice, at the applicable Grantor’s own cost
and expense (except during the existence of an Event of Default, the Grantor
shall not be responsible for the costs of more than one visit per fiscal year),
to inspect the Article 9 Collateral during normal business hours, all
records related thereto (and to make extracts and copies from such records) and
the premises upon which any of the Article 9 Collateral is located, to
discuss the applicable Grantor’s affairs with the officers of such Grantor and
(provided that a representative of the Grantor is given the opportunity to be
present) its independent accountants and to verify the existence, validity,
amount, quality, quantity, value, condition and status of, or any other matter
relating to, the Article 9 Collateral, including, in the case of Accounts
or other Article 9 Collateral in the possession of any third person, by
contacting Account Debtors or the third person possessing such Article 9
Collateral for the purpose of making such a verification.  The Collateral Agent shall (subject to
compliance with Section 9.16 of the Credit Agreement) have the absolute
right to share any information it gains from such inspection or verification
with any Secured Party.

 

(g) At
its option, the Collateral Agent may discharge past due Taxes, assessments,
charges, fees, Liens, security interests or other encumbrances at any time
levied or placed on the Article 9 Collateral and not expressly permitted
pursuant to Section 5.03 or Section 6.02 of the Credit Agreement, and
may pay for the maintenance and preservation of the Article 9 Collateral
to the extent any Grantor fails to do so as required by the Credit Agreement or
this Agreement, and each Grantor jointly and

 

19

 

severally agrees to reimburse the Collateral
Agent on demand for any payment made or any expense incurred by the Collateral
Agent pursuant to the foregoing authorization; provided,
however, that nothing in this paragraph
shall be interpreted as excusing any Grantor from the performance of, or
imposing any obligation on the Collateral Agent or any Secured Party to cure or
perform, any covenants or other promises of any Grantor with respect to Taxes,
assessments, charges, fees, Liens, security interests or other encumbrances and
maintenance as set forth herein or in the other Loan Documents.

 

(h) If at any time any
Grantor shall take a security interest in any property of an Account Debtor or
any other person to secure payment and performance of an Account in an amount
in excess of $250,000, such Grantor shall promptly assign such security
interest to the Collateral Agent for the ratable benefit of the Secured
Parties.  Such assignment need not be
filed of public record unless necessary to continue the perfected status of the
security interest against creditors of and transferees from the Account Debtor
or other person granting the security interest.

 

(i) As between each
Grantor, the Collateral Agent and the Secured Parties, each Grantor shall
remain liable to observe and perform all the conditions and obligations to be
observed and performed by it under each contract, agreement or instrument
relating to the Article 9 Collateral, all in accordance with the terms and
conditions thereof, and each Grantor jointly and severally agrees to indemnify
and hold harmless the Collateral Agent and the Secured Parties from and against
any and all liability for such performance; provided, however, that such indemnity shall not, as to any Secured
Party, be available to the extent such losses, claims, damages, liabilities or
related expenses are determined by a court of competent jurisdiction by final
or non-appealable judgment to have resulted from the gross negligence, wilful
misconduct or bad faith of such Secured Party.

 

(j) No Grantor shall
make or permit to be made an assignment, pledge or hypothecation of the Article 9
Collateral or shall grant any other Lien in respect of the Article 9
Collateral or permit any notice to be filed under the Assignment of Claims Act,
except, in each case, as expressly permitted by Section 6.02 of the Credit
Agreement or as requested by the Collateral Agent.  No Grantor shall make or permit to be made
any transfer of the Article 9 Collateral and each Grantor shall remain at
all times in possession or otherwise in control of the Article 9
Collateral owned by it, except as permitted by the Credit Agreement.

 

(k) No Grantor will,
without the Collateral Agent’s prior written consent, grant any extension of
the time of payment of any Accounts included in the Article 9 Collateral,
compromise, compound or settle the same for less than the full amount thereof,
release, wholly or partly, any person liable for the payment thereof or allow
any credit or discount whatsoever thereon, other than extensions, credits,
discounts, compromises, compoundings or settlements granted or made in the
ordinary course of business.

 

(l) Each Grantor, at
its own expense, shall maintain or cause to be maintained insurance covering
physical loss or damage to the Inventory and Equipment 

 

20

 

in accordance with the requirements set forth
in Section 5.02 of the Credit Agreement. 
Each Grantor irrevocably makes, constitutes and appoints the Collateral
Agent (and all officers, employees or agents designated by the Collateral
Agent) as such Grantor’s true and lawful agent (and attorney-in-fact) for the
purpose, upon the occurrence and during the continuance of an Event of Default,
of making, settling and adjusting claims in respect of Article 9
Collateral under policies of insurance, endorsing the name of such Grantor on
any check, draft, instrument or other item of payment for the proceeds of such
policies of insurance and for making all determinations and decisions with
respect thereto.  In the event that any
Grantor at any time or times shall fail to obtain or maintain any of the
policies of insurance required hereby or under the Credit Agreement or to pay
any premium in whole or part relating thereto, the Collateral Agent may during
the continuation of any Event of Default, without waiving or releasing any
obligation or liability of any Grantor hereunder or any Default or Event of
Default, in its sole discretion, obtain and maintain such policies of insurance
and pay such premium and take any other actions with respect thereto as the
Collateral Agent deems advisable. All sums disbursed by the Collateral Agent in
connection with this paragraph, including attorneys’ fees, court costs,
expenses and other charges relating thereto, shall be payable, upon demand, by
the Grantors to the Collateral Agent and shall be additional Obligations
secured hereby.

 

(m) Each Grantor shall
maintain, in form and manner reasonably satisfactory to the Collateral Agent,
records of its Chattel Paper and its books, records and documents evidencing or
pertaining thereto.

 

SECTION 4.04. Other Actions.  In order to further insure the attachment,
perfection and priority of, and the ability of the Collateral Agent to enforce,
the Security Interest in the Article 9 Collateral, each Grantor agrees, in
each case at such Grantor’s own expense, to take the following actions with
respect to the following Article 9 Collateral:

 

(a) Instruments. If any Grantor shall at any time hold or
acquire any Instruments with a face amount in excess of $250,000, such Grantor
shall forthwith endorse, assign and deliver the same to the Collateral Agent,
accompanied by such undated instruments of endorsement, transfer or assignment
duly executed in blank as the Collateral Agent may from time to time specify.

 

(b) Deposit Accounts. For each Deposit Account that any
Grantor at any time opens or maintains (other than an Exempt Deposit Account),
such Grantor shall, upon the Collateral Agent’s request, either (i) cause
the depositary bank to agree to comply at any time with instructions from the
Collateral Agent to such depositary bank directing the disposition of funds
from time to time credited to such Deposit Account, without further consent of
such Grantor or any other person, pursuant to an agreement in form and
substance reasonably satisfactory to the Collateral Agent, or (ii) arrange
for the Collateral Agent to become the customer of the depositary bank with
respect to the Deposit Account, with the Grantor being permitted, only with the
consent of the Collateral Agent, to exercise rights to withdraw funds from such
Deposit Account.  The Collateral Agent 

 

21

 

agrees with each Grantor that the Collateral Agent shall not give any
such instructions or withhold any withdrawal rights from any Grantor, unless an
Event of Default has occurred and is continuing, or, after giving effect to any
withdrawal, would occur. The provisions of this paragraph shall not apply to
any Deposit Account for which any Grantor, the depositary bank and the
Collateral Agent have entered into a cash collateral control agreement
specially negotiated among such Grantor, the depositary bank and the Collateral
Agent for the specific purpose set forth therein.

 

(c) Investment Property. Except to the extent otherwise
provided in Article III, if any Grantor shall at any time hold or acquire
any certificated securities, such Grantor shall forthwith endorse, assign and
deliver the same to the Collateral Agent, accompanied by such undated
instruments of transfer or assignment duly executed in blank as the Collateral
Agent may from time to time specify. If any securities now or hereafter
acquired by any Grantor with a fair market value in excess of $250,000 are
uncertificated and are issued to such Grantor or its nominee directly by the
issuer thereof, such Grantor shall promptly notify the Collateral Agent thereof
and, at the Collateral Agent’s request and option, pursuant to an agreement in
form and substance reasonably satisfactory to the Collateral Agent, use
commercially reasonable efforts to either (i) cause the issuer to agree to
comply with instructions from the Collateral Agent as to such securities,
without further consent of any Grantor or such nominee, or (ii) arrange
for the Collateral Agent to become the registered owner of the securities. If
any securities, whether certificated or uncertificated, or other Investment
Property now or hereafter acquired by any Grantor are held by such Grantor or
its nominee through a Securities Intermediary or Commodity Intermediary, such
Grantor shall promptly notify the Collateral Agent thereof and, at the
Collateral Agent’s request and option, pursuant to an agreement in form and
substance reasonably satisfactory to the Collateral Agent, either (i) cause
such Securities Intermediary or Commodity Intermediary, as the case may be, to
agree to comply with Entitlement Orders from the Collateral Agent to such
Securities Intermediary as to such securities or other Investment Property, or
(as the case may be) to apply any value distributed on account of any commodity
contract as directed by the Collateral Agent to such Commodity Intermediary, in
each case without further consent of any Grantor or such nominee, or (ii) in
the case of Financial Assets (as governed by Article 8 of the New York
UCC) or other Investment Property held through a Securities Intermediary,
arrange for the Collateral Agent to become the Entitlement Holder with respect
to such Investment Property, with the Grantor being permitted, only with the
consent of the Collateral Agent, to exercise rights to withdraw or otherwise
deal with such Investment Property.  The
Collateral Agent agrees with each Grantor that the Collateral Agent shall not
give any such Entitlement Orders or instructions or directions to any such
issuer, Securities Intermediary or Commodity Intermediary, and shall not
withhold its consent to the exercise of any withdrawal or dealing rights by any
Grantor, unless an Event of Default has occurred and is continuing, or, after
giving effect to any such investment and withdrawal rights would occur. The
provisions of this paragraph 

 

22

 

shall not apply to any Financial Assets credited to a Securities
Account for which the Collateral Agent is the Securities Intermediary.

 

(d) Electronic Chattel Paper and Transferable Records. If
any Grantor at any time holds or acquires an interest in any Electronic Chattel
Paper or any “transferable record” (as that
term is defined in Section 201 of the Federal Electronic Signatures in
Global and National Commerce Act, or in Section 16 of the Uniform
Electronic Transactions Act as in effect in any relevant jurisdiction) with a
face amount in excess of $250,000, such Grantor shall promptly notify the
Collateral Agent thereof and, at the request of the Collateral Agent, shall
take such action as the Collateral Agent may reasonably request to vest in the
Collateral Agent control under New York UCC Section 9-105 of such
Electronic Chattel Paper or control under Section 201 of the Federal
Electronic Signatures in Global and National Commerce Act or, as the case may
be, Section 16 of the Uniform Electronic Transactions Act, as so in effect
in such jurisdiction, of such transferable record.  The Collateral Agent agrees with such Grantor
that the Collateral Agent will arrange, pursuant to procedures satisfactory to
the Collateral Agent and so long as such procedures will not result in the
Collateral Agent’s loss of control, for the Grantor to make alterations to the
Electronic Chattel Paper or transferable record permitted under UCC Section 9-105
or, as the case may be, Section 201 of the Federal Electronic Signatures in
Global and National Commerce Act or Section 16 of the Uniform Electronic
Transactions Act for a party in control to allow without loss of control,
unless an Event of Default has occurred and is continuing or would occur after
taking into account any action by such Grantor with respect to such Electronic
Chattel Paper or transferable record.

 

(e) Letter-of-Credit Rights. If any Grantor is at any time a
beneficiary under a letter of credit now or hereafter issued in favor of such
Grantor with a face amount in excess of $250,000, such Grantor shall promptly
notify the Collateral Agent thereof and, at the request and option of the
Collateral Agent, such Grantor shall, pursuant to an agreement in form and
substance reasonably satisfactory to the Collateral Agent, use commercially
reasonable efforts to either (i) arrange for the issuer and any confirmer
of such letter of credit to consent to an assignment to the Collateral Agent of
the proceeds of any drawing under the letter of credit or (ii) arrange for
the Collateral Agent to become the transferee beneficiary of the letter of
credit, with the Collateral Agent agreeing, in each case, that the proceeds of
any drawing under the letter of credit are to be paid to the applicable Grantor
unless an Event of Default has occurred or is continuing.

 

(f) Commercial Tort Claims. If any Grantor shall at any time
hold or acquire a Commercial Tort Claim in an amount reasonably estimated to
exceed $500,000, the Grantor shall promptly notify the Collateral Agent thereof
in a writing signed by such Grantor including a summary description of such
claim and grant to the Collateral Agent, for the ratable benefit of the Secured
Parties, in such writing a security interest therein and in the proceeds
thereof, all upon the terms of this Agreement, with such writing to be in form
and substance reasonably satisfactory to the Collateral Agent.

 

23

 

SECTION 4.05. Covenants Regarding Patent,
Trademark and Copyright Collateral.  (a) Each Grantor agrees that it will
not, and will not knowingly permit any of its licensees to, do any act, or omit
to do any act, whereby any Patent that is material to the conduct of the
business of Holdings, the Borrower and the Subsidiaries, taken as a whole, may
become invalidated or dedicated to the public, and agrees that it shall
continue to mark any products covered by a Patent with the relevant patent
number as necessary and sufficient to establish and preserve its maximum rights
under applicable patent laws.

 

(b) Each Grantor
(either itself or through its licensees or its sublicensees) will, for each Trademark
material to the conduct of the business of Holdings, the Borrower and the
Subsidiaries, taken as a whole, (i) maintain such Trademark in full force
free from any claim of abandonment or invalidity for non-use, (ii) maintain
the quality of products and services offered under such Trademark, (iii) display
such Trademark with notice of Federal or foreign registration to the extent
necessary and sufficient to establish and preserve its maximum rights under
applicable law and (iv) not knowingly use or knowingly permit the use of
such Trademark in violation of any third party rights.

 

(c) Each Grantor
(either itself or through its licensees or sublicensees) will, for each work
covered by a Copyright that is material to the conduct of Holdings, the Borrower
and the Subsidiaries, taken as a whole, continue to publish, reproduce,
display, adopt and distribute the work with appropriate copyright notice as
necessary and sufficient to establish and preserve its maximum rights under
applicable copyright laws.

 

(d) Each Grantor shall
notify the Collateral Agent promptly if it knows that any Patent, Trademark or
Copyright that is material to the conduct of Holdings, the Borrower and the
Subsidiaries, taken as a whole, may become abandoned, lost or dedicated to the public,
or of any adverse determination (including the institution of, or any such
determination in, any proceeding in the United States Patent and Trademark
Office, United States Copyright Office or any court or similar office of any
country) regarding such Grantor’s ownership of any such Patent, Trademark or
Copyright, its right to register the same, or its right to keep and maintain
the same.

 

(e) In no event shall
any Grantor, either itself or through any agent, employee, licensee or
designee, file an application for any Patent or any application for
registration of any Trademark or Copyright with the United States Patent and
Trademark Office, United States Copyright Office or any office or agency in any
political subdivision of the United States or in any other country or any
political subdivision thereof, with respect to any of the same which is
material to the conduct of the business of Holdings, the Borrower and the
Subsidiaries, taken as a whole, unless it promptly notifies (which notice may
be given after such filing) the Collateral Agent, and, upon request of the
Collateral Agent, executes and delivers any and all agreements, instruments,
documents and papers as the Collateral Agent may reasonably request to evidence
the Security Interest in such Patent, Trademark or Copyright, and each Grantor
hereby appoints the Collateral Agent as its attorney-in-fact to execute and
file such writings for the foregoing purposes, all such lawful acts of such
attorney in accordance 

 

24

 

with this agreement being hereby ratified and
confirmed; such power, being coupled with an interest, is irrevocable.

 

(f) Each Grantor will
take commercially reasonable steps that are consistent with the practice in any
proceeding before the United States Patent and Trademark Office, United States
Copyright Office or any office or agency in any political subdivision of the
United States or in any other country or any political subdivision thereof, to
maintain and pursue each material application relating to the Patents,
Trademarks and/or Copyrights (and to obtain the relevant grant or registration)
and to maintain each issued Patent and each registration of the Trademarks and
Copyrights that is material to the conduct of Holdings, the Borrower and the
Subsidiaries, taken as a whole, including timely filings of applications for
renewal, affidavits of use, affidavits of incontestability and payment of
maintenance fees, and, if consistent with commercially reasonable business
judgment, to initiate opposition, interference and cancellation proceedings
against third parties.

 

(g) In the event that
any Grantor knows that any Article 9 Collateral consisting of a Patent,
Trademark or Copyright that is material to the conduct of Holdings, the Borrower
and the Subsidiaries, taken as a whole, has been or is being infringed,
misappropriated or diluted by a third person, such Grantor promptly shall
notify the Collateral Agent and shall, if consistent with good business
judgment, promptly sue for infringement, misappropriation or dilution and to
recover any and all damages for such infringement, misappropriation or
dilution, and take such other actions as are appropriate under the
circumstances to protect such Article 9 Collateral.

 

(h) Upon the occurrence
and during the continuance of an Event of Default, each Grantor shall, at the
request of the Collateral Agent, use commercially reasonable efforts to obtain
all requisite consents or approvals by the licensor of each Copyright License,
Patent License or Trademark License to effect the assignment of all such
Grantor’s right, title and interest thereunder to the Collateral Agent, for the
ratable benefit of the Secured Parties, or its designee.

 

ARTICLE V

 

Remedies

 

SECTION 5.01. Remedies upon Default.  Upon the occurrence and during the
continuance of an Event of Default, each Grantor agrees to deliver each item of
Collateral to the Collateral Agent on demand, and it is agreed that the
Collateral Agent shall have the right to take any of or all the following actions
at the same or different times: (a) with respect to any Article 9
Collateral consisting of Intellectual Property, on demand, to cause the
Security Interest to become an assignment, transfer and conveyance of any of or
all such Article 9 Collateral by the applicable Grantor to the Collateral
Agent, or to license or sublicense, whether general, special or otherwise, and
whether on an exclusive or nonexclusive basis, any such Article 9
Collateral throughout the world on such terms and conditions and in such manner
as the Collateral Agent shall determine (other than in violation of any
then-existing licensing arrangement to the extent that a 

 

25

 

waiver has not been obtained despite
commercially reasonable efforts to obtain such a waiver), and (b) with or
without legal process and with or without prior notice or demand for
performance, to take possession of the Article 9 Collateral and without
liability for trespass to enter any premises where the Article 9
Collateral may be located for the purpose of taking possession of or removing
the Article 9 Collateral and, generally, to exercise any and all rights
afforded to a secured party under the Uniform Commercial Code or other
applicable law.  Without limiting the
generality of the foregoing, each Grantor agrees that the Collateral Agent
shall have the right, subject to the mandatory requirements of applicable law,
to sell or otherwise dispose of all or any part of the Collateral at a public
or private sale or at any broker’s board or on any securities exchange, for
cash, upon credit or for future delivery as the Collateral Agent shall deem
appropriate.  Pursuant to Section 5.04,
the Collateral Agent shall be authorized at any such sale (if it deems it
advisable to do so) to restrict the prospective bidders or purchasers to
persons who will represent and agree that they are purchasing the Collateral
for their own account for investment and not with a view to the distribution or
sale thereof, and upon consummation of any such sale the Collateral Agent shall
have the right to assign, transfer and deliver to the purchaser or purchasers
thereof the Collateral so sold.  Each
such purchaser at any such sale shall hold the property sold absolutely, free
from any claim or right on the part of any Grantor, and each Grantor hereby
waives (to the extent permitted by law) all rights of redemption, stay and
appraisal which such Grantor now has or may at any time in the future have
under any rule of law or statute now existing or hereafter enacted.

 

The Collateral Agent shall
give each applicable Grantor 10 days’ written notice (which each Grantor
agrees is reasonable notice within the meaning of Section 9-611 of the
New York UCC or its equivalent in other jurisdictions) of the Collateral
Agent’s intention to make any sale of Collateral.  Such notice, in the case of a public sale,
shall state the time and place for such sale and, in the case of a sale at a
broker’s board or on a securities exchange, shall state the board or exchange
at which such sale is to be made and the day on which the Collateral, or
portion thereof, will first be offered for sale at such board or exchange.  Any such public sale shall be held at such
time or times within ordinary business hours and at such place or places as the
Collateral Agent may fix and state in the notice (if any) of such sale.  At any such sale, the Collateral, or portion
thereof, to be sold may be sold in one lot as an entirety or in separate
parcels, as the Collateral Agent may (in its sole and absolute discretion)
determine.  The Collateral Agent shall
not be obligated to make any sale of any Collateral if it shall determine not
to do so, regardless of the fact that notice of sale of such Collateral shall
have been given.  The Collateral Agent
may, without notice or publication, adjourn any public or private sale or cause
the same to be adjourned from time to time by announcement at the time and
place fixed for sale, and such sale may, without further notice, be made at the
time and place to which the same was so adjourned.  In case any sale of all or any part of the
Collateral is made on credit or for future delivery, the Collateral so sold may
be retained by the Collateral Agent until the sale price is paid by the
purchaser or purchasers thereof, but the Collateral Agent shall not incur any
liability in case any such purchaser or purchasers shall fail to take up and
pay for the Collateral so sold and, in case of any such failure, such
Collateral may be sold again upon like notice. 
At any public (or, to the extent permitted by law, private) sale made
pursuant to this Agreement, any Secured 

 

26

 

Party
may bid for or purchase, free (to the extent permitted by applicable law) from
any right of redemption, stay, valuation or appraisal on the part of any
Grantor (all said rights being also hereby waived and released to the extent
permitted by applicable law), the Collateral or any part thereof offered for
sale and may make payment on account thereof by using any claim then due and
payable to such Secured Party from any Grantor as a credit against the purchase
price, and such Secured Party may, upon compliance with the terms of sale,
hold, retain and dispose of such property without further accountability to any
Grantor therefor.  For purposes hereof, a
written agreement to purchase the Collateral or any portion thereof shall be
treated as a sale thereof; the Collateral Agent shall be free to carry out such
sale pursuant to such agreement and no Grantor shall be entitled to the return
of the Collateral or any portion thereof subject thereto, notwithstanding the
fact that after the Collateral Agent shall have entered into such an agreement
all Events of Default shall have been remedied and the Obligations paid in
full.  As an alternative to exercising
the power of sale herein conferred upon it, the Collateral Agent may proceed by
a suit or suits at law or in equity to foreclose this Agreement and to sell the
Collateral or any portion thereof pursuant to a judgment or decree of a court
or courts having competent jurisdiction or pursuant to a proceeding by a
court-appointed receiver.  Any sale
pursuant to the provisions of this Section 5.01 shall be deemed to conform
to the commercially reasonable standards as provided in Section 9-610(b) of
the New York UCC or its equivalent in other jurisdictions.

 

SECTION 5.02. Application of Proceeds.  The Collateral Agent shall apply the proceeds
of any collection, sale, foreclosure or other realization upon any Collateral,
including any Collateral consisting of cash, as follows:

 

FIRST, to the payment of all costs and
expenses incurred by the Administrative Agent or the Collateral Agent (in their
respective capacities as such hereunder or under any other Loan Document) in
connection with such collection, sale, foreclosure or realization or otherwise
in connection with this Agreement, any other Loan Document or any of the
Obligations, including all court costs and the fees and expenses of its agents
and legal counsel, the repayment of all advances made by the Administrative
Agent and/or the Collateral Agent hereunder or under any other Loan Document on
behalf of any Grantor and any other costs or expenses incurred in connection
with the exercise of any right or remedy hereunder or under any other Loan
Document;

 

SECOND, to the payment in full of  Unfunded Advances/Participations
(the amounts so applied to be distributed between or among the Administrative
Agent and any Issuing Bank pro rata in accordance with the amounts of Unfunded
Advances/Participations owed to them on the date of any such distribution);

 

THIRD, to the payment in full of all other
Obligations (the amounts so applied to be distributed among the Secured Parties
pro rata in accordance with the amounts of the Obligations owed to them on the
date of any such distribution); and

 

27

 

FOURTH, to the Grantors, their successors or
assigns, or as a court of competent jurisdiction may otherwise direct.

 

The Collateral Agent shall
have absolute discretion as to the time of application of any such proceeds,
moneys or balances in accordance with this Agreement.  Upon any sale of Collateral by the Collateral
Agent (including pursuant to a power of sale granted by statute or under a
judicial proceeding), the receipt of the Collateral Agent or of the officer
making the sale shall be a sufficient discharge to the purchaser or purchasers
of the Collateral so sold and such purchaser or purchasers shall not be
obligated to see to the application of any part of the purchase money paid over
to the Collateral Agent or such officer or be answerable in any way for the
misapplication thereof.

 

SECTION 5.03. Grant of License to Use Intellectual
Property.  For the purpose
of enabling the Collateral Agent to exercise rights and remedies under this
Agreement at such time as the Collateral Agent shall be lawfully entitled to
exercise such rights and remedies, subject to any then-existing license
agreements or other rights of third parties, each Grantor hereby grants to the
Collateral Agent an irrevocable, nonexclusive license (exercisable without
payment of royalty or other compensation to the Grantors), to use, license or
sublicense any of the Article 9 Collateral consisting of Patents,
Trademarks and Copyrights and, subject to Section 4.05(g), any other
Intellectual Property now owned or hereafter acquired by such Grantor, and
wherever the same may be located, and including in such license access to all
media in which any of the licensed items may be recorded or stored and to all
computer software and programs used for the compilation or printout
thereof.  The use of such license by the
Collateral Agent may be exercised, at the option of the Collateral Agent, only
upon the occurrence and during the continuation of an Event of Default; provided, however,
that any license, sublicense or other transaction entered into by the
Collateral Agent in accordance herewith shall be binding upon each Grantor
notwithstanding any subsequent cure of an Event of Default.

 

SECTION 5.04. Securities Act, Etc.  In view of the position of the Grantors in
relation to the Pledged Collateral, or because of other current or future
circumstances, a question may arise under the U.S. Securities Act of 1933, as
now or hereafter in effect, or any similar statute hereafter enacted analogous
in purpose or effect (such Act and any such similar statute as from time to
time in effect being called the “Federal Securities Laws”) with respect to any
disposition of the Pledged Collateral permitted hereunder.  Each Grantor understands that compliance with
the Federal Securities Laws might very strictly limit the course of conduct of
the Collateral Agent if the Collateral Agent were to attempt to dispose of all
or any part of the Pledged Collateral, and might also limit the extent to which
or the manner in which any subsequent transferee of any Pledged Collateral
could dispose of the same.  Similarly,
there may be other legal restrictions or limitations affecting the Collateral
Agent in any attempt to dispose of all or part of the Pledged Collateral under
applicable “blue sky” or other state securities laws or similar laws analogous
in purpose or effect.  Each Grantor
recognizes that in light of such restrictions and limitations the Collateral Agent
may, with respect to any sale of the Pledged Collateral, limit the purchasers
to those who will agree, among other things, to acquire such Pledged Collateral
for their own account, for 

 

28

 

investment, and not with a view to the
distribution or resale thereof.  Each
Grantor acknowledges and agrees that in light of such restrictions and
limitations, the Collateral Agent, in its sole and absolute discretion (a) may
proceed to make such a sale whether or not a registration statement for the
purpose of registering such Pledged Collateral or part thereof shall have been
filed under the Federal Securities Laws and (b) may approach and negotiate
with a limited number of potential purchasers (including a single potential
purchaser) to effect such sale.  Each
Grantor acknowledges and agrees that any such sale might result in prices and
other terms less favorable to the seller than if such sale were a public sale
without such restrictions. In the event of any such sale, the Collateral Agent
shall incur no responsibility or liability for selling all or any part of the
Pledged Collateral at a price that the Collateral Agent, in its sole and
absolute discretion, may in good faith deem reasonable under the circumstances,
notwithstanding the possibility that a substantially higher price might have
been realized if the sale were deferred until after registration as aforesaid
or if more than a limited number of purchasers (or a single purchaser) were
approached.  The provisions of this Section 5.04
will apply notwithstanding the existence of a public or private market upon
which the quotations or sales prices may exceed substantially the price at
which the Collateral Agent sells.

 

ARTICLE VI

 

Indemnity,
Subrogation and Subordination

 

SECTION 6.01. Indemnity and Subrogation.  In addition to all such rights of indemnity
and subrogation as the Guarantors may have under applicable law (but subject to
Section 6.03), the Borrower agrees that (a) in the event a payment
shall be made by any Guarantor under this Agreement, the Borrower shall
indemnify such Guarantor for the full amount of such payment and such Guarantor
shall be subrogated to the rights of the person to whom such payment shall have
been made to the extent of such payment and (b) in the event any assets of
any Guarantor shall be sold pursuant to this Agreement or any other Security
Document to satisfy in whole or in part a claim of any Secured Party, the
Borrower shall indemnify such Guarantor in an amount equal to the fair market
value of the assets so sold.

 

SECTION 6.02. Contribution and Subrogation.  Each Guarantor (a “Contributing Guarantor”)
agrees (subject to Section 6.03) that, in the event a payment shall be
made by any other Guarantor hereunder in respect of any Obligation, or assets
of any other Guarantor shall be sold pursuant to any Security Document to
satisfy any Obligation owed to any Secured Party, and such other Guarantor (the
“Claiming Guarantor”)
shall not have been fully indemnified by the Borrower as provided in Section 6.01,
the Contributing Guarantor shall indemnify the Claiming Guarantor in an amount
equal to (i) the amount of such payment or (ii) the fair market value
of such assets, as the case may be, in each case multiplied by a fraction of
which the numerator shall be the net worth of the Contributing Guarantor on the
date hereof and the denominator shall be the aggregate net worth of all the
Guarantors on the date hereof (or, in the case of any Guarantor becoming a
party hereto pursuant to Section 7.16, the date of the supplement hereto
executed and delivered by such Guarantor). 
Any Contributing Guarantor making any payment to a Claiming Guarantor
pursuant to this Section 6.02

 

29

 

shall
be subrogated to the rights of such Claiming Guarantor under Section 6.01
to the extent of such payment.

 

SECTION 6.03. Subordination.  (a) Notwithstanding any provision of
this Agreement to the contrary, all rights of the Guarantors under
Sections 6.01 and 6.02 and all other rights of indemnity, contribution or
subrogation under applicable law or otherwise shall be fully subordinated to
the indefeasible payment in full in cash of the Obligations.  No failure on the part of the Borrower or any
Guarantor to make the payments required by Sections 6.01 and 6.02 (or any
other payments required under applicable law or otherwise) shall in any respect
limit the obligations and liabilities of any Guarantor with respect to its
obligations hereunder, and each Guarantor shall remain liable for the full
amount of its obligations hereunder.

 

(b) The Borrower and
each Guarantor hereby agree that all Indebtedness and other monetary
obligations owed by it to the Borrower or any Subsidiary shall be fully
subordinated to the indefeasible payment in full in cash of the Obligations.

 

ARTICLE VII

 

Miscellaneous

 

SECTION 7.01. Notices.  All communications and notices hereunder
shall (except as otherwise expressly permitted herein) be in writing and given
as provided in Section 9.01 of the Credit Agreement.  All communications and notices hereunder to
any Guarantor shall be given to it in care of the Borrower as provided in Section 9.01
of the Credit Agreement.

 

SECTION 7.02. Security Interest Absolute.  All rights of the Collateral Agent hereunder,
the Security Interest, the grant of a security interest in the Pledged
Collateral and all obligations of each Grantor hereunder shall be absolute and
unconditional irrespective of (a) any lack of validity or enforceability
of the Credit Agreement, any other Loan Document, any agreement with respect to
any of the Obligations or any other agreement or instrument relating to any of
the foregoing, (b) any change in the time, manner or place of payment of,
or in any other term of, all or any of the Obligations, or any other amendment
or waiver of or any consent to any departure from the Credit Agreement, any
other Loan Document or any other agreement or instrument relating to the
foregoing, (c) any exchange, release or non-perfection of any Lien on
other collateral, or any release or amendment or waiver of or consent under or
departure from any guarantee, securing or guaranteeing all or any of the
Obligations, or (d) any other circumstance that might otherwise constitute
a defense available to, or a discharge of, any Grantor in respect of the
Obligations or this Agreement.

 

SECTION 7.03. Survival of Agreement.  All covenants, agreements, representations
and warranties made by the Loan Parties in the Loan Documents and in the
certificates or other instruments prepared or delivered in connection with or
pursuant to this Agreement or any other Loan Document shall be considered to
have been relied upon by the Lenders and the Issuing Bank and shall survive the
execution and delivery of 

 

30

 

the Loan Documents and the making of any
Loans and issuance of any Letters of Credit, regardless of any investigation
made by any Lender or Issuing Bank or on their behalf and notwithstanding that
the Collateral Agent, any Issuing Bank or any Lender may have had notice or
knowledge of any Default or incorrect representation or warranty at the time
any credit is extended under the Credit Agreement, and shall continue in full
force and effect as long as the principal of or any accrued interest on any
Loan or any fee or any other amount payable under any Loan Document is
outstanding and unpaid or the aggregate L/C Exposure does not equal zero and so
long as the Commitments have not expired or terminated.

 

SECTION 7.04. Binding Effect; Several Agreement.  This Agreement shall become effective as to
any Loan Party when a counterpart hereof executed on behalf of such Loan Party
shall have been delivered to the Collateral Agent and a counterpart hereof
shall have been executed on behalf of the Collateral Agent, and thereafter
shall be binding upon such Loan Party and the Collateral Agent and their
respective permitted successors and assigns, and shall inure to the benefit of
such Loan Party, the Collateral Agent and the other Secured Parties and their
respective successors and assigns, except that no Loan Party shall have the
right to assign or transfer its rights or obligations hereunder or any interest
herein or in the Collateral (and any such assignment or transfer shall be void)
except as expressly contemplated or permitted by this Agreement or the Credit
Agreement.  This Agreement shall be
construed as a separate agreement with respect to each Loan Party and may be
amended, modified, supplemented, waived or released with respect to any Loan
Party without the approval of any other Loan Party and without affecting the
obligations of any other Loan Party hereunder.

 

SECTION 7.05. Successors and Assigns.  Whenever in this Agreement any of the parties
hereto is referred to, such reference shall be deemed to include the permitted
successors and assigns of such party; and all covenants, promises and
agreements by or on behalf of any Grantor or the Collateral Agent that are
contained in this Agreement shall bind and inure to the benefit of their
respective successors and assigns.

 

SECTION 7.06. Collateral Agent’s Fees and
Expenses; Indemnification. 
(a) The parties hereto agree that the Collateral Agent shall be
entitled to reimbursement of its expenses incurred hereunder as provided in Section 9.05
of the Credit Agreement.

 

(b) Without limitation
of its indemnification obligations under the other Loan Documents, each Grantor
jointly and severally agrees to indemnify the Collateral Agent and the other
Indemnitees against, and hold each Indemnitee harmless from, any and all
losses, claims, damages, liabilities, and related out of pocket expenses,
including the fees, charges and disbursements of any counsel for any
indemnitee, reasonably incurred by or asserted against any indemnitee arising
out of, in any way connected with, or as a result of, the execution, delivery
or performance of this Agreement or any agreement or instrument contemplated
hereby or any claim, litigation, investigation or proceeding relating to any of
the foregoing or to the Collateral, regardless of whether any indemnitee is a
party thereto or whether initiated by a third party or by a Loan Party or any
Affiliate thereof; provided, however, that such indemnity shall apply only to the 

 

31

 

extent the Borrower is required to Indemnify
the Indemnitees under Section 9.05 of the Credit Agreement.  To the extent permitted by applicable law, no
Grantor shall assert, and each Grantor hereby waives any claim against any indemnitee,
on any theory of liability, for special, indirect, consequential or punitive
damages (as opposed to direct or actual damages) arising out of, in connection
with, or as a result of, this Agreement or any agreement or instrument
contemplated hereby, the Transactions, any Loan or Letter of Credit or the use
of proceeds thereof.

 

(c) Any such amounts
payable as provided hereunder shall be additional Obligations secured hereby
and by the other Security Documents. The provisions of this Section 7.06
shall remain operative and in full force and effect regardless of the
termination of this Agreement or any other Loan Document, the consummation of
the transactions contemplated hereby, the repayment of any of the Obligations,
the invalidity or unenforceability of any term or provision of this Agreement
or any other Loan Document, or any investigation made by or on behalf of the
Collateral Agent or any other Secured Party. 
All amounts due under this Section 7.06 shall be payable on written
demand therefor and shall bear interest, on and from the date of demand, at the
rate specified in Section 2.06(a) of the Credit Agreement.

 

SECTION 7.07. Collateral Agent Appointed
Attorney-in-Fact.  Each
Grantor hereby appoints the Collateral Agent as the attorney-in-fact of such
Grantor for the purpose of carrying out the provisions of this Agreement and
taking any action and executing any instrument that the Collateral Agent may
deem necessary or advisable to accomplish the purposes hereof, which
appointment is irrevocable and coupled with an interest; provided that the Collateral Agent may
only take actions as attorney-in-fact during the existence of any Event of
Default. Without limiting the generality of the foregoing, the Collateral Agent
shall have the right, upon the occurrence and during the continuance of an
Event of Default, with full power of substitution either in the Collateral
Agent’s name or in the name of such Grantor (a) to receive, endorse,
assign and/or deliver any and all notes, acceptances, checks, drafts, money
orders or other evidences of payment relating to the Collateral or any part
thereof, (b) to demand, collect, receive payment of, give receipt for and
give discharges and releases of all or any of the Collateral, (c) to sign
the name of any Grantor on any invoice or bill of lading relating to any of the
Collateral, (d) to send verifications of Accounts Receivable to any
Account Debtor, (e) to commence and prosecute any and all suits, actions
or proceedings at law or in equity in any court of competent jurisdiction to
collect or otherwise realize on all or any of the Collateral or to enforce any
rights in respect of any Collateral, (f) to settle, compromise, compound,
adjust or defend any actions, suits or proceedings relating to all or any of
the Collateral, (g) to notify, or to require any Grantor to notify,
Account Debtors to make payment directly to the Collateral Agent, and (h) to
use, sell, assign, transfer, pledge, make any agreement with respect to or
otherwise deal with all or any of the Collateral, and to do all other acts and
things necessary to carry out the purposes of this Agreement in accordance with
its terms, as fully and completely as though the Collateral Agent were the
absolute owner of the Collateral for all purposes; provided, however,
that nothing herein contained shall be construed as requiring or obligating the
Collateral Agent to make any commitment or to make any inquiry as to the nature
or sufficiency of any payment received by the Collateral Agent, or to present
or file any 

 

32

 

claim or notice, or to take any action with
respect to the Collateral or any part thereof or the moneys due or to become
due in respect thereof or any property covered thereby. The Collateral Agent
and the other Secured Parties shall be accountable only for amounts actually
received as a result of the exercise of the powers granted to them herein, and
neither they nor their officers, directors, employees or agents shall be
responsible to any Grantor for any act or failure to act hereunder, except for
their own gross negligence, willful misconduct or bad faith.

 

SECTION 7.08. Applicable Law.  THIS
AGREEMENT SHALL BE CONSTRUED IN ACCORDANCE WITH AND GOVERNED BY THE LAWS OF THE
STATE OF NEW YORK.

 

SECTION 7.09. Waivers; Amendment.  (a) No failure or delay by the
Collateral Agent, the Administrative Agent, any Issuing Bank or any Lender in
exercising any right or power hereunder or under any other Loan Document shall
operate as a waiver hereof or thereof, nor shall any single or partial exercise
of any such right or power, or any abandonment or discontinuance of steps to
enforce such a right or power, preclude any other or further exercise thereof
or the exercise of any other right or power. The rights and remedies of the
Collateral Agent, the Administrative Agent, the Issuing Banks and the Lenders
hereunder and under the other Loan Documents are cumulative and are not
exclusive of any rights or remedies that they would otherwise have. No waiver
of any provision of any Loan Document or consent to any departure by any Loan
Party therefrom shall in any event be effective unless the same shall be
permitted by paragraph (b) of this Section 7.09, and then such
waiver or consent shall be effective only in the specific instance and for the
purpose for which given.  Without
limiting the generality of the foregoing, the making of a Loan or issuance of a
Letter of Credit shall not be construed as a waiver of any Default, regardless
of whether the Collateral Agent, any Lender or any Issuing Bank may have had
notice or knowledge of such Default at the time. No notice or demand on any
Loan Party in any case shall entitle any Loan Party to any other or further
notice or demand in similar or other circumstances.

 

(b) Neither this Agreement
nor any provision hereof may be waived, amended or modified except pursuant to
an agreement or agreements in writing entered into by the Collateral Agent and
the Loan Party or Loan Parties with respect to which such waiver, amendment or
modification is to apply, subject to any consent required in accordance with Section 9.08
of the Credit Agreement.

 

SECTION 7.10. WAIVER OF JURY TRIAL.  EACH PARTY HERETO HEREBY WAIVES, TO THE
FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY RIGHT IT MAY HAVE TO A
TRIAL BY JURY IN RESPECT OF ANY LITIGATION DIRECTLY OR INDIRECTLY ARISING OUT
OF, UNDER OR IN CONNECTION WITH THIS AGREEMENT OR ANY OF THE OTHER LOAN
DOCUMENTS. EACH PARTY HERETO (A) CERTIFIES THAT NO REPRESENTATIVE, AGENT
OR ATTORNEY OF ANY OTHER PARTY HAS REPRESENTED, EXPRESSLY OR OTHERWISE, THAT
SUCH OTHER PARTY WOULD NOT, IN THE EVENT OF LITIGATION, SEEK TO ENFORCE THE
FOREGOING WAIVER AND (B) ACKNOWLEDGES THAT IT AND THE OTHER 

 

33

 

PARTIES HERETO HAVE BEEN INDUCED TO ENTER
INTO THIS AGREEMENT AND THE OTHER LOAN DOCUMENTS, AS APPLICABLE, BY, AMONG
OTHER THINGS, THE MUTUAL WAIVERS AND CERTIFICATIONS IN THIS SECTION 7.10.

 

SECTION 7.11. Severability.  In the event any one or more of the
provisions contained in this Agreement or in any other Loan Document should be
held invalid, illegal or unenforceable in any respect, the validity, legality
and enforceability of the remaining provisions contained herein and therein
shall not in any way be affected or impaired thereby (it being understood that
the invalidity of a particular provision in a particular jurisdiction shall not
in and of itself affect the validity of such provision in any other
jurisdiction). The parties shall endeavor in good-faith negotiations to replace
the invalid, illegal or unenforceable provisions with valid provisions the
economic effect of which comes as close as possible to that of the invalid,
illegal or unenforceable provisions.

 

SECTION 7.12. Counterparts.  This Agreement may be executed in counterparts
(and by different parties hereto on different counterparts), each of which
shall constitute an original but all of which when taken together shall
constitute a single contract, and shall become effective as provided in Section 7.04.  Delivery of an executed signature page to
this Agreement by facsimile transmission or other means of electronic
communication shall be as effective as delivery of a manually signed
counterpart of this Agreement.

 

SECTION 7.13. Headings.  Article and Section headings and
the Table of Contents used herein are for convenience of reference only, are
not part of this Agreement and are not to affect the construction of, or to be
taken into consideration in interpreting, this Agreement.

 

SECTION 7.14. Jurisdiction; Consent to Service of
Process.  (a) Each of
the Grantors hereby irrevocably and unconditionally submits, for itself and its
property, to the exclusive jurisdiction of any New York State court or Federal
court of the United States of America, sitting in the Borough of Manhattan, New
York City, and any appellate court from any thereof, in any action or
proceeding arising out of or relating to this Agreement or any other Loan
Document, or for recognition or enforcement of any judgment, and each of the
Loan Parties hereby irrevocably and unconditionally agrees that all claims in
respect of any such action or proceeding may be heard and determined in such
New York State or, to the extent permitted by law, in such Federal
court.  Each of the Loan Parties agrees
that a final judgment in any such action 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 any other Loan Document
shall affect any right that the Collateral Agent, the Administrative Agent,
Issuing Bank or any Lender may otherwise have to bring any action or proceeding
relating to this Agreement or any other Loan Document against any Grantor or
its properties in the courts of any jurisdiction.

 

34

 

(b) Each of the Loan
Parties hereby irrevocably and unconditionally waives, to the fullest extent it
may legally and effectively do so, any objection which it may now or hereafter
have to the laying of venue of any suit, action or proceeding arising out of or
relating to this Agreement or any other Loan Document in any court referred to
in paragraph (a) of this Section. 
Each of the Loan Parties hereby irrevocably waives, to the fullest
extent permitted by law, the defense of an inconvenient forum to the
maintenance of such action or proceeding in any such court.

 

(c) Each of the Loan
Parties hereby irrevocably consents to service of process in the manner
provided for notices in Section 7.01. 
Nothing in this Agreement or any other Loan Document will affect the
right of the Collateral Agent to serve process in any other manner permitted by
law.

 

SECTION 7.15. Termination or Release.  (a) This Agreement, the Guarantees, the
Security Interest, the pledge of the Pledged Collateral and all other security
interests granted hereby shall terminate when all the Loan Document Obligations
(other than wholly contingent indemnification or reimbursement obligations)
have been indefeasibly paid in full and the Lenders have no further commitment
to lend under the Credit Agreement, the aggregate L/C Exposure has been reduced
to zero and the Issuing Banks have no further obligations to issue Letters of
Credit under the Credit Agreement.

 

(b) A Subsidiary
Guarantor shall automatically be released from its obligations hereunder and
the Security Interests created hereunder in the Collateral of such Subsidiary
Guarantor shall be automatically released upon the consummation of any
transaction permitted by the Credit Agreement as a result of which such
Subsidiary Guarantor ceases to be a Subsidiary.

 

(c) Upon any sale or
other transfer by any Grantor of any Collateral that is permitted under the
Credit Agreement to any person that is not the Borrower or a Guarantor, or,
upon the effectiveness of any written consent to the release of the Security
Interest granted hereby in any Collateral pursuant to Section 9.08 of the
Credit Agreement, the Security Interest in such Collateral shall be
automatically released.

 

(d) In connection with
any termination or release pursuant to paragraph (a), (b) or (c) above,
the Collateral Agent shall promptly execute and deliver to any Grantor, at such
Grantor’s expense, all Uniform Commercial Code termination statements and
similar documents that such Grantor shall reasonably request to evidence such
termination or release. Any execution and delivery of documents pursuant to
this Section 7.15 shall be without recourse to or representation or
warranty by the Collateral Agent or any Secured Party.  Without limiting the provisions of Section 7.06,
the Borrower shall reimburse upon presentation of an invoice, the Collateral
Agent upon demand for all costs and out of pocket expenses, including the
reasonable fees, charges and expenses of counsel, incurred by it in connection
with any action contemplated by this Section 7.15.

 

SECTION 7.16. Additional Subsidiaries.  Pursuant to Section 5.12 of the Credit
Agreement, each Domestic Subsidiary that was not in existence or not a 

 

35

 

Subsidiary on the Closing Date is required to
enter into this Agreement as a Subsidiary Guarantor and a Grantor upon becoming
such a Domestic Subsidiary (unless such Domestic Subsidiary is a subsidiary of
a Foreign Subsidiary).  Upon execution
and delivery by the Collateral Agent and such Domestic Subsidiary of a
supplement in the form of Exhibit A hereto, such Domestic Subsidiary shall
become a Subsidiary Guarantor and a Grantor hereunder with the same force and
effect as if originally named as a Subsidiary Guarantor and a Grantor
herein.  The execution and delivery of
any such instrument shall not require the consent of any other Loan Party
hereunder. The rights and obligations of each Loan Party hereunder shall remain
in full force and effect notwithstanding the addition of any new Loan Party as
a party to this Agreement.

 

SECTION 7.17. Right of Setoff.  If an Event of Default shall have occurred
and is continuing, each Secured Party is hereby authorized at any time and from
time to time, to the fullest extent permitted by law, to set off and apply any
and all Collateral (including any deposits (general or special, time or demand,
provisional or final)) at any time held and other obligations at any time owing
by such Secured Party to or for the credit or the account of any Grantor
against any and all of the obligations of such Grantor now or hereafter
existing under this Agreement and the other Loan Documents held by such Secured
Party, irrespective of whether or not such Secured Party shall have made any
demand under this Agreement or any other Loan Document and although such
obligations may be unmatured.  The rights
of each Secured Party under this Section are in addition to other rights
and remedies (including other rights of setoff) which such Secured Party may
have.

 

SECTION 7.18. Conflicts.  In the event of any conflict between the
provisions contained herein and the provisions contained in the Credit
Agreement, the provision contained in the Credit Agreement shall control.

 

[Remainder of page intentionally
left blank]

 

36

 

IN WITNESS WHEREOF, the
parties hereto have duly executed this Agreement as of the day and year first
above written.

 

 

	
   

  	
  IKARIA
  ACQUISITION INC.,

  
	
   

  	
   

  
	
   

  	
  by

  	
   

  
	
   

  	
   

  	
  /s/
  Daniel Tassé

  
	
   

  	
   

  	
  Name:
  Daniel Tassé

  
	
   

  	
   

  	
  Title:
  President

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  IKARIA, INC.,

  
	
   

  	
   

  
	
   

  	
  by

  	
   

  
	
   

  	
   

  	
  /s/ Daniel Tassé

  
	
   

  	
   

  	
  Name: Daniel Tassé

  
	
   

  	
   

  	
  Title: Chairman and Chief Executive Officer

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  IKARIA
  RESEARCH, INC.,

  
	
   

  	
   

  
	
   

  	
  by

  	
   

  
	
   

  	
   

  	
  /s/
  Daniel Tassé

  
	
   

  	
   

  	
  Name:
  Daniel Tassé

  
	
   

  	
   

  	
  Title:
  President

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  INO
  THERAPEUTICS, LLC,

  
	
   

  	
   

  
	
   

  	
  by

  	
   

  
	
   

  	
   

  	
  /s/
  Daniel Tassé

  
	
   

  	
   

  	
  Name:
  Daniel Tassé

  
	
   

  	
   

  	
  Title:
  President and Chief Executive Officer

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  IKARIA
  INTERNATIONAL, INC.,

  
	
   

  	
   

  
	
   

  	
  by

  	
   

  
	
   

  	
   

  	
  /s/
  Daniel Tassé

  
	
   

  	
   

  	
  Name:
  Daniel Tassé

  
	
   

  	
   

  	
  Title:
  President

  

 

Signature
Page to Ikaria Guarantee and Collateral Agreement

 

 

	
   

  	
  IKARIA
  THERAPEUTICS, LLC,

  
	
   

  	
   

  
	
   

  	
  by

  	
   

  
	
   

  	
   

  	
  /s/
  Daniel Tassé

  
	
   

  	
   

  	
  Name:
  Daniel Tassé

  
	
   

  	
   

  	
  Title:
  President

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  IKARIA
  DEVELOPMENT SUBSIDIARY ONE, LLC,

  
	
   

  	
   

  
	
   

  	
  by

  	
   

  
	
   

  	
   

  	
  /s/
  Daniel Tassé

  
	
   

  	
   

  	
  Name:
  Daniel Tassé

  
	
   

  	
   

  	
  Title:
  President

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  IKARIA
  DEVELOPMENT SUBSIDIARY TWO, LLC,

  
	
   

  	
   

  
	
   

  	
  by

  	
   

  
	
   

  	
   

  	
  /s/
  Daniel Tassé

  
	
   

  	
   

  	
  Name:
  Daniel Tassé

  
	
   

  	
   

  	
  Title:
  President

  

 

Signature
Page to Ikaria Guarantee and Collateral Agreement

 

 

	
   

  	
  CREDIT
  SUISSE AG, CAYMAN ISLANDS BRANCH, as Collateral Agent,

  
	
   

  	
   

  
	
   

  	
  by

  	
   

  
	
   

  	
   

  	
  /s/
  John D. Toronto

  
	
   

  	
   

  	
  Name:
  John D. Toronto

  
	
   

  	
   

  	
  Title:
  Director

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  by

  	
   

  
	
   

  	
   

  	
  /s/
  Vipul Dhadda

  
	
   

  	
   

  	
  Name:
  Vipul Dhadda

  
	
   

  	
   

  	
  Title:
  Associate

  

 

Signature
Page to Ikaria Guarantee and Collateral Agreement

 

 

Schedule I to

the Guarantee and

Collateral Agreement

 

SUBSIDIARY GUARANTORS

 

Ikaria
Research, Inc.

Ikaria
International, Inc.

Ikaria
Therapeutics LLC

INO
Therapeutics LLC

Ikaria
Development Subsidiary One LLC

Ikaria
Development Subsidiary Two LLC

 

 

Schedule II to

the Guarantee and

Collateral Agreement

 

EQUITY INTERESTS

 

	
  Issuer

  	
   

  	
  Number of

  Certificate

  	
   

  	
  Registered

  Owner

  	
   

  	
  Number and

  Class of

  Equity Interest

  	
   

  	
  Percentage

  of Equity

  Interests

  
	
  Ikaria
  Research, Inc.

  	
   

  	
  2

  	
   

  	
  Ikaria, Inc.

  	
   

  	
  Capital Stock

  	
   

  	
  100%

  
	
  Ikaria Acquisition Inc.

  	
   

  	
  1

  	
   

  	
  Ikaria, Inc.

  	
   

  	
  Capital Stock

  	
   

  	
  100%

  
	
  Ikaria
  International Inc.

  	
   

  	
   

  	
   

  	
  Ikaria, Inc.

  	
   

  	
  Capital Stock

  	
   

  	
  100%

  
	
  Ikaria
  Therapeutics LLC

  	
   

  	
   

  	
   

  	
  Ikaria
  Research, Inc.

  	
   

  	
  Membership Interest

  	
   

  	
  100%

  
	
  Ikaria
  Development Subsidiary One LLC

  	
   

  	
   

  	
   

  	
  Ikaria
  Acquisition Inc.

  	
   

  	
  Membership Interest

  	
   

  	
  100%

  
	
  Ikaria
  Development Subsidiary Two LLC

  	
   

  	
   

  	
   

  	
  Ikaria
  Acquisition Inc.

  	
   

  	
  Membership Interest

  	
   

  	
  100%

  
	
  INO
  Therapeutics LLC

  	
   

  	
  1

  	
   

  	
  Ikaria Acquisition Inc.

  	
   

  	
  Membership Interest

  	
   

  	
  100%

  

 

PLEDGED DEBT SECURITIES

 

None.

 

 

Schedule III to

the Guarantee and

Collateral Agreement

 

U.S. COPYRIGHTS OWNED BY IKARIA RESEARCH, INC.

 

 

U.S. Copyright Registrations

 

None.

 

Pending U.S. Copyright Applications for Registration

 

None.

 

Non-U.S. Copyright Registrations

 

None.

 

Non-U.S. Pending Copyright Applications for Registration

 

None.

 

 

U.S. COPYRIGHTS OWNED BY IKARIA INTERNATIONAL, INC.

 

 

U.S. Copyright Registrations

 

None.

 

Pending U.S. Copyright Applications for Registration

 

None.

 

Non-U.S. Copyright Registrations

 

None.

 

Non-U.S. Pending Copyright Applications for Registration

 

None.

 

III-2

 

U.S. COPYRIGHTS OWNED BY IKARIA THERAPEUTICS LLC

 

 

U.S. Copyright Registrations

 

None.

 

Pending U.S. Copyright Applications for Registration

 

None.

 

Non-U.S. Copyright Registrations

 

None.

 

Non-U.S. Pending Copyright Applications for Registration

 

None.

 

III-3

 

U.S. COPYRIGHTS OWNED BY IKARIA DEVELOPMENT SUBSIDIARY ONE LLC

 

 

U.S. Copyright Registrations

 

None.

 

Pending U.S. Copyright Applications for Registration

 

None.

 

Non-U.S. Copyright Registrations

 

None.

 

Non-U.S. Pending Copyright Applications for Registration

 

None.

 

III-4

 

U.S. COPYRIGHTS OWNED BY IKARIA DEVELOPMENT SUBSIDIARY TWO LLC

 

 

U.S. Copyright Registrations

 

None.

 

Pending U.S. Copyright Applications for Registration

 

None.

 

Non-U.S. Copyright Registrations

 

None.

 

Non-U.S. Pending Copyright Applications for Registration

 

None.

 

III-5

 

U.S. COPYRIGHTS OWNED BY INO THERAPEUTICS LLC

 

 

U.S. Copyright Registrations

 

None.

 

Pending U.S. Copyright Applications for Registration

 

None.

 

Non-U.S. Copyright Registrations

 

None.

 

Non-U.S. Pending Copyright Applications for Registration

 

None.

 

III-6

 

U.S. COPYRIGHTS OWNED BY IKARIA ACQUISITION INC.

 

 

U.S. Copyright Registrations

 

None.

 

Pending U.S. Copyright Applications for Registration

 

None.

 

Non-U.S. Copyright Registrations

 

None.

 

Non-U.S. Pending Copyright Applications for Registration

 

None.

 

III-7

 

U.S. COPYRIGHTS OWNED BY IKARIA, INC.

 

 

U.S. Copyright Registrations

 

None.

 

Pending U.S. Copyright Applications for Registration

 

None.

 

Non-U.S. Copyright Registrations

 

None.

 

Non-U.S. Pending Copyright Applications for Registration

 

None.

 

III-8

 

LICENSES

 

I.              Licenses/Sublicenses
of Ikaria Research, Inc. as
Licensor/Sublicensor on Date Hereof

 

A.    Copyrights

 

None

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-9

 

B.    Patents

 

U.S. Patents

 

None.

 

U.S. Patent Applications

 

None.

 

Non-U.S. Patents

 

None.

 

Non-U.S. Patent Applications

 

None.

 

III-10

 

C.    Trademarks

 

U.S. Trademarks

 

None.

 

U.S. Trademark Applications

 

None.

 

Non-U.S. Trademarks

 

None.

 

Non-U.S. Trademark Applications

 

None.

 

III-11

 

D.    Others

 

None.

 

III-12

 

II.             Licenses/Sublicenses
of Ikaria Research, Inc. as
Licensee/Sublicensee on Date Hereof

 

A.    Copyrights

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-13

 

B.  Patents

 

U.S. Patents

 

	
  Licensor
  Name

  and Address

  	
   

  	
  Date of

  License/

  Sublicense

  	
   

  	
  Issue Date

  	
   

  	
  Patent No.

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

U.S. Patent Applications

 

	
  Licensor Name

  and Address

  	
   

  	
  Date of License/

  Sublicense

  	
   

  	
  Date Filed

  	
   

  	
  Application No.

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
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  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

Non-U.S. Patents

 

None.

 

Non-U.S. Patent Applications

 

	
  Country

  	
   

  	
  Licensor Name

  and Address

  	
   

  	
  Date of License/

  Sublicense

  	
   

  	
  Date

  Filed

  	
   

  	
  Application No.

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

III-14

 

	
  Country

  	
   

  	
  Licensor Name

  and Address

  	
   

  	
  Date of License/

  Sublicense

  	
   

  	
  Date

  Filed

  	
   

  	
  Application No.

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

III-15

 

C.  Trademarks

 

U.S. Trademarks

 

None.

 

U.S. Trademark Applications

 

None.

 

Non-U.S. Trademarks

 

None.

 

Non-U.S. Trademark Applications

 

None.

 

III-16

 

D.  Others

 

None.

 

III-17

 

LICENSES

 

I.    Licenses/Sublicenses of INO Therapeutics, LLC as
Licensor/Sublicensor on Date Hereof

 

A.   Copyrights

 

None.

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-18

 

 

B.  Patents

 

U.S. Patents

 

	
  Licensee
  Name

  and Address

  	
   

  	
  Date of License/

  Sublicense

  	
   

  	
  Patent Number

  	
   

  	
  Issue Date

  
	
  [**]

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
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  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

U.S. Patent Applications

 

	
  Licensee
  Name

  	
   

  	
  Date of

  License/Sublicense

  	
   

  	
  Filing Date

  	
   

  	
  Application Number

  
	
  [**]

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
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  [**]

  
	
   

  	
   

  	
   

  	
   

  	
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III-19

 

Non-U.S. Patents

 

	
  Licensee
  Name

  	
   

  	
  Date of 

  License/Sublicense

  	
   

  	
  Country

  	
   

  	
  Non-US Patent 

  Number

  	
   

  	
  Issue Date

  
	
  [**]

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

A total of four pages were
omitted and filed separately with the Securities and Exchange Commission
pursuant to a request for confidential treatment.

 

Non-U.S. Patent Applications

 

	
  Licensee
  Name

  	
   

  	
  Date of 

  License/Sublicense

  	
   

  	
  Country

  	
   

  	
  Non-US 

  Application 

  Number

  	
   

  	
  Filing Date

  
	
  [**]

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

A total of three pages were
omitted and filed separately with the Securities and Exchange Commission
pursuant to a request for confidential treatment.

 

C.  Trademarks

 

U.S. Trademarks

 

	
  Licensee
  Name

  and Address

  	
   

  	
  Date of License/

  Sublicense

  	
   

  	
  U.S. Mark

  	
   

  	
  Reg. Date

  	
   

  	
  Reg. No.

  
	
  AGA AB,

  Agvägen 1, 181 81 Lindingo

  Sweden

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  2,100,392

  	
   

  	
  23.09.1997

  

 

U.S. Trademark Applications

 

None.

 

Non-U.S. Trademarks

 

	
  Licensee
  Name

  and Address

  	
   

  	
  Date of License/

  Sublicense

  	
   

  	
  Country

  	
   

  	
  Non-U.S.

  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  
	
  AGA AB,

  Agvägen 1, 181 

  81 Lindingo 

  Sweden

  	
   

  	
   

  	
   

  	
  Australia

  	
   

  	
  INOVENT

  	
   

  	
  710275

  	
   

  	
  07.06.1996

  
	
   

  	
   

  	
   

  	
   

  	
  Austria

  	
   

  	
  INOVENT

  	
   

  	
  166155

  	
   

  	
  10.09.1996

  
	
   

  	
   

  	
   

  	
   

  	
  Benelux

  	
   

  	
  INOVENT

  	
   

  	
  597358

  	
   

  	
  —

  
	
   

  	
   

  	
   

  	
   

  	
  Canada

  	
   

  	
  INOVENT

  	
   

  	
  TMA602882

  	
   

  	
  20.02.2004

  
	
   

  	
   

  	
   

  	
   

  	
  Czech
  Republic

  	
   

  	
  INOVENT

  	
   

  	
  204847

  	
   

  	
  30.10.1997

  
	
   

  	
   

  	
   

  	
   

  	
  Denmark

  	
   

  	
  INOVENT

  	
   

  	
  1996 4228 VR

  	
   

  	
  12.07.1996

  
	
   

  	
   

  	
   

  	
   

  	
  Finland

  	
   

  	
  INOVENT

  	
   

  	
  205107

  	
   

  	
  14.03.1997

  
	
   

  	
   

  	
   

  	
   

  	
  France

  	
   

  	
  INOVENT

  	
   

  	
  96
  628313

  	
   

  	
  —

  

 

III-20

 

	
  Licensee
  Name

  and Address

  	
   

  	
  Date of License/

  Sublicense

  	
   

  	
  Country

  	
   

  	
  Non-U.S.

  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  
	
   

  	
   

  	
   

  	
   

  	
  Germany

  	
   

  	
  INOVENT

  	
   

  	
  39624872

  	
   

  	
  17.09.1996

  
	
   

  	
   

  	
   

  	
   

  	
  Hungary

  	
   

  	
  INOVENT

  	
   

  	
  149063

  	
   

  	
  10.03.1998

  
	
   

  	
   

  	
   

  	
   

  	
  Ireland

  	
   

  	
  INOVENT

  	
   

  	
  175919

  	
   

  	
  —

  
	
   

  	
   

  	
   

  	
   

  	
  Italy

  	
   

  	
  INOVENT

  	
   

  	
  745601

  	
   

  	
  31.03.1998

  
	
   

  	
   

  	
   

  	
   

  	
  Japan

  	
   

  	
  INOVENT

  	
   

  	
  4071529

  	
   

  	
  17.10.1997

  
	
   

  	
   

  	
   

  	
   

  	
  Latvia

  	
   

  	
  INOVENT

  	
   

  	
  M 40 003

  	
   

  	
  20.03.1998

  
	
   

  	
   

  	
   

  	
   

  	
  Lithuania

  	
   

  	
  INOVENT

  	
   

  	
  32550

  	
   

  	
  08.04.1999

  
	
   

  	
   

  	
   

  	
   

  	
  Mexico

  	
   

  	
  INOVENT

  	
   

  	
  640079

  	
   

  	
  31.01.2000

  
	
   

  	
   

  	
   

  	
   

  	
  Norway

  	
   

  	
  INOVENT

  	
   

  	
  181568

  	
   

  	
  24.04.1997

  
	
   

  	
   

  	
   

  	
   

  	
  Poland

  	
   

  	
  INOVENT

  	
   

  	
  114075

  	
   

  	
  07.10.1999

  
	
   

  	
   

  	
   

  	
   

  	
  Portugal

  	
   

  	
  INOVENT

  	
   

  	
  317613 MNA

  	
   

  	
  05.03.1997

  
	
   

  	
   

  	
   

  	
   

  	
  Spain

  	
   

  	
  INOVENT

  	
   

  	
  2033843M0

  	
   

  	
  16.12.1997

  
	
   

  	
   

  	
   

  	
   

  	
  Switzerland

  	
   

  	
  INOVENT

  	
   

  	
  P 440217

  	
   

  	
  N/A

  
	
   

  	
   

  	
   

  	
   

  	
  United
  Kingdom

  	
   

  	
  INOVENT

  	
   

  	
  2102255

  	
   

  	
  N/A

  

 

Non-U.S. Trademark Applications

 

None.

 

III-21

 

D.  Others

 

None.

 

III-22

 

II.        Licenses/Sublicenses of INO Therapeutics, LLC as Licensee/Sublicensee on Date Hereof

 

A.        Copyrights

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-23

 

 

B.  Patents

 

U.S. Patents

 

	
  Licensor
  Name and 

  Address

  	
   

  	
  Date of 

  License/Sublicense

  	
   

  	
  Patent Number

  	
   

  	
  Date Issued

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
   

  	
   

  	
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  [**]

  	
   

  	
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  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

U.S. Patent Applications

 

	
  Licensor
  Name and 

  Address

  	
   

  	
  Date of 

  License/Sublicense

  	
   

  	
  Application Number

  	
   

  	
  Date Filed

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
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  [**]

  	
   

  	
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  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
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  [**]

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

Non-U.S. Patents

 

	
  Country

  	
   

  	
  Licensor Name

  and Address

  	
   

  	
  Date of License/

  Sublicense

  	
   

  	
  Non-U.S.

  Patent No.

  	
   

  	
  Issue

  Date

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

III-24

 

A total of five pages were
omitted and filed separately with the Securities and Exchange Commission
pursuant to a request for confidential treatment.

 

Non-U.S. Patent Applications

 

	
  Country

  	
   

  	
  Licensor Name

  and Address

  	
   

  	
  Date of License/

  Sublicense

  	
   

  	
  Application No.

  	
   

  	
  Date Filed

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

A total of three pages were
omitted and filed separately with the Securities and Exchange Commission
pursuant to a request for confidential treatment.

 

C.  Trademarks

 

U.S. Trademarks

 

	
  Licensor
  Name

  and Address

  	
   

  	
  Date of License/

  Sublicense

  	
   

  	
  U.S. Mark

  	
   

  	
  Reg. Date

  	
   

  	
  Reg. No.

  
	
  Datex-Ohmeda, Inc.,
  

  3030 Ohmeda Drive, 

  Madison, WI 53707

  	
   

  	
  October 26, 2004

  	
   

  	
  INOVENT

  	
   

  	
  23 Sept 1997

  	
   

  	
  2,100,392

  

 

U.S. Trademark Applications

 

None.

 

Non-U.S. Trademarks

 

	
  Country

  	
   

  	
  Licensor Name

  and Address

  	
   

  	
  Date of License/

  Sublicense

  	
   

  	
  Non-U.S.

  Mark

  	
   

  	
  Reg. Date

  	
   

  	
  Reg. No.

  
	
  Australia

  	
   

  	
  Datex-Ohmeda, Inc.,
  

  3030 Ohmeda Drive,

  Madison, WI 53707

  	
   

  	
  October 26, 2004

  	
   

  	
  INOVENT

  	
   

  	
  710275

  	
   

  	
  07.06.1996

  
	
  Austria

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  166155

  	
   

  	
  10.09.1996

  
	
  Benelux

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  597358

  	
   

  	
  —

  
	
  Canada

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  TMA602882

  	
   

  	
  20.02.2004

  
	
  Czech
  Republic

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  204847

  	
   

  	
  30.10.1997

  
	
  Denmark

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  1996 4228 VR

  	
   

  	
  12.07.1996

  
	
  Finland

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  205107

  	
   

  	
  14.03.1997

  
	
  France

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  96
  628313

  	
   

  	
  —

  
	
  Germany

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  39624872

  	
   

  	
  17.09.1996

  
	
  Hungary

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  149063

  	
   

  	
  10.03.1998

  
	
  Ireland

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  175919

  	
   

  	
  —

  
	
  Italy

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  745601

  	
   

  	
  31.03.1998

  
	
  Japan

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  4071529

  	
   

  	
  17.10.1997

  
	
  Latvia

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  M 40 003

  	
   

  	
  20.03.1998

  
	
  Lithuania

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  32550

  	
   

  	
  08.04.1999

  
	
  Mexico

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  640079

  	
   

  	
  31.01.2000

  

 

III-25

 

	
  Country

  	
   

  	
  Licensor Name

  and Address

  	
   

  	
  Date of License/

  Sublicense

  	
   

  	
  Non-U.S.

  Mark

  	
   

  	
  Reg. Date

  	
   

  	
  Reg. No.

  
	
  Norway

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  181568

  	
   

  	
  24.04.1997

  
	
  Poland

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  114075

  	
   

  	
  07.10.1999

  
	
  Portugal

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  317613 MNA

  	
   

  	
  05.03.1997

  
	
  Spain

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  2033843M0

  	
   

  	
  16.12.1997

  
	
  Switzerland

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  P 440217

  	
   

  	
  N/A

  
	
  United
  Kingdom

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  INOVENT

  	
   

  	
  2102255

  	
   

  	
  N/A

  

 

Non-U.S. Trademark Applications

 

None.

 

III-26

 

D.  Others

 

None.

 

III-27

 

I. Licenses/Sublicenses of
Ikaria Therapeutics LLC as
Licensee/Sublicensee on Date Hereof

 

A.  Copyrights

 

None.

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-28

 

B.  Patents

 

U.S. Patents

 

None.

 

U.S. Patent Applications

 

None.

 

Non-U.S. Patents

 

None.

 

Non-U.S. Patent Applications

 

None.

 

III-29

 

C.  Trademarks

 

U.S. Trademarks

 

Lucassin®.

 

U.S. Trademark Applications

 

None.

Non-U.S. Trademarks

 

Lucassin® rights in Australia, Canada and Mexico.

Non-U.S. Trademark Applications

 

None.

 

III-30

 

 

I.  Licenses/Sublicenses of Ikaria International, Inc. as Licensee/Sublicensee on
Date Hereof

 

A.  Copyrights

 

None

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-31

 

B.  Patents

 

U.S. Patents

 

None.

 

U.S. Patent Applications

 

None.

 

Non-U.S. Patents

 

None.

 

Non-U.S. Patent Applications

 

None.

 

III-32

 

C.  Trademarks

 

U.S. Trademarks

 

None.

U.S. Trademark Applications

 

None.

Non-U.S. Trademarks

 

None.

Non-U.S. Trademark Applications

 

None.

 

III-33

 

I. Licenses/Sublicenses of Ikaria Development Subsidiary One LLC as
Licensor/Sublicensor on Date Hereof

 

A.  Copyrights

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-34

 

B.  Patents

 

U.S. Patents/Patent applications

 

None.

 

Non-U.S. Patents/Patent applications

 

None.

 

III-35

 

C.  Trademarks

 

U.S. Trademarks

 

None.

 

Non-U.S. Trademarkss

 

None.

 

III-36

 

II. Licenses/Sublicenses of Ikaria Development
Subsidiary One LLC as Licensee/Sublicensee on Date Hereof

 

A.  Copyrights

 

None

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-37

 

B.  Patents

 

U.S. Patents/ Patent Applications

 

	
  [**]

  	
   

  	
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  [**]

  	
   

  	
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  [**]

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

Non-U.S. Patents/Patent applications

 

	
  Title

  	
   

  	
  Filing Date

  	
   

  	
  Type

  	
   

  	
  Number

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
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  [**]

  	
   

  	
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  [**]

  	
   

  	
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  [**]

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

III-38

 

C.  Trademarks

 

U.S. Trademarks

 

None.

U.S. Trademark Applications

 

None.

Non-U.S. Trademarks

 

None.

Non-U.S. Trademark Applications

 

None.

 

III-39

 

I. Licenses/Sublicenses of Ikaria Development Subsidiary Two LLC as
Licensor/Sublicensor on Date Hereof

 

A.  Copyrights

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-40

 

B.  Patents

 

U.S. Patents/Patent applications

 

None.

 

Non U.S. Patents/Patent applications

 

None.

 

III-41

 

II. Licenses/Sublicenses
of Ikaria Development Subsidiary Two LLC
as Licensee/Sublicensee on Date Hereof

 

A.  Copyrights

 

None

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-42

 

B.  Patents

 

U.S. Patents/Patent Applications

 

 

	
  In-licensed
  from Fibrex

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Title

  	
   

  	
  Filing Date

  	
   

  	
  Type

  	
   

  	
  Number

  
	
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  [**]

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

Non-U.S. Patents/Patent applications

 

	
  In-licensed
  from Fibrex

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Title

  	
   

  	
  Filing Date

  	
   

  	
  Type

  	
   

  	
  Number

  
	
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  [**]

  	
   

  	
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III-43

 

C.  Trademarks

 

U.S. Trademarks

 

None.

U.S. Trademark Applications

 

None.

Non-U.S. Trademarks

 

None.

Non-U.S. Trademark Applications

 

None.

 

III-44

 

I.                               Licenses/Sublicenses
of Ikaria, Inc. as
Licensor/Sublicensor on Date Hereof

 

A.  Copyrights

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-45

 

B.  Patents

 

U.S. Patents

 

None.

 

U.S. Patent Applications

 

None.

 

Non-U.S. Patents

 

None.

 

Non-U.S. Patent Applications

 

None.

 

III-46

 

C.  Trademarks

 

U.S. Trademarks

 

None.

 

U.S. Trademark Applications

 

None.

 

Non-U.S. Trademarks

 

None.

 

Non-U.S. Trademark Applications

 

None.

 

III-47

 

D.  Others

 

None.

 

III-48

 

II.  Licenses/Sublicenses
of Ikaria, Inc. as
Licensee/Sublicensee on Date Hereof

 

A.  Copyrights

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-49

 

B.  Patents

 

U.S. Patents

 

None.

 

U.S. Patent Applications

 

None.

 

Non-U.S. Patents

 

None.

 

Non-U.S. Patent Applications

 

None.

 

III-50

 

C.  Trademarks

 

U.S. Trademarks

 

None.

 

U.S. Trademark Applications

 

None.

 

Non-U.S. Trademarks

 

None.

 

Non-U.S. Trademark Applications

 

None.

 

III-51

 

D.  Others

 

None.

 

III-52

 

I.              Licenses/Sublicenses of Ikaria Acquisition Inc. as Licensor/Sublicensor on Date Hereof

 

A.  Copyrights

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-53

 

U.S. Patents

 

None.

 

U.S. Patent Applications

 

None.

 

Non-U.S. Patents

 

None.

 

Non-U.S. Patent Applications

 

None.

 

III-54

 

C.  Trademarks

 

U.S. Trademarks

 

None.

 

U.S. Trademark Applications

 

None.

 

Non-U.S. Trademarks

 

None.

 

Non-U.S. Trademark Applications

 

None.

 

III-55

 

D.  Others

 

None.

 

III-56

 

II.  Licenses/Sublicenses of Ikaria Acquisition Inc. as Licensee/Sublicensee on Date Hereof

 

A.  Copyrights

 

U.S. Copyrights

 

None.

 

Non-U.S. Copyrights

 

None.

 

III-57

 

B.  Patents

 

U.S. Patents

 

None.

 

U.S. Patent Applications

 

None.

 

Non-U.S. Patents

 

None.

 

Non-U.S. Patent Applications

 

None.

 

III-58

 

C.  Trademarks

 

U.S. Trademarks

 

None.

 

U.S. Trademark Applications

 

None.

 

Non-U.S. Trademarks

 

None.

 

Non-U.S. Trademark Applications

 

None.

 

III-59

 

D.  Others

 

None.

 

III-60

 

PATENTS OWNED BY IKARIA RESEARCH, INC.

 

U.S. Patents

 

	
  Title

  	
   

  	
  Filing Date

  	
   

  	
  Type

  	
   

  	
  Number

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
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  [**]

  	
   

  	
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  [**]

  	
   

  	
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III-61

 

U.S. Patent Applications

 

	
  Patent
  Application No.

  	
   

  	
  Filing Date

  
	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  

 

Non-U.S. Patents

 

None.

 

Non-U.S. Patent Applications

 

None.

 

III-62

 

TRADEMARK/TRADE NAMES OWNED BY IKARIA RESEARCH, INC.

 

U.S. Trademark Registrations

 

None.

 

U.S. Trademark Applications

 

	
  Mark

  	
   

  	
  Filing Date

  	
   

  	
  Application No.

  
	
  IKARIA

  	
   

  	
  22
  April 2005

  	
   

  	
  78/614,854

  
	
  IKARIA &
  design

  	
   

  	
  01
  February 2006

  	
   

  	
  78/804,293

  

 

State Trademark Registrations

 

None.

 

Non-U.S. Trademark Registrations

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Reg. Date

  	
   

  	
  Reg. No.

  
	
  Europe

  	
   

  	
  IKARIA

  	
   

  	
  0
  September 2006

  	
   

  	
  004664652

  

 

Non-U.S. Trademark Applications

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Application Date

  	
   

  	
  Application No.

  
	
  Europe

  	
   

  	
  IKARIA &
  design

  	
   

  	
  26
  July 2006

  	
   

  	
  005221593

  

 

Trade Names

 

None.

 

III-63

 

PATENTS OWNED BY INO THERAPEUTICS, LLC

 

U.S. Patents

 

	
  Patent
  No.

  	
   

  	
  Issue Date

  
	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
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  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  

 

U.S. Patent Applications

 

	
  Patent
  Application No.

  	
   

  	
  Filing Date

  
	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
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  [**]

  	
   

  	
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  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  

 

Non-U.S. Patents

 

	
  Country

  	
   

  	
  Patent No.

  	
   

  	
  Issue Date

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
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  [**]

  	
   

  	
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III-64

 

	
  Country

  	
   

  	
  Patent No.

  	
   

  	
  Issue Date

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
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  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

Non-U.S. Patent Applications

 

	
  Country

  	
   

  	
  Patent Application No.

  	
   

  	
  Filing Date

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
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  [**]

  	
   

  	
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  [**]

  	
   

  	
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  [**]

  	
   

  	
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  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

III-65

 

	
  Country

  	
   

  	
  Patent Application No.

  	
   

  	
  Filing Date

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
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  [**]

  	
   

  	
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  [**]

  	
   

  	
  [**]

  
	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

III-66

 

TRADEMARK/TRADE NAMES OWNED BY INO THERAPEUTICS, LLC

 

U.S. Trademark Registrations

 

	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  	
   

  
	
  INOCAL

  	
   

  	
  2,109,970

  	
   

  	
  28.10.1997

  	
   

  
	
  INOMAX

  	
   

  	
  2,185,947

  	
   

  	
  01.09.1998

  	
   

  
	
  INOPULSE(1)

  	
   

  	
  2,532,358

  	
   

  	
  21.01.2002

  	
   

  
	
  INOTHERAPY

  	
   

  	
  2,678,500

  	
   

  	
  21.01.2003

  	
   

  

 

U.S. Trademark Applications

 

	
  Mark

  	
   

  	
  Application No.

  	
   

  	
  Filing Date

  	
   

  
	
  COVOX

  	
   

  	
  78/863,912

  	
   

  	
  18.04.2006

  	
   

  
	
  INOMETER

  	
   

  	
  78/959,255

  	
   

  	
  24.08.2006

  	
   

  

 

State Trademark Registrations

 

None.

 

Non-U.S. Trademark Registrations

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  
	
  Argentina

  	
   

  	
  I-N-O

  	
   

  	
  1632662

  	
   

  	
  06.12.2007

  
	
  Argentina

  	
   

  	
  INOCAL

  	
   

  	
  1647527

  	
   

  	
  12.10.2007

  
	
  Argentina

  	
   

  	
  INOMAX

  	
   

  	
  1802805

  	
   

  	
  22.08.2000

  
	
  Argentina

  	
   

  	
  INOTHERAPY

  	
   

  	
  1808889

  	
   

  	
  31 10.2000

  
	
  Argentina

  	
   

  	
  INOTHERAPY

  	
   

  	
  1808890

  	
   

  	
  31.10.2000

  
	
  Argentina

  	
   

  	
  INOTHERAPY

  	
   

  	
  1810044

  	
   

  	
  09.11.2000

  
	
  Argentina

  	
   

  	
  INOTHERAPY

  	
   

  	
  1810045

  	
   

  	
  09.11.2000

  
	
  Argentina

  	
   

  	
  INOREG

  	
   

  	
  1811959

  	
   

  	
  05.12 2000

  
	
  Argentina

  	
   

  	
  INOREG

  	
   

  	
  1811960

  	
   

  	
  05 12.2000

  
	
  Argentina

  	
   

  	
  INOFLO

  	
   

  	
  2052090

  	
   

  	
  07.11.2005

  
	
  Australia

  	
   

  	
  I-N-O

  	
   

  	
  649377

  	
   

  	
  22.12.1994

  
	
  Australia

  	
   

  	
  INOCAL

  	
   

  	
  710276

  	
   

  	
  07.06.1996

  
	
  Australia

  	
   

  	
  INOMAX

  	
   

  	
  788810

  	
   

  	
  22.03.1999

  
	
  Australia

  	
   

  	
  INOblender

  	
   

  	
  1133965

  	
   

  	
  04.04.2006

  
	
  Australia

  	
   

  	
  INOMAX

  	
   

  	
  1134019

  	
   

  	
  04.04.2006

  
	
  Australia

  	
   

  	
  INOMAX

  	
   

  	
  2158935

  	
   

  	
  17.05.2007

  
	
  Australia

  	
   

  	
  INOblender

  	
   

  	
  2163772

  	
   

  	
  12.06.2007

  
	
  Bolivia

  	
   

  	
  INOMAX

  	
   

  	
  105147-C

  	
   

  	
  29.08.2006

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  79013-C

  	
   

  	
  06.06.2000

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  79014-C

  	
   

  	
  06.06.2000

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  79015-C

  	
   

  	
  06.06.2000

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  79016-C

  	
   

  	
  06.06.2000

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  79017-C

  	
   

  	
  06.06.2000

  

 

(1) This
trademark has been assigned to INO Therapeutics, LLC and recording of such
assignment is currently in progress in trademark offices.

 

III-67

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  79018-C

  	
   

  	
  06.06.2000

  
	
  Bolivia

  	
   

  	
  INOREG

  	
   

  	
  79019-C

  	
   

  	
  06.06.2000

  
	
  Bolivia

  	
   

  	
  INOREG

  	
   

  	
  79020-C

  	
   

  	
  06.06.2000

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  80368-C

  	
   

  	
  01.08.2000

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  80414-C

  	
   

  	
  01.08.2000

  
	
  Bolivia

  	
   

  	
  INOMAX

  	
   

  	
  105897-C

  	
   

  	
  09.10.2006

  
	
  Bolivia

  	
   

  	
  INOblender

  	
   

  	
  106623-C

  	
   

  	
  27.11.2006

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  200034340

  	
   

  	
  11.03.2003

  
	
  Brazil

  	
   

  	
  I-N-O

  	
   

  	
  818924136

  	
   

  	
  23.06.1998

  
	
  Brazil

  	
   

  	
  INOCAL

  	
   

  	
  819273074

  	
   

  	
  23.02.1999

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  821729187

  	
   

  	
  11.02.2003

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  821729195

  	
   

  	
  11.03.2003

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  821729217

  	
   

  	
  11.03.2003

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  821729225

  	
   

  	
  11.03.2003

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  821729233

  	
   

  	
  11.03.2003

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  821729241

  	
   

  	
  11.03.2003

  
	
  Brazil

  	
   

  	
  INOREG

  	
   

  	
  821729267

  	
   

  	
  11.03.2003

  
	
  Brazil

  	
   

  	
  INOREG

  	
   

  	
  821729268

  	
   

  	
  11.03.2003

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  827129209

  	
   

  	
  11.02.2003

  
	
  Brazil

  	
   

  	
  INOMAX

  	
   

  	
  821749005

  	
   

  	
  27.01.2009

  
	
  Brazil

  	
   

  	
  INOMAX

  	
   

  	
  828279225

  	
   

  	
  06.05.2008

  
	
  Brazil

  	
   

  	
  INOblender

  	
   

  	
  828287090

  	
   

  	
  06.05.2008

  
	
  Canada

  	
   

  	
  INOTHERAPY

  	
   

  	
  TMA643009

  	
   

  	
  27.06.2005

  
	
  Canada

  	
   

  	
  INOFLO

  	
   

  	
  TMA562856

  	
   

  	
  30.05.2002

  
	
  Canada

  	
   

  	
  INOCAL

  	
   

  	
  TMA576744

  	
   

  	
  28.02.2003

  
	
  Canada

  	
   

  	
  I-N-O

  	
   

  	
  TMA576774

  	
   

  	
  03.03.2003

  
	
  Canada

  	
   

  	
  INOMAX

  	
   

  	
  TMA621362

  	
   

  	
  01.10.2004

  
	
  Canada

  	
   

  	
  INOMAX

  	
   

  	
  TMA738008

  	
   

  	
  15.04.2009

  
	
  Chile

  	
   

  	
  INOTHERAPY

  	
   

  	
  553693

  	
   

  	
  22.11.1999

  
	
  Chile

  	
   

  	
  INOREG

  	
   

  	
  553695

  	
   

  	
  22.11.1999

  
	
  Chile

  	
   

  	
  INOTHERAPY

  	
   

  	
  559397

  	
   

  	
  24.01.2000

  
	
  Chile

  	
   

  	
  INOCAL

  	
   

  	
  571580

  	
   

  	
  11.07.2000

  
	
  Chile

  	
   

  	
  INOMAX

  	
   

  	
  598407

  	
   

  	
  27.06.2001

  
	
  Chile

  	
   

  	
  INOMAX

  	
   

  	
  762143

  	
   

  	
  10.07.2006

  
	
  Chile

  	
   

  	
  INOblender

  	
   

  	
  764847

  	
   

  	
  14.08.2006

  
	
  China

  	
   

  	
  INOblender

  	
   

  	
  IR892785

  	
   

  	
  04.04.2006

  
	
  China

  	
   

  	
  INOMAX

  	
   

  	
  IR893015

  	
   

  	
  04.04.2006

  
	
  China

  	
   

  	
  INOMAX

  	
   

  	
  928657

  	
   

  	
  14.01.1997

  
	
  China

  	
   

  	
  l-N-O

  	
   

  	
  928660

  	
   

  	
  14.01.1997

  
	
  China

  	
   

  	
  INOCAL

  	
   

  	
  1099385

  	
   

  	
  14.09.1997

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1459228

  	
   

  	
  14.10.2000

  
	
  China

  	
   

  	
  INOREG

  	
   

  	
  1459243

  	
   

  	
  14.10.2000

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1459493

  	
   

  	
  14.10.2000

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1459508

  	
   

  	
  14.10.2000

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1462541

  	
   

  	
  21.10.2000

  
	
  China

  	
   

  	
  INOREG

  	
   

  	
  1462542

  	
   

  	
  21.10.2000

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1464135

  	
   

  	
  28.10.2000

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1467378

  	
   

  	
  28.10.2000

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1507781

  	
   

  	
  14.01.2001

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  2024212

  	
   

  	
  07.10.2002

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  224751

  	
   

  	
  10.03.2000

  

 

III-68

 

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  225903

  	
   

  	
  13.04.2000

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  225942

  	
   

  	
  13.04.2000

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  225943

  	
   

  	
  13.04.2000

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  225944

  	
   

  	
  13.04.2000

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  225945

  	
   

  	
  13.04.2000

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  225946

  	
   

  	
  13.04.2000

  
	
  Colombia

  	
   

  	
  INOREG

  	
   

  	
  226006

  	
   

  	
  13.04.2000

  
	
  Colombia

  	
   

  	
  INOREG

  	
   

  	
  226007

  	
   

  	
  13.04.2000

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  226043

  	
   

  	
  13.04.2000

  
	
  Colombia

  	
   

  	
  INOFLO

  	
   

  	
  226044

  	
   

  	
  13.04.2000

  
	
  Colombia

  	
   

  	
  INOFLO

  	
   

  	
  226864

  	
   

  	
  19.05.2000

  
	
  Colombia

  	
   

  	
  I-N-O

  	
   

  	
  300687

  	
   

  	
  04.08.2005

  
	
  Colombia

  	
   

  	
  INOCAL

  	
   

  	
  302673

  	
   

  	
  16.08.2005

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  2170-00

  	
   

  	
  29.09.2000

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  2171-00

  	
   

  	
  29.09.2000

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  2172-00

  	
   

  	
  29.09.2000

  
	
  Ecuador

  	
   

  	
  I-N-O

  	
   

  	
  2520-97

  	
   

  	
  04.09.1997

  
	
  Ecuador

  	
   

  	
  INOMAX

  	
   

  	
  4735-00

  	
   

  	
  26.07.2000

  
	
  Ecuador

  	
   

  	
  INOCAL

  	
   

  	
  4941-97

  	
   

  	
  10.12.1997

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  7253-00

  	
   

  	
  17.10.2000

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  7254-00

  	
   

  	
  17.10.2000

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  7255-00

  	
   

  	
  17.10.2000

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  7256-00

  	
   

  	
  17.09.2000

  
	
  Ecuador

  	
   

  	
  INOREG

  	
   

  	
  7260-00

  	
   

  	
  17.10.2000

  
	
  Ecuador

  	
   

  	
  INOREG

  	
   

  	
  7261-00

  	
   

  	
  17.10.2000

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  7768-00

  	
   

  	
  16.11.2000

  
	
  Ecuador

  	
   

  	
  INOblender

  	
   

  	
  2181-07

  	
   

  	
  25.06.2007

  
	
  Ecuador

  	
   

  	
  INOFLO

  	
   

  	
  7257-00

  	
   

  	
  17.10.2000

  
	
  Ecuador

  	
   

  	
  INOFLO

  	
   

  	
  7258-00

  	
   

  	
  17.10.2000

  
	
  Ecuador

  	
   

  	
  INOMAX

  	
   

  	
  1604-07

  	
   

  	
  06.12.2007

  
	
  European
  Community

  	
   

  	
  INOPULSE

  	
   

  	
  2253482

  	
   

  	
  18.07.2002

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  20004712

  	
   

  	
  05.06.2006

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  20004713

  	
   

  	
  05.06.2006

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  20004714

  	
   

  	
  05.06.1999

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  200101402

  	
   

  	
  05.06.1999

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  200101483

  	
   

  	
  05.06.1999

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  200106471

  	
   

  	
  05.06.1999

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  200106472

  	
   

  	
  05.06.1999

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  20015749

  	
   

  	
  05.06.1999

  
	
  Hong
  Kong

  	
   

  	
  INOCAL

  	
   

  	
  2985/1998

  	
   

  	
  11.06.1996

  
	
  Hong
  Kong

  	
   

  	
  INOMAX

  	
   

  	
  300601893

  	
   

  	
  17.03.2006

  
	
  Hong
  Kong

  	
   

  	
  INOblender

  	
   

  	
  300619975

  	
   

  	
  13.04.2006

  
	
  Hong
  Kong

  	
   

  	
  INOMAX

  	
   

  	
  3618/2000

  	
   

  	
  23.03.1999

  
	
  India

  	
   

  	
  INOTHERAPY

  	
   

  	
  310288

  	
   

  	
  17.01.2005

  
	
  India

  	
   

  	
  INOREG

  	
   

  	
  860249

  	
   

  	
  09.06.1999

  
	
  India

  	
   

  	
  INOTHERAPY

  	
   

  	
  860252

  	
   

  	
  26.04.2005

  
	
  India

  	
   

  	
  INOTHERAPY

  	
   

  	
  860253

  	
   

  	
  13.06.2003

  
	
  India

  	
   

  	
  INOTHERAPY

  	
   

  	
  860254

  	
   

  	
  27.06.2006

  
	
  India

  	
   

  	
  INOTHERAPY

  	
   

  	
  860255

  	
   

  	
  22
  01.2005

  
	
  India

  	
   

  	
  INOREG

  	
   

  	
  860258

  	
   

  	
  09.06.1999

  
	
  India

  	
   

  	
  I-N-O

  	
   

  	
  658085

  	
   

  	
  09.03.1995

  

 

III-69

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  
	
  India

  	
   

  	
  INOMAX

  	
   

  	
  1433164

  	
   

  	
  15.03.2006

  
	
  Indonesia

  	
   

  	
  I-N-O

  	
   

  	
  356278

  	
   

  	
  23.03.1995

  
	
  Indonesia

  	
   

  	
  INOMAX

  	
   

  	
  356279

  	
   

  	
  23.03.1995

  
	
  Indonesia

  	
   

  	
  INOREG

  	
   

  	
  459267

  	
   

  	
  16.07.1999

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  459270

  	
   

  	
  16.07.1999

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  460301

  	
   

  	
  16.07.1999

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  460302

  	
   

  	
  16.07.1999

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  460303

  	
   

  	
  16.07.1999

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  460304

  	
   

  	
  16.07.1999

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  460305

  	
   

  	
  16.07.1999

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  460600

  	
   

  	
  16.07.1999

  
	
  Indonesia

  	
   

  	
  INOREG

  	
   

  	
  463975

  	
   

  	
  15.10.1999

  
	
  Japan

  	
   

  	
  INOblender

  	
   

  	
  892785

  	
   

  	
  14.12.2007

  
	
  Japan

  	
   

  	
  INOMAX

  	
   

  	
  893015

  	
   

  	
  29.02.2008

  
	
  Japan

  	
   

  	
  INOMAX

  	
   

  	
  4359499

  	
   

  	
  04.02.2000

  
	
  Japan

  	
   

  	
  INOREG

  	
   

  	
  4456726

  	
   

  	
  02.03.2001

  
	
  Japan

  	
   

  	
  INOTHERAPY

  	
   

  	
  4478969

  	
   

  	
  01.06.2001

  
	
  Japan

  	
   

  	
  INOMETER

  	
   

  	
  4710141

  	
   

  	
  12.09.2003

  
	
  Japan

  	
   

  	
  INOTHERAPY

  	
   

  	
  4765385

  	
   

  	
  16.04.2004

  
	
  Japan

  	
   

  	
  INOCAL

  	
   

  	
  4768539

  	
   

  	
  30.04.2004

  
	
  Japan

  	
   

  	
  INOMAX

  	
   

  	
  4783465

  	
   

  	
  02.07.2004

  
	
  Malaysia

  	
   

  	
  INOTHERAPY

  	
   

  	
  99005105

  	
   

  	
  14.06.1999

  
	
  Malaysia

  	
   

  	
  INOTHERAPY

  	
   

  	
  99005109

  	
   

  	
  14.06.1999

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  620493

  	
   

  	
  22.06.1999

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  622106

  	
   

  	
  22.06.1999

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  622107

  	
   

  	
  22.06.1999

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  622109

  	
   

  	
  22.06.1999

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  622110

  	
   

  	
  06.06.1999

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  624904

  	
   

  	
  22.06.1999

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  647546

  	
   

  	
  22.06.1999

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  656311

  	
   

  	
  22.06.1999

  
	
  Mexico

  	
   

  	
  INOMAX

  	
   

  	
  660113

  	
   

  	
  26.06.2000

  
	
  Mexico

  	
   

  	
  INOMETER

  	
   

  	
  824044

  	
   

  	
  07.01.2004

  
	
  Mexico

  	
   

  	
  INOMETER

  	
   

  	
  824496

  	
   

  	
  07.01.2004

  
	
  Mexico

  	
   

  	
  INOMETER

  	
   

  	
  825844

  	
   

  	
  07.01.2004

  
	
  Mexico

  	
   

  	
  INOMAX

  	
   

  	
  929889

  	
   

  	
  14.03.2006

  
	
  Mexico

  	
   

  	
  INOCAL

  	
   

  	
  980431

  	
   

  	
  21.07.2006

  
	
  Mexico

  	
   

  	
  INOblender

  	
   

  	
  932936

  	
   

  	
  17.04.2006

  
	
  New
  Zealand

  	
   

  	
  I-N-O

  	
   

  	
  244337

  	
   

  	
  24.01.1997

  
	
  New
  Zealand

  	
   

  	
  INOCAL

  	
   

  	
  263005

  	
   

  	
  21.07.1997

  
	
  New
  Zealand

  	
   

  	
  INOREG

  	
   

  	
  310700

  	
   

  	
  07.12.2000

  
	
  New
  Zealand

  	
   

  	
  INOREG

  	
   

  	
  310701

  	
   

  	
  07.12.2000

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310704

  	
   

  	
  07.12.2000

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310705

  	
   

  	
  07.12.2000

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310706

  	
   

  	
  07.12.2000

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310707

  	
   

  	
  07.12.2000

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310708

  	
   

  	
  07.12.2000

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310709

  	
   

  	
  07.12.2000

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310710

  	
   

  	
  07.12.2000

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310711

  	
   

  	
  07.12.2000

  
	
  New
  Zealand

  	
   

  	
  INOMAX

  	
   

  	
  744310

  	
   

  	
  14.09.2006

  

 

III-70

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  
	
  New
  Zealand

  	
   

  	
  INOblender

  	
   

  	
  746071

  	
   

  	
  12.07.2007

  
	
  Pakistan

  	
   

  	
  INOTHERAPY

  	
   

  	
  155651

  	
   

  	
  10.06.2006

  
	
  Pakistan

  	
   

  	
  INOTHERAPY

  	
   

  	
  155653

  	
   

  	
  06.10.1999.

  
	
  Pakistan

  	
   

  	
  INOTHERAPY

  	
   

  	
  155909

  	
   

  	
  25.06.1999

  
	
  Pakistan

  	
   

  	
  INOCAL

  	
   

  	
  167271

  	
   

  	
  24.10.2000

  
	
  Pakistan

  	
   

  	
  INOTHERAPY

  	
   

  	
  155656

  	
   

  	
  10.06.2006

  
	
  Pakistan

  	
   

  	
  INOTHERAPY

  	
   

  	
  155648

  	
   

  	
  10.06.2006

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Pakistan

  	
   

  	
  I-N-O

  	
   

  	
  167274

  	
   

  	
  24.10.2000

  
	
  Pakistan

  	
   

  	
  INOMAX

  	
   

  	
  153912

  	
   

  	
  24.03.1999

  
	
  Pakistan

  	
   

  	
  INOTHERAPY

  	
   

  	
  155654

  	
   

  	
  06.10.1999

  
	
  Pakistan

  	
   

  	
  INOMAX

  	
   

  	
  219440

  	
   

  	
  03.10.2006

  
	
  Pakistan

  	
   

  	
  INOblender

  	
   

  	
  220555

  	
   

  	
  04.07.2006

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Philippines

  	
   

  	
  I-N-O

  	
   

  	
  4-1995-099402

  	
   

  	
  30.07.2005

  
	
  Philippines

  	
   

  	
  INOMAX

  	
   

  	
  4-2006-003069

  	
   

  	
  13.11.2006

  
	
  Philippines

  	
   

  	
  INOMAX

  	
   

  	
  4-2009-500140

  	
   

  	
  08.09.2009

  
	
  Philippines

  	
   

  	
  INOMAX

  	
   

  	
  4-2006-002837

  	
   

  	
  30.04.2007

  
	
  Philippines

  	
   

  	
  INOREG

  	
   

  	
  4-2002-007548

  	
   

  	
  20.03.2005

  
	
  Singapore

  	
   

  	
  INOblender

  	
   

  	
  T06/18659C

  	
   

  	
  04.04.2006

  
	
  Singapore

  	
   

  	
  INOMAX

  	
   

  	
  T06/18715H

  	
   

  	
  04.04.2006

  
	
  Singapore

  	
   

  	
  INOCAL

  	
   

  	
  T96/05650C

  	
   

  	
  05.06.1996

  
	
  Singapore

  	
   

  	
  INOMAX

  	
   

  	
  T99/02879I

  	
   

  	
  23.03.1999

  
	
  Singapore

  	
   

  	
  INOMAX

  	
   

  	
  T06/18716F

  	
   

  	
  04.04.2006

  
	
  Singapore

  	
   

  	
  INOMAX

  	
   

  	
  T06/18717D

  	
   

  	
  04.04.2006

  
	
  Singapore

  	
   

  	
  INOblender

  	
   

  	
  T06/18657G

  	
   

  	
  04.04.2006

  
	
  Singapore

  	
   

  	
  INOblender

  	
   

  	
  T06/18658E

  	
   

  	
  04.04.2006

  
	
  Singapore

  	
   

  	
  INOTHERAPY

  	
   

  	
  T99/06031 E

  	
   

  	
  14.06.1999

  
	
  Singapore

  	
   

  	
  INOTHERAPY

  	
   

  	
  T99/06033A

  	
   

  	
  14.06.1999

  
	
  South
  Africa

  	
   

  	
  INOMAX

  	
   

  	
  1999/04450

  	
   

  	
  19.03.1999

  
	
  South
  Africa

  	
   

  	
  INOTHERAPY

  	
   

  	
  1999/11875

  	
   

  	
  09.09.2002

  
	
  South
  Africa

  	
   

  	
  INOTHERAPY

  	
   

  	
  1999/11877

  	
   

  	
  09.09.2002

  
	
  South
  Africa

  	
   

  	
  INOCAL

  	
   

  	
  96/07267

  	
   

  	
  03.06.1996

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  131154

  	
   

  	
  16.10.2000

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  137325

  	
   

  	
  01.02.2001

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  137557

  	
   

  	
  01.02.2001

  
	
  Taiwan

  	
   

  	
  INOMAX

  	
   

  	
  713867

  	
   

  	
  16.04.1996

  
	
  Taiwan

  	
   

  	
  INOCAL

  	
   

  	
  766655

  	
   

  	
  16.07.1997

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  890901

  	
   

  	
  01.05.2000

  
	
  Taiwan

  	
   

  	
  INOREG

  	
   

  	
  907827

  	
   

  	
  01.10.2000

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  907828

  	
   

  	
  01.10.2000

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  908744

  	
   

  	
  16.10.2000

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  910823

  	
   

  	
  01.11.2000

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  922174

  	
   

  	
  01.01.2001

  
	
  Taiwan

  	
   

  	
  INOREG

  	
   

  	
  932820

  	
   

  	
  01.03.2001

  
	
  Taiwan

  	
   

  	
  INOMAX

  	
   

  	
  1234266

  	
   

  	
  01.11.2006

  
	
  Taiwan

  	
   

  	
  INOblender

  	
   

  	
  1248877

  	
   

  	
  01.02.2007

  
	
  Thailand

  	
   

  	
  INOTHERAPY

  	
   

  	
  TM121076

  	
   

  	
  08.07.1999

  
	
  Thailand

  	
   

  	
  INOTHERAPY

  	
   

  	
  TM124636

  	
   

  	
  08.07.1999

  
	
  Thailand

  	
   

  	
  INOblender

  	
   

  	
  TM251215

  	
   

  	
  12.04.2006

  
	
  Thailand

  	
   

  	
  INOMAX

  	
   

  	
  TM40666

  	
   

  	
  04.04.1995

  

 

III-71

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  
	
  Thailand

  	
   

  	
  INOCAL

  	
   

  	
  TM59569

  	
   

  	
  11.07.1996

  
	
  Thailand

  	
   

  	
  INOMAX

  	
   

  	
  TM254899

  	
   

  	
  04.04.1995

  
	
  Uruguay

  	
   

  	
  I-N-O

  	
   

  	
  381.551

  	
   

  	
  04.08.2007

  
	
  Uruguay

  	
   

  	
  INOblender

  	
   

  	
  370.252

  	
   

  	
  16.05.2007

  
	
  Uruguay

  	
   

  	
  INOMAX

  	
   

  	
  369.364

  	
   

  	
  28.03.2007

  
	
  Uruguay

  	
   

  	
  INOCAL

  	
   

  	
  392.509

  	
   

  	
  05.06.2008

  
	
  Uruguay

  	
   

  	
  INOMAX

  	
   

  	
  312.214

  	
   

  	
  26.11.2001

  
	
  Uruguay

  	
   

  	
  INOREG

  	
   

  	
  314.479

  	
   

  	
  01.08.2000

  
	
  Uruguay

  	
   

  	
  INOTHERAPY

  	
   

  	
  314.481

  	
   

  	
  01.08.2000

  
	
  Venezuela

  	
   

  	
  I-N-O

  	
   

  	
  197278-P

  	
   

  	
  09.05.1997

  
	
  Venezuela

  	
   

  	
  INOCAL

  	
   

  	
  8395/96

  	
   

  	
  23.01.1998

  
	
  Venezuela

  	
   

  	
  INOREG

  	
   

  	
  P-222131

  	
   

  	
  07.07.2000

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  P-222134

  	
   

  	
  07.07.2000

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  P-222135

  	
   

  	
  07.07.2000

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  P-222136

  	
   

  	
  07.07.2000

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  P-222137

  	
   

  	
  07.07.2000

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  P-227171

  	
   

  	
  28.09.2000

  
	
  Venezuela

  	
   

  	
  INOREG

  	
   

  	
  P-245654

  	
   

  	
  22.11.2000

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  S-13330

  	
   

  	
  07.07.2000

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  S-13331

  	
   

  	
  07.07.2000

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  S-13332

  	
   

  	
  07.07.2000

  
	
  Venezuela

  	
   

  	
  INOMAX

  	
   

  	
  P275561

  	
   

  	
  30.11.2006

  
	
  Venezuela

  	
   

  	
  INOblender

  	
   

  	
  P282088

  	
   

  	
  24.10.2007

  

 

Non-U.S. Trademark Applications

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Application No.

  	
   

  	
  Application Date

  
	
  Canada

  	
   

  	
  INOblender

  	
   

  	
  1296888

  	
   

  	
  06.04.2006

  
	
  India

  	
   

  	
  INOblender

  	
   

  	
  1447168

  	
   

  	
  12.04.2006

  
	
  Malaysia

  	
   

  	
  I-N-O

  	
   

  	
  95/03799

  	
   

  	
  24.04.1995

  
	
  Malaysia

  	
   

  	
  INOTHERAPY

  	
   

  	
  99/05110

  	
   

  	
  14.06.1999

  
	
  Malaysia

  	
   

  	
  INOMAX

  	
   

  	
  2006/04524

  	
   

  	
  22.03.2006

  
	
  Malaysia

  	
   

  	
  INOblender

  	
   

  	
  2006/06346

  	
   

  	
  19.04.2006

  
	
  Philippines

  	
   

  	
  INOCAL

  	
   

  	
  4-2004-07800

  	
   

  	
  24.08.2004

  
	
  Philippines

  	
   

  	
  INOTHERAPY

  	
   

  	
  4-2006-003070

  	
   

  	
  17.03.2006

  
	
  Philippines

  	
   

  	
  INOblender

  	
   

  	
  4-2006-003882

  	
   

  	
  07.04.2006

  
	
  Singapore

  	
   

  	
  INOTHERAPY

  	
   

  	
  T99/06034Z

  	
   

  	
  14.06.1999

  
	
  South
  Africa

  	
   

  	
  INOMAX

  	
   

  	
  2006/05226

  	
   

  	
  13.03.2006

  
	
  South
  Africa

  	
   

  	
  INOblender

  	
   

  	
  2006/07894

  	
   

  	
  07.04.2006

  
	
  Taiwan

  	
   

  	
  INOblender

  	
   

  	
  Pending

  	
   

  	
  05.04.2006

  
	
  Uruguay

  	
   

  	
  INOMAX

  	
   

  	
  369364

  	
   

  	
  10.03.2006

  
	
  Uruguay

  	
   

  	
  INOblender

  	
   

  	
  370252

  	
   

  	
  20.04.2006

  
	
  Venezuela

  	
   

  	
  INOMAX

  	
   

  	
  6130-99

  	
   

  	
  25.03.1999

  
	
  Venezuela

  	
   

  	
  INOblender

  	
   

  	
  7649-06

  	
   

  	
  07.04.2006

  

 

Trade Names

 

	
  Country(s) Where
  Used

  	
   

  	
  Trade Names

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  

 

III-72

 

PATENTS OWNED BY IKARIA, INC.

 

U.S. Patents

 

None.

 

U.S. Patent Applications

 

None.

 

Non-U.S. Patents

 

None.

 

Non-U.S. Patent Applications

 

None.

 

III-73

 

TRADEMARK/TRADE NAMES OWNED BY IKARIA, INC.

 

U.S. Trademark Registrations

 

None.

 

U.S. Trademark Applications

 

None.

 

State Trademark Registrations

 

None.

 

Non-U.S. Trademark Registrations

 

None.

 

Non-U.S. Trademark Applications

 

None.

 

Trade Names

 

None.

 

III-74

 

PATENTS OWNED BY IKARIA ACQUISITION, INC.

 

U.S. Patents

 

None.

 

U.S. Patent Applications

 

None.

 

Non-U.S. Patents

 

None.

 

Non-U.S. Patent Applications

 

None.

 

III-75

 

TRADEMARK/TRADE NAMES OWNED BY IKARIA ACQUISITION,
INC.

 

U.S. Trademark Registrations

 

None.

 

U.S. Trademark Applications

 

None.

 

State Trademark Registrations

 

None.

 

Non-U.S. Trademark Registrations

 

None.

 

Non-U.S. Trademark Applications

 

None.

 

Trade Names

 

None.

 

III-76

 

Exhibit A to the

Guarantee and

Collateral Agreement

 

SUPPLEMENT NO. [•]
(this “Supplement”) dated as of
[•], to the Guarantee and Collateral Agreement dated as of May 14,
2010 (the “Guarantee and Collateral
Agreement”),
among IKARIA ACQUISITION INC., a Delaware corporation (the “Borrower”), IKARIA, INC., a Delaware
corporation (“Holdings”), each subsidiary
of Holdings from time to time party thereto (each such subsidiary individually
a “Subsidiary Guarantor”
and collectively, the “Subsidiary Guarantors”; the Subsidiary Guarantors, the
Borrower and Holdings are referred to collectively herein as the “Grantors”) and CREDIT SUISSE AG, CAYMAN
ISLANDS BRANCH (together with its affiliates, “CS”),
as collateral agent (in such capacity, the “Collateral Agent”) for the Secured Parties (as defined therein).

 

A.  Reference is made to the Credit Agreement
dated as of May 14, 2010 (as amended, supplemented or otherwise modified
from time to time, the “Credit
Agreement”),
among the Borrower, Holdings, the lenders from time to time party thereto (the “Lenders”), and CS, as administrative agent
for the Lenders and as Collateral Agent.

 

B.  Capitalized terms used herein and not
otherwise defined herein shall have the meanings assigned to such terms in the
Credit Agreement or the Guarantee and Collateral Agreement referred to therein,
as applicable.

 

C.  The Grantors have entered into the Guarantee
and Collateral Agreement in order to induce the Lenders to make Loans and the
Issuing Banks to issue Letters of Credit. 
Section 7.16 of the Guarantee and Collateral Agreement provides
that additional Domestic Subsidiaries of the Borrower may become Subsidiary
Guarantors and Grantors under the Guarantee and Collateral Agreement by
execution and delivery of an instrument in the form of this Supplement.  The undersigned Domestic Subsidiary (the “New Subsidiary”) is executing this Supplement in
accordance with the requirements of the Credit Agreement to become a Subsidiary
Guarantor and a Grantor under the Guarantee and Collateral Agreement in order
to induce the Lenders to make additional Loans and the Issuing Banks to issue
additional Letters of Credit and as consideration for Loans previously made and
Letters of Credit previously issued.

 

Accordingly, the Collateral
Agent and the New Subsidiary agree as follows:

 

SECTION 1.  In accordance with Section 7.16 of the
Guarantee and Collateral Agreement, the New Subsidiary by its signature below
becomes a Grantor and Subsidiary Guarantor under the Guarantee and Collateral
Agreement with the same force and effect as if originally named therein as a
Grantor and Subsidiary Guarantor and the New Subsidiary hereby (a) agrees
to all the terms and provisions of the Guarantee and

 

 

Collateral
Agreement applicable to it as a Grantor and Subsidiary Guarantor thereunder and
(b) represents and warrants that the representations and warranties made
by it as a Grantor and Subsidiary Guarantor thereunder (giving effect to any
supplements to schedules thereto delivered in connection herewith) are true and
correct in all material respects on and as of the date hereof.  In furtherance of the foregoing, the New
Subsidiary, as security for the payment and performance in full of the
Obligations (as defined in the Guarantee and Collateral Agreement), does hereby
create and grant to the Collateral Agent, its successors and assigns, for the
ratable benefit of the Secured Parties, their successors and assigns, a
security interest in and lien on all of the New Subsidiary’s right, title and
interest in and to the Collateral (as defined in the Guarantee and Collateral
Agreement) of the New Subsidiary.  Each
reference to a “Grantor” or a “Subsidiary
Guarantor” in the Guarantee and
Collateral Agreement shall be deemed to include the New Subsidiary.  The Guarantee and Collateral Agreement is
hereby incorporated herein by reference.

 

SECTION 2.  The New Subsidiary represents and warrants to
the Collateral Agent, for the benefit of the Secured Parties, that this
Supplement has been duly authorized, executed and delivered by it and
constitutes its legal, valid and binding obligation, enforceable against it in
accordance with its terms.

 

SECTION 3.  This Supplement may be executed in
counterparts (and by different parties hereto on different counterparts), each
of which shall constitute an original, but all of which when taken together
shall constitute a single contract. This Supplement shall become effective when
the Collateral Agent shall have received counterparts of this Supplement that,
when taken together, bear the signatures of the New Subsidiary and the
Collateral Agent.  Delivery of an
executed signature page to this Supplement by facsimile transmission shall
be as effective as delivery of a manually signed counterpart of this
Supplement.

 

SECTION 4.  The New Subsidiary hereby represents and
warrants that (a) set forth on
Schedule I attached hereto is a true and correct schedule of (i) any and
all Pledged Stock and Pledged Debt Securities now owned by the New Subsidiary
and (ii) any and all Patents and registered or pending Trademarks and
Copyrights now owned by the New Subsidiary and (b) set forth under its
signature hereto, is the true and correct legal name of the New Subsidiary and
its jurisdiction of organization.

 

SECTION 5.  Except as expressly supplemented hereby, the
Guarantee and Collateral Agreement shall remain in full force and effect.

 

SECTION 6.  THIS SUPPLEMENT
SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE
OF NEW YORK.

 

SECTION 7.  In case any one or more of the provisions
contained in this Supplement should be held invalid, illegal or unenforceable
in any respect, the validity, legality and enforceability of the remaining
provisions contained herein and in the Guarantee and Collateral Agreement shall
not in any way be affected or impaired thereby 

 

A-2

 

(it
being understood that the invalidity of a particular provision in a particular
jurisdiction shall not in and of itself affect the validity of such provision
in any other jurisdiction). The parties hereto shall endeavor in good-faith
negotiations to replace the invalid, illegal or unenforceable provisions with
valid provisions the economic effect of which comes as close as possible to
that of the invalid, illegal or unenforceable provisions.

 

SECTION 8.  All communications and notices hereunder
shall (except as otherwise expressly permitted by the Guarantee and Collateral
Agreement) be in writing and given as provided in Section 9.01 of the
Credit Agreement. All communications and notices hereunder to the New
Subsidiary shall be given to it in care of the Borrower as provided in Section 9.01
of the Credit Agreement.

 

SECTION 9.  The New Subsidiary agrees to reimburse the
Collateral Agent for its reasonable out-of-pocket expenses in connection with
this Supplement, including the fees, other charges and disbursements of counsel
for the Collateral Agent.

 

A-3

 

IN WITNESS WHEREOF, the New
Subsidiary and the Collateral Agent have duly executed this Supplement to the
Guarantee and Collateral Agreement as of the day and year first above written.

 

 

	
   

  	
  [NAME
  OF NEW SUBSIDIARY]

  
	
   

  	
   

  
	
   

  	
   

  	
  by

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  
	
   

  	
   

  	
   

  	
  Address:

  
	
   

  	
   

  	
   

  	
  Legal
  Name:

  
	
   

  	
   

  	
   

  	
  Jurisdiction
  of Formation:

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
  CREDIT
  SUISSE AG, CAYMAN ISLANDS BRANCH, as Collateral Agent,

  
	
   

  	
   

  
	
   

  	
   

  	
  by

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
  by

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
   

  	
  Title:

  

 

A-4

 

Schedule
I to

Supplement No. [·] to the

Guarantee and

Collateral Agreement

 

Collateral of the New Subsidiary

 

EQUITY INTERESTS

 

	
  Issuer

  	
   

  	
  Number of

  Certificate

  	
   

  	
  Registered

  Owner

  	
   

  	
  Number and

  Class of

  Equity Interests

  	
   

  	
  Percentage

  of Equity

  Interests

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

PLEDGED DEBT SECURITIES

 

	
  Issuer

  	
   

  	
  Principal

  Amount

  	
   

  	
  Date of Note

  	
   

  	
  Maturity Date

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

INTELLECTUAL PROPERTY

 

[Follow format of Schedule III to the

Guarantee and Collateral Agreement.]

 

 

Exhibit B to the

Guarantee and

Collateral Agreement

 

FORM OF PERFECTION CERTIFICATE

 

[Provided Separately]

 

 

Execution Version

 

PERFECTION CERTIFICATE

 

Reference is made to the Credit Agreement (as
amended, supplemented or otherwise modified from time to time, the “Credit Agreement”) dated as of May 14,
2010 among Ikaria Acquisition Inc., a Delaware corporation (the
“Borrower”), Ikaria, Inc., a Delaware corporation (“Holdings” and, together with the
Borrower and the Subsidiary Guarantors, the “Grantors”),
the lenders from time to time party thereto and Credit Suisse AG, as
administrative agent (in such capacity, the “Administrative
Agent”) and as collateral agent. 
Capitalized terms used but not defined herein have the meanings set
forth in either the Credit Agreement or the Guarantee and Collateral Agreement
referred to therein, as applicable.

 

The undersigned Responsible
Officers of Holdings and the Borrower hereby certify to the Administrative
Agent and each other Secured Party as follows:

 

1.  Names.  (a)  The exact legal name of each
Grantor, as such name appears in its respective certificate of formation, is as
follows:

 

	
   

  	
  Exact
  Legal Name of Each Grantor

  	
   

  
	
   

  	
  Ikaria Acquisition Inc.

  	
   

  
	
   

  	
  Ikaria, Inc.

  	
   

  
	
   

  	
  Ikaria Research, Inc.

  	
   

  
	
   

  	
  Ikaria International, Inc.

  	
   

  
	
   

  	
  Ikaria Development Subsidiary One LLC

  	
   

  
	
   

  	
  Ikaria Development Subsidiary Two LLC

  	
   

  
	
   

  	
  INO Therapeutics LLC

  	
   

  
	
   

  	
  Ikaria Therapeutics LLC

  	
   

  

 

 

(b)  Set forth below is
each other legal name each Grantor has had in the past five years, together
with the date of the relevant change:

 

 

	
  Grantor

  	
   

  	
  Other Legal Name in Past
  5

  Years

  	
   

  	
  Date of Name

  Change

  
	
  Ikaria, Inc.

  	
   

  	
  Ikaria Holdings, Inc.

  	
   

  	
  7 May 2010

  
	
   

  	
   

  	
  ITL Holdings, Inc.

  	
   

  	
  21 February 2007

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Research, Inc.

  	
   

  	
  Ikaria, Inc.

  	
   

  	
  5 May 2010

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria
  Therapeutics LLC

  	
   

  	
  Oslo
  Acquisition Subsidiary LLC

  	
   

  	
  20
  October 2009

  

 

(c)  Except as set
forth in Schedule 1 hereto, no Grantor has changed its identity or
corporate structure in any way within the past five years.  Changes in identity or corporate structure
would include mergers, consolidations and acquisitions, as well as any change
in the form, nature or jurisdiction of organization.  If any such change has occurred, include in
Schedule 1 the information required by Sections 1 and 2 of this certificate as
to each acquiree or constituent party to a merger or consolidation.

 

(d)  The following is a
list of all other names (including trade names or similar appellations) used by
each Grantor or any of its divisions or other business units in connection with
the conduct of its business or the ownership of its properties at any time
during the past five years:

 

	
  Grantor

  	
   

  	
  Other Name Used

  
	
  INO Therapeutics LLC

  	
   

  	
  “Ikaria” (as a d/b/a)

  

 

(e)  Set forth below is
the Organizational Identification Number, if any, issued by the jurisdiction of
formation of each Grantor that is a registered organization:

 

	
  Grantor

  	
   

  	
  Organizational Identification Number

  
	
  N/A
  — All Delaware entities

  	
   

  	
   

  

 

(f)  Set forth below is
the Federal Taxpayer Identification Number of each Grantor(1):

 

(1) Only necessary for filing in North
Dakota and South Dakota.

 

2

 

	
  Grantor

  	
   

  	
  Federal Taxpayer Identification Number

  
	
  N/A
  — not filing in North Dakota or South Dakota

  	
   

  	
   

  

 

2.  Current Locations.  (a)  The chief executive office of each
Grantor is located at the address set forth opposite its name below:

 

	
  Grantor

  	
   

  	
  Mailing Address

  	
   

  	
  County

  	
   

  	
  State

  
	
  Ikaria Acquisition Inc.

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria, Inc.

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria International, Inc.

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Therapeutics LLC

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Development Subsidiary One LLC

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Development Subsidiary Two LLC

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria
  Research, Inc.

  	
   

  	
  1616
  Eastlake Avenue East

  Suite 340

  Seattle, WA 98102

  	
   

  	
  King

  	
   

  	
  Washington

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO Therapeutics LLC

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  

 

(b) 
Set forth below opposite the name of each Grantor are all locations where such
Grantor maintains any books or records relating to any Accounts Receivable
(with each location at which chattel paper, if any, is kept being indicated by
an “*”):

 

3

 

	
  Grantor

  	
   

  	
  Mailing Address

  	
   

  	
  County

  	
   

  	
  State

  
	
  Ikaria Acquisition Inc.

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria, Inc.

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria International, Inc.

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Therapeutics LLC

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Development Subsidiary One LLC

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Development Subsidiary Two LLC

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria
  Research, Inc.

  	
   

  	
  1616
  Eastlake Avenue East

  Suite 340

  Seattle, WA 98102

  	
   

  	
  King

  	
   

  	
  Washington

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO Therapeutics LLC

  	
   

  	
  6 Route 173

  Clinton, NJ 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New Jersey

  

 

(c)  The jurisdiction
of formation of each Grantor that is a registered organization is set forth
opposite its name below:

 

	
  Grantor

  	
   

  	
  Jurisdiction

  
	
  Ikaria Acquisition Inc.

  	
   

  	
  Delaware

  
	
   

  	
   

  	
   

  
	
  Ikaria, Inc.

  	
   

  	
  Delaware

  
	
   

  	
   

  	
   

  
	
  Ikaria
  International, Inc.

  	
   

  	
  Delaware

  
	
   

  	
   

  	
   

  
	
  Ikaria
  Therapeutics LLC

  	
   

  	
  Delaware

  
	
   

  	
   

  	
   

  
	
  Ikaria
  Development Subsidiary One LLC

  	
   

  	
  Delaware

  
	
   

  	
   

  	
   

  
	
  Ikaria
  Development Subsidiary Two LLC

  	
   

  	
  Delaware

  

 

4

 

	
  Ikaria
  Research, Inc.

  	
   

  	
  Delaware

  
	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  Delaware

  

 

(d) 
Set forth below opposite the name of each Grantor are all the locations where
such Grantor maintains any Equipment or other Collateral not identified above:

 

	
  Grantor

  	
   

  	
  Mailing Address

  	
   

  	
  County

  	
   

  	
  State

  
	
  INO Therapeutics LLC

  	
   

  	
  All that land being Parcel B, Parcel F-1, and Tract AC-2-A Westport,
  located in sections 68, 69, 93 & 94, T7S, R12E, West Baton Rouge
  Parish, LA (“Louisiana Property”).

  	
   

  	
   

  	
   

  	
  Louisiana

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  Equipment
  and inventory are located from time to time at the Louisiana Property and at
  some or all of the premises leased by INO Therapeutics LLC.

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria
  Research, Inc.

  	
   

  	
  Equipment
  is located at 1616 Eastlake Avenue East, Suite 340, Seattle, WA, 98102.

  	
   

  	
  King

  	
   

  	
  Washington

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  Suwanee
  Creek Business Center, 130 Satellite Boulevard NE, Suite C, Suwanee, GA,
  30024

  	
   

  	
  Gwinnett

  	
   

  	
  Georgia

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  175
  E. Crossroads Parkway, Suite C Bolingbrook, IL 60440

  	
   

  	
  Will

  	
   

  	
  Illinois

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO Therapeutics LLC

  	
   

  	
  Amberpoint
  Business Park, 875 Sandy Lake Road, Bldg. 5, Coppell, 

  	
   

  	
  Dallas

  	
   

  	
  Texas

  

 

5

 

	
   

  	
   

  	
  TX,
  75019

  	
   

  	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  12874
  East Florence Avenue, Santa Fe Springs, CA, 90670

  	
   

  	
  Los
  Angeles County

  	
   

  	
  California

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  22
  Worlds Fair Drive, Units G, H, J & K, Somerset, NJ 08873

  	
   

  	
  Somerset

  	
   

  	
  New
  Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  4040
  Clipper Court, Fremont, CA, 94538

  	
   

  	
  Alameda

  	
   

  	
  California

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  2902
  Drive, Middleton, WI, 53562

  	
   

  	
  Dane

  	
   

  	
  Wisconsin

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  6 Route 173, Clinton, NJ, 08809

  	
   

  	
  Hunterdon

  	
   

  	
  New
  Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  43
  Frontage Road, Perryville, NJ 08827

  	
   

  	
  Hunterdon

  	
   

  	
  New
  Jersey

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  2820
  Walton Commons West, Suite 100, Madison, WI, 53718

  	
   

  	
  Dane

  	
   

  	
  Wisconsin

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  6061 Industrial Drive, Geismar, LA, 70734

  	
   

  	
  Ascension

  	
   

  	
  Louisiana

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria, Inc.

  	
   

  	
  400/444
  North Capitol Street NW, Suite 830, Washington, DC 20001

  	
   

  	
  District
  of Columbia

  	
   

  	
  District
  of Columbia

  

 

(e)  Set forth below opposite the name of each
Grantor are all the places of business of such Grantor not identified in
paragraph (a), (b), (c) or (d) above:

 

	
  Grantor

  	
   

  	
  Mailing Address

  	
   

  	
  County

  	
   

  	
  State

  
	
  N/A

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

(f) 
Set forth below is a list of all real property held by each Grantor, whether
owned or leased, the name of the Grantor that owns or leases said property and
the fair market value apportioned to each site:

 

6

 

	
  Address

  	
   

  	
  Owned/Leased

  	
   

  	
  Entity

  	
   

  	
  Value

  
	
  1616
  Eastlake Avenue

  Suite 340

  Seattle, WA 98102

  	
   

  	
  Leased

  	
   

  	
  Ikaria
  Research, Inc.

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  All
  that land being Parcel B, Parcel F-1, and Tract AC-2-A Westport, located in
  sections 68, 69, 93 & 94, T7S, R12E, West Baton Rouge Parish, LA.

  	
   

  	
  Owned

  	
   

  	
  INO
  Therapeutics LLC

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Condominium
  located at 1 Willow Court, Clinton NJ 08809 (Beaverbrook Community).

  	
   

  	
  Owned

  	
   

  	
  INO
  Therapeutics LLC

  	
   

  	
  $250,000
  – $280,000

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Suwanee
  Creek Business Center, 130 Satellite Boulevard NE, Suite C, Suwanee, GA,
  30024

  	
   

  	
  Leased

  	
   

  	
  INO
  Therapeutics LLC

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  175
  E. Crossroads Parkway, Suite C Bolingbrook, IL 60440

  	
   

  	
  Leased

  	
   

  	
  INO
  Therapeutics LLC

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Amberpoint
  Business Park

  875 West Sandy Lake Road, Suite 300

  Coppell, TX 75019

  	
   

  	
  Leased

  	
   

  	
  INO
  Therapeutics LLC

  	
   

  	
   

  

 

7

 

	
  Address

  	
   

  	
  Owned/Leased

  	
   

  	
  Entity

  	
   

  	
  Value

  
	
  12874
  East Florence Avenue, Santa Fe Springs, CA, 90670

  	
   

  	
  Leased

  	
   

  	
  INO
  Therapeutics LLC

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  22
  Worlds Fair Drive, Units G, H, J & K, Somerset, NJ, 08873

  	
   

  	
  Leased

  	
   

  	
  INO
  Therapeutics LLC

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  2867
  Bayview Dr. Fremont, CA 94538

  	
   

  	
  Leased

  	
   

  	
  INO
  Therapeutics LLC

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  6 Route 173, Clinton, NJ, 08809

  	
   

  	
  Leased

  	
   

  	
  INO
  Therapeutics LLC

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  2820
  Walton Commons West, Suite 100, Madison, WI, 53718

  	
   

  	
  Leased

  	
   

  	
  INO
  Therapeutics LLC

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  6061
  Industrial Drive, Geismar, LA, 70734

  	
   

  	
  Leased

  	
   

  	
  INO
  Therapeutics LLC

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  43
  Frontage Road, Perryville, NJ 08827

  	
   

  	
  Leased

  	
   

  	
  INO
  Therapeutics LLC

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  2902
  Dairy Drive, Madison, WI 53718

  	
   

  	
  Leased

  	
   

  	
  INO
  Therapeutics LLC

  	
   

  	
   

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  400/444
  North Capitol Street NW, Suite 830, Washington, DC 20001

  	
   

  	
  Leased

  	
   

  	
  Ikaria, Inc.

  	
   

  	
   

  

 

8

 

(g) 
Set forth below opposite the name of each Grantor are the names and addresses
of all Persons other than such Grantor that have possession of any of the
Collateral of such Grantor:

 

	
  Grantor

  	
   

  	
  Mailing Address

  	
   

  	
  County

  	
   

  	
  State

  
	
  None.

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

3.  Unusual
Transactions.  All Accounts have been
originated by the Grantors and all Inventory has been acquired by the Grantors
in the ordinary course of business.

 

4.  File
Search Reports.  File search reports
have been obtained from each Uniform Commercial Code filing office identified
with respect to such Grantor in Section 2 hereof, and such search reports
reflect no liens against any of the Collateral other than those permitted under
the Credit Agreement.

 

5.  UCC
Filings.  Financing statements in
substantially the form of Schedule 5 hereto have been prepared for filing in
the proper Uniform Commercial Code filing office in the jurisdiction in which
each Grantor is located and, to the extent any of the collateral is comprised
of fixtures, timber to be cut or as extracted collateral from the wellhead or
minehead, in the proper local jurisdiction, in each case as set forth with
respect to such Grantor in Section 2 hereof.

 

6.  Schedule
of Filings.  Attached hereto as
Schedule 6 is a schedule setting forth, with respect to the filings described
in Section 5 above, each filing and the filing office in which such filing
is to be made.

 

7.  Stock
Ownership and other Equity Interests. 
Attached hereto as Schedule 7 is a true and correct list of all the
issued and outstanding stock, partnership interests, limited liability company
membership interests or other Equity Interests held by, directly or indirectly,
Holdings, the Borrower or any Subsidiary and the record and beneficial owners
of such stock, partnership interests, membership interests or other Equity
Interests. Also set forth on Schedule 7 is each equity investment held by,
directly or indirectly, Holdings, the Borrower or any Subsidiary that
represents 50% or less of the Equity Interests of the entity in which such
investment was made.

 

8.  Debt
Instruments.  Attached hereto as
Schedule 8 is a true and correct list of all promissory notes and other
evidence of indebtedness held by Holdings, the Borrower and each Subsidiary
that are required to be pledged under the Guarantee and Collateral Agreement,
including all intercompany notes between Holdings and any subsidiary of
Holdings and any subsidiary of Holdings and any other such subsidiary.

 

9.  Deposit Accounts.  Attached hereto as Schedule 9 is a true and
correct list of deposit accounts, brokerage accounts or securities investment
accounts maintained by any

 

9

 

Grantor, including the name
and address of the depositary institution, the type of account, and the account
number.

 

10.  Assignment of Claims Act.  Attached hereto as Schedule 10 is a true and
correct list of all written contracts between the Borrower or any Subsidiary
and the United States government or any department or agency thereof that have
a remaining value of at least $5,000,000, setting forth the contract number,
name and address of contracting officer (or other party to whom a notice of
assignment under the Assignment of Claims Act should be sent), contract start
date and end date, agency with which the contract was entered into, and a
description of the contract type.

 

11.  Advances.  Attached hereto as Schedule 11 is (a) a
true and correct list of all advances made by Holdings to any subsidiary of
Holdings or made by any subsidiary of Holdings to Holdings or to any other
subsidiary of Holdings (other than those identified on Schedule 8), which
advances will be on and after the date hereof evidenced by one or more
intercompany notes pledged to the Administrative Agent under the Guarantee and
Collateral Agreement and (b) a true and correct list of all unpaid
intercompany transfers of goods sold and delivered by or to any Grantor.

 

12.  Mortgage Filings.  Attached hereto as Schedule 12 is a schedule
setting forth, with respect to each mortgaged property, (a) the exact name
of the person that owns such property as such name appears in its certificate
of incorporation or other organizational document, (b) if different from
the name identified pursuant to clause (a), the exact name of the current
record owner of such property reflected in the records of the filing office for
such property identified pursuant to the following clause and (c) the
filing office in which a mortgage with respect to such property must be filed
or recorded in order for the Administrative Agent to obtain a perfected
security interest therein.

 

13.  Intellectual Property.  Attached hereto as Schedule 13A in proper
form for filing with the United States Patent and Trademark Office is a
schedule setting forth all of each Grantor’s Patents, Patent Licenses,
Trademarks and Trademark Licenses, including the name of the registered owner,
the registration number and the expiration date of each Patent, Patent License,
Trademark and Trademark License owned by any Grantor. Attached hereto as
Schedule 13B in proper form for filing with the United States Copyright Office
is a schedule setting forth all of each Grantor’s Copyrights and Copyright
Licenses, including the name of the registered owner, the registration number
and the expiration date of each Copyright or Copyright License owned by any
Grantor.

 

14.  Commercial
Tort Claims.  Attached hereto as
Schedule 14 is a true and correct list of commercial tort claims in excess of
$500,000 held by any Grantor, including a brief description thereof.

 

10

 

IN WITNESS WHEREOF, the
undersigned have duly executed this certificate on this
       day of
                ,
2010.

 

	
   

  	
  IKARIA ACQUISITION INC.,

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  by

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  IKARIA,
  INC.,

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  by

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
  Name:

  
	
   

  	
   

  	
  Title:

  

 

11

 

SCHEDULE 1

 

Changes in Identity or Corporate Structure Within Past Five Years

 

None.

 

 

SCHEDULE 5

 

UCC Financing Statements

 

 

SCHEDULE 6

 

UCC Filings and Filing Offices

 

	
  Debtor

  	
   

  	
  Filing Jurisdiction

  
	
  Ikaria
  Acquisition Inc.

  	
   

  	
  Delaware
  Secretary of State

  
	
   

  	
   

  	
   

  
	
  Ikaria, Inc.

  	
   

  	
  Delaware
  Secretary of State

  
	
   

  	
   

  	
   

  
	
  Ikaria
  Research, Inc.

  	
   

  	
  Delaware
  Secretary of State

  
	
   

  	
   

  	
   

  
	
  Ikaria
  International, Inc.

  	
   

  	
  Delaware
  Secretary of State

  
	
   

  	
   

  	
   

  
	
  Ikaria
  Development Subsidiary One LLC

  	
   

  	
  Delaware
  Secretary of State

  
	
   

  	
   

  	
   

  
	
  Ikaria
  Development Subsidiary Two LLC

  	
   

  	
  Delaware
  Secretary of State

  
	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  Delaware
  Secretary of State

  
	
   

  	
   

  	
   

  
	
  Ikaria
  Therapeutics LLC

  	
   

  	
  Delaware
  Secretary of State

  

 

 

SCHEDULE 7

 

Stock Ownership and Other Equity Interests

 

	
  Subsidiary

  	
   

  	
  Owner

  	
   

  	
  Ownership Percentage

  
	
  Ikaria Research, Inc.

  	
   

  	
  Ikaria, Inc.

  	
   

  	
  100%

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Acquisition Inc.

  	
   

  	
  Ikaria, Inc.

  	
   

  	
  100%

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria International, Inc.

  	
   

  	
  Ikaria, Inc.

  	
   

  	
  100%

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Therapeutics LLC

  	
   

  	
  Ikaria Research, Inc.

  	
   

  	
  100%

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Development Subsidiary One LLC

  	
   

  	
  Ikaria Acquisition Inc.

  	
   

  	
  100%

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Development Subsidiary Two LLC

  	
   

  	
  Ikaria Acquisition Inc.

  	
   

  	
  100%

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO Therapeutics LLC

  	
   

  	
  Ikaria Acquisition Inc.

  	
   

  	
  100%

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Japan K.K.

  	
   

  	
  Ikaria International, Inc.

  	
   

  	
  100%

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Australia Pty Ltd

  	
   

  	
  Ikaria International, Inc.

  	
   

  	
  100%

  
	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria Canada Inc.

  	
   

  	
  Ikaria International, Inc.

  	
   

  	
  100%

  

 

 

SCHEDULE 8

 

Debt Instruments

 

None.

 

 

SCHEDULE 9

 

Deposit Accounts/Securities Accounts

 

	
  Name
  of Grantor

  	
   

  	
  Name and Address of

  Depositary Institution

  	
   

  	
  Type of Account

  	
   

  	
  Account Number

  
	
  INO
  Therapeutics LLC

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria
  Research, Inc. (f/k/a Ikaria, Inc.)

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  Ikaria
  Development Subsidiary Two LLC

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  
	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  	
   

  
	
  INO
  Therapeutics LLC

  	
   

  	
  [**]

  	
   

  	
  [**]

  	
   

  	
  [**]

  

 

 

SCHEDULE 10

 

Government Contracts

 

None.

 

 

SCHEDULE 11

 

Advances

 

None.

 

 

 

SCHEDULE 12

 

Mortgage Filings

 

	
  Name
  of Owner of Property

  	
   

  	
  Address of Property

  	
   

  	
  Filing Office

  
	
  INO
  Therapeutics LLC

  	
   

  	
  All
  that land being Parcel B, Parcel F-1, and Tract AC-2-A Westport, located in
  sections 68, 69, 93 & 94, T7S, R12E, West Baton Rouge Parish, LA.

  	
   

  	
  The
  Clerk of Court of West Baton Rouge Parish

  West
  Baton Rouge Parish

  Clerk of Court: Mark J. Graffeo 

  850 Eighth Street

  P. O. Box 107

  Port Allen, LA 70767

  

 

 

SCHEDULE 13A

 

Patents, Patent Licenses, Trademarks and Trademark Licenses

 

(A)                               Ikaria Research, Inc. (“Research”)

 

(a)          Trademarks

 

Research holds the following trademarks:

 

·                  Wordmark filed on April 22, 2005 in the
United States and European Union.

·                  Design and wordmark filed on February 1,
2006 in the United States and European Union.

 

(b)         Patents and Patent Applications

 

Research owns the
following patents and patent applications:

 

	
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(c)          In-Licenses of Patents and Patent
Applications

 

Research in-licenses the following patents
and patent applications:

 

	
  Title

  	
   

  	
  Filing Date

  	
   

  	
  Type

  	
   

  	
  Number

  	
   

  
	
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22

 

	
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  [**]

  	
   

  	
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  [**]

  	
   

  	
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  [**]

  	
   

  	
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(B)                               INO Therapeutics LLC

 

(a)                                          Trademarks and Trademark Applications
Owned by INO Therapeutics LLC

 

(i)                  U.S. Trademark Registrations

 

	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  	
   

  
	
  INOCAL

  	
   

  	
  2,109,970

  	
   

  	
  28.10.1997

  	
   

  
	
  INOMAX

  	
   

  	
  2,185,947

  	
   

  	
  01.09.1998

  	
   

  
	
  INOPULSE(2)

  	
   

  	
  2,532,358

  	
   

  	
  21.01.2002

  	
   

  
	
  INOTHERAPY

  	
   

  	
  2,678,500

  	
   

  	
  21.01.2003

  	
   

  

 

(ii)               U.S. Trademark Applications

 

	
  Mark

  	
   

  	
  Application No.

  	
   

  	
  Filing Date

  	
   

  
	
  COVOX

  	
   

  	
  78/863,912

  	
   

  	
  18.04.2006

  	
   

  
	
  INOMETER

  	
   

  	
  78/959,255

  	
   

  	
  24.08.2006

  	
   

  

 

(iii)            State Trademark Registrations

 

None.

 

(iv)           Non-U.S. Trademark Registrations

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  	
   

  
	
  Argentina

  	
   

  	
  I-N-O

  	
   

  	
  1632662

  	
   

  	
  06.12.2007

  	
   

  

 

(2) This trademark has been assigned to
INO Therapeutics, LLC and recording of such assignment is currently in progress
in trademark offices.

 

23

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  	
   

  
	
  Argentina

  	
   

  	
  INOCAL

  	
   

  	
  1647527

  	
   

  	
  12.10.2007

  	
   

  
	
  Argentina

  	
   

  	
  INOMAX

  	
   

  	
  1802805

  	
   

  	
  22.08.2000

  	
   

  
	
  Argentina

  	
   

  	
  INOTHERAPY

  	
   

  	
  1808889

  	
   

  	
  31 10.2000

  	
   

  
	
  Argentina

  	
   

  	
  INOTHERAPY

  	
   

  	
  1808890

  	
   

  	
  31.10.2000

  	
   

  
	
  Argentina

  	
   

  	
  INOTHERAPY

  	
   

  	
  1810044

  	
   

  	
  09.11.2000

  	
   

  
	
  Argentina

  	
   

  	
  INOTHERAPY

  	
   

  	
  1810045

  	
   

  	
  09.11.2000

  	
   

  
	
  Argentina

  	
   

  	
  INOREG

  	
   

  	
  1811959

  	
   

  	
  05.12 2000

  	
   

  
	
  Argentina

  	
   

  	
  INOREG

  	
   

  	
  1811960

  	
   

  	
  05 12.2000

  	
   

  
	
  Argentina

  	
   

  	
  INOFLO

  	
   

  	
  2052090

  	
   

  	
  07.11.2005

  	
   

  
	
  Australia

  	
   

  	
  I-N-O

  	
   

  	
  649377

  	
   

  	
  22.12.1994

  	
   

  
	
  Australia

  	
   

  	
  INOCAL

  	
   

  	
  710276

  	
   

  	
  07.06.1996

  	
   

  
	
  Australia

  	
   

  	
  INOMAX

  	
   

  	
  788810

  	
   

  	
  22.03.1999

  	
   

  
	
  Australia

  	
   

  	
  INOblender

  	
   

  	
  1133965

  	
   

  	
  04.04.2006

  	
   

  
	
  Australia

  	
   

  	
  INOMAX

  	
   

  	
  1134019

  	
   

  	
  04.04.2006

  	
   

  
	
  Australia

  	
   

  	
  INOMAX

  	
   

  	
  2158935

  	
   

  	
  17.05.2007

  	
   

  
	
  Australia

  	
   

  	
  INOblender

  	
   

  	
  2163772

  	
   

  	
  12.06.2007

  	
   

  
	
  Bolivia

  	
   

  	
  INOMAX

  	
   

  	
  105147-C

  	
   

  	
  29.08.2006

  	
   

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  79013-C

  	
   

  	
  06.06.2000

  	
   

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  79014-C

  	
   

  	
  06.06.2000

  	
   

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  79015-C

  	
   

  	
  06.06.2000

  	
   

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  79016-C

  	
   

  	
  06.06.2000

  	
   

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  79017-C

  	
   

  	
  06.06.2000

  	
   

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  79018-C

  	
   

  	
  06.06.2000

  	
   

  
	
  Bolivia

  	
   

  	
  INOREG

  	
   

  	
  79019-C

  	
   

  	
  06.06.2000

  	
   

  
	
  Bolivia

  	
   

  	
  INOREG

  	
   

  	
  79020-C

  	
   

  	
  06.06.2000

  	
   

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  80368-C

  	
   

  	
  01.08.2000

  	
   

  
	
  Bolivia

  	
   

  	
  INOTHERAPY

  	
   

  	
  80414-C

  	
   

  	
  01.08.2000

  	
   

  
	
  Bolivia

  	
   

  	
  INOMAX

  	
   

  	
  105897-C

  	
   

  	
  09.10.2006

  	
   

  
	
  Bolivia

  	
   

  	
  INOblender

  	
   

  	
  106623-C

  	
   

  	
  27.11.2006

  	
   

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  200034340

  	
   

  	
  11.03.2003

  	
   

  
	
  Brazil

  	
   

  	
  I-N-O

  	
   

  	
  818924136

  	
   

  	
  23.06.1998

  	
   

  
	
  Brazil

  	
   

  	
  INOCAL

  	
   

  	
  819273074

  	
   

  	
  23.02.1999

  	
   

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  821729187

  	
   

  	
  11.02.2003

  	
   

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  821729195

  	
   

  	
  11.03.2003

  	
   

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  821729217

  	
   

  	
  11.03.2003

  	
   

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  821729225

  	
   

  	
  11.03.2003

  	
   

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  821729233

  	
   

  	
  11.03.2003

  	
   

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  821729241

  	
   

  	
  11.03.2003

  	
   

  
	
  Brazil

  	
   

  	
  INOREG

  	
   

  	
  821729267

  	
   

  	
  11.03.2003

  	
   

  
	
  Brazil

  	
   

  	
  INOREG

  	
   

  	
  821729268

  	
   

  	
  11.03.2003

  	
   

  
	
  Brazil

  	
   

  	
  INOTHERAPY

  	
   

  	
  827129209

  	
   

  	
  11.02.2003

  	
   

  
	
  Brazil

  	
   

  	
  INOMAX

  	
   

  	
  821749005

  	
   

  	
  27.01.2009

  	
   

  
	
  Brazil

  	
   

  	
  INOMAX

  	
   

  	
  828279225

  	
   

  	
  06.05.2008

  	
   

  
	
  Brazil

  	
   

  	
  INOblender

  	
   

  	
  828287090

  	
   

  	
  06.05.2008

  	
   

  
	
  Canada

  	
   

  	
  INOTHERAPY

  	
   

  	
  TMA643009

  	
   

  	
  27.06.2005

  	
   

  
	
  Canada

  	
   

  	
  INOFLO

  	
   

  	
  TMA562856

  	
   

  	
  30.05.2002

  	
   

  
	
  Canada

  	
   

  	
  INOCAL

  	
   

  	
  TMA576744

  	
   

  	
  28.02.2003

  	
   

  
	
  Canada

  	
   

  	
  I-N-O

  	
   

  	
  TMA576774

  	
   

  	
  03.03.2003

  	
   

  
	
  Canada

  	
   

  	
  INOMAX

  	
   

  	
  TMA621362

  	
   

  	
  01.10.2004

  	
   

  
	
  Canada

  	
   

  	
  INOMAX

  	
   

  	
  TMA738008

  	
   

  	
  15.04.2009

  	
   

  
	
  Chile

  	
   

  	
  INOTHERAPY

  	
   

  	
  553693

  	
   

  	
  22.11.1999

  	
   

  

 

24

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  	
   

  
	
  Chile

  	
   

  	
  INOREG

  	
   

  	
  553695

  	
   

  	
  22.11.1999

  	
   

  
	
  Chile

  	
   

  	
  INOTHERAPY

  	
   

  	
  559397

  	
   

  	
  24.01.2000

  	
   

  
	
  Chile

  	
   

  	
  INOCAL

  	
   

  	
  571580

  	
   

  	
  11.07.2000

  	
   

  
	
  Chile

  	
   

  	
  INOMAX

  	
   

  	
  598407

  	
   

  	
  27.06.2001

  	
   

  
	
  Chile

  	
   

  	
  INOMAX

  	
   

  	
  762143

  	
   

  	
  10.07.2006

  	
   

  
	
  Chile

  	
   

  	
  INOblender

  	
   

  	
  764847

  	
   

  	
  14.08.2006

  	
   

  
	
  China

  	
   

  	
  INOblender

  	
   

  	
  IR892785

  	
   

  	
  04.04.2006

  	
   

  
	
  China

  	
   

  	
  INOMAX

  	
   

  	
  IR893015

  	
   

  	
  04.04.2006

  	
   

  
	
  China

  	
   

  	
  INOMAX

  	
   

  	
  928657

  	
   

  	
  14.01.1997

  	
   

  
	
  China

  	
   

  	
  l-N-O

  	
   

  	
  928660

  	
   

  	
  14.01.1997

  	
   

  
	
  China

  	
   

  	
  INOCAL

  	
   

  	
  1099385

  	
   

  	
  14.09.1997

  	
   

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1459228

  	
   

  	
  14.10.2000

  	
   

  
	
  China

  	
   

  	
  INOREG

  	
   

  	
  1459243

  	
   

  	
  14.10.2000

  	
   

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1459493

  	
   

  	
  14.10.2000

  	
   

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1459508

  	
   

  	
  14.10.2000

  	
   

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1462541

  	
   

  	
  21.10.2000

  	
   

  
	
  China

  	
   

  	
  INOREG

  	
   

  	
  1462542

  	
   

  	
  21.10.2000

  	
   

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1464135

  	
   

  	
  28.10.2000

  	
   

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1467378

  	
   

  	
  28.10.2000

  	
   

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  1507781

  	
   

  	
  14.01.2001

  	
   

  
	
  China

  	
   

  	
  INOTHERAPY

  	
   

  	
  2024212

  	
   

  	
  07.10.2002

  	
   

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  224751

  	
   

  	
  10.03.2000

  	
   

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  225903

  	
   

  	
  13.04.2000

  	
   

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  225942

  	
   

  	
  13.04.2000

  	
   

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  225943

  	
   

  	
  13.04.2000

  	
   

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  225944

  	
   

  	
  13.04.2000

  	
   

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  225945

  	
   

  	
  13.04.2000

  	
   

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  225946

  	
   

  	
  13.04.2000

  	
   

  
	
  Colombia

  	
   

  	
  INOREG

  	
   

  	
  226006

  	
   

  	
  13.04.2000

  	
   

  
	
  Colombia

  	
   

  	
  INOREG

  	
   

  	
  226007

  	
   

  	
  13.04.2000

  	
   

  
	
  Colombia

  	
   

  	
  INOTHERAPY

  	
   

  	
  226043

  	
   

  	
  13.04.2000

  	
   

  
	
  Colombia

  	
   

  	
  INOFLO

  	
   

  	
  226044

  	
   

  	
  13.04.2000

  	
   

  
	
  Colombia

  	
   

  	
  INOFLO

  	
   

  	
  226864

  	
   

  	
  19.05.2000

  	
   

  
	
  Colombia

  	
   

  	
  I-N-O

  	
   

  	
  300687

  	
   

  	
  04.08.2005

  	
   

  
	
  Colombia

  	
   

  	
  INOCAL

  	
   

  	
  302673

  	
   

  	
  16.08.2005

  	
   

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  2170-00

  	
   

  	
  29.09.2000

  	
   

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  2171-00

  	
   

  	
  29.09.2000

  	
   

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  2172-00

  	
   

  	
  29.09.2000

  	
   

  
	
  Ecuador

  	
   

  	
  I-N-O

  	
   

  	
  2520-97

  	
   

  	
  04.09.1997

  	
   

  
	
  Ecuador

  	
   

  	
  INOMAX

  	
   

  	
  4735-00

  	
   

  	
  26.07.2000

  	
   

  
	
  Ecuador

  	
   

  	
  INOCAL

  	
   

  	
  4941-97

  	
   

  	
  10.12.1997

  	
   

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  7253-00

  	
   

  	
  17.10.2000

  	
   

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  7254-00

  	
   

  	
  17.10.2000

  	
   

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  7255-00

  	
   

  	
  17.10.2000

  	
   

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  7256-00

  	
   

  	
  17.09.2000

  	
   

  
	
  Ecuador

  	
   

  	
  INOREG

  	
   

  	
  7260-00

  	
   

  	
  17.10.2000

  	
   

  
	
  Ecuador

  	
   

  	
  INOREG

  	
   

  	
  7261-00

  	
   

  	
  17.10.2000

  	
   

  
	
  Ecuador

  	
   

  	
  INOTHERAPY

  	
   

  	
  7768-00

  	
   

  	
  16.11.2000

  	
   

  
	
  Ecuador

  	
   

  	
  INOblender

  	
   

  	
  2181-07

  	
   

  	
  25.06.2007

  	
   

  
	
  Ecuador

  	
   

  	
  INOFLO

  	
   

  	
  7257-00

  	
   

  	
  17.10.2000

  	
   

  
	
  Ecuador

  	
   

  	
  INOFLO

  	
   

  	
  7258-00

  	
   

  	
  17.10.2000

  	
   

  

 

25

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  	
   

  
	
  Ecuador

  	
   

  	
  INOMAX

  	
   

  	
  1604-07

  	
   

  	
  06.12.2007

  	
   

  
	
  European
  Community

  	
   

  	
  INOPULSE

  	
   

  	
  2253482

  	
   

  	
  18.07.2002

  	
   

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  20004712

  	
   

  	
  05.06.2006

  	
   

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  20004713

  	
   

  	
  05.06.2006

  	
   

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  20004714

  	
   

  	
  05.06.1999

  	
   

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  200101402

  	
   

  	
  05.06.1999

  	
   

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  200101483

  	
   

  	
  05.06.1999

  	
   

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  200106471

  	
   

  	
  05.06.1999

  	
   

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  200106472

  	
   

  	
  05.06.1999

  	
   

  
	
  Hong
  Kong

  	
   

  	
  INOTHERAPY

  	
   

  	
  20015749

  	
   

  	
  05.06.1999

  	
   

  
	
  Hong
  Kong

  	
   

  	
  INOCAL

  	
   

  	
  2985/1998

  	
   

  	
  11.06.1996

  	
   

  
	
  Hong
  Kong

  	
   

  	
  INOMAX

  	
   

  	
  300601893

  	
   

  	
  17.03.2006

  	
   

  
	
  Hong
  Kong

  	
   

  	
  INOblender

  	
   

  	
  300619975

  	
   

  	
  13.04.2006

  	
   

  
	
  Hong
  Kong

  	
   

  	
  INOMAX

  	
   

  	
  3618/2000

  	
   

  	
  23.03.1999

  	
   

  
	
  India

  	
   

  	
  INOTHERAPY

  	
   

  	
  310288

  	
   

  	
  17.01.2005

  	
   

  
	
  India

  	
   

  	
  INOREG

  	
   

  	
  860249

  	
   

  	
  09.06.1999

  	
   

  
	
  India

  	
   

  	
  INOTHERAPY

  	
   

  	
  860252

  	
   

  	
  26.04.2005

  	
   

  
	
  India

  	
   

  	
  INOTHERAPY

  	
   

  	
  860253

  	
   

  	
  13.06.2003

  	
   

  
	
  India

  	
   

  	
  INOTHERAPY

  	
   

  	
  860254

  	
   

  	
  27.06.2006

  	
   

  
	
  India

  	
   

  	
  INOTHERAPY

  	
   

  	
  860255

  	
   

  	
  22
  01.2005

  	
   

  
	
  India

  	
   

  	
  INOREG

  	
   

  	
  860258

  	
   

  	
  09.06.1999

  	
   

  
	
  India

  	
   

  	
  I-N-O

  	
   

  	
  658085

  	
   

  	
  09.03.1995

  	
   

  
	
  India

  	
   

  	
  INOMAX

  	
   

  	
  1433164

  	
   

  	
  15.03.2006

  	
   

  
	
  Indonesia

  	
   

  	
  I-N-O

  	
   

  	
  356278

  	
   

  	
  23.03.1995

  	
   

  
	
  Indonesia

  	
   

  	
  INOMAX

  	
   

  	
  356279

  	
   

  	
  23.03.1995

  	
   

  
	
  Indonesia

  	
   

  	
  INOREG

  	
   

  	
  459267

  	
   

  	
  16.07.1999

  	
   

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  459270

  	
   

  	
  16.07.1999

  	
   

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  460301

  	
   

  	
  16.07.1999

  	
   

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  460302

  	
   

  	
  16.07.1999

  	
   

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  460303

  	
   

  	
  16.07.1999

  	
   

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  460304

  	
   

  	
  16.07.1999

  	
   

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  460305

  	
   

  	
  16.07.1999

  	
   

  
	
  Indonesia

  	
   

  	
  INOTHERAPY

  	
   

  	
  460600

  	
   

  	
  16.07.1999

  	
   

  
	
  Indonesia

  	
   

  	
  INOREG

  	
   

  	
  463975

  	
   

  	
  15.10.1999

  	
   

  
	
  Japan

  	
   

  	
  INOblender

  	
   

  	
  892785

  	
   

  	
  14.12.2007

  	
   

  
	
  Japan

  	
   

  	
  INOMAX

  	
   

  	
  893015

  	
   

  	
  29.02.2008

  	
   

  
	
  Japan

  	
   

  	
  INOMAX

  	
   

  	
  4359499

  	
   

  	
  04.02.2000

  	
   

  
	
  Japan

  	
   

  	
  INOREG

  	
   

  	
  4456726

  	
   

  	
  02.03.2001

  	
   

  
	
  Japan

  	
   

  	
  INOTHERAPY

  	
   

  	
  4478969

  	
   

  	
  01.06.2001

  	
   

  
	
  Japan

  	
   

  	
  INOMETER

  	
   

  	
  4710141

  	
   

  	
  12.09.2003

  	
   

  
	
  Japan

  	
   

  	
  INOTHERAPY

  	
   

  	
  4765385

  	
   

  	
  16.04.2004

  	
   

  
	
  Japan

  	
   

  	
  INOCAL

  	
   

  	
  4768539

  	
   

  	
  30.04.2004

  	
   

  
	
  Japan

  	
   

  	
  INOMAX

  	
   

  	
  4783465

  	
   

  	
  02.07.2004

  	
   

  
	
  Malaysia

  	
   

  	
  INOTHERAPY

  	
   

  	
  99005105

  	
   

  	
  14.06.1999

  	
   

  
	
  Malaysia

  	
   

  	
  INOTHERAPY

  	
   

  	
  99005109

  	
   

  	
  14.06.1999

  	
   

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  620493

  	
   

  	
  22.06.1999

  	
   

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  622106

  	
   

  	
  22.06.1999

  	
   

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  622107

  	
   

  	
  22.06.1999

  	
   

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  622109

  	
   

  	
  22.06.1999

  	
   

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  622110

  	
   

  	
  06.06.1999

  	
   

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  624904

  	
   

  	
  22.06.1999

  	
   

  

 

26

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  	
   

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  647546

  	
   

  	
  22.06.1999

  	
   

  
	
  Mexico

  	
   

  	
  INOTHERAPY

  	
   

  	
  656311

  	
   

  	
  22.06.1999

  	
   

  
	
  Mexico

  	
   

  	
  INOMAX

  	
   

  	
  660113

  	
   

  	
  26.06.2000

  	
   

  
	
  Mexico

  	
   

  	
  INOMETER

  	
   

  	
  824044

  	
   

  	
  07.01.2004

  	
   

  
	
  Mexico

  	
   

  	
  INOMETER

  	
   

  	
  824496

  	
   

  	
  07.01.2004

  	
   

  
	
  Mexico

  	
   

  	
  INOMETER

  	
   

  	
  825844

  	
   

  	
  07.01.2004

  	
   

  
	
  Mexico

  	
   

  	
  INOMAX

  	
   

  	
  929889

  	
   

  	
  14.03.2006

  	
   

  
	
  Mexico

  	
   

  	
  INOCAL

  	
   

  	
  980431

  	
   

  	
  21.07.2006

  	
   

  
	
  Mexico

  	
   

  	
  INOblender

  	
   

  	
  932936

  	
   

  	
  17.04.2006

  	
   

  
	
  New
  Zealand

  	
   

  	
  I-N-O

  	
   

  	
  244337

  	
   

  	
  24.01.1997

  	
   

  
	
  New
  Zealand

  	
   

  	
  INOCAL

  	
   

  	
  263005

  	
   

  	
  21.07.1997

  	
   

  
	
  New
  Zealand

  	
   

  	
  INOREG

  	
   

  	
  310700

  	
   

  	
  07.12.2000

  	
   

  
	
  New
  Zealand

  	
   

  	
  INOREG

  	
   

  	
  310701

  	
   

  	
  07.12.2000

  	
   

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310704

  	
   

  	
  07.12.2000

  	
   

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310705

  	
   

  	
  07.12.2000

  	
   

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310706

  	
   

  	
  07.12.2000

  	
   

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310707

  	
   

  	
  07.12.2000

  	
   

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310708

  	
   

  	
  07.12.2000

  	
   

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310709

  	
   

  	
  07.12.2000

  	
   

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310710

  	
   

  	
  07.12.2000

  	
   

  
	
  New
  Zealand

  	
   

  	
  INOTHERAPY

  	
   

  	
  310711

  	
   

  	
  07.12.2000

  	
   

  
	
  New
  Zealand

  	
   

  	
  INOMAX

  	
   

  	
  744310

  	
   

  	
  14.09.2006

  	
   

  
	
  New
  Zealand

  	
   

  	
  INOblender

  	
   

  	
  746071

  	
   

  	
  12.07.2007

  	
   

  
	
  Pakistan

  	
   

  	
  INOTHERAPY

  	
   

  	
  155651

  	
   

  	
  10.06.2006

  	
   

  
	
  Pakistan

  	
   

  	
  INOTHERAPY

  	
   

  	
  155653

  	
   

  	
  06.10.1999.

  	
   

  
	
  Pakistan

  	
   

  	
  INOTHERAPY

  	
   

  	
  155909

  	
   

  	
  25.06.1999

  	
   

  
	
  Pakistan

  	
   

  	
  INOCAL

  	
   

  	
  167271

  	
   

  	
  24.10.2000

  	
   

  
	
  Pakistan

  	
   

  	
  INOTHERAPY

  	
   

  	
  155656

  	
   

  	
  10.06.2006

  	
   

  
	
  Pakistan

  	
   

  	
  INOTHERAPY

  	
   

  	
  155648

  	
   

  	
  10.06.2006

  	
   

  
	
  Pakistan

  	
   

  	
  I-N-O

  	
   

  	
  167274

  	
   

  	
  24.10.2000

  	
   

  
	
  Pakistan

  	
   

  	
  INOMAX

  	
   

  	
  153912

  	
   

  	
  24.03.1999

  	
   

  
	
  Pakistan

  	
   

  	
  INOTHERAPY

  	
   

  	
  155654

  	
   

  	
  06.10.1999

  	
   

  
	
  Pakistan

  	
   

  	
  INOMAX

  	
   

  	
  219440

  	
   

  	
  03.10.2006

  	
   

  
	
  Pakistan

  	
   

  	
  INOblender

  	
   

  	
  220555

  	
   

  	
  04.07.2006

  	
   

  
	
  Philippines

  	
   

  	
  I-N-O

  	
   

  	
  4-1995-099402

  	
   

  	
  30.07.2005

  	
   

  
	
  Philippines

  	
   

  	
  INOMAX

  	
   

  	
  4-2006-003069

  	
   

  	
  13.11.2006

  	
   

  
	
  Philippines

  	
   

  	
  INOMAX

  	
   

  	
  4-2009-500140

  	
   

  	
  08.09.2009

  	
   

  
	
  Philippines

  	
   

  	
  INOMAX

  	
   

  	
  4-2006-002837

  	
   

  	
  30.04.2007

  	
   

  
	
  Philippines

  	
   

  	
  INOREG

  	
   

  	
  4-2002-007548

  	
   

  	
  20.03.2005

  	
   

  
	
  Singapore

  	
   

  	
  INOblender

  	
   

  	
  T06/18659C

  	
   

  	
  04.04.2006

  	
   

  
	
  Singapore

  	
   

  	
  INOMAX

  	
   

  	
  T06/18715H

  	
   

  	
  04.04.2006

  	
   

  
	
  Singapore

  	
   

  	
  INOCAL

  	
   

  	
  T96/05650C

  	
   

  	
  05.06.1996

  	
   

  
	
  Singapore

  	
   

  	
  INOMAX

  	
   

  	
  T99/02879I

  	
   

  	
  23.03.1999

  	
   

  
	
  Singapore

  	
   

  	
  INOMAX

  	
   

  	
  T06/18716F

  	
   

  	
  04.04.2006

  	
   

  
	
  Singapore

  	
   

  	
  INOMAX

  	
   

  	
  T06/18717D

  	
   

  	
  04.04.2006

  	
   

  
	
  Singapore

  	
   

  	
  INOblender

  	
   

  	
  T06/18657G

  	
   

  	
  04.04.2006

  	
   

  
	
  Singapore

  	
   

  	
  INOblender

  	
   

  	
  T06/18658E

  	
   

  	
  04.04.2006

  	
   

  
	
  Singapore

  	
   

  	
  INOTHERAPY

  	
   

  	
  T99/06031 E

  	
   

  	
  14.06.1999

  	
   

  
	
  Singapore

  	
   

  	
  INOTHERAPY

  	
   

  	
  T99/06033A

  	
   

  	
  14.06.1999

  	
   

  
	
  South
  Africa

  	
   

  	
  INOMAX

  	
   

  	
  1999/04450

  	
   

  	
  19.03.1999

  	
   

  
	
  South
  Africa

  	
   

  	
  INOTHERAPY

  	
   

  	
  1999/11875

  	
   

  	
  09.09.2002

  	
   

  

 

27

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Reg. No.

  	
   

  	
  Reg. Date

  	
   

  
	
  South
  Africa

  	
   

  	
  INOTHERAPY

  	
   

  	
  1999/11877

  	
   

  	
  09.09.2002

  	
   

  
	
  South
  Africa

  	
   

  	
  INOCAL

  	
   

  	
  96/07267

  	
   

  	
  03.06.1996

  	
   

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  131154

  	
   

  	
  16.10.2000

  	
   

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  137325

  	
   

  	
  01.02.2001

  	
   

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  137557

  	
   

  	
  01.02.2001

  	
   

  
	
  Taiwan

  	
   

  	
  INOMAX

  	
   

  	
  713867

  	
   

  	
  16.04.1996

  	
   

  
	
  Taiwan

  	
   

  	
  INOCAL

  	
   

  	
  766655

  	
   

  	
  16.07.1997

  	
   

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  890901

  	
   

  	
  01.05.2000

  	
   

  
	
  Taiwan

  	
   

  	
  INOREG

  	
   

  	
  907827

  	
   

  	
  01.10.2000

  	
   

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  907828

  	
   

  	
  01.10.2000

  	
   

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  908744

  	
   

  	
  16.10.2000

  	
   

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  910823

  	
   

  	
  01.11.2000

  	
   

  
	
  Taiwan

  	
   

  	
  INOTHERAPY

  	
   

  	
  922174

  	
   

  	
  01.01.2001

  	
   

  
	
  Taiwan

  	
   

  	
  INOREG

  	
   

  	
  932820

  	
   

  	
  01.03.2001

  	
   

  
	
  Taiwan

  	
   

  	
  INOMAX

  	
   

  	
  1234266

  	
   

  	
  01.11.2006

  	
   

  
	
  Taiwan

  	
   

  	
  INOblender

  	
   

  	
  1248877

  	
   

  	
  01.02.2007

  	
   

  
	
  Thailand

  	
   

  	
  INOTHERAPY

  	
   

  	
  TM121076

  	
   

  	
  08.07.1999

  	
   

  
	
  Thailand

  	
   

  	
  INOTHERAPY

  	
   

  	
  TM124636

  	
   

  	
  08.07.1999

  	
   

  
	
  Thailand

  	
   

  	
  INOblender

  	
   

  	
  TM251215

  	
   

  	
  12.04.2006

  	
   

  
	
  Thailand

  	
   

  	
  INOMAX

  	
   

  	
  TM40666

  	
   

  	
  04.04.1995

  	
   

  
	
  Thailand

  	
   

  	
  INOCAL

  	
   

  	
  TM59569

  	
   

  	
  11.07.1996

  	
   

  
	
  Thailand

  	
   

  	
  INOMAX

  	
   

  	
  TM254899

  	
   

  	
  04.04.1995

  	
   

  
	
  Uruguay

  	
   

  	
  I-N-O

  	
   

  	
  381.551

  	
   

  	
  04.08.2007

  	
   

  
	
  Uruguay

  	
   

  	
  INOblender

  	
   

  	
  370.252

  	
   

  	
  16.05.2007

  	
   

  
	
  Uruguay

  	
   

  	
  INOMAX

  	
   

  	
  369.364

  	
   

  	
  28.03.2007

  	
   

  
	
  Uruguay

  	
   

  	
  INOCAL

  	
   

  	
  392.509

  	
   

  	
  05.06.2008

  	
   

  
	
  Uruguay

  	
   

  	
  INOMAX

  	
   

  	
  312.214

  	
   

  	
  26.11.2001

  	
   

  
	
  Uruguay

  	
   

  	
  INOREG

  	
   

  	
  314.479

  	
   

  	
  01.08.2000

  	
   

  
	
  Uruguay

  	
   

  	
  INOTHERAPY

  	
   

  	
  314.481

  	
   

  	
  01.08.2000

  	
   

  
	
  Venezuela

  	
   

  	
  I-N-O

  	
   

  	
  197278-P

  	
   

  	
  09.05.1997

  	
   

  
	
  Venezuela

  	
   

  	
  INOCAL

  	
   

  	
  8395/96

  	
   

  	
  23.01.1998

  	
   

  
	
  Venezuela

  	
   

  	
  INOREG

  	
   

  	
  P-222131

  	
   

  	
  07.07.2000

  	
   

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  P-222134

  	
   

  	
  07.07.2000

  	
   

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  P-222135

  	
   

  	
  07.07.2000

  	
   

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  P-222136

  	
   

  	
  07.07.2000

  	
   

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  P-222137

  	
   

  	
  07.07.2000

  	
   

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  P-227171

  	
   

  	
  28.09.2000

  	
   

  
	
  Venezuela

  	
   

  	
  INOREG

  	
   

  	
  P-245654

  	
   

  	
  22.11.2000

  	
   

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  S-13330

  	
   

  	
  07.07.2000

  	
   

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  S-13331

  	
   

  	
  07.07.2000

  	
   

  
	
  Venezuela

  	
   

  	
  INOTHERAPY

  	
   

  	
  S-13332

  	
   

  	
  07.07.2000

  	
   

  
	
  Venezuela

  	
   

  	
  INOMAX

  	
   

  	
  P275561

  	
   

  	
  30.11.2006

  	
   

  
	
  Venezuela

  	
   

  	
  INOblender

  	
   

  	
  P282088

  	
   

  	
  24.10.2007

  	
   

  

 

(v)              Non-U.S. Trademark Applications

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Application No.

  	
   

  	
  Application Date

  	
   

  
	
  Canada

  	
   

  	
  INOblender

  	
   

  	
  1296888

  	
   

  	
  06.04.2006

  	
   

  
	
  India

  	
   

  	
  INOblender

  	
   

  	
  1447168

  	
   

  	
  12.04.2006

  	
   

  
	
  Malaysia

  	
   

  	
  I-N-O

  	
   

  	
  95/03799

  	
   

  	
  24.04.1995

  	
   

  
	
  Malaysia

  	
   

  	
  INOTHERAPY

  	
   

  	
  99/05110

  	
   

  	
  14.06.1999

  	
   

  

 

28

 

	
  Country

  	
   

  	
  Mark

  	
   

  	
  Application No.

  	
   

  	
  Application Date

  	
   

  
	
  Malaysia

  	
   

  	
  INOMAX

  	
   

  	
  2006/04524

  	
   

  	
  22.03.2006

  	
   

  
	
  Malaysia

  	
   

  	
  INOblender

  	
   

  	
  2006/06346

  	
   

  	
  19.04.2006

  	
   

  
	
  Philippines

  	
   

  	
  INOCAL

  	
   

  	
  4-2004-07800

  	
   

  	
  24.08.2004

  	
   

  
	
  Philippines

  	
   

  	
  INOTHERAPY

  	
   

  	
  4-2006-003070

  	
   

  	
  17.03.2006

  	
   

  
	
  Philippines

  	
   

  	
  INOblender

  	
   

  	
  4-2006-003882

  	
   

  	
  07.04.2006

  	
   

  
	
  Singapore

  	
   

  	
  INOTHERAPY

  	
   

  	
  T99/06034Z

  	
   

  	
  14.06.1999

  	
   

  
	
  South
  Africa

  	
   

  	
  INOMAX

  	
   

  	
  2006/05226

  	
   

  	
  13.03.2006

  	
   

  
	
  South
  Africa

  	
   

  	
  INOblender

  	
   

  	
  2006/07894

  	
   

  	
  07.04.2006

  	
   

  
	
  Taiwan

  	
   

  	
  INOblender

  	
   

  	
  Pending

  	
   

  	
  05.04.2006

  	
   

  
	
  Uruguay

  	
   

  	
  INOMAX

  	
   

  	
  369364

  	
   

  	
  10.03.2006

  	
   

  
	
  Uruguay

  	
   

  	
  INOblender

  	
   

  	
  370252

  	
   

  	
  20.04.2006

  	
   

  
	
  Venezuela

  	
   

  	
  INOMAX

  	
   

  	
  6130-99

  	
   

  	
  25.03.1999

  	
   

  
	
  Venezuela

  	
   

  	
  INOblender

  	
   

  	
  7649-06

  	
   

  	
  07.04.2006

  	
   

  

 

(vi)           Trade Marks licensed by INO Therapeutics LLC from
Datex-Ohmeda Inc.

 

	
  Owner

  	
   

  	
  Territory

  	
   

  	
  Mark

  	
   

  	
  Registration

  Number

  	
   

  	
  Date of

  Registration

  	
   

  
	
  DATEX-OHMEDA
  INC.

  	
   

  	
  U.S.
  Federal

  	
   

  	
  INOVENT

  	
   

  	
  2100392

  	
   

  	
  23.09.1997

  	
   

  
	
  DATEX-OHMEDA INC.

  	
   

  	
  Canada

  	
   

  	
  INOVENT

  	
   

  	
  TMA602882

  	
   

  	
  20.02.2004

  	
   

  
	
  OHMEDA,
  INC.

  	
   

  	
  Mexico

  	
   

  	
  INOVENT

  	
   

  	
  640079

  	
   

  	
  31.01.2000

  	
   

  
	
  OHMEDA, INC.

  	
   

  	
  Austria

  	
   

  	
  INOVENT

  	
   

  	
  166155

  	
   

  	
  10.09.1996

  	
   

  
	
  DATEX-OHMEDA INC.

  	
   

  	
  Benelux

  	
   

  	
  INOVENT

  	
   

  	
  597358

  	
   

  	
  —

  	
   

  
	
  DATEX-OHMEDA INC.

  	
   

  	
  Czech
  Republic

  	
   

  	
  INOVENT

  	
   

  	
  204847

  	
   

  	
  30.10.1997

  	
   

  
	
  OHMEDA,
  INC.

  	
   

  	
  Denmark

  	
   

  	
  INOVENT

  	
   

  	
  1996 4228 VR

  	
   

  	
  12.07.1996

  	
   

  
	
  DATEX-OHMEDA INC.

  	
   

  	
  Finland

  	
   

  	
  INOVENT

  	
   

  	
  205107

  	
   

  	
  14.03.1997

  	
   

  
	
  DATEX-OHMEDA INC.

  	
   

  	
  France

  	
   

  	
  INOVENT

  	
   

  	
  96 628313

  	
   

  	
  —

  	
   

  
	
  DATEX-OHMEDA INC.

  	
   

  	
  Germany

  	
   

  	
  INOVENT

  	
   

  	
  39624872

  	
   

  	
  17.09.1996

  	
   

  
	
  DATEX-OHMEDA
  INC.

  	
   

  	
  Hungary

  	
   

  	
  INOVENT

  	
   

  	
  149063

  	
   

  	
  10.03.1998

  	
   

  
	
  DATEX-OHMEDA
  INC.

  	
   

  	
  Ireland

  	
   

  	
  INOVENT

  	
   

  	
  175919

  	
   

  	
  —

  	
   

  
	
  OHMEDA,
  INC.

  	
   

  	
  Italy

  	
   

  	
  INOVENT

  	
   

  	
  745601

  	
   

  	
  31.03.1998

  	
   

  
	
  DATEX-OHMEDA
  INC.

  	
   

  	
  Latvia

  	
   

  	
  INOVENT

  	
   

  	
  M
  40 003

  	
   

  	
  20.03.1998

  	
   

  
	
  DATEX-OHMEDA
  INC.

  	
   

  	
  Lithuania

  	
   

  	
  INOVENT

  	
   

  	
  32550

  	
   

  	
  08.04.1999

  	
   

  
	
  DATEX-OHMEDA INC.

  	
   

  	
  Norway

  	
   

  	
  INOVENT

  	
   

  	
  181568

  	
   

  	
  24.04.1997

  	
   

  
	
  DATEX-OHMEDA INC.

  	
   

  	
  Poland

  	
   

  	
  INOVENT

  	
   

  	
  114075

  	
   

  	
  07.10.1999

  	
   

  
	
  DATEX-OHMEDA INC.

  	
   

  	
  Portugal

  	
   

  	
  INOVENT

  	
   

  	
  317613 MNA

  	
   

  	
  05.03.1997

  	
   

  
	
  DATEX-OHMEDA INC.

  	
   

  	
  Spain

  	
   

  	
  INOVENT

  	
   

  	
  2033843M0

  	
   

  	
  16.12.1997

  	
   

  
	
  DATEX-OHMEDA
  INC.

  	
   

  	
  Switzerland

  	
   

  	
  INOVENT

  	
   

  	
  P
  440217

  	
   

  	
  —

  	
   

  
	
  DATEX-OHMEDA
  INC.

  	
   

  	
  United
  Kingdom

  	
   

  	
  INOVENT

  	
   

  	
  2102255

  	
   

  	
  —

  	
   

  
	
  DATEX-OHMEDA INC.

  	
   

  	
  Australia

  	
   

  	
  INOVENT

  	
   

  	
  710275

  	
   

  	
  07.06.1996

  	
   

  
	
  DATEX-OHMEDA INC.

  	
   

  	
  Japan

  	
   

  	
  INOVENT

  	
   

  	
  4071529

  	
   

  	
  17.10.1997

  	
   

  

 

29

 

(b)         Patents and Patent Applications

 

(i)                  Patents and Patent Applications
Owned by INO Therapeutics LLC

 

	
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(ii)               Patents and Patent Applications
Co-Owned by INO Therapeutics and VenTek LLC

 

	
  Family

  	
   

  	
  Country

  	
   

  	
  Serial No.

  	
   

  	
  Filing Date

  	
   

  	
  Patent or Pub. No.

  	
   

  	
  Issue / Pub

  Date

  	
   

  
	
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(iii)            Patents Owned by INO Therapeutics LLC

 

	
  Family

  	
   

  	
  Country

  	
   

  	
  Serial No.

  	
   

  	
  Filing Date

  	
   

  	
  Patent or Pub. No.

  	
   

  	
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30

 

	
   

  	
   

  	
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[**]

 

	
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31

 

	
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[**]

 

(c)          Patents and Patent Applications Licensed by INO
Therapeutics LLC

 

[**]

 

	
  Family

  	
   

  	
  Country

  	
   

  	
  Serial No.

  	
   

  	
  Filing Date

  	
   

  	
  Patent or Pub. No.

  	
   

  	
  Issue /Pub Date

  	
   

  
	
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A total of nine pages were omitted and filed
separately with the Securities and Exchange Commission pursuant to a request
for confidential treatment.

 

[**]

 

(C)          Ikaria
Therapeutics LLC

 

(a) Trademarks.

·                  Lucassin®.

·                  Lucassin® rights in
Australia, Canada and Mexico.

 

32

 

(D)          Ikaria Development Subsidiary One LLC

 

(a) Patents.

 

(i)                  U.S. Patents/Patent applications

 

 

In-license
from Bioline

 

	
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  Type

  	
   

  	
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(ii)               Non-U.S. Patents/Patent
applications

 

	
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(E)           Ikaria Development Subsidiary Two LLC

 

(a) Patents.

 

(i)                  U.S. Patents/Patent Applications

 

In-licensed from Fibrex

 

	
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33

 

	
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(ii)               Non-U.S. Patents

 

In-licensed from Fibrex

 

	
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  Type

  	
   

  	
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34

 

SCHEDULE 13B

 

Copyrights and Copyright Licenses

 

None.

 

 

SCHEDULE 14

 

Commercial Tort Claims

 

None.Exhibit 10.3

 

AMENDED AND RESTATED

IKARIA HOLDINGS, INC.

2010 LONG TERM INCENTIVE
PLAN

 

Adopted by the Board of Directors: May 4, 2010

Approved by the Stockholders:  May
6, 2010

 

 

AMENDED AND RESTATED

IKARIA HOLDINGS, INC.

2010
LONG TERM INCENTIVE PLAN

Table of Contents

 

	
   

  	
   

  	
  Page

  
	
   

  	
   

  	
   

  
	
  1.

  	
  Purpose

  	
  1

  
	
   

  	
   

  	
   

  
	
  2.

  	
  Definitions

  	
  1

  
	
   

  	
   

  	
   

  
	
  3.

  	
  Administration

  	
  5

  
	
   

  	
   

  	
   

  
	
  4.

  	
  Stock Subject to the Plan; Grant Limitations

  	
  7

  
	
   

  	
   

  	
   

  
	
  5.

  	
  Option Grants for Eligible Individuals

  	
  8

  
	
   

  	
   

  	
   

  
	
  6.

  	
  Terms and Conditions Applicable to All Options

  	
  9

  
	
   

  	
   

  	
   

  
	
  7.

  	
  Stock Appreciation Rights

  	
  11

  
	
   

  	
   

  	
   

  
	
  8.

  	
  Dividend Equivalent Rights

  	
  12

  
	
   

  	
   

  	
   

  
	
  9.

  	
  Restricted Stock; Restricted Stock Units

  	
  13

  
	
   

  	
   

  	
   

  
	
  10.

  	
  Performance Awards

  	
  14

  
	
   

  	
   

  	
   

  
	
  11.

  	
  Share Awards

  	
  19

  
	
   

  	
   

  	
   

  
	
  12.

  	
  Effect of a Termination of Employment or Service

  	
  19

  
	
   

  	
   

  	
   

  
	
  13.

  	
  Adjustment Upon Changes in Capitalization

  	
  19

  
	
   

  	
   

  	
   

  
	
  14.

  	
  Effect of Certain Transactions

  	
  20

  
	
   

  	
   

  	
   

  
	
  15.

  	
  Interpretation

  	
  21

  
	
   

  	
   

  	
   

  
	
  16.

  	
  Termination and Amendment of the Plan/Modification
  of Options and Awards

  	
  21

  
	
   

  	
   

  	
   

  
	
  17.

  	
  Non-Exclusivity of the Plan

  	
  22

  
	
   

  	
   

  	
   

  
	
  18.

  	
  Limitation of Liability

  	
  22

  
	
   

  	
   

  	
   

  
	
  19.

  	
  Regulations and Other Approvals; Governing Law

  	
  22

  
	
   

  	
   

  	
   

  
	
  20.

  	
  Miscellaneous

  	
  23

  

 

 

AMENDED AND RESTATED

IKARIA HOLDINGS, INC.

2010 LONG TERM INCENTIVE
PLAN

 

1.                                       Purpose.

 

This Plan provides select
employees, officers, consultants and directors of the Company and its
Subsidiaries with an opportunity to receive long term incentive awards as set
forth by the terms and conditions of this Plan. 
These awards have been designed to motivate recipients to achieve short
term and longer term results for the Company, with an expectation that their
expertise will contribute to the attainment of key business goals that will
further benefit shareholders.  Awards
under this Plan include Incentive Stock Options, Nonqualified Stock Options,
Stock Appreciation Rights, Restricted Stock, Restricted Stock Units, Dividend
Equivalent Rights, Performance Units, Performance Share Units,
Performance-Based Restricted Stock, Share Awards and Cash Incentive Awards (as
each term is herein defined).

 

2.                                       Definitions.

 

For purposes of the Plan, the following terms shall
have the following meanings:

 

“Affiliate” means, with respect to any
Person, any other Person which, directly or indirectly, controls, is controlled
by or is under common control with, such Person.

 

“Agreement” means the written agreement
between the Company and an Optionee or Grantee evidencing the grant of an
Option or Award and setting forth the terms and conditions thereof.

 

“Award” means a Stock-Based Award or a Cash
Incentive Award.

 

“Board” means the Board of Directors of the
Company.

 

“Cash Incentive Award” means the right
granted to an Eligible Individual to receive a payment of cash pursuant to Section 10.3.

 

“Change in Capitalization” means any increase
or reduction in the number of Shares, or any change (including, but not limited
to, in the case of a spin-off, extraordinary dividend or other extraordinary
distribution in respect of Shares, a change in value) in the Shares or exchange
of Shares for a different number or kind of shares or other securities of the
Company or another corporation, by reason of a reclassification,
recapitalization, merger, consolidation, reorganization, spin-off, split-up,
issuance of warrants or rights or debentures, stock dividend, stock split or
reverse stock split, cash dividend, property dividend, combination or exchange
of shares, repurchase of shares, change in corporate structure or other,
similar transaction or event.

 

“Code” means the Internal Revenue Code of
1986, as amended.

 

“Committee” means the Compensation Committee
of the Board, or a subcommittee thereof, which shall administer the Plan and
perform the functions set forth herein; 

 

 

provided, that, if there is no Compensation Committee of the
Board, or if the Board determines that the Compensation Committee shall not be
the Committee, then the Committee shall be the Board or such Directors as are
appointed to the Committee by the Board.

 

“Company” means Ikaria Holdings, Inc., a
Delaware corporation, and shall include any successor thereto by merger,
consolidation, acquisition of substantially all the assets thereof, or
otherwise.

 

“Director” means a director of the Company.

 

“Dividend Equivalent Right” means a right to
receive all or some portion of the cash dividends that are or would be payable
with respect to Shares.

 

“Division” means any of the operating units
or divisions of the Company or any Subsidiary designated as a Division by the
Committee.

 

“Eligible Individual” means any of the
following individuals who is designated by the Committee as eligible to receive
Options or Awards subject to the conditions set forth herein:  (i) any director, officer or employee of
the Company or a Subsidiary, (ii) any individual to whom the Company or a
Subsidiary has extended a formal, written offer of employment or (iii) any
consultant or advisor of the Company or a Subsidiary.

 

“Exchange Act” means the Securities Exchange
Act of 1934, as amended.

 

“Fair Market Value” on any date means (i) the
closing price at the end of normal market hours of the Shares on such date as
quoted on the National Association of Securities Dealers Automated Quotation
System (the “Nasdaq”), (ii) if the Shares are not quoted on the
Nasdaq but are listed for trading on the New York Stock Exchange (the “NYSE”)
or other national securities exchange, the closing price at the close of the
primary trading session of the Shares on such date on the NYSE (or, if the
Shares are not listed for trading on the NYSE, on such other exchange) or (iii) if
the Shares are not listed on the Nasdaq, the NYSE or other national exchange,
or if there is no such closing price for such date on the Nasdaq, the NYSE or
other national exchange, the fair market value of the Shares as determined in
good faith by the Committee (and, if applicable, in accordance with Sections 409A
and 422 of the Code).

 

“Grantee” means a person to whom an Award has
been granted under the Plan.

 

“Incentive Stock Option” means an Option
satisfying the requirements of Section 422 of the Code and designated by
the Committee as an Incentive Stock Option.

 

“Initial Public Offering” shall have the
meaning ascribed to such term in the Company’s Amended and Restated Certificate
of Incorporation as may be amended from time to time.  An Initial Public Offering shall be deemed to
have been consummated if and when the registration statement in connection with
such public offering shall have been declared effective and the offering of
securities thereunder shall have closed in accordance with the terms of the
related underwriting agreement.

 

2

 

“Listed Security” means any security of the
Company that is listed or approved for listing on a national securities
exchange.

 

“Non-Employee Director” means a director of
the Company who is a “non-employee director” within the meaning of Rule 16b-3
promulgated under the Exchange Act.

 

“Non-Voting Common Stock” means the
non-voting common stock of the Company, par value $0.01 per share.

 

“Nonqualified Stock Option” means an Option
which is not an Incentive Stock Option.

 

“Option” means a Nonqualified Stock Option or
an Incentive Stock Option.

 

“Optionee” means a person to whom an Option
has been granted under the Plan.

 

“Outside Director” means a director of the
Company who is an “outside director” within the meaning of Section 162(m) of
the Code and the regulations promulgated thereunder.

 

“Parent” means any corporation which is a
parent corporation (within the meaning of Section 424(e) of the Code)
with respect to the Company.

 

“Performance Awards” means Performance Units,
Performance Share Units, Performance-Based Restricted Stock, Cash Incentive
Awards or any or all of them.

 

“Performance-Based Compensation” means any
Option or Award that is intended to constitute “performance based compensation”
within the meaning of Section 162(m)(4)(C) of the Code and the
regulations promulgated thereunder.

 

“Performance-Based Restricted Stock” means
Shares of Restricted Stock issued or transferred to an Eligible Individual
under Section 10.2.

 

“Performance Cycle” means a time period of not
less than one year as specified by the Committee at the time Performance Awards
or Cash Incentive Awards are granted during which the performance of the
Company, a Subsidiary or a Division will be measured.

 

“Performance Objectives” has the meaning set forth
in Section 10.4.

 

“Performance Share Units” means Performance
Share Units granted to an Eligible Individual under Section 10.1.

 

“Performance Units” means Performance Units
granted to an Eligible Individual under Section 10.1.

 

“Person” means an individual, a corporation,
a partnership, a limited liability company, an association, a trust or any
other entity or organization, including a government or political subdivision
or an agency or instrumentality thereof.

 

3

 

“Plan” means the Amended and Restated Ikaria
Holdings, Inc. 2010 Long Term Incentive Plan, as amended and restated from
time to time.

 

“Recaptured Shares” has the meaning set forth
in Section 4.2(b).

 

“Restricted Stock” means Shares issued or transferred
to an Eligible Individual pursuant to Section 9.1.

 

“Restricted Stock Units” means rights granted
to an Eligible Individual under Section 9.2 representing a number of
hypothetical Shares.

 

“Securities Act” means the Securities Act of
1933, as amended.

 

“Share Award” means an Award of Shares
granted pursuant to Section 11.

 

“Shareholder’s Agreement” means the
Shareholder’s Agreement governing the rights, duties and obligations of certain
present or former employees, officers, consultants and directors of the Company
with respect to Shares issued pursuant to Options or Awards granted or sold to
such persons, in such form as is in use by the Company from time to time.

 

“Shares” means (i) the Non-Voting Common
Stock, prior to the consummation of an Initial Public Offering, and (ii) the
Voting Common Stock, from and after the consummation of an Initial Public
Offering.

 

“Stock Appreciation Right” means a right to
receive all or some portion of the increase in the value of the Shares as
provided in Section 7 hereof.

 

“Stock-Based Award” means a grant of
Restricted Stock, Restricted Stock Units, a Stock Appreciation Right, a
Performance Award, a Dividend Equivalent Right, a Share Award or any or all of
them.

 

“Subsidiary” means (i) except as
provided in subsection (ii) below, any corporation which is a subsidiary
corporation within the meaning of Section 424(f) of the Code with
respect to the Company, and (ii) in relation to the eligibility to receive
Options or Awards other than Incentive Stock Options and continued employment
or service for purposes of Options and Awards (unless the Committee determines
otherwise), any entity, whether or not incorporated, in which the Company
directly or indirectly owns 50% or more of the outstanding equity or other ownership
interests.

 

“Taxable Event” has the meaning set forth in Section 20.2.

 

“Ten-Percent Stockholder” means an Eligible
Individual who, at the time an Incentive Stock Option is to be granted to him
or her, owns (within the meaning of Section 422(b)(6) of the Code)
stock possessing more than 10% of the total combined voting power of all
classes of stock of the Company, or of a Parent or a Subsidiary.

 

“Transition Period” means the period
beginning with the consummation of an Initial Public Offering and ending as of
the earlier of (i) the date of the first annual meeting of 

 

4

 

shareholders
of the Company at which directors are to be elected that occurs after the close
of the third calendar year following the calendar year in which the Initial
Public Offering occurs and (ii) the expiration of the “reliance period”
under Treasury Regulation Section 1.162-27(f)(2).

 

“Voting Common Stock” means the voting common
stock of the Company, par value $0.01 per share.

 

“Withholding Taxes” has the meaning set forth
in Section 20.2.

 

3.                                       Administration.

 

3.1.                              The Plan shall
be administered by the Committee, which shall hold meetings at such times as
may be necessary for the proper administration of the Plan.  Any decision or determination reduced to
writing and signed by a majority of all of the members of the Committee shall
be as fully effective as if made by a majority vote at a meeting duly called
and held.  The Committee shall consist of
at least two Directors and may consist of the entire Board; provided, however,
that from and after the consummation of an Initial Public Offering (a) if
the Committee consists of less than the entire Board, then, with respect to any
Option or Award granted to an Eligible Individual who is subject to Section 16
of the Exchange Act, the Committee shall consist of at least two Directors,
each of whom shall be a Non-Employee Director, and (b) following the
Transition Period, to the extent necessary for any Option or Award intended to
qualify as Performance-Based Compensation to so qualify, the Committee shall
consist of at least two Directors, each of whom shall be an Outside
Director.  For purposes of the preceding
sentence, if one or more members of the Committee is not a Non-Employee
Director and/or an Outside Director but recuses himself or herself or abstains
from voting with respect to a particular action taken by the Committee, then
the Committee, with respect to that action, shall be deemed to consist only of
the members of the Committee who have not recused themselves or abstained from
voting.  A quorum shall consist of not
fewer than two members of the Committee and a majority of a quorum may
authorize any action.  The Board may, in
its sole discretion, permit the Chief Executive Officer of the Company to
exercise the authority granted to the Committee pursuant to Sections 3.4(a) and
(b) with respect to other Eligible Individuals (other than Eligible
Individuals subject to Section 16 of the Exchange Act or receiving
compensation subject to Section 162(m) of the Code), subject to such
limitations as imposed by the Board in its discretion and subject to compliance
with Section 157(c) of the Delaware General Corporation Law, as
amended from time to time.

 

3.2.                              Board
Reservation and Delegation.  Except to the extent necessary for any Award
or Option intended to qualify as Performance-Based Compensation to so qualify,
the Board may, in its discretion, reserve to itself or exercise any or all of
the authority and responsibility of the Committee hereunder and may also
delegate to another committee of the Board any or all of the authority and
responsibility of the Committee with respect to Awards or Options to Eligible
Individuals who are not subject to Section 16(b) of the Exchange Act
at the time any such delegated authority or responsibility is exercised.  Such other committee may consist of one or
more Directors who may, but need not be, officers or employees of the Company
or any of its Subsidiaries.  To the
extent the Board has reserved to itself, or exercised, the authority and
responsibility of the Committee, or delegated the authority and responsibility
of 

 

5

 

the Committee to such other committee, all
references to the Committee in the Plan shall be to the Board or to such other
committee.

 

3.3.                              No member of
the Committee shall be liable for any action, failure to act, determination or
interpretation made in good faith with respect to this Plan or any transaction
hereunder.  The Company hereby agrees to
indemnify each member of the Committee for all costs and expenses and, to the
extent permitted by applicable law, any liability incurred in connection with
defending against, responding to, negotiating for the settlement of or
otherwise dealing with any claim, cause of action or dispute of any kind
arising in connection with any actions in administering this Plan or in
authorizing or denying authorization to any transaction hereunder.

 

3.4.                              Subject to the
express terms and conditions set forth herein, the Committee shall have the
power from time to time to:

 

(a)                                  determine those Eligible
Individuals to whom Options shall be granted under the Plan and the number of
such Options to be granted and to prescribe the terms and conditions (which
need not be identical) of each such Option, including the exercise price per
Share, the vesting schedule and the duration of each Option, and make any
amendment or modification to any Option Agreement consistent with the terms of
the Plan;

 

(b)                                 select those Eligible Individuals
to whom Stock-Based Awards and/or Cash Incentive Awards shall be granted under
the Plan and to determine the number of Shares in respect of which each
Stock-Based Award is granted, and the terms and conditions (which need not be
identical) of each such Award, and make any amendment or modification to any
Agreement consistent with the terms of the Plan;

 

(c)                                  to construe and interpret
the Plan and the Options and Awards granted hereunder and to establish, amend
and revoke rules and regulations for the administration of the Plan,
including, but not limited to, correcting any defect or supplying any omission,
or reconciling any inconsistency in the Plan or in any Agreement, in the manner
and to the extent it shall deem necessary or advisable, including so that the
Plan and the operation of the Plan complies with Rule 16b-3 under the
Exchange Act, Sections 162(m) and 409A of the Code (to the extent
applicable) and other applicable law, and otherwise to make the Plan fully
effective;

 

(d)                                 to make such adjustments to
the Options and Awards as are required by Section 13;

 

(e)                                  to determine the duration
and purposes for leaves of absence which may be granted to an Optionee or
Grantee on an individual basis without constituting a termination of employment
or service for purposes of the Plan;

 

(f)                                    to exercise its discretion
with respect to the powers and rights granted to it as set forth in the Plan;
and

 

6

 

(g)                                 generally, to exercise such
powers and to perform such acts as are deemed necessary or advisable to promote
the best interests of the Company with respect to the Plan.

 

All
decisions and determinations by the Committee in the exercise of the foregoing
powers shall be final, binding and conclusive upon the Company, each
Subsidiary, the Optionees and Grantees, and all other persons having or
claiming any interest under the Plan or any Option or Award granted hereunder.

 

3.5.                              Notwithstanding
anything herein to the contrary, the Committee may determine the terms and
conditions of Options and Awards and make such adjustments to the terms thereof
and to the Plan as are necessary or advisable to fulfill the purposes of the
Plan taking into account matters of local law or practice, including tax and
securities laws of the individual States and of jurisdictions outside the
United States.  Any such adjustments to
the Plan shall be evidenced by one or more written supplements to the Plan.

 

4.                                       Stock
Subject to the Plan; Grant Limitations.

 

4.1.                              Number of
Shares Authorized for Issuance; Limitations on Options and  Awards.  Subject to any adjustment as provided in the
Plan, the Shares to be issued under the Plan may be, in whole or in part,
authorized but unissued Shares or issued Shares which shall have been
reacquired by the Company and held by it as treasury shares.  The aggregate number of Shares that may be
made the subject of Awards or Options granted under the Plan shall initially be
2,793,062 (calculated as set forth in Section 4.2):
provided, that, prior to the termination of the Plan in accordance with Section 16.1,
that number shall be increased automatically on January 1st of each year
commencing on January 1, 2011, in an amount such that the aggregate
number of Shares that may be made the subject of Awards or Options granted
under the Plan as of such January 1
shall be equal to the sum of (i) 3% of the total number of shares of Voting Common Stock ,Non-Voting Common
Stock, Series A Preferred and Series B Preferred issued and
outstanding on December 31st of the immediately preceding calendar year
and (ii) the number of Recaptured Shares that have not previously been
made the  subject of Awards or Options
hereunder; provided, that the Board may in its sole discretion reduce
the amount of the increase in any particular year.  In no event may more than 20 million Shares
be made the subject of Incentive Stock Options under the Plan
(calculated as set forth in Section 4.2).

 

4.2.                              Calculating
Shares Available under the Plan.

 

(a)                                  Upon the granting of an
Option or an Award, the number of Shares available under Section 4.1 for
the granting of further Options and Awards shall be reduced as follows:

 

(i)                                     In connection with the
granting of an Option or an Award (other than the granting of (A) Performance
Units, (B) Cash Incentive Awards, (C) Dividend Equivalent Rights or (D) other
Awards payable in cash), the number of Shares shall be reduced by the number of
Shares in respect of which the Option or Award is granted or denominated, 

 

7

 

with a corresponding adjustment if an Award is ultimately settled in
whole or in part in a greater or lesser number of Shares.

 

(ii)                                  In connection with the
granting of a Performance Unit, the number of Shares shall initially be reduced
by an amount equal to the quotient of (A) the dollar amount in which the
Performance Unit is denominated divided by (B) the Fair Market Value of a
Share on the date the Performance Unit is granted, with a corresponding
adjustment if the Performance Unit is ultimately settled in whole or in part in
a greater or lesser number of Shares.

 

(iii)                               In connection with the
granting of a Dividend Equivalent or a Cash Incentive Award, the number of
Shares available under Section 4.1 shall not be reduced; provided, however,
that if Shares are issued in settlement of such an Award, the number of Shares
available for the granting of further Options and Awards under Section 4.1
shall be reduced by the number of Shares so issued.

 

(iv)                              If any Option is exercised (A) by
tendering Shares, either actually or by attestation, to the Company as full or
partial payment of the exercise price or (B) by the Company reducing the
number of Shares to be issued upon exercise of such Option in full or partial
payment of the exercise price, the maximum number of Shares available under Section 4.1
shall be increased by the number of Shares so tendered or by the amount of such
reduction.

 

(v)                                 If Shares subject to any
Option or Award are retained by the Company in satisfaction of any Withholding
Taxes payable by an Optionee or Grantee, then the maximum number of Shares
available under Section 4.1 shall be increased by the number of Shares so
retained.

 

(b)                                 Notwithstanding Section 4.2(a),
in the event that an Award is granted that, pursuant to the terms of an Agreement,
cannot be settled in Shares, the aggregate number of Shares that may be the
subject of Options or Awards granted under the Plan shall not be reduced to
reflect such Award.  Whenever any
outstanding Option or Award or portion thereof expires, is cancelled or
forfeited, is settled in cash or is otherwise terminated for any reason without
having been exercised or payment having been made in respect of the entire
Option or Award, the Shares allocable to the expired, cancelled, forfeited,
settled or otherwise terminated portion of the Option or Award (“Recaptured
Shares”) may again be the subject of Options or Awards granted hereunder.
In addition, upon settlement of a Stock Appreciation Right in Shares, the
excess of the number of Shares subject to the Stock Appreciation Right over the
number of Shares issued in settlement of the Stock Appreciation Right may again
be the subject of Options or Awards granted hereunder.

 

5.                                       Option
Grants for Eligible Individuals.

 

5.1.                              Authority of
Committee.  Subject to
the provisions of the Plan, the Committee shall have full and final authority
to select those Eligible Individuals who will receive Options, and the terms
and conditions of the grant to such Eligible Individuals shall be set forth in
an Agreement.  Incentive Stock Options
may be granted only to Eligible Individuals who are employees of the Company or
a Subsidiary.

 

8

 

5.2.                              Exercise Price.  The purchase price per Share under each
Option shall be determined by the Committee and set forth in the Agreement but
shall not be less than the Fair Market Value of a Share on the date of grant
(110% of Fair Market Value in the case of an Incentive Stock Option granted to
a Ten-Percent Stockholder).

 

5.3.                              Maximum
Duration.  Options
shall not be exercisable after the expiration of ten years from the date of
grant (five years in the case of an Incentive Stock Option granted to a Ten-Percent
Stockholder); provided, however, that an Option (other than
an Incentive Stock Option) may, upon the death of the Participant prior to the
expiration of the Option, be exercised for such period following the date of
the Participant’s death as the Committee determines which may extend for up to
one (1) year beyond ten (10) years from the date the Option is
granted.  The term of an Option shall be
set forth in the Agreement evidencing such Option.  To the extent permitted by applicable law,
the Committee may, subsequent to the granting of any Option, extend the term
thereof, but in no event shall the term as so extended exceed the maximum term
provided for in the first sentence of this Section 5.3.

 

5.4.                              Vesting.  Each Option shall become exercisable in such
installments (which need not be equal) and at such times as may be designated
by the Committee and set forth in the Agreement.  To the extent not exercised, installments
shall accumulate and be exercisable, in whole or in part, at any time after
becoming exercisable, but not later than the date the Option expires.  The Committee may accelerate the
exercisability of any Option or portion thereof at any time.

 

5.5.                              Limitations on
Incentive Stock Options.  To
the extent that the aggregate Fair Market Value (determined as of the date of
the grant) of Shares with respect to which Incentive Stock Options granted
under the Plan and “incentive stock options” (within the meaning of Section 422
of the Code) granted under all other plans of the Company or its Subsidiaries
(in either case determined without regard to this Section 5.5) are
exercisable by an Optionee for the first time during any calendar year exceeds
$100,000, such Incentive Stock Options shall be treated as Nonqualified Stock
Options.  In applying the limitation in
the preceding sentence in the case of multiple Option grants, Options which
were intended to be Incentive Stock Options shall be treated as Nonqualified
Stock Options according to the order in which they were granted such that the
most recently granted Options are first treated as Nonqualified Stock Options.

 

5.6.                              Options Granted
to California Residents. 
Options granted under the Plan on any date on which the Shares are not a
Listed Security to persons resident in the State of California shall be subject
to the provisions set forth in Attachment A hereto.  To the extent the provisions of the Plan
conflict with the provisions set forth on Attachment A, the provisions
on Attachment A shall govern the terms of such Options.

 

6.                                       Terms
and Conditions Applicable to All Options.

 

6.1.                              No Sale or
Transfer.  Except to
the extent permitted by the Committee with respect to Nonqualified Stock
Options, no Option shall be transferable by the Optionee other than by will or
by the laws of descent and distribution or, in the case of an Option other than
an Incentive Stock Option, pursuant to a domestic relations order (within the
meaning of 

 

9

 

Rule 16a-12 promulgated under the
Exchange Act), and an Option shall be exercisable during the lifetime of an
Optionee only by the Optionee or his or her guardian or legal representative.

 

6.2.                              Manner of
Exercise and Payment.  The
exercise of an Option shall be made by a written notice delivered in person or
by mail to the Secretary of the Company at the Company’s principal executive
office, specifying the number of Shares to be exercised and, to the extent
applicable, accompanied by payment therefor and otherwise in accordance with
the Agreement pursuant to which the Option was granted, or in such other manner
as prescribed by the Committee; provided, however, that
Options may not be exercised by an Optionee for six months following a hardship
distribution to the Optionee, to the extent such exercise is prohibited under
Treasury Regulation Section 1.401(k)-1(d)(3)(iv)(E).  The exercise price for any Shares purchased
pursuant to the exercise of an Option shall be paid, in any of the following
forms (or any combination thereof):  (a) cash,
(b) the transfer, either actually or by attestation, to the Company of
Shares (if the Shares are then Listed Securities), such transfer to be upon
such terms and conditions as determined by the Committee, (c) a reduction
by the Company in the number of Shares (if the Shares are then Listed
Securities) to be issued upon such exercise having a Fair Market Value on the
date of exercise equal to the aggregate exercise price payable, (d) such
other cashless exercise procedures (including through the use of a cashless
exercise program with a registered broker-dealer approved by the Committee) or (e) a
combination of the foregoing;  provided, however,
that  (i) clauses (b) through (d) shall
only apply prior to an Initial Public Offering (as such term is defined in the
Company’s Amended and Restated Certificate of Incorporation as may be amended
from time to time) as determined by the Committee at the time of grant or with
respect to a Nonqualified Stock Option, at any time thereafter, and (ii) the
availability of any method of payment shall be subject to the terms and
conditions of the Company’s credit facilities as in effect from time to
time.  Any Shares transferred to the
Company as payment of the exercise price under an Option shall be valued at
their Fair Market Value on the day of exercise of such Option.  If requested by the Committee, the Optionee
shall deliver the Agreement evidencing the Option to the Secretary of the
Company who shall endorse thereon a notation of such exercise and return such
Agreement to the Optionee.  No fractional
Shares (or cash in lieu thereof) shall be issued upon exercise of an Option and
the number of Shares that may be purchased upon exercise shall be rounded down
to the nearest number of whole Shares. 
Notwithstanding anything in this Plan to the contrary, an Option may be
exercised in accordance with the arrangements and procedures provided in this Section 6.2
only to the extent such arrangements or procedures comply with Section 13(k) of
the Exchange Act and any other applicable laws, rules and regulations.

 

6.3.                              Rights of
Optionees.  No Optionee
shall be deemed for any purpose to be the owner of any Shares subject to any
Option unless and until (a) the Option shall have been exercised pursuant
to the terms thereof, (b) the Company shall have issued and delivered
Shares to the Optionee (such issuance and delivery to be subject to the
Shareholder’s Agreement, if applicable), (c) the Optionee’s name shall
have been entered as a stockholder of record on the books of the Company and (d) if
required by the Committee, the Optionee shall have delivered a fully executed
Shareholder’s Agreement and stock power to the Company.  Thereupon, the Optionee shall have full
dividend and other ownership rights with respect to such Shares, including
voting rights if and only if such Shares consist of Voting Common Stock,
subject to such terms and conditions as may be set forth in the Agreement and,
if applicable, the Shareholder’s Agreement.

 

10

 

6.4.                              Buyout Provisions.  The Committee may at any time offer to buy
out for a payment in cash or Shares an Option previously granted under the Plan
based on such terms and conditions as the Committee shall establish and
communicate to the Optionee at the time that such offer is made.

 

7.                                       Stock
Appreciation Rights.

 

7.1.                              Grant of Stock
Appreciation Rights.  The
Committee may in its discretion, either alone or in connection with the grant
of an Option, grant Stock Appreciation Rights in accordance with the Plan, the
terms and conditions of which shall be set forth in an Agreement.  If granted in connection with an Option, a
Stock Appreciation Right shall cover the same Shares covered by the Option (or
such lesser number of Shares as the Committee may determine) and shall, except
as provided in this Section 7, be subject to the same terms and conditions
as the related Option.

 

7.2.                              Time of Grant.  A Stock Appreciation Right may be granted (a) at
any time if unrelated to an Option, or (b) if related to an Option, either
at the time of grant or at any time thereafter during the term of the Option.

 

7.3.                              Stock
Appreciation Right Granted in Connection With an Option.

 

(a)                                  Exercise.  A Stock Appreciation Right granted in
connection with an Option shall be exercisable at such time or times and only
to the extent that the related Options are exercisable and will not be
transferable except to the extent the related Option is transferable.  A Stock Appreciation Right granted in
connection with an Incentive Stock Option shall be exercisable only if the Fair
Market Value of a Share on the trading day immediately preceding the date of
exercise exceeds the exercise price specified in the related Incentive Stock
Option Agreement.

 

(b)                                 Amount Payable.  Upon the exercise of a Stock Appreciation
Right related to an Option, the Grantee shall be entitled to receive an amount
of cash or a number of Shares determined by multiplying (i) the excess of
the Fair Market Value of a Share on the trading day immediately preceding the
date of exercise of such Stock Appreciation Right over the per Share exercise
price under the related Option, by (ii) the number of Shares as to which
such Stock Appreciation Right is being exercised.  Notwithstanding the foregoing, the Committee
may limit in any manner the amount payable with respect to any Stock
Appreciation Right by including such a limit in the Agreement evidencing the
Stock Appreciation Right at the time it is granted.

 

(c)                                  Treatment of Related Options
and Stock Appreciation Rights Upon Exercise.  Upon the exercise of a Stock Appreciation
Right granted in connection with an Option, the Option shall be cancelled to
the extent of the number of Shares as to which the Stock Appreciation Right is
exercised, and upon the exercise of an Option granted in connection with a
Stock Appreciation Right, the Stock Appreciation Right shall be cancelled to
the extent of the number of Shares as to which the Option is exercised or
surrendered.

 

7.4.                              Stock
Appreciation Right Unrelated to an Option.  The Committee may grant to Eligible
Individuals Stock Appreciation Rights unrelated to Options.  Stock 

 

11

 

Appreciation Rights unrelated to Options
shall contain such terms and conditions as to exercisability, vesting and
duration as the Committee shall determine, but in no event shall they have a
term of greater than ten years.  Upon
exercise of a Stock Appreciation Right unrelated to an Option, the Grantee
shall be entitled to receive an amount of cash or a number of Shares determined
by multiplying (a) the excess of the Fair Market Value of a Share on the
date of exercise of such Stock Appreciation Right over the Fair Market Value of
a Share on the date the Stock Appreciation Right was granted, by (b) the
number of Shares as to which the Stock Appreciation Right is being
exercised.  Notwithstanding the
foregoing, the Committee may limit in any manner the amount payable with
respect to any Stock Appreciation Right by including such a limit in the
Agreement evidencing the Stock Appreciation Right at the time it is granted.

 

7.5.                              No Sale or
Transfer.  The Grantee
shall not sell, transfer, assign, exchange, pledge, encumber or otherwise
dispose of a Stock Appreciation Right or any portion thereof.

 

7.6.                              Manner of
Exercise.  The
exercise of Stock Appreciation Rights shall be made only by delivery of written
notice to the Company.  Such notice shall
state that the Grantee is electing to exercise the Stock Appreciation Right,
shall set forth the number of Shares in respect of which the Stock Appreciation
Right is being exercised and shall be signed by the Grantee or, where
applicable, by the Grantee’s legal representative.

 

7.7.                              Form of
Payment.  Payment of the amount
determined under Section 7.3(b) or 7.4 may be made in whole Shares in
a number determined at their Fair Market Value on the trading day immediately
preceding the date of exercise of the Stock Appreciation Right, or solely in
cash, or in a combination of cash and Shares. 
Such form of payment shall be determined by the Committee and set forth
in the Agreement evidencing the Stock Appreciation Right.  If the Committee decides to make full payment
in Shares and the amount payable results in a fractional Share, payment for the
fractional Share will be made in cash.

 

8.                                       Dividend
Equivalent Rights.

 

Dividend Equivalent Rights may be granted to
Eligible Individuals in tandem with an Option or Award or as a separate
Award.  The terms and conditions
applicable to each Dividend Equivalent Right shall be specified in the
Agreement under which the Dividend Equivalent Right is granted.  Amounts payable in respect of Dividend
Equivalent Rights may be payable currently or deferred until the lapsing of
restrictions on such Dividend Equivalent Rights or until the vesting, exercise,
payment, settlement or other lapse of restrictions on the Option or Award to
which the Dividend Equivalent Rights relate. 
In the event that any portion of the amount payable in respect of
Dividend Equivalent Rights is to be deferred, the Committee shall determine
whether such amounts are to be held in cash or reinvested in Shares or deemed
(notionally) to be reinvested in Shares. 
If amounts payable in respect of Dividend Equivalent Rights are to be
held in cash, there may be credited at the end of each year (or portion
thereof) interest on the amount of the account at the beginning of the year at
a rate per annum as the Committee, in its discretion, may determine.  Dividend Equivalent Rights may be settled in
cash or Shares or a combination thereof, in a single installment or multiple
installments, in each case as determined by the Committee.

 

12

 

9.                                       Restricted
Stock; Restricted Stock Units.

 

9.1.                              Restricted
Stock.  The Committee may grant Awards
of Restricted Stock to Eligible Individuals, which shall be evidenced by an
Agreement between the Company and the Grantee. 
Each Agreement shall contain such restrictions, terms and conditions as
the Committee may, in its discretion, determine and (without limiting the
generality of the foregoing) such Agreements may require that an appropriate
legend be placed on Share certificates during the period of restriction.  Awards of Restricted Stock shall be subject
to the terms and provisions set forth below in this Section 9.

 

(a)                                 Rights of
Grantee.  Shares of Restricted Stock
granted pursuant to an Award hereunder shall be issued in the name of the
Grantee as soon as reasonably practicable after the Award is granted provided
that the Grantee has executed an Agreement evidencing the Award, the
appropriate blank stock powers and, in the discretion of the Committee, a
Shareholder’s Agreement, an escrow agreement and any other documents which the
Committee may require as a condition to the issuance of such Shares.  If a Grantee shall fail to execute the
Agreement evidencing a Restricted Stock Award and any other documents which the
Committee may require, or otherwise indicate acceptance of the Restricted Stock
Award in a manner prescribed by the Committee within the time period prescribed
by the Committee at the time the Award is granted, the Award shall be null and
void.  At the discretion of the
Committee, Shares issued in connection with a Restricted Stock Award shall be
deposited together with the stock powers with the Company as escrow agent (or
other escrow agent designated by the Committee).  Except to the extent set forth in an
Agreement and subject to the provisions of any applicable Shareholder’s
Agreement, upon delivery of the Shares to the escrow agent, the Grantee shall
have all of the rights of a stockholder with respect to such Shares, including
the right to receive all dividends or other distributions paid or made with
respect to the Shares and the right to vote the Shares if and only if such
Shares consist of Voting Common Stock.

 

(b)                                No Sale or
Transfer.  Until all
restrictions upon the Shares of Restricted Stock awarded to a Grantee shall
have lapsed in the manner set forth in Section 9(c), the Grantee shall not
sell, transfer, assign, exchange, pledge, encumber or otherwise dispose of the
Shares of Restricted Stock.

 

(c)                                 Lapse of
Restrictions. 
Restrictions upon Shares of Restricted Stock awarded hereunder shall
lapse at such time or times and on such terms and conditions as the Committee
may determine.  The Agreement evidencing
the Award shall set forth any such restrictions.  Such restrictions may, in the discretion of
the Committee, be contingent on future employment or services, the satisfaction
of performance-related goals, or a combination of the foregoing.

 

(d)                                Treatment of
Dividends.  At the time
an Award of Shares of Restricted Stock is granted, the Committee may, in its
discretion, determine that the payment to the Grantee of dividends, or a
specified portion thereof, declared or paid on such Shares by the Company shall
be (a) deferred until the lapsing of the restrictions imposed upon such
Shares and (b) held by the Company for the account of the Grantee until
such time.  In the event that dividends
are to be deferred, the Committee shall determine whether such dividends are to
be reinvested in Shares (which shall be held as additional Shares of Restricted
Stock) or held in 

 

13

 

cash. 
If deferred dividends are to be held in cash, there may be credited at
the end of each year (or portion thereof) interest on the amount of the account
at the beginning of the year at a rate per annum as the Committee, in its
discretion, may determine.  Payment of
deferred dividends in respect of Shares of Restricted Stock (whether held in
cash or as additional Shares of Restricted Stock), together with interest
accrued thereon, if any, shall be made upon the lapsing of restrictions imposed
on the Shares in respect of which the deferred dividends were paid, and any
dividends deferred (together with any interest accrued thereon) in respect of
any Shares of Restricted Stock shall be forfeited upon the forfeiture of such
Shares.

 

(e)                                 Delivery of
Shares.  Upon the lapse of the
restrictions on Shares of Restricted Stock, the Company may maintain the shares
in book-entry form; provided, however, that if the Grantee
so requests, the Committee shall cause a stock certificate to be delivered to
the Grantee with respect to such Shares, free of all restrictions hereunder;
and provided, further, that, if Shares of Restricted Stock
are subject to a Shareholder’s Agreement upon the lapse of the restrictions
hereunder, such Shares shall be maintained as provided in such Shareholder’s
Agreement.

 

9.2.                         Restricted Stock Units.  The Committee may grant to Eligible
Individuals Awards of Restricted Stock Units, which shall be evidenced by an
Agreement.  Each such Agreement shall
contain such restrictions, terms and conditions as the Committee may, in its
discretion, determine.  Awards of
Restricted Stock Units shall be subject to the terms and provisions set forth
in this Section 9.2.

 

(a)                                 Payment of
Awards.  Each Restricted Stock Unit
shall represent the right of the Grantee to receive a payment upon vesting of
the Restricted Stock Unit or on any later date specified by the Committee equal
to the Fair Market Value of a Share as of the date the Restricted Stock Unit
was granted, the vesting date or such other date as determined by the Committee
at the time the Restricted Stock Unit was granted.  The Committee may, at the time a Restricted
Stock Unit is granted, provide a limitation on the amount payable in respect of
each Restricted Stock Unit.  The
Committee may provide for the settlement of Restricted Stock Units in cash or
with Shares having a Fair Market Value on the trading day immediately preceding
the date of settlement equal to the payment to which the Participant has become
entitled.

 

(b)                                No Sale or
Transfer.  The Grantee
shall not sell, transfer, assign, exchange, pledge, encumber or otherwise
dispose of an Award of Restricted Stock Units or any portion thereof.

 

10.                                 Performance
Awards.

 

10.1.                        Performance
Units and Performance Share Units.  The Committee, in its discretion, may grant
Awards of Performance Units and/or Performance Share Units to Eligible
Individuals, the terms and conditions of which shall be set forth in an
Agreement.

 

(a)                                  Performance Units.  Performance Units shall be denominated in a
specified dollar amount and, contingent upon the attainment of specified
Performance Objectives within a specified Performance Cycle, represent the right
to receive payment as provided in Sections 10.1(c) and (d) of the
specified dollar amount or a percentage (which may be more than 

 

14

 

100%)
of the specified dollar amount depending on the level of Performance Objective
attained; provided, however, that the
Committee may at the time a Performance Unit is granted specify a maximum
amount payable in respect of a vested Performance Unit.  Each Agreement shall specify the dollar
amount (or percentage thereof, if applicable) of Performance Units to which it
relates, the Performance Objectives which must be satisfied in order for the
Performance Units to vest and the Performance Cycle within which such
Performance Objectives must be satisfied.

 

(b)                                 Performance Share Units.  Performance Share Units shall be denominated
in Shares and, contingent upon the attainment of specified Performance
Objectives within the Performance Cycle, each Performance Share Unit represents
the right to receive payment as provided in Sections 10.1(c) and (d) of
the Fair Market Value of a Share on the date the Performance Share was granted,
the date the Performance Share Unit became vested or any other date specified
by the Committee or a percentage (which may be more than 100%) of such amount
depending on the level of Performance Objective attained; provided, however, that the Committee may at the time a
Performance Share Unit is granted specify a maximum amount payable in respect
of a vested Performance Share Unit.  Each
Agreement shall specify the number of Performance Share Units to which it
relates, the Performance Objectives which must be satisfied in order for the
Performance Share Units to vest and the Performance Cycle within which such
Performance Objectives must be satisfied.

 

(c)                                  Vesting and Forfeiture.  A Grantee shall become vested with respect to
the Performance Share Units and Performance Units to the extent that the
Performance Objectives set forth in the Agreement are satisfied for the
Performance Cycle.

 

(d)                                 Payment of Awards.  Subject to Section 10.4(c), payment to
Grantees in respect of vested Performance Share Units and Performance Units
shall be made as soon as practicable after the last day of the Performance
Cycle to which such Award relates or at such other time or times as the
Committee may determine.  Such payments
may be made entirely in Shares valued at their Fair Market Value on the trading
day immediately preceding the date of payment, entirely in cash or in such
combination of Shares and cash as the Committee in its discretion shall
determine at any time prior to such payment; provided, however,
that if the Committee in its discretion determines to make such payment
entirely or partially in Shares of Restricted Stock, the Committee shall
determine the extent to which such payment will be in Shares of Restricted
Stock and the terms of such Restricted Stock at the time the Award is granted.

 

10.2.                        Performance-Based
Restricted Stock.  The
Committee, in its discretion, may grant Awards of Performance-Based Restricted
Stock to Eligible Individuals, the terms and conditions of which shall be set
forth in an Agreement between the Company and the Grantee.  Each Agreement shall specify the number of
Shares of Performance-Based Restricted Stock to which it relates, the Performance
Objectives which must be satisfied in order for such Shares to vest and
restrictions thereon to lapse, and the Performance Cycle within which such
Performance Objectives must be satisfied, and may require that an appropriate
legend be placed on Share certificates. 
Awards of Performance-Based Restricted Stock shall be subject to the
following terms and provisions:

 

15

 

(a)                                  Rights of
Grantee.  Shares of Performance-Based
Restricted Stock granted pursuant to an Award hereunder shall be issued in the
name of the Grantee as soon as reasonably practicable after the Award is
granted provided that the Grantee has executed an Agreement evidencing the
Award, the appropriate blank stock powers and, in the discretion of the
Committee, a Shareholder’s Agreement, an escrow agreement and any other
documents which the Committee may require as a condition to the issuance of
such Performance-Based Restricted Stock. 
If a Grantee shall fail to execute the Agreement evidencing an Award of
Performance-Based Restricted Stock and any other documents which the Committee
may require, or otherwise indicate acceptance of the Award of Performance-Based
Restricted Stock in a manner prescribed by the Committee within the time period
prescribed by the Committee at the time the Award is granted, the Award shall
be null and void.  At the discretion of
the Committee, Shares issued in connection with an Award of Performance-Based
Restricted Stock shall be deposited together with the stock powers with the
Company as escrow agent (or other escrow agent designated by the
Committee).  Except as restricted by the
terms of the Agreement and subject to the provisions of any applicable
Shareholder’s Agreement, upon delivery of the Shares to the escrow agent, the
Grantee shall have, in the discretion of the Committee, all of the rights of a
stockholder with respect to such Shares, including the right to receive all
dividends or other distributions paid or made with respect to the Shares and
the right to vote the Shares if and only if such Shares consist of Voting
Common Stock.

 

(b)                                 Lapse of
Restrictions.  To the
extent that the Performance Objectives set forth in the Agreement are satisfied
for the Performance Cycle, restrictions upon Performance-Based Restricted Stock
awarded hereunder shall lapse at such time or times and on such terms,
conditions and satisfaction of Performance Objectives as the Committee may, in
its discretion, determine.  In the event
that the Performance Objectives set forth in the Agreement are not fully
satisfied for the Performance Cycle, the Performance-Based Restricted Stock
shall be forfeited to the extent set forth in the Agreement.

 

(c)                                  Treatment of
Dividends.  At the time
the Award of Performance-Based Restricted Stock is granted, the Committee may,
in its discretion, determine that the payment to the Grantee of dividends, or a
specified portion thereof, declared or paid on Shares represented by such Award
which have been issued by the Company to the Grantee shall be (i) deferred
until the lapsing of the restrictions imposed upon such Performance-Based
Restricted Stock and (ii) held by the Company for the account of the
Grantee until such time.  In the event
that dividends are to be deferred, the Committee shall determine whether such
dividends are to be reinvested in shares of Stock (which shall be held as
additional Shares of Performance-Based Restricted Stock) or held in cash.  If deferred dividends are to be held in cash,
there may be credited at the end of each year (or portion thereof) interest on
the amount of the account at the beginning of the year at a rate per annum as
the Committee, in its discretion, may determine.  Payment of deferred dividends in respect of
Shares of Performance-Based Restricted Stock (whether held in cash or as
additional Shares of Performance-Based Restricted Stock), together with
interest accrued thereon, if any, shall be made upon the lapsing of
restrictions imposed on the Performance-Based Restricted Stock in respect of
which the deferred dividends were paid, and any dividends deferred (together
with any interest accrued thereon) in respect of any Shares of
Performance-Based Restricted Stock shall be forfeited upon the forfeiture of
such Shares.

 

16

 

(d)                                 Delivery of
Shares.  Upon the lapse of restrictions
on Shares of Performance-Based Restricted Stock awarded hereunder, the Company
may maintain the Shares in book-entry form; provided, however,
that if the Grantee so requests, the Committee shall cause a stock certificate
to be delivered to the Grantee with respect to such Shares, free of all
restrictions hereunder; and provided, further, that, if
Shares of Performance-Based Restricted Stock are subject to a Shareholder’s
Agreement upon the lapse of the restrictions hereunder, such Shares shall be
maintained as provided in such Shareholder’s Agreement.

 

10.3.                        Cash Incentive
Awards.

 

(a)                                  Grants of Cash
Incentive Awards.  The
Committee may, in its discretion, grant Cash Incentive Awards to Eligible
Individuals, which shall represent the right, contingent upon the attainment of
specified Performance Objectives within a specified Performance Cycle, to
receive a payment of a specified dollar amount or a percentage (which may be
more than 100%) of the specified dollar amount depending on the level of
Performance Objective attained; provided, however, that the
Committee may at the time a Cash Incentive Award is granted specify a maximum
amount payable in respect of such Cash Incentive Award.  The terms and conditions of each Cash
Incentive Award shall be set forth in an Agreement between the Company and the
Grantee.  Each Agreement shall specify
the dollar amount subject to such Award, the Performance Objectives which must
be satisfied in order for the Award to be paid and the Performance Cycle within
which such Performance Objectives must be satisfied.  In the event that the Committee grants Cash
Incentive Awards expressed as percentage interests in a bonus pool payment
which is subject to the satisfaction of Performance Objectives, (i) the
aggregate of all such percentage interests may not exceed 100% and (ii) the
forfeiture or other reduction of the percentage interest of any Grantee in the
bonus pool may not increase the amount of an Award paid to any other
Grantee.  The Committee may determine
that different Performance Objectives are applicable to different Grantees with
respect to a specified Performance Cycle.

 

(b)                                 Payment of
Awards.  Each Cash Incentive Award to
the extent earned shall be paid in a single lump sum cash payment or, if
determined by the Committee at the time of grant, in a number of Shares with a
Fair Market Value on the trading day immediately preceding the date of payment
equal to all or a portion of such cash amount (with any portion not paid in
Shares to be paid in cash; provided, however, that if the
Committee in its discretion determines to make such payment entirely or
partially in Shares of Restricted Stock, the Committee shall determine the
extent to which such payment will be in Shares of Restricted Stock and the
terms of such Restricted Stock at the time the Award is granted) as soon as
practicable following the Committee’s certification described in Section 10.4(c) but
in any event not later than the end of the fiscal year in which such
certification is made.

 

10.4.                        Performance
Objectives.

 

(a)                                  Establishment.  Performance Objectives for Performance Awards
may be expressed in terms of (i) revenue, (ii) earnings per Share, (iii) net
income per Share, (iv) Share price, (v) pre-tax profits, (vi) net
earnings, (vii) net income, (viii) operating income, (ix) 

 

17

 

cash
flow, (x) earnings before interest, taxes, depreciation and amortization
(EBITDA), (xi) sales, (xii) total stockholder return relative to assets, (xiii)
total stockholder return relative to peers, (xiv) financial returns (including,
without limitation, return on assets, return on equity and return on
investment), (xv) cost reduction targets, (xvi) customer satisfaction, (xvii)
customer growth, (xviii) employee satisfaction, (xviv) EBITDA margin, (xx)
operating margin, (xxi) net margin, (xxii) gross margin, (xxiii) revenue
growth, (xxiv) new contract win, (xxv) per-days sales outstanding, or (xxvi)
any combination of the foregoing, or (xxvii) prior to the end of the Transition
Period, such other criteria as the Committee may determine.  Performance Objectives may be in respect of
the performance of the Company, any of its Subsidiaries, any of its Divisions
or any combination thereof.  Performance
Objectives may be absolute or relative (to prior performance of the Company or
to the performance of one or more other entities or external indices) and may
be expressed in terms of a progression within a specified range.  The Performance Objectives with respect to a
Performance Cycle shall be established in writing by the Committee by the
earlier of (x) the date on which a quarter of the Performance Cycle has
elapsed and (y) the date which is ninety days after the commencement of
the Performance Cycle, and in any event while the performance relating to the
Performance Objectives remain substantially uncertain.

 

(b)                                 Effect of Certain Events.  Unless otherwise provided by the Committee at
the time the Performance Objectives in respect of a Performance Award are
established, performance shall be adjusted to omit the effects of extraordinary
items, gain or loss on the disposal of a business segment (other than
provisions for operating losses or income during the phase-out period), unusual
or infrequently occurring events and transactions that have been publicly
disclosed and the cumulative effects of changes in accounting principles, all
as determined in accordance with generally accepted accounting principles (to
the extent applicable).  In addition, at
the time of the granting of a Performance Award or at any time thereafter, the
Committee may provide for the manner in which performance will be measured
against the Performance Objectives (or may adjust the Performance Objectives)
to reflect the impact of specified corporate transactions (such as a stock
split or stock dividend), special charges, and tax law changes; provided,
that such provisions shall be permitted only to the extent permitted under Section 162(m) of
the Code and the regulations promulgated thereunder without adversely affecting
the treatment of any Performance Award as Performance-Based Compensation.

 

(c)                                  Determination of Performance.  Prior to the vesting, payment, settlement or
lapsing of any restrictions with respect to any Performance Award that is
intended to constitute Performance-Based Compensation made to a Grantee who is
subject to Section 162(m) of the Code, the Committee shall certify in
writing that the applicable Performance Objectives have been satisfied to the extent
necessary for such Award to qualify as Performance Based Compensation.  The Committee shall not be entitled to
exercise any discretion otherwise authorized hereunder with respect to Awards
intended to constitute Performance-Based Compensation made to a Grantee who is
subject to Section 162(m) of the Code if the ability to exercise such
discretion or the exercise of such discretion itself would cause the
compensation attributable to such Awards to fail to qualify as
Performance-Based Compensation.  A Performance
Award may be reduced in the discretion of the Committee at any time before
payment or lapsing of restrictions.

 

18

 

10.5.                        No Sale or
Transfer.  The Grantee
shall not sell, transfer, assign, exchange, pledge, encumber or otherwise
dispose of an Award of Performance Units, Performance Share Units or
Performance-Based Restricted Stock or Cash Incentive Awards or any portion
thereof.

 

11.                                 Share
Awards.

 

11.1.                        Share Awards.  The Committee may grant a Share Award to any
Eligible Individual on such terms and conditions as the Committee may determine
in its sole discretion.  Share Awards may
be made as additional compensation for services rendered by the Eligible
Individual or may be in lieu of cash or other compensation to which the
Eligible Individual is entitled from the Company.  The Grantee shall not sell, transfer, assign,
exchange, pledge, encumber or otherwise dispose of a Share Award or any portion
thereof.

 

12.                                 Effect
of a Termination of Employment or Service.

 

The Agreement evidencing the
grant of each Option and each Award shall set forth the terms and conditions
applicable to such Option or Award upon a termination of the employment or
service of the Optionee or Grantee by the Company, a Subsidiary or a Division
(including a termination or change by reason of the sale of a Subsidiary or a
Division).  Unless set forth otherwise in
an Agreement or as required by applicable law (including Section 409A of
the Code), (1) the transfer of employment of an Optionee from the Company
to a Subsidiary or from a Subsidiary to the Company (or among the Divisions of
the Company or a Subsidiary) shall not constitute a termination of employment,
and (2) if an individual is both an employee of the Company and/or a
Subsidiary and a Director, his or her cessation of services in fewer than all
such capacities shall not constitute a termination of his or her employment or
services.

 

13.                                 Adjustment
Upon Changes in Capitalization.

 

13.1.                        In the event of
a Change in Capitalization, the Committee shall make such adjustments, if any,
as it determines are equitable and appropriate to (a) the maximum number
and class of Shares or other stock or securities with respect to which Options
or Awards may be granted under the Plan, (b) the maximum number and class
of Shares or other stock or securities that may be issued upon exercise of
Incentive Stock Options, (c) the maximum number and class of Shares or
other stock or securities with respect to which Options or Awards may be
granted to any Eligible Individual in any calendar year, (d) the number
and class of Shares or other stock or securities which are subject to
outstanding Options or Awards granted under the Plan and the exercise price
therefor, if applicable, and (e) the Performance Objectives.

 

13.2.                        Any such
adjustment in the Shares or other stock or securities (a) subject to
outstanding Incentive Stock Options (including any adjustments in the exercise
price) shall be made in such manner as not to constitute a modification as
defined by Section 424(h)(3) of the Code and only to the extent
permitted by Sections 422 and 424 of the Code or (b) subject to
outstanding Awards that are subject to Section 409A of the Code shall be
made only to the extent permitted by Section 409A of the Code or (c) subject
to outstanding Options or Awards that are intended to qualify as
Performance-Based Compensation shall be made in such a manner as not to
adversely affect the treatment of the Options or Awards as Performance-Based
Compensation.

 

19

 

13.3.                        If, by reason
of any such adjustment, a Grantee shall be entitled to, or an Optionee shall be
entitled to exercise an Option, with respect to, new, additional or different
shares of stock or securities of the Company or any other corporation, such
new, additional or different shares shall thereupon be subject to all of the
conditions, restrictions and performance criteria which were applicable to the
Shares subject to the Award or Option, as the case may be, prior to such
adjustment.

 

14.                                 Effect
of Certain Transactions.

 

14.1.                        Except as
otherwise provided in an Agreement, in the event of (a) the liquidation or
dissolution of the Company or (b) a merger or consolidation of the Company
(a “Transaction”), the Plan and the Options and Awards issued hereunder
shall continue in effect in accordance with their respective terms, except that
following a Transaction either (i) each outstanding Option or Award shall
be treated as provided for in the agreement entered into in connection with the
Transaction or (ii) if not so provided in such agreement, each Optionee
and Grantee shall be entitled to receive in respect of each Share subject to
any outstanding Options or Awards, as the case may be, upon exercise of any
Option or payment or transfer in respect of any Award, the same number and kind
of stock, securities, cash, property or other consideration that each holder of
a Share was entitled to receive in the Transaction in respect of a Share; provided, however,
that, unless otherwise determined by the Committee, such stock, securities,
cash, property or other consideration shall remain subject to all of the
conditions, restrictions and performance criteria which were applicable to the
Options and Awards prior to such Transaction. 
Without limiting the generality of the foregoing, the treatment of
outstanding Options and Stock Appreciation Rights pursuant to this Section 14.1
in connection with a Transaction in which the consideration paid or distributed
to the Company’s stockholders is not entirely shares of common stock of the
acquiring or resulting corporation may include the cancellation of outstanding
Options and Stock Appreciation Rights upon consummation of the Transaction as
long as, at the election of the Committee, (x) the holders of affected
Options and Stock Appreciation Rights have been given a period of at least
fifteen days prior to the date of the consummation of the Transaction to
exercise the Options or Stock Appreciation Rights (whether or not they were
otherwise exercisable) or (y) the holders of the affected Options and
Stock Appreciation Rights are paid (in cash or cash equivalents) in respect of
each Share covered by the Option or Stock Appreciation Right being cancelled an
amount equal to the excess, if any, of the per share price paid or distributed
to stockholders in the transaction (the value of any non-cash consideration to
be determined by the Committee in its sole discretion) over the exercise price
of the Option or Stock Appreciation Right. 
For avoidance of doubt, (1) the cancellation of Options and Stock
Appreciation Rights pursuant to clause (y) of the preceding sentence may
be effected notwithstanding anything to the contrary contained in this Plan or
any Agreement and (2) if the amount determined pursuant to clause (y) of
the preceding sentence is zero or less, the affected Option or Stock
Appreciation Right may be cancelled without any payment therefor.  The treatment of any Option or Award as
provided in this Section 14.1 shall be conclusively presumed to be
appropriate for purposes of Section 13.

 

14.2.                        Effective upon
the consummation of an Initial Public Offering or any other conversion of all
of the outstanding shares of the Company’s Non-Voting Common Stock into Voting
Common Stock, all outstanding Options shall automatically convert into Options
to 

 

20

 

purchase an equivalent number of shares of
the Company’s Voting Common Stock without any further action on the part of the
Company or any Optionee.

 

14.3.                        The Committee
may provide, in an Agreement or at any time thereafter,  that Options or Awards may become vested
and/or exercisable and may become free of restrictions, to the extent of all or
any portion of such Option or Award, in the event of a change in ownership or
effective control of the Company.

 

15.                                 Interpretation.

 

15.1.                        Section 16 Compliance.  The Plan is intended to
comply with Rule 16b-3 promulgated under the Exchange Act and the
Committee shall interpret and administer the provisions of the Plan or any
Agreement in a manner consistent therewith. 
Any provisions inconsistent with such Rule shall be inoperative and
shall not affect the validity of the Plan.

 

15.2.                        Section 162(m).  Unless otherwise determined by the Committee
at the time of grant, each Option, Stock Appreciation Right and Performance
Award is intended to be Performance-Based Compensation.  To the extent any provision of the Plan or any
Agreement related to any Option, Stock Appreciation Right or Performance Award
is inconsistent with Section 162(m) of the Code or the regulations
promulgated thereunder, such provision shall be construed or deemed amended to
the extent necessary to conform to such requirements, and no provision shall be
deemed to confer upon the Committee discretion to increase the amount of
compensation otherwise payable to an Eligible Individual in connection with any
such Option or Award upon the attainment of the Performance Objectives.

 

15.3.                        Compliance With
Section 409A.  All Options
and Awards granted under the plan are intended either not to be subject to Section 409A
of the Code or, if subject to Section 409A of the Code, to be
administered, operated and construed in compliance with Section 409A of
the Code and any guidance issued thereunder. 
Notwithstanding this or any other provision of the Plan to the contrary,
the Committee may amend the Plan or any Option or Award granted hereunder in
any manner, or take any other action, that it determines, in its sole
discretion, is necessary, appropriate or advisable to cause the Plan or any
Option or Award granted hereunder to comply with Section 409A and any
guidance issued thereunder.  Any such
action, once taken, shall be deemed to be effective from the earliest date
necessary to avoid a violation of Section 409A and shall be final, binding
and conclusive on all Eligible Individuals and other individuals having or
claiming any right or interest under the Plan.

 

16.                                 Termination
and Amendment of the Plan/Modification of Options and Awards.

 

16.1.                        Plan Amendment
or Termination.  The Plan
shall terminate on the day preceding the tenth anniversary of the date of its
adoption by the Board, and no Option or Award may be granted thereafter.  The Board may sooner terminate the Plan and
the Board may at any time and from time to time amend, modify or suspend the
Plan; provided, however, that:

 

(a)                                  no such amendment,
modification, suspension or termination shall impair or adversely alter any
Options or Awards theretofore granted under the Plan, except with the consent
of the Optionee or Grantee, nor shall any amendment, modification, suspension
or 

 

21

 

termination
deprive any Optionee or Grantee of any Shares which he or she may have acquired
through or as a result of the Plan; and

 

(b)                                 to the extent necessary
under any applicable law, regulation or exchange requirement, no amendment
shall be effective unless approved by the stockholders of the Company in
accordance with such applicable law, regulation or exchange requirement.

 

16.2.                        Repricing.  The Board may, without stockholder approval,
take any action under the Plan that constitutes a “repricing” within the
meaning of the rules of the NASDAQ Stock Market.

 

16.3.                        Modification of
Options and Awards.  No
modification of an Option or Award shall adversely alter or impair any rights
or obligations under the Option or Award without the consent of the Optionee or
Grantee, as the case may be; provided, however, that no
action taken with respect to an Option or Award pursuant to Section 13 or
14.1 shall be deemed a modification that requires such consent of an Optionee
or Grantee.

 

17.                                 Non-Exclusivity
of the Plan.

 

The adoption of the Plan by the
Board shall not be construed as amending, modifying or rescinding any
previously approved incentive arrangement or as creating any limitations on the
power of the Board to adopt such other incentive arrangements as it may deem
desirable, including, without limitation, the granting of stock options
otherwise than under the Plan, and such arrangements may be either applicable
generally or only in specific cases.

 

18.                                 Limitation
of Liability.

 

As illustrative of the
limitations of liability of the Company, but not intended to be exhaustive
thereof, nothing in the Plan shall be construed to:

 

(a)                                  give any person any right to
be granted an Option or Award other than at the sole discretion of the
Committee;

 

(b)                                 give any person any rights
whatsoever with respect to Shares except as specifically provided in the Plan;

 

(c)                                  limit in any way the right
of the Company or any Subsidiary to terminate the employment or service of any
person at any time; or

 

(d)                                 be evidence of any agreement
or understanding, expressed or implied, that the Company will employ any person
at any particular rate of compensation or for any particular period of time.

 

19.                                 Regulations
and Other Approvals; Governing Law.

 

19.1.                        Except as to
matters of federal law, the Plan and the rights of all persons claiming
hereunder shall be construed and determined in accordance with the laws of the
State of Delaware without giving effect to conflicts of laws principles
thereof.

 

22

 

19.2.                        The obligation
of the Company to sell or deliver Shares with respect to Options and Awards
granted under the Plan shall be subject to all applicable laws, rules and
regulations, including all applicable federal and state securities laws, and
the obtaining of all such approvals by governmental agencies as may be deemed
necessary or appropriate by the Committee.

 

19.3.                        The Board may
make such changes as may be necessary or appropriate to comply with the rules and
regulations of any government authority, or to obtain for Eligible Individuals
granted Incentive Stock Options the tax benefits under the applicable
provisions of the Code and regulations promulgated thereunder.

 

19.4.                        Each Option and
Award is subject to the requirement that, if at any time the Committee
determines, in its discretion, that the listing, registration or qualification
of Shares issuable pursuant to the Plan is required by any securities exchange
or under any state or federal law, or the consent or approval of any
governmental regulatory body is necessary or desirable as a condition of, or in
connection with, the grant of an Option or Award or the issuance of Shares, no
Options or Awards shall be granted or payment made or Shares issued, in whole
or in part, unless listing, registration, qualification, consent or approval
has been effected or obtained free of any conditions as acceptable to the
Committee.

 

19.5.                        Notwithstanding
anything contained in the Plan or any Agreement to the contrary, in the event
that the disposition of Shares acquired pursuant to the Plan is not covered by
a then current registration statement under the Securities Act and is not
otherwise exempt from such registration, such Shares shall be restricted
against transfer to the extent required by the Securities Act and Rule 144
or other regulations thereunder.  The
Committee may require any individual receiving Shares pursuant to an Option or
Award granted under the Plan, as a condition precedent to receipt of such
Shares, to represent and warrant to the Company in writing that the Shares acquired
by such individual are acquired without a view to any distribution thereof and
will not be sold or transferred other than pursuant to an effective
registration thereof under the Securities Act or pursuant to an exemption
applicable under the Securities Act or the rules and regulations
promulgated thereunder.  The certificates
evidencing any of such Shares shall be appropriately amended or have an
appropriate legend placed thereon to reflect their status as restricted
securities as aforesaid.

 

20.                                 Miscellaneous.

 

20.1.                        Multiple
Agreements.  The terms
of each Option or Award may differ from other Options or Awards granted under
the Plan at the same time, or at some other time.  The Committee may also grant more than one
Option or Award to a given Eligible Individual during the term of the Plan,
either in addition to, or in substitution for, one or more Options or Awards
previously granted to that Eligible Individual.

 

20.2.                        Withholding of
Taxes.

 

(a)                                  At such times as an Optionee
or Grantee recognizes taxable income in connection with the receipt of Shares
or cash hereunder (a “Taxable Event”), the Optionee or Grantee shall pay
to the Company an amount equal to the federal, state and local 

 

23

 

income
taxes and other amounts as may be required by law to be withheld by the Company
in connection with the Taxable Event (the “Withholding Taxes”) prior to
the issuance, or release from escrow, of such Shares or the payment of such
cash.  The Company shall have the right
to deduct from any payment of cash or delivery of Shares to an Optionee or
Grantee an amount equal to the Withholding Taxes in satisfaction of the
obligation to pay Withholding Taxes.  The
Committee may provide in an Agreement at the time of grant, or at any time
thereafter, that the Optionee or Grantee, in satisfaction of the obligation to
pay Withholding Taxes to the Company, may elect to have withheld a portion of
the cash then payable to him or her or the Shares (if the Shares are then
Listed Securities) then issuable to him or her, in either case having an
aggregate Fair Market Value equal to the Withholding Taxes (but, in the case of
withholding of Shares, only to the extent such withholding complies with Section 13(k) of
the Exchange Act and other applicable laws, rules and regulations).

 

(b)                                 If an Optionee makes a
disposition, within the meaning of Section 424(c) of the Code and
regulations promulgated thereunder, of any Share or Shares issued to such
Optionee pursuant to the exercise of an Incentive Stock Option within the
two-year period commencing on the day after the date of the grant or within the
one-year period commencing on the day after the date of transfer of such Share
or Shares to the Optionee pursuant to such exercise, the Optionee shall, within
ten days of such disposition, notify the Company thereof, by delivery of
written notice to the Company at its principal executive office.

 

20.3.                        Effective Date.  The effective date of the Plan shall be the
date of Board approval as listed on the first page of the Plan, subject
only to the approval by the affirmative vote of the holders of a majority of
the securities of the Company present, or represented, and entitled to vote at
a meeting of stockholders duly held in accordance with the applicable laws of
the State of Delaware within twelve months after the adoption of the Plan by
the Board.

 

20.4.                        Post-Transition
Period.  Following the end of the
Transition Period, any Option, Stock Appreciation Right or Performance Award
granted under the Plan which is intended to be Performance-Based Compensation,
shall be subject to the approval of the material terms of the Plan by the
stockholders of the Company in accordance with Section 162(m) of the
Code and the regulations promulgated thereunder.

 

20.5.                        Shareholder’s
Agreement.  Unless the
Committee determines otherwise, prior to the consummation of an Initial Public
Offering, it shall be a condition to issuance of any Shares to any Grantee or
Optionee pursuant to any Award or the exercise of any Option that the Grantee
or Optionee, as applicable, shall have become a party to a Shareholder’s
Agreement which shall remain operative in accordance with its terms
notwithstanding the lapse of any other restrictions on such Shares pursuant to
the terms of the Plan or the relevant Agreement.

 

24

 

Attachment
A

Provisions
Applicable to Optionees

Resident in
California

 

The
following additional terms shall apply if required by applicable law to (i) Options
or Awards that may result in the issuance of Shares granted on any date the
Shares are not a Listed Security and (ii) any Shares issued pursuant to
such Awards or upon exercise of such Options on any date the Shares are not a
Listed Security, which are granted or issued to persons resident in California
as of the date of grant or issuance, as applicable (each such person, a “California
Recipient”):

 

1.                                       Any Option granted to any California
Recipient that is exercised before security holder approval is obtained or any
Share that is issued pursuant to an Award to any California Recipient before
security holder approval is obtained must be rescinded if security holder
approval is not obtained in the manner described in Section 20.3 of the
Plan.  Such securities shall not be counted
in determining whether such approval is obtained.

 

2.                                       Notwithstanding anything in the Plan to
the contrary, in the case of an Option granted to any California Recipient, the
number of Shares covered by each outstanding Option, as well as the price per
Share covered by each outstanding Option, and in the case of Shares allocated
to a California Recipient pursuant to an Award, the number of Shares allocated,
shall be proportionately adjusted in the event of a stock split, reverse stock
split, stock dividend, combination, recapitalization, reclassification or other
distribution of the Company’s equity securities without receipt of
consideration by the Company, of or on the Shares; provided, however, that
conversion of any convertible securities of the Company shall not be deemed to
have been “effected without receipt of consideration.”

 

3.                                       With respect to an Option granted to any
California Recipient who is not an Officer, Director or Consultant, such Option
shall become exercisable, or any repurchase option in favor of the Company
shall lapse, at the rate of at least 20% per year over five years from the date
of grant.

 

4.                                       Notwithstanding anything in the Plan to
the contrary, in the case of an Option granted to any California Recipient,
Options shall not be exercisable after the expiration of 120 months from the
date of grant (five years in the case of an Incentive Stock Option granted to a
Ten-Percent Stockholder).

 

5.                                       The following rules shall apply to
an Option granted to any California Recipient or to stock issued to a
California Recipient upon exercise of an Option, in the event of a termination
of the California Recipient’s employment or services with the Company other
than for Cause (as defined in the applicable Agreement):

 

(a)                                  If such termination was for reasons other
than death or disability, the California Recipient shall have at least thirty
days after the date of such termination (but in no event later than the
expiration of the term of such Option established by the Committee as of the
date of grant) to exercise such Option.

 

A1

 

(b)                                 If such termination was on account of the
death or disability of the California Recipient, the holder of the Option may,
but only within six months from the date of such termination (but in no event
later than the expiration date of the term of such Option established by the
Committee as of the date of grant), exercise the Option to the extent the
California Recipient was otherwise entitled to exercise it at the date of such
termination.  To the extent that the
California Recipient was not entitled to exercise the Option at the date of
termination, or if the holder does not exercise such Option to the extent so
entitled within six months from the date of termination, the Option shall
terminate, and the Shares underlying the unexercised portion of the Option
shall revert to the Plan.

 

6.                                       To the extent required by applicable law,
the Company shall provide financial statements at least annually to each
California Recipient during the period such person has one or more Options or
Awards outstanding, and in the case of an individual who acquired Shares
pursuant to an Award or pursuant to the exercise of an Option under the Plan,
during the period such individual owns such Shares.  The Company shall not be required to provide
such information if the issuance of Options and Awards under the Plan is
limited to key employees whose duties in connection with the Company assure
their access to equivalent information.

 

7.                                       Unless defined below or otherwise in this
Attachment, capitalized terms shall have the meanings set forth in the
Plan.  For purposes of this Attachment, (a) “Officer”
means a person who is an officer of the Company within the meaning of Section 16(a) of
the Exchange Act and the rules and regulations promulgated thereunder, and
(b) “Consultant” means any person, including an advisor, who is
engaged by the Company or a Subsidiary to render services and is compensated
for such services, and any Director of the Company whether compensated for such
services or not.

 

A2

 

Amendment
No. 1 to the Amended and Restated

Ikaria
Holdings, Inc. 2010 Long Term Incentive Plan

 

WHEREAS, Ikaria, Inc.
(formerly, Ikaria Holdings, Inc.) a Delaware corporation (the “Company”),
has adopted the Amended and Restated Ikaria Holdings, Inc. 2010 Long Term
Incentive Plan (the “Plan”) for the purpose of granting long term
incentive awards, including options to purchase shares of common stock, par
value $0.01 per share, of the Company (the “Common Stock”) to the
employees and consultants of the Company or its subsidiaries or affiliates;

 

WHEREAS, Section 16.1
of the Plan provides that the Board of Directors of the Company (the “Board”)
may at any time and from time to time amend, modify or suspend the Plan.

 

NOW THEREFORE,

 

(a)           All
references to “Ikaria Holdings, Inc.” in the Plan are hereby be deleted
and replaced with “Ikaria, Inc.”

 

(b)           The definition
of “Initial Public Offering” in Section 2 of the Plan is hereby amended
and restated in its entirety to read as follows:

 

“ “Initial Public Offering” means the first
public offering of shares of Voting Common Stock and Non-Voting Common Stock or
either of them.  An Initial Public Offering shall be deemed to have been
consummated if and when the registration statement in connection with such
public offering shall have been declared effective and the offering of
securities thereunder shall have closed in accordance with the terms of the
related underwriting agreement.”

 

(c)           Section 4.1 of the Plan is hereby amended and
restated in its entirety to read as follows:

 

“Number of Shares Authorized for Issuance;
Limitations on Options and  Awards.  Subject to any adjustment as provided in the
Plan, the Shares to be issued under the Plan may be, in whole or in part,
authorized but unissued Shares or issued Shares which shall have been
reacquired by the Company and held by it as treasury shares.  The aggregate number of Shares that may be
made the subject of Awards or Options granted under the Plan shall initially be
4,300,000 (calculated as set forth in
Section 4.2): provided, that, prior to the termination of the Plan
in accordance with Section 16.1, that number shall be increased
automatically on January 1st of each year commencing on January 1,
2011, in an amount such that the aggregate number of Shares that may be
made the subject 

 

 

of Awards or Options granted under the Plan as of such January 1 shall be equal to
the sum of (i) 3% of the
total number of shares of Voting Common Stock ,Non-Voting Common Stock, Series A
Preferred and Series B Preferred issued and outstanding on December 31st
of the immediately preceding calendar year and (ii) the number of
Recaptured Shares that have not previously been made the  subject of Awards or Options hereunder; provided,
that the Board may in its sole discretion reduce the amount of the increase in
any particular year.  In no event may
more than 20 million Shares be made the subject of Incentive Stock
Options under the Plan (calculated as set forth in Section 4.2).”

 

(d)           The text “(as
such term is defined in the Company’s Amended and Restated Certificate of
Incorporation as may be amended from time to time)” in the second
sentence of Section 6.2 of the Plan is hereby deleted in its entirety.

 

[Remainder of page intentionally
left blank]

 

2

 

IN WITNESS WHEREOF, this Amendment has been executed
by the undersigned, thereunto duly authorized, effective as of July 30,
2010.

 

	
   

  	
  IKARIA, INC.

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  /s/ Matthew M. Bennett

  
	
   

  	
  Name: Matthew M. Bennett

  
	
   

  	
  Title: Senior Vice President and Secretary

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