Document:

EX-4.C

 Exhibit 4-c 
 ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN 

FOR SALARIED EMPLOYEES 
 (Restated, Effective as of January 1, 2008) 
 Plan 008 

93761 

 Table of Contents 

 

			
	 	  	Page
	 ARTICLE I: DEFINITIONS
	  	2
		
	 1.010 A&D Transaction
	  	2
		
	 1.020 Accounts
	  	2
		
	 1.030 Affiliated Company
	  	2
		
	 1.040 After-tax Contribution Account
	  	3
		
	 1.050 After-tax Contribution Percentage Limit
	  	3
		
	 1.060 Allen-Bradley Predecessor Plan
	  	3
		
	 1.070 Automotive Spin-off
	  	3
		
	 1.080 Average After-tax Contribution Percentage
	  	3
		
	 1.090 Average Pre-tax Contribution Percentage
	  	4
		
	 1.100 Base Compensation
	  	4
		
	 1.110 Basic After-tax Contribution
	  	4
		
	 1.120 Basic Pre-tax Contribution
	  	5
		
	 1.130 Beneficiary
	  	5
		
	 1.140 Board of Directors
	  	5
		
	 1.150 Boeing
	  	5
		
	 1.160 Boeing Stock Fund
	  	5
		
	 1.165 Catch-up Contribution
	  	5
		
	 1.170 Code
	  	5
		
	 1.175 Collins Spin-off
	  	5
		
	 1.180 Company
	  	5
		
	 1.190 Company Contribution Account
	  	5
		
	 1.195 Company Contributions
	  	5
		
	 1.200 Company Matching Contributions
	  	5
		
	 1.205 Company Profit Sharing Contributions
	  	6
		
	 1.210 Compensation
	  	6
		
	 1.220 Conexant
	  	6
		
	 1.230 Conexant Stock Fund
	  	6

  
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 Table of Contents 

 

			
	 	  	Page
		
	 1.235 Conexant Wireless Spin-off
	  	6
		
	 1.240 Divested Business Employee
	  	6
		
	 1.250 [Reserved]
	  	6
		
	 1.260 Effective Date
	  	6
		
	 1.270 Eligible Employee
	  	6
		
	 1.280 Eligible Retirement Plan
	  	7
		
	 1.290 Employee
	  	7
		
	 1.295 Employee Benefit Plan Committee
	  	7
		
	 1.300 Employee Benefits Appeals Committee
	  	7
		
	 1.305 Employment Commencement Date
	  	7
		
	 1.310 Employment Severance Date
	  	7
		
	 1.320 ERISA
	  	8
		
	 1.330 ExxonMobil
	  	8
		
	 1.340 Exxon Stock Fund
	  	8
		
	 1.345 5% Owner
	  	8
		
	 1.350 Flex Force Employee
	  	8
		
	 1.360 Fund(s)
	  	8
		
	 1.370 Hardship
	  	9
		
	 1.380 Highly Compensated Employee Group
	  	9
		
	 1.390 Hour of Service
	  	10
		
	 1.400 Investment Fund
	  	10
		
	 1.410 Leave
	  	10
		
	 1.420 Meritor
	  	10
		
	 1.430 Meritor Stock Fund
	  	10
		
	 1.440 MindSpeed
	  	10
		
	 1.450 MindSpeed Stock Fund
	  	10
		
	 1.460 Named Fiduciary
	  	10
		
	 1.480 Non-Highly Compensated Employee Group
	  	10
		
	 1.490 Participant
	  	10

  
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 Table of Contents 

 

			
	 	  	Page
		
	 1.500 Participant Contributions
	  	10
		
	 1.510 Plan
	  	11
		
	 1.520 Plan Administrator
	  	11
		
	 1.530 Plan Year
	  	11
		
	 1.540 Pre-tax Contribution Account
	  	11
		
	 1.550 Pre-tax Contribution Percentage Limit
	  	11
		
	 1.560 Reemployment Date
	  	12
		
	 1.570 Reliance Predecessor Plan
	  	12
		
	 1.580 Retired Participant
	  	12
		
	 1.590 Retirement
	  	12
		
	 1.600 Rockwell
	  	12
		
	 1.610 Rockwell Automation Stock Fund
	  	12
		
	 1.620 Rockwell Automation Stock Fund A
	  	12
		
	 1.630 Rockwell Automation Stock Fund B
	  	12
		
	 1.640 Rockwell Collins
	  	12
		
	 1.650 Rockwell Collins Stock Fund
	  	12
		
	 1.660 Rockwell Predecessor Plan
	  	12
		
	 1.670 Rockwell Software
	  	12
		
	 1.680 Rollover Account
	  	12
		
	 1.690 Rollover Contributions
	  	13
		
	 1.700 Semiconductor Spin-off
	  	13
		
	 1.710 Skyworks
	  	13
		
	 1.720 Skyworks Stock Fund
	  	13
		
	 1.730 Special Stock Fund(s)
	  	13
		
	 1.740 Supplemental After-tax Contribution
	  	13
		
	 1.750 Supplemental Pre-tax Contributions
	  	13
		
	 1.760 Tender Offer
	  	13
		
	 1.770 Transfer Contributions
	  	13
		
	 1.780 Trust Agreement
	  	13

  
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 Table of Contents 

 

			
	 	  	Page
		
	 1.790 Trust Fund
	  	13
		
	 1.800 Trustee
	  	14
		
	 1.810 Valuation Date
	  	14
		
	 1.820 Vesting Service
	  	14
		
	 ARTICLE II: PARTICIPATION AND CONTRIBUTIONS
	  	15
		
	 2.010 Participation
	  	15
		
	 2.020 Basic Contributions
	  	15
		
	 2.030 Supplemental Contributions
	  	16
		
	 2.040 Changes Between Pre-tax and After-tax Contributions
	  	16
		
	 2.045 Catch-up Contributions
	  	17
		
	 2.050 Transfer and Rollover Contributions
	  	17
		
	 2.060 Matching Contribution Formula
	  	18
		
	 2.070 Rules Concerning Matching Contributions
	  	18
		
	 ARTICLE IIA: ROCKWELL SOFTWARE COMPANY PROFIT SHARING CONTRIBUTIONS
	  	19
		
	 2A.010 General
	  	19
		
	 2A.020 Amount of Contributions
	  	19
		
	 2A.030 Eligibility Service Requirement
	  	19
		
	 2A.040 Allocation of Contributions
	  	19
		
	 2A.050 Investment of Contributions
	  	19
		
	 ARTICLE III: CONTRIBUTION LIMITATIONS
	  	20
		
	 3.010 Limitations on Employee Pre-tax Contributions
	  	20
		
	 3.015 Limitations on After-tax Contributions and Matching Contributions
	  	22
		
	 3.020 Limits for Catch-up Contributions
	  	24
		
	 3.025 Qualified Nonelective Contributions
	  	25
		
	 3.030 Incorporation by Reference
	  	25
		
	 ARTICLE IV: PLAN INVESTMENTS
	  	26
		
	 4.010 Investment Elections
	  	26
		
	 4.020 Transfers from Investment Funds
	  	26

  
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 Table of Contents 

 

			
	 	  	Page
		
	 4.021 Investment Fund Transfers — Employer Contributions Prior to October 1, 1995
	  	27
		
	 4.030 Transfers from Special Stock Funds
	  	28
		
	 4.040 Transfers from Rockwell Automation Stock Fund A and the Rockwell Automation Stock Fund
	  	28
		
	 4.045 Mandatory Transfer from the Rockwell Automation Stock Fund
	  	28
		
	 4.050 General Transfer Rules and Limitations
	  	29
		
	 4.060 Participant’s Accounts
	  	30
		
	 4.070 Valuation and Participant Statements
	  	31
		
	 ARTICLE V: VESTING AND ACCOUNT DISTRIBUTIONS
	  	31
		
	 5.010 Vesting
	  	32
		
	 5.020 Retirement, Death, Termination of Employment
	  	32
		
	 5.030 Distributions to Participants Who Are Divested Business Employees
	  	33
		
	 5.040 Form of Distributions – Stock or Cash
	  	34
		
	 5.050 Payment Method for Distributions to Retiring Participants
	  	34
		
	 5.070 Participant’s Consent to Distribution of Benefits
	  	34
		
	 5.075 Cashout Forfeitures and Repayments
	  	35
		
	 5.080 Distributions to Beneficiaries
	  	35
		
	 5.090 Transfer of Distribution Directly to Eligible Retirement Plan
	  	35
		
	 5.100 Uncashed Checks
	  	35
		
	 ARTICLE VI: WITHDRAWALS AND LOANS
	  	36
		
	 6.010 Withdrawals from Accounts by Participants under Age 59-1/2
	  	36
		
	 6.020 Withdrawal from Accounts by Participants Over Age 59-1/2
	  	38
		
	 6.030 Hardship Withdrawals from Pre-tax Accounts
	  	39
		
	 6.040 Forfeitures and Suspensions
	  	40
		
	 6.050 Allocation of Withdrawals Among Investment Funds
	  	41
		
	 6.060 Loans
	  	41
		
	 6.070 Transfer of Distribution or Withdrawal to Eligible Retirement Plan
	  	41

  
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 Table of Contents 

 

			
	 	  	Page
		
	 ARTICLE VII: DEATH BENEFITS
	  	42
		
	 7.010 Designation of a Beneficiary
	  	42
		
	 7.020 Spouse as Automatic Beneficiary
	  	42
		
	 7.030 Beneficiary Changes
	  	42
		
	 7.040 Participant’s Estate as Beneficiary in Certain Cases
	  	43
		
	 7.050 Payment to a Beneficiary
	  	43
		
	 ARTICLE VIII: TRUST AGREEMENT
	  	44
		
	 8.010 Establishment of Trust Fund
	  	44
		
	 8.020 Investment Funds and Stock Funds
	  	44
		
	 8.030 Trustee’s Powers and Authority
	  	47
		
	 8.040 Statutory Limits
	  	47
		
	 8.050 Duty of Trustee as to Common Stock in Stock Funds
	  	48
		
	 8.060 Rights in the Trust Fund
	  	49
		
	 8.070 Taxes, Fees and Expenses of the Trustee
	  	49
		
	 ARTICLE IX: ADMINISTRATION
	  	50
		
	 9.010 General Administration
	  	50
		
	 9.020 Employee Benefit Plan Committee
	  	50
		
	 9.025 Employee Benefits Appeals Committee
	  	50
		
	 9.030 Employee Benefit Plan Committee Records
	  	50
		
	 9.035 Employee Benefits Appeals Committee Records
	  	50
		
	 9.040 Funding Policy
	  	51
		
	 9.050 Allocation and Delegation of Duties Under Plan
	  	51
		
	 9.060 Employee Benefit Plan Committee Powers
	  	51
		
	 9.070 Plan Administrator
	  	51
		
	 9.080 Reliance Upon Documents and Opinions
	  	52
		
	 9.090 Requirement of Proof
	  	52
		
	 9.100 Limitation and Indemnification
	  	53
		
	 9.110 Mailing and Lapse of Payments
	  	53
		
	 9.120 Non-Alienation
	  	53

  
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 Table of Contents 

 

			
	 	  	Page
		
	 9.130 Notices and Communications
	  	54
		
	 9.140 Company Rights
	  	54
		
	 9.150 Payments on Behalf of Incompetent Participants or Beneficiaries
	  	54
		
	 ARTICLE X: PARTICIPANT CLAIMS
	  	55
		
	 10.010 Claims and Appeals Procedures
	  	55
		
	 10.020 Limitation on Legal Action
	  	56
		
	 ARTICLE XI: AMENDMENT, MERGERS, TERMINATION, ETC.
	  	57
		
	 11.010 Amendment
	  	57
		
	 11.020 Transfer of Assets and Liabilities
	  	57
		
	 11.030 Merger Restriction
	  	57
		
	 11.040 Suspension of Contributions
	  	57
		
	 11.050 Discontinuance of Contributions
	  	58
		
	 11.060 Termination
	  	58
		
	 ARTICLE XII: STATUTORY LIMITATIONS
	  	59
		
	 12.010 Annual Limits of Participants’ Account Increases
	  	59
		
	 12.015 Excess Annual Additions
	  	59
		
	 12.020 Combining Similar Plans
	  	59
		
	 ARTICLE XIII: MISCELLANEOUS
	  	60
		
	 13.010 Benefits Payable only from Trust Fund
	  	60
		
	 13.020 Requirement for Release
	  	60
		
	 13.030 Transfers of Stock
	  	60
		
	 13.040 Rights of Reemployed Veterans
	  	60
		
	 13.050 Qualification of the Plan
	  	60
		
	 13.060 Interpretation
	  	60
		
	 13.070 No Contract of Employment
	  	61
		
	 ARTICLE XIV: MINIMUM DISTRIBUTION REQUIREMENTS
	  	62
		
	 14.010 General Rules
	  	62
		
	 14.020 Time and Manner of Distribution
	  	62
		
	 14.030 Required Minimum Distributions During Participant’s Lifetime
	  	63

  
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 Table of Contents 

 

			
	 	  	Page
		
	 14.040 Required Minimum Distributions After Participant’s Death
	  	64
		
	 14.050 Definitions
	  	65
		
	 APPENDIX A EXCLUDED EMPLOYERS
	  	66
		
	 APPENDIX B PARTICIPANTS IN THE CLASS OF EMPLOYEES ELIGIBLE FOR ROCKWELL SOFTWARE COMPANY PROFIT SHARING AS OF SEPTEMBER 1,
2007
	  	67
		
	 APPENDIX C PROCEDURES, TERMS AND CONDITIONS OF LOANS
	  	69
		
	 APPENDIX D TOP-HEAVY PLAN PROVISIONS
	  	72
		
	 APPENDIX E EMPLOYEE STOCK OWNERSHIP PLAN
	  	75
		
	 APPENDIX F ADDENDUM CONCERNING PRIOR SERVICE CREDIT
	  	78

  
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 As Amended and Restated Generally Effective as of January 1, 2008 

(except as otherwise specified) 
 PREAMBLE 
 WHEREAS, Rockwell Automation, Inc. has heretofore established the
Rockwell Automation, Inc. Retirement Savings Plan for Salaried Employees (the “Plan”), originally effective as of March 1, 1966; and 
 WHEREAS, as of January 1, 1999, the Allen-Bradley Savings and Investment Plan for Salaried Employees forms part of this Plan; and 

WHEREAS, as of January 1, 1999, the Reliance Electric Company Savings and Investment Plan forms part of this Plan. 

WHEREAS, on October 1, 1999, the Rockwell Software Profit Sharing and 401(k) Savings Plan was merged with the Plan; and 

WHEREAS, on April 30, 2001, the K Systems, Inc. Plan was merged with the Plan; and 

WHEREAS, Rockwell Automation, Inc. (the “Sponsor”) last restated the Plan, generally effective as of January 1, 1997, to
comply with the provisions of the Uruguay Round Agreements Act (“GATT”), the Uniformed Services Employment and Reemployment Rights Act of 1994 (“USERRA”), the Small Business Job Protection Act of 1996 (“SBJPA”), the
Taxpayer Relief Act of 1997, the Internal Revenue Service Restructuring and Reform Act of 1998, the Community Renewal Tax Relief Act of 2000, and such other tax reform and legal requirements as may be applicable, and to include good faith amendments
to comply with the Economic Growth and Tax Relief Reconciliation Act of 2001, and to incorporate other administrative changes made by the Sponsor; and 
 WHEREAS, the Sponsor desires to make further changes to the Plan to incorporate prior amendments, including amendments reflecting changes to and regulations under Code Sections 401(a)(31)(B), 401(a)(9),
401(k) and 401(m), and other administrative changes through January 1, 2008; 
 NOW THEREFORE, the Plan is hereby amended
and restated, generally effective as of January 1, 2008 (except as otherwise specified), to read as follows: 

  
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 -1- 

 ROCKWELL AUTOMATION 

RETIREMENT SAVINGS PLAN 
 FOR SALARIED EMPLOYEES 
 ARTICLE I: DEFINITIONS 

1.010 A&D Transaction means the sale transaction, dated December 6, 1996 and described in a contract and certain
other collateral documents, among Rockwell Automation, Inc., The Boeing Company and Boeing North American, Inc. (the “A&D Agreement”), pursuant to which Rockwell divested its aerospace and defense businesses. 

1.020 Accounts means a Participant’s Pre-tax Account, After-tax Account, Rollover Account and Company Contribution
Account. 
 1.030 Affiliated Company means Rockwell Automation, Inc. and: 

 

	(a)	any corporation incorporated under the laws of one of the United States of America of which Rockwell Automation owns, directly or indirectly, eighty
percent (80%) or more of the combined voting power of all classes of stock or eighty percent (80%) or more of the total value of the shares of all classes of stock (all within the meaning of Code §1563); 

 

	(b)	any partnership or other business entity organized under such laws, of which Rockwell Automation owns, directly or indirectly, eighty percent (80%) or more of the
voting power or eighty percent (80%) or more of the total value (all within the meaning of Code §414(c)); and 

  

	(c)	any other company deemed to be an Affiliated Company by Rockwell Automation’s Board of Directors. 

Notwithstanding the foregoing, for purposes of determining whether an employee is an Eligible Employee, only an affiliate to which the Board of Directors
has extended this Plan shall be considered an Affiliated Company. Affiliated Companies to which the Plan has not been extended are listed on Appendix A hereto. In addition, solely for purposes of Sections 1.300 and 1.310 of this Plan, any entity
that would satisfy the definition of an Affiliated Company except that it is not incorporated or organized under the laws of the United States of America shall be considered an Affiliated Company. 

As of January 1, 2008, companies deemed to be an Affiliated Company by Rockwell Automation’s Board of Directors pursuant to (c), above, include
Rockwell Automation Puerto Rico, Inc. 

  
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 1.040 After-tax Contribution Account means a Plan Account with respect to a
Participant which is comprised of Basic and Supplemental After-tax Contributions, as adjusted for gains or losses related thereto. 
 1.050
After-tax Contribution Percentage Limit means the maximum contribution percentage in each Plan Year for Highly Compensated Employee Group Participants and is that percentage amount which does not exceed the greater of:

  

	(a)	the Average After-tax Contribution Percentage for the Non-Highly Compensated Employee Group, multiplied by one and twenty-five hundredths (1.25); or

  

	(b)	the lesser of 

  

	 	(1)	an amount which does not exceed the Average After-tax Contribution Percentage for the Non-Highly Compensated Employee Group by more than two (2) percentage points,
or 

  

	 	(2)	the Average After-tax Contribution Percentage for the Non-Highly Compensated Employee Group, multiplied by two (2). 

If a Participant who is a member of the Highly Compensated Employee Group is a participant in any other plan established or maintained by an Affiliated
Company pursuant to which elective deferrals under a cash or deferred arrangement or matching contributions, both as defined in Code §401(m)(4), or employee contributions, are made, such other plan will be deemed to be a part of this Plan for
the purpose of determining the After-tax Contribution Percentage Limit with respect to that Participant. 
 1.060 Allen-Bradley
Predecessor Plan means, as of December 31, 1998, the Allen-Bradley Savings and Investment Plan for Salaried Employees which forms a part of this Plan. 
 1.070 Automotive Spin-off means the spin-off transaction, dated September 30, 1997, pursuant to which the Company’s automotive component businesses became a separate,
stand-alone company and the Company distributed shares of the common stock of that new company, Meritor Automotive, Inc. (now known as “ArvinMeritor, Inc.”), to the Company’s shareowners. 

1.080 Average After-tax Contribution Percentage means the average for a particular Plan Year of the percentages, calculated
separately for the Highly Compensated Employee Group and for the Non-Highly Compensated Employee Group with respect to each Participant in each such Group, which are equal to the sum of A and B, divided by C, where 

  
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	 	A	=         the amount of the Participant’s Basic After-tax Contributions in the Plan Year; 

 

	 	B	=         the amount of the Company Matching Contributions made on behalf of the Participant in the Plan Year; and

  

	 	C	=         the Participant’s Compensation for the Plan Year. 

For purposes of determining whether the Plan satisfies the limitations set forth in Section 3.015 and Code §401(m), all employee and matching
contributions which are made under two or more plans that are aggregated for purposes of Code §401(a)(4) and 410(b) (other than Code §410(b)(2)(A)(ii)) will be treated as made under a single plan and, if two or more plans are permissively
aggregated for purposes of Code §401(m), the aggregated plans must also satisfy Code §§401(a)(4) and 410(b) as though they were a single plan. 
 1.090 Average Pre-tax Contribution Percentage means the average for a particular Plan Year of the percentages, calculated separately for the Highly Compensated Employee Group
and for the Non-Highly Compensated Employee Group with respect to each Participant in each such Group, which are equal to the amount of each Participant’s Pre-tax Contributions in a Plan Year, divided by the Participant’s Compensation for
the Plan Year. 
 1.100 Base Compensation means the Participant’s compensation, not in excess of Two Hundred
Thousand Dollars ($200,000.00) or such larger sum as may be established pursuant to Code §401(a)(17), in any calendar year, including base or regular pay, lump sum merit awards, vacation pay, jury duty pay, holiday pay, commission and sales
incentive plan payments and any amount which would be paid to the Participant absent elections under Sections 2.020(a) and 2.030(a) or an election to make elective employee contributions pursuant to a qualified cash or deferred arrangement under a
cafeteria plan meeting the requirements of Code §125. Base Compensation does not include overtime pay, extended work or other premium pay, bonuses, deferrals under any non-qualified deferred compensation arrangement, unused vacation pay upon
termination of employment, severance pay and any form of extra, contingent or supplementary compensation. Notwithstanding the foregoing, for any Participant who in the class of employees that is eligible for Company Profit Sharing Contributions in
accordance with Article IIA (i.e., certain employees of Rockwell Software listed on Appendix B), Base Compensation for all purposes includes base or regular pay, vacation pay, overtime, “Employee Success Share” bonus payments, commissions
and sales incentive plan payments, special awards, lump sum merit awards, new hire referral awards, and sign-on bonuses. 
 1.110
Basic After-tax Contribution means an amount contributed by a Participant to the Plan through payroll deductions pursuant to the Participant’s election under Section 2.020(b). 

  
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 1.120 Basic Pre-tax Contribution means an amount contributed to the Plan on
behalf of a Participant pursuant to the Participant’s election under Section 2.020(a). 
 1.130
Beneficiary means the one or more persons or trusts entitled to a Participant’s Plan Account balance, pursuant to the provisions of Article VII, if the Participant should die prior to payment to him
of his entire Account Balance. 
 1.140 Board of Directors means the Board of Directors of Rockwell Automation;
provided, however, that any action or determination under Sections 1.030, 1.180 and 2.070, as well as under Article XI, may be taken by any officer of the Company who is authorized to do so by the Board of Directors. 

1.150 Boeing means The Boeing Company, a Delaware corporation, and its affiliates.

 1.160 Boeing Stock Fund means the Special Stock Fund described in Section 8.020(b)(4). 

1.165 Catch-up Contribution means an amount contributed to the Plan on behalf of a Participant pursuant to the
Participant’s election under Section 2.045. 
 1.170 Code means the Internal Revenue Code of 1986, as from
time to time amended. 
 1.175 Collins Spin-off means the spin-off transaction, dated June 29, 2001, pursuant
to which the Company’s Avionics and Communications business became a separate, stand-alone company and the Company distributed shares of the common stock of that new company, Rockwell Collins, Inc., to the Company’s shareowners.

 1.180 Company means Rockwell Automation, Inc., a Delaware corporation, and any Affiliated Company to which the
Board of Directors has extended this Plan. 
 1.190 Company Contribution Account means a Plan Account with respect
to a Participant which is comprised of his Company Matching Contributions and Company Profit Sharing Contributions, as adjusted for gains or losses related thereto and as separately accounted for. 

1.195 Company Contributions means, collectively, Company Matching Contributions and Company Profit Sharing Contributions.

 1.200 Company Matching Contributions means the contributions made to the Trust Fund by Rockwell Automation or an
Affiliated Company pursuant to the provisions of Section 2.060 or 2.070. 

  
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 1.205 Company Profit Sharing Contributions means the contributions made to the
Trust Fund by Rockwell Automation or an Affiliated Company pursuant to the provisions of Article IIA. 
 1.210
Compensation means the compensation of a Participant, as is defined in Code §414(s). 
 1.220
Conexant means Conexant Systems, Inc., a Delaware corporation. 
 1.230
Conexant Stock Fund means the Special Stock Fund described in Section 8.020(b)(6). 

1.235 Conexant Wireless Spin-off means the spin-off transaction, pursuant to which the Conexant’s wireless semiconductor
business became a part of a newly-formed, stand-alone company and Conexant distributed shares of the common stock of that newly-formed company, Skyworks Solutions, Inc., to all Conexant shareowners. 

1.240 Divested Business Employee means an individual who is no longer an Employee of the Company because he is a current or
former employee of a component of the Company which was sold, spun off or otherwise divested by the Company after December 31, 1995. 

1.250 [Reserved] 

1.260 Effective Date means March 1, 1966. 
 1.270 Eligible Employee means any Employee (including any officer) employed on a U.S. salary or bi-weekly payroll of an Affiliated Company, or on a U.S. salary or bi-weekly
payroll of a division, plant, office or location of an Affiliated Company, such Affiliated Company, for purposes of interpretation of this Section, to include the Rockwell Software business segment of the Company. 

Eligible Employee does not include: 
  

	(a)	any director of the Company who is not an Employee; 

  

	(b)	any Employee who is on an hourly payroll of an Affiliated Company; 

  

	(c)	any person or Employee compensated by special fees or pursuant to a special contract or arrangement; 

 

	(d)	any Employee who is covered by a collective bargaining agreement; 

  

	(e)	any Employee of an entity, division, plant, office or location that is specified on Appendix A to the Plan; or 

 

	(f)	any Flex Force Employee. 

  
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 1.280 Eligible Retirement Plan means: 

 

	(a)	an individual retirement account described in Code §408(a), 

  

	(b)	an individual retirement annuity described in Code §408(b), 

  

	(c)	an annuity plan described in Code §403(a), 

  

	(d)	a qualified plan (which is a defined contribution plan) described in Code §401(a), 

 

	(e)	an annuity contract described in Code §403(b), or 

  

	(f)	an eligible plan of a governmental employer described in Code §457(b), 

 which accepts an individual’s eligible rollover distributions; provided, however, that in the case of an eligible rollover distribution to a Participant’s surviving spouse made prior to
January 1, 2002, only an individual retirement account or individual retirement annuity described in (a) and (b) above will be deemed to be an Eligible Retirement Plan. 
 1.290 Employee means any person who is employed by the Company or by an Affiliated Company, including an Eligible Employee, and will, to the extent permitted by Code §406,
be deemed to include any United States citizen regularly employed by a foreign subsidiary or affiliate of the Company. 
 1.295
Employee Benefit Plan Committee means the Employee Benefit Plan Committee of the Company appointed pursuant to Section 9.020 of the Plan and having the responsibilities prescribed in Article IX and elsewhere throughout
the Plan. 
 1.300 Employee Benefits Appeals Committee means the Employee Benefits Appeals Committee of the Company
appointed pursuant to Section 9.025 of the Plan and having the responsibilities prescribed in Article X and elsewhere throughout the Plan. 

1.305 Employment Commencement Date means the date on which a person first becomes an Employee of the Company or an Affiliated
Company. 
 1.310 Employment Severance Date means: 

 

	(a)	the date on which an Employee quits, retires, is discharged or dies, 

  
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 -7- 

	(b)	in the case of an Employee who remains absent from work pursuant to a written Leave, the first anniversary of such Leave, except that an Employee who has a Leave which
is in excess of one (1) year who thereafter returns to work with the Company for a period at least equal to the entire period of the Leave will not be considered as having an Employment Severance Date by reason of such absence.

 If an Employee enters the United States military service or public health service directly from employment with the Company,
has not voluntarily reenlisted and returns to employment with the Company for a period of at least one (1) year immediately after his return to the Company, the Employee will not be deemed to have an Employment Severance Date by reason of such
military service or public health service. 
 1.320 ERISA means the Employee Retirement Income Security Act
of 1974, as it may be amended from time to time. 
 1.330 ExxonMobil means Exxon Mobil Corporation, a New
Jersey corporation. 
 1.340 Exxon Stock Fund means the Stock Fund described in Section 8.020(b)(9).

 1.345 5% Owner means a person who owns: 

 

	(a)	more than five percent (5%) of the outstanding stock of the Company, or 

 

	(b)	stock possessing more than five percent (5%) of the total combined voting power of all stock of the Company. 

1.350 Flex Force Employee means an Employee who is a member of the substitute workforce of the Company hired to assist
in the completion of special projects, an Employee hired from an “on call” pool, an Employee hired to serve as a replacement for a regular Employee who is temporarily absent from work, an Employee hired to fill other temporary needs of the
Company or an Employee hired to assist with transition or with other matters for a limited period of time. 
 1.360
Fund(s) means one or more of the Investment Funds, the Exxon Stock Fund, the Special Stock Funds, Rockwell Automation Stock Fund A, Rockwell Automation Stock Fund B or the Rockwell Automation Stock Fund. 

  
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 1.370 Hardship means an immediate and heavy financial need of the Participant
for which the amount required is not reasonably available to the Participant from other sources and which arises for one of the following reasons: 
  

	(a)	the purchase (excluding mortgage payments) or construction of a principal residence for the Participant, or to prevent eviction from, or foreclosure on the mortgage on,
the Participant’s principal residence; 

  

	(b)	the incurring of obligations for 

  

	 	(1)	tuition, related educational fees and room and board expenses for post-secondary education for the Participant, his spouse or one or more of his children or other
dependents (as defined in Code §152) to be incurred during the twelve (12) month period immediately following the date of his request for distribution; 

 

	 	(2)	expenses not covered by insurance which either have been previously incurred by the Participant for, or are necessary in order for the Participant to obtain, medical
care (as described in Code §213(d)) for himself, his spouse or one or more of his dependents (as defined in Code §152); 

  

	 	(3)	payments for burial or funeral expenses for the Participant’s deceased parent, spouse, children or dependent; 

 

	 	(4)	expenses for repair of damage to the Participant’s principal residence that would qualify for the casualty deduction under Code §165; or

  

	(c)	any other reason which is permitted under Code §401(k)(2)(B)(i)(IV). 

 1.380 Highly Compensated Employee Group means those individuals who are “highly compensated employees” within the meaning of Code §414(q) and includes any
employee: 
  

	(a)	who is a 5% Owner, or 

  

	(b)	who had compensation from the Company in a particular Plan Year or in the year immediately preceding the said Plan Year in excess of Eighty Thousand Dollars
($80,000.00), as such figure may be adjusted from time to time. 

 The Plan Administrator may determine which Employees are highly
compensated employees for purposes of this Section in any manner permitted by the said Code provision. Such determination (as well as the determination of which Employees are not highly compensated employees) will be made by the Plan Administrator
on a consistent basis from Plan Year to Plan Year and a particular Plan Year’s Highly Compensated Employee Group (and Non-Highly Compensated Employee Group) will be determined by the Plan Administrator based upon data applicable to the year
(“look-back year”) immediately preceding the said Plan Year; provided, however, that such determination for the initial Plan Year of the Plan’s existence will be based upon the data applicable to that initial Plan Year and the said
initial Plan Year will be deemed to be the look-back year for such determination. 

  
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 1.390 Hour of Service means hours for which an Employee is paid or entitled to
payment: 
  

	(a)	for the performance of duties for the Company or an Affiliated Company, including Rockwell Software, which shall be credited to the Employee for the period in which the
duties are performed; or 

  

	(b)	on account of a period of time during which no duties are performed (irrespective of whether the employment relationship has terminated) due to vacation, holiday,
illness, incapacity (including disability), layoff, jury duty, military duty or leave of absence. 

 1.400
Investment Fund means one of the investment vehicles available to Participants. 
 1.410
Leave means a leave of absence which has been granted or approved by the Company. 
 1.420
Meritor means ArvinMeritor, Inc., a Delaware corporation, and its affiliates, successor by merger to Meritor Automotive, Inc. 
 1.430 Meritor Stock Fund means the Special Stock Fund described in Section 8.020(b)(5). 
 1.440 MindSpeed means MindSpeed Technologies, Inc. 
 1.450
MindSpeed Stock Fund means the Special Stock Fund described in Section 8.020(b)(10). 
 1.460
Named Fiduciary means the Employee Benefit Plan Committee, the Plan Administrator, the Employee Benefits Appeals Committee and the Trustee. 
 1.480 Non-Highly Compensated Employee Group means Employees who are not in the Highly Compensated Employee Group, as determined by the Plan Administrator. 

1.490 Participant means a person who has elected to participate in the Plan or is eligible for Company Profit Sharing
Contributions in accordance with Article II and Article IIA, respectively; provided, however, that such term will include a person who no longer has an effective election under Article II only so long as he retains an Account under the Plan.

 1.500 Participant Contributions means, as applicable, a Participant’s: 

 

	(a)	Basic Pre-tax and Basic After-tax Contributions; 

  

	(b)	Supplemental Pre-tax and Supplemental After-tax Contributions; 

  

	(c)	Catch-up Contributions; and 

  

	(d)	Transfer and/or Rollover Contributions. 

  
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 1.510 Plan means this Rockwell Automation Retirement Savings Plan for Salaried
Employees, as from time to time amended. 
 1.520 Plan Administrator means the person from time to time so
designated by name or corporate office by the Employee Benefit Plan Committee to carry out the administrative functions of this Plan. 

1.530 Plan Year means each twelve month period ending on the last day of December. 

1.540 Pre-tax Contribution Account means a Plan Account with respect to a Participant which is comprised of his Basic Pre-tax
Contributions, Supplemental Pre-tax Contributions and Catch-up Contributions, all as adjusted for gains or losses. 
 1.550
Pre-tax Contribution Percentage Limit means the maximum contribution percentage in each Plan Year for Highly Compensated Employee Group Participants and, for any Plan Year, may be equal to either (a) or (b) below:

  

	(a)	the Average Pre-tax Contribution Percentage for the Non-Highly Compensated Employee Group, multiplied by one and twenty-five hundredths (1.25); or

  

	(b)	the lesser of 

  

	 	(1)	an amount which does not exceed the Average Pre-tax Contribution Percentage for the Non-Highly Compensated Employee Group by more than two (2) percentage points,
or 

  

	 	(2)	the Average Pre-tax Contribution Percentage for the Non-Highly Compensated Employee Group, multiplied by two (2). 

If a Participant who is a member of the Highly Compensated Employee Group is a participant in any other plan established or maintained by an Affiliated
Company pursuant to which elective deferrals under a cash or deferred arrangement or matching contributions, both as defined in Code §401(m)(4), or employee contributions, are made, such other plan will be deemed to be a part of this Plan for
the purpose of determining the Pre-tax Contribution Percentage Limit with respect to that Participant. 

  
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 1.560 Reemployment Date means the date on which a person first becomes an
Employee of the Company following an Employment Severance Date. 
 1.570 Reliance Predecessor Plan
means, as of December 31, 1998, the Reliance Electric Company Savings and Investment Plan which, as of January 1, 1999, forms a part of this Plan. 

1.580 Retired Participant means a Participant who has had a Retirement. 

1.590 Retirement means a termination of employment (i) after attainment of age 65 or (ii) after attainment of age
55 with at least 10 years of service. 
 1.600 Rockwell means Rockwell Automation, Inc., a Delaware corporation.

 1.610 Rockwell Automation Stock Fund means the Investment Fund established by the Trustee on July 1, 2005 to
purchase and hold the Common Stock of the Company and to receive and hold Company Matching Contributions, as described in Section 8.020(b)(3) and Appendix E. This Fund is comprised of the former Rockwell Automation Stock Fund A and Rockwell
Automation Stock Fund B. 
 1.620 Rockwell Automation Stock Fund A means the Fund established by the Trustee for
receipt and holding of Company Matching Contributions, as described in Section 8.020(b)(1) and Appendix E. 
 1.630
Rockwell Automation Stock Fund B means the Investment Fund established by the Trustee to purchase and hold the common stock of the Company, as described in Section 8.020(b)(2) and Appendix E. 

1.640 Rockwell Collins means Rockwell Collins, Inc., a Delaware corporation, and its affiliates.

 1.650 Rockwell Collins Stock Fund means the Fund established by the Trustee pursuant to the
provisions of Section 8.020(b)(8). 
 1.660 Rockwell Predecessor Plan means, as of
December 31, 1998, the Rockwell Automation, Inc. Savings Plan which, as of January 1, 1999, forms a part of this Plan. 
 1.670
Rockwell Software means the Rockwell Software business segment of Rockwell Automation. 
 1.680
Rollover Account means a Plan Account described in Section 2.050 which has its purpose the holding of amounts which are received by the Plan on a Participant’s behalf as a Rollover Contribution or a Transfer
Contribution. 

  
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 Restated 1-1-08 
 -12- 

 1.690 Rollover Contributions mean the amounts described in Section 2.050
which are transferred to a Participant’s Rollover Account pursuant to the terms of subsection (b) of that Section. 
 1.700
Semiconductor Spin-off means the spin-off transaction, dated December 31, 1998, pursuant to which the Company’s semiconductor business became a separate, stand-alone company and the Company distributed shares of
the common stock of that new company, Conexant Systems, Inc., to the Company’s shareowners. 
 1.710 Skyworks
means Skyworks Solutions, Inc. 
 1.720 Skyworks Stock Fund means the Special Stock Fund described in
Section 8.020(b)(7). 
 1.730 Special Stock Fund(s) means, together or individually, the Boeing Stock Fund, the
Meritor Stock Fund, the Conexant Stock Fund, the Skyworks Stock Fund, Exxon Stock Fund, the Rockwell Collins Stock Fund and the MindSpeed Stock Fund, as well as any other such Fund which may be established in the future to hold such common stock as
may result from a transaction similar in effect to the A&D Transaction and the Automotive, Semiconductor, Conexant Wireless and Collins Spin-offs. 
 1.740 Supplemental After-tax Contribution means the amounts contributed by a Participant to the Plan through payroll deductions pursuant to Section 2.030(b). 

1.750 Supplemental Pre-tax Contributions means the amounts contributed to the Plan on behalf of a Participant pursuant to the
Participant’s election under Section 2.030(a). 
 1.760 Tender Offer means any tender offer for, or
request or invitation for tenders of, common stock subject to §14(d)(1) of the Securities Exchange Act of 1934, as amended, or any regulation thereunder, except for any such tender offer or request or invitation for tenders made by the Company
or any Affiliated Company, or by Boeing, Arvin Meritor, Conexant, ExxonMobil, Rockwell Collins, Skyworks or MindSpeed for its own common stock. 

1.770 Transfer Contributions mean the amounts described in Section 2.050 which are transferred to a Participant’s
Account pursuant to the terms of subsection (a) of the said Section. 
 1.780 Trust Agreement means the trust
agreement entered into pursuant to Article VIII of this Plan. 
 1.790 Trust Fund means the fund, including the
earnings thereon, held by the Trustee for all contributions made under this Plan by Participants and the Company. 

  
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 Restated 1-1-08 
 -13- 

 1.800 Trustee means the trustee or trustees of the trust described in Article
VIII of this Plan. 
 1.810 Valuation Date means any New York Stock Exchange trading day. 

1.820 Vesting Service means the period commencing with an Employee’s Employment Commencement Date and ending with his
Employment Severance Date and the period from an Employee’s Reemployment Date to his subsequent Employment Severance Date. In addition, Vesting Service includes the period of time between an Employee’s Employment Severance Date and his
Reemployment Date, if that period does not exceed twelve (12) months, except that if an Employee is absent because of a Leave and then resigns, is discharged or retires, the period of time during which the Employee may return and receive
Vesting Service begins on the date of his resignation, discharge or retirement and ends one (1) year from the first day of such Leave. Vesting Service may also include service with an Acquired Company, as described in Appendix F. 

  
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 Restated 1-1-08 
 -14- 

 ARTICLE II: PARTICIPATION AND CONTRIBUTIONS 

2.010 Participation. An Eligible Employee will be permitted to elect to become a Participant in the Plan as soon as is practicable following his
commencement of service with an Affiliated Company. To the extent administratively feasible, an Eligible Employee’s election to contribute to the Plan will become effective on the first payroll payment date following his commencement of service
as an Eligible Employee and will remain in effect, unless he elects otherwise, so long as he continues to be an Eligible Employee. 

Notwithstanding the foregoing, any Eligible Employee who is hired (or rehired) on or after October 1, 2006 shall upon eligibility to become a
Participant be deemed to have elected an automatic Basic Pre-Tax Contribution of three percent (3%) of such Participant’s Base Compensation to be contributed under the Plan if such participant has not made an affirmative contrary Basic
Pre-Tax Contribution election. Such deemed automatic 3% Basic Pre-Tax Contribution shall be effective as soon as practicable following his commencement of service with an Affiliated Company and shall continue in effect until such Eligible Employee
elects, in accordance with the rules adopted by the Plan Administrator, to make a contrary Basic Pre-Tax Contribution election, as described in this Section 2.010. An Eligible Employee to whom this deemed automatic 3% Basic Pre-Tax Contribution
percentage applies shall be able to change such deferral percentage at any time. 
 Further notwithstanding the foregoing, effective
January 1, 2008, any Eligible Employee who has not previously made an affirmative contrary Basic Pre-Tax Contribution election shall be deemed to have elected an automatic Basic Pre-Tax Contribution of three percent (3%) of such
Participant’s base Compensation to be contributed under the Plan. Such deemed automatic 3% Basic Pre-Tax contribution shall be effective as of January 1, 2008 and shall continue in effect as described in the paragraph above. 

2.020 Basic Contributions. A Participant may take either or both of the actions described in subsections (a) and (b) below: 

 

	(a)	elect to defer receipt of an amount equal to 1% through 6% of his regular Base Compensation (such deferral to be elected in whole percentages), and to instead have that
amount paid to the Plan as a Basic Pre-tax Contribution to his Pre-tax Contribution Account; 

  

	(b)	authorize having deducted from his regular Base Compensation 1% through 6% (such deduction to be authorized in whole percentages) and then have the amount of such
deduction (as adjusted for all applicable taxes due on that amount) paid to the Plan as a Basic After-tax Contribution to his After-tax Contribution Account; 

 provided, however, that the percentages elected to be deferred or deducted and then made as Basic Pre-tax and Basic After-tax Contributions may together not exceed 6% of the Participant’s Base
Compensation. 
  

  
 Plan 008

 Restated 1-1-08 
 -15- 

 2.030 Supplemental Contributions. A Participant who has made the elections and/or authorizations
described in Section 2.020 will also be permitted to take either or both of the actions described in subsections (a) and (b) below: 
  

							
	(a)	 	 	(1	) 	 	if he is a non-Highly Compensated Employee, elect to defer receipt of an amount equal to 7% through 25% of his regular Base Compensation (such deferral to be elected in whole
percentages), and to instead have that amount paid to the Plan as a Supplemental Pre-tax Contribution to his Pre-tax Contribution Account;
			
		 	 	(2	) 	 	if he is a Highly Compensated Employee, elect to defer receipt of an amount equal to 7% through 12% of his regular Base Compensation (such deferral to be elected in whole
percentages), and to instead have that amount paid to the Plan as a Supplemental Pre-tax Contribution to his Pre-tax Contribution Account;
			
	(b)	 	 	(1	) 	 	if he is a non-Highly Compensated Employee, authorize having deducted from his regular Base Compensation 7% through 25% (such deduction to be authorized in whole percentages) and
then have the amount of such deduction (as adjusted for all applicable taxes due on that amount) paid to the Plan as a Supplemental After-tax Contribution to his After-tax Contribution Account; and
			
		 	 	(2	) 	 	if he is a Highly Compensated Employee, authorize having deducted from his regular Base Compensation 7% through 16% (such deduction to be authorized in whole percentages) and then
have the amount of such deduction (as adjusted for all applicable taxes due on that amount) paid to the Plan as a Supplemental After-tax Contribution to his After-tax Contribution Account.

 provided, however, that the percentages elected to be deferred or deducted and then made as Supplemental Pre-tax and
Supplemental After-tax Contributions may together not exceed 19% of the Participant’s Base Compensation if he is a non-Highly Compensated Employee or 10% of the Participant’s Base Compensation if he is a Highly Compensated Employee.

 2.040 Changes Between Pre-tax and After-tax Contributions. A Participant will be permitted to elect to increase or decrease at any
time (and as often as he wishes) the rate of his Pre-tax and After-tax Contributions. Any such increase or decrease of the rate of the Participant’s Pre-tax and After-tax Contributions will be effective as soon as is reasonably possible after
receipt by the Plan Administrator of the Participant’s election. 

  
 Plan 008

 Restated 1-1-08 
 -16- 

 2.045 Catch-up Contributions. In addition to the Basic Pre-tax Contributions and the Supplemental
Pre-tax Contributions described, respectively, in Sections 2.020 and 2.030, subject to Section 3.020 and notwithstanding any of the nondiscrimination rules described in Code §401(a)(4) or limitations on Participant Contributions as are
otherwise in effect under this Plan, including, but not limited to any such rules or limitations as are set forth in Sections 3.010 and 12.010, any Participants in the Plan who on or prior to the last day of a Plan Year will have attained age 50 and
who has in place an election under Section 2.020 of at least 1% of Base Compensation will be permitted to elect to have an additional amount equal to 1% through 75% of his regular Base Compensation contributed as a pre-tax Catch-up Contribution
to the Plan on his behalf during that Plan Year, so long as the total of any such Catch-up Contributions during the Plan Year are not in excess of the applicable dollar amount set forth in the said Section 3.020. 

2.050 Transfer and Rollover Contributions. Transfers to this Plan of a Participant’s interest in another individual account plan will be
permitted as set forth below: 
  

	(a)	A Participant who is presently an Eligible Employee but who formerly though an Employee was not an Eligible Employee may cause his account balances in the Rockwell
Automation, Inc. Retirement Savings Plan for Hourly Employees to be transferred to this Plan. Such transferred account balance (which will be entirely in cash, Rockwell Automation common stock or in participant loans from the transferring plan) will
constitute Transfer Contributions. 

  

	(b)	A Participant who is an Eligible Employee may elect (by providing the Plan Administrator with notice thereof) to have the entire amount credited to his account in a
qualified individual account plan of a former employer transferred from such plan to this Plan as a Rollover Contribution, subject to the following: 

  

	 	(1)	Such Rollover Contributions are eligible for receipt hereunder only if they are in the form of cash and are derived entirely from employee contributions or vested
employer contributions to a retirement plan described in and subject to Code §401(a), a tax-sheltered annuity plan described in and subject to Code §403(b) or a governmental retirement plan described in and subject to Code §457.

  

	 	(2)	No portion of such Rollover Contributions may be derived from a transfer from a qualified plan which at any time had permitted benefit payments in the form of a life
annuity. 

  

	(c)	Transfer and Rollover Contributions will be credited to separate Rollover Accounts, which will be separate from the Participant’s Pre-tax and After-tax
Contribution Accounts and, as such, will be subject to investment elections which are separate from those related to the Participant’s Pre-tax and After-tax Contribution accounts, but which will be subject to the same process as is set forth in
Article IV of this Plan. 

  
 Plan 008

 Restated 1-1-08 
 -17- 

 2.060 Matching Contribution Formula. 

 

	(a)	The Company will contribute to the Plan on behalf of each Participant out of its current or accumulated profits Company Matching Contributions equal to fifty percent
(50%) of the Participant’s Basic Pre-tax Contributions and Basic After-tax Contributions (up to 6% of Base Compensation) made pursuant to Section 2.020. Such Company Matching Contributions will be made in the form and subject to the
limitations set forth in Section 2.070. Any forfeitures of Company Matching Contributions occurring during a Plan Year shall be used to reduce Company Matching Contributions for such Plan Year. 

 

	(b)	Notwithstanding the foregoing, Participants who are in the class of Employee that are eligible for Company Profit Sharing Contributions as described in Article IIA are
not eligible to receive Company Matching Contributions. 

 2.070 Rules Concerning Matching Contributions. 

 

	(a)	Prior to January 1, 2006, Company Matching Contributions will not be made by the Company on behalf of a Participant until the Participant has completed six
(6) months of employment with the Company or an Affiliated Company. Effective January 1, 2006, Participants will be immediately eligible to receive Company Matching Contributions. 

 

	(b)	No Company Matching Contributions will be made with respect to a Participant’s Supplemental Pre-tax Contributions, Catch-up Contributions, Supplemental After-tax
Contributions, Rollover Contributions, or Transfer Contributions. 

  

	(c)	Company Matching Contributions will be made in the form of Rockwell Automation common stock, but may be made, in the discretion of the Board of Directors, in cash or in
any combination of cash and Rockwell Automation common stock. Rockwell Automation common stock which is contributed will be valued at the New York Stock Exchange closing price on the Valuation Date immediately preceding the date on which the
contribution is made. 

  

	(d)	Prior to July 1, 2005, Company Matching Contributions made hereunder, whether they are made in the form of Rockwell Automation common stock or cash, will be
directed to Rockwell Automation Stock Fund A when they are contributed and, unless distributed to the Participant pursuant to Article V or transferred to an Investment Fund pursuant to Section 4.040, will remain in Rockwell Automation Stock
Fund A, along with any dividends or other earnings on such common stock or cash. Effective July 1, 2005, Company Matching Contributions will be directed to the Rockwell Automation Stock Fund unless otherwise distributed or transferred as
described above. 

  
 Plan 008

 Restated 1-1-08 
 -18- 

 ARTI CLE IIA: ROCKWELL SOFTWARE 

COMPANY PROFIT SHARING CONTRIBUTIONS 
 2A.010 General. The Company, on an annual basis, may make Company Profit Sharing Contributions to this Plan with respect to the performance of the Rockwell Software business. Such Company Profit
Sharing Contributions, but only such Contributions, will be subject to all of the provisions of this Article. 
 2A.020 Amount of
Contributions. The amounts of any such a Company Profit Sharing Contribution for a given Plan Year will be determined by and at the discretion of the Company on an annual basis and will be made from its current or accumulated profits.

 2A.030 Eligibility Service Requirement. A Participant will be eligible for a Company Profit Sharing Contribution if he was employed by
Rockwell Software on the last day of the Plan Year and if he is identified on Appendix B to this Plan. Notwithstanding the foregoing, any Participant who was hired or rehired by Rockwell Software on or after September 1, 2007 shall not be
eligible for a Company Profit Sharing Contribution and any Participant who transfers from employment with Rockwell Software to employment with Rockwell Automation, Inc. on or after September 1, 2007 shall no longer be eligible for a Company
Profit Sharing Contribution, even if such Participant later transfers back to employment with Rockwell Software and is identified on Appendix B to this Plan. 
 2A.040 Allocation of Contributions. Company Profit-Sharing Contributions will be allocated to the Company Contribution Account of each Participant eligible for such allocation, based upon the ratio
that such Participant’s Base Compensation for the applicable Plan Year bears to the total Base Compensation for the Plan Year of all Participants who are eligible for a contribution hereunder. 

2A.050 Investment of Contributions. Company Profit Sharing Contributions will be made in cash and will be subject to the investment elections made
by the Participant under Section 4.010 with regard to his own Participant Contributions. 

  
 Plan 008

 Restated 1-1-08 
 -19- 

 ARTICLE III: CONTRIBUTION LIMITATIONS 

3.010 Limitations on Employee Pre-tax Contributions. 
  

	(a)	The aggregate amount in any calendar year of all of a Participant’s: 

  

	 	(1)	Basic and Supplemental Pre-tax Contributions to this Plan; 

  

	 	(2)	elective deferrals under any other cash or deferred arrangement (as defined in Code §402(g)); and 

 

	 	(3)	elective employer contributions to any simplified employee pension (as defined in and pursuant to, respectively, Code §§408(k)(1) and (6))

 may not exceed Ten Thousand Dollars ($10,000.00), or such larger sum as may be in effect under Code
§402(g)(5). 
  

	(b)	Prior to the beginning of, and periodically during, each Plan Year, the Plan Administrator will cause a test to be conducted of Pre-tax Contribution elections under
Sections 2.020(a) and 2.030(a) in order to determine whether the Average Pre-tax Contribution Percentage for the Highly Compensated Employee Group exceeds the Pre-tax Contribution Percentage Limit. If it is determined that the Pre-tax Contributions
made for any Plan Year by the Highly Compensated Employee Group would (if not reduced) cause the Average Pre-tax Contribution Percentage of that Group to exceed the Pre-tax Contribution Percentage Limit, the Plan Administrator will first reduce any
Supplemental Pre-tax Contributions and then the Basic Pre-tax Contributions elected by Participants in the Highly Compensated Employee Group, so that the Pre-tax Contribution Percentage Limit will not be exceeded for the Plan Year:

  

	 	(1)	Such reduction will be effective as of the first payroll date in the month following such determination and will be made by first reducing the Pre-tax Contribution
Accounts of Highly Compensated Employee Group Participants who have the greatest dollar amount of Pre-tax Contributions (but not below the Highly Compensated Employee Group Participants with the next highest dollar amount of Pre-tax Contributions),
and then, if necessary, reducing the Pre-tax Contributions of the Highly Compensated Employee Group Participants with the next highest dollar amount of Pre-tax Contributions (including the Pre-tax Contributions of the Highly Compensated Employee
Group Participants whose Pre-tax Contributions have already been reduced by the Plan Administrator), and continuing in descending order until the Average Pre-tax Contribution Percentage for the Highly Compensated Employee Group satisfies the Pre-tax
Contribution Limit. 

  
 Plan 008

 Restated 1-1-08 
 -20- 

	 	(2)	Such excess Pre-tax Contributions will be distributed to the affected Participants who are Highly Compensated Employee Group Participants as soon as practicable after
the end of such Plan Year and in all events prior the end of the next following Plan Year. Effective January 1, 2006, income allocable to such excess Pre-tax Contributions with respect to any Participant that are distributed in the next
following Plan Year shall equal the sum of the allocable gain or loss for the Plan Year, and any allocable gain or loss for the period between the end of the Plan Year and the date of the corrective distribution (i.e., the “gap period”).
Income allocable to excess Pre-tax Contributions for the Plan Year and any gap period shall be calculated under any reasonable method as determined by the Plan Administrator, provided that such method is used for allocating income to
Participants’ Pre-tax Contribution Accounts and is used consistently for all Participants and for all corrective distributions under the Plan for the Plan Year. 

 

	(c)	Reductions in Basic or Supplemental Pre-tax Contributions pursuant to subsection (b) of this Section will continue until the Plan Administrator determines that
changed circumstances permit a revision of such Pre-tax Contributions, in which case the Plan Administrator will determine the amount by which such Pre-tax Contributions may be revised for the balance of the Plan Year. 

 

	(d)	In order to determine the amount of excess Pre-tax Contributions, if any, for the members of the Highly Compensated Employee Group, the Plan Administrator or his
delegate will: 

  

	 	(1)	determine the “highly compensated employee” (as defined in Code §414(q)) in the Group with the highest Pre-tax Contribution Percentage (i.e., the amount
of such employee’s Pre-tax Contributions in a particular Plan Year, divided by his Compensation for the Plan Year); 

  

	 	(2)	determine how much the said Percentage would have to be reduced to either satisfy the Average Pre-tax Contribution Percentage test under Code §401(k)(3) or cause
such Percentage to equal the Pre-tax Contribution Percentage of the highly compensated employee with the next highest Percentage; and 

  

	 	(3)	repeat making the determination set forth in Paragraph (2) until such time as the Average Pre-tax Contribution Percentage test described in that Paragraph is
satisfied. 

 The amount of excess Pre-tax Contributions for the members of the Highly Compensated Employee Group is equal to the
amount equal to the sum of the hypothetical reductions described above, multiplied by such members’ Compensation. 

  
 Plan 008

 Restated 1-1-08 
 -21- 

	(e)	To the extent permitted under Section 3.015, the amount representing the additional amount of Base Compensation which would have been contributed as Supplemental
Pre-tax or Basic Pre-tax Contributions on behalf of the Participant will be contributed by the Participant to the Plan, as appropriate, as Supplemental After-tax or Basic After-tax Contributions. In addition, to the extent permitted by regulation,
the Plan Administrator may during or following a Plan Year cause Supplemental or Basic Pre-tax Contributions made on behalf of Highly Compensated Employee Group Participants to be recharacterized (on a uniform and non-discriminatory basis) as
Supplemental or Basic After-tax Contributions to the extent necessary to prevent the Average Pre-tax Contribution Percentage for that Plan Year for those Participants from exceeding the Pre-tax Contribution Percentage Limit.

 3.015 Limitations on After-tax Contributions and Matching Contributions. 

 

	(a)	Prior to the beginning of, and periodically during, each Plan Year, the Plan Administrator will cause a test to be conducted of After-tax Contribution elections under
Sections 2.020(b) and 2.030(b) in order to determine whether the Average After-tax Contribution Percentage for the Highly Compensated Employee Group exceeds the After-tax Contribution Percentage Limit. If it is determined that the
After-tax Contributions made for any Plan Year by the Highly Compensated Employee Group would (if not reduced) cause the Average After-tax Contribution Percentage of that Group to exceed the After-tax Contribution Percentage Limit, the Plan
Administrator will first reduce any Supplemental After-tax Contributions and then the Basic After-tax Contributions elected by Participants in the Highly Compensated Employee Group, so that the After-tax Contribution Percentage Limit will not be
exceeded for the Plan Year: 

  

	 	(1)	Such reduction will be effective as of the first payroll date in the month following such determination and will be made by first reducing the After-tax Contribution
Accounts of Highly Compensated Employee Group Participants who have the greatest dollar amount of After-tax Contributions (but not below the Highly Compensated Employee Group Participants with the next highest dollar amount of After-tax
Contributions), and then, if necessary, reducing the After-tax Contributions of the Highly Compensated Employee Group Participants with the next highest dollar amount of After-tax Contributions (including the After-tax Contributions of the Highly
Compensated Employee Group Participants whose After-tax Contributions have already been reduced by the Plan Administrator), and continuing in descending order until the Average After-tax Contribution Percentage for the Highly Compensated Employee
Group satisfies the After-tax Contribution Limit. 

  
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	 	(2)	Such excess After-tax Contributions will be distributed to the affected Participants who are Highly Compensated Employee Group Participants as soon as practicable after
the end of such Plan Year and in all events prior the end of the next following Plan Year. Effective January 1, 2006, income allocable to such excess After-tax Contributions with respect to any Participant that are distributed in the next
following Plan Year shall equal the sum of the allocable gain or loss for the Plan Year, and any allocable gain or loss for the period between the end of the Plan Year and the date of the corrective distribution (i.e., the “gap period”).
Income allocable to excess After-tax Contributions for the Plan Year and any gap period shall be calculated under any reasonable method as determined by the Plan Administrator, provided that such method is used for allocating income to
Participants’ After-tax Contribution Accounts and is used consistently for all Participants and for all corrective distributions under the Plan for the Plan Year. 

 

	(b)	Reductions in Basic or Supplemental After-tax Contributions pursuant to subsection (a) of this Section will continue until the Plan Administrator determines that
changed circumstances permit a revision of such Contributions, in which case the Plan Administrator will determine the amount by which such Contributions may be revised for the balance of the Plan Year. 

 

	(c)	If it is determined as a result of tests of contribution elections pursuant to subsection (a) that there will be “excess aggregate contributions” (as
defined in and determined pursuant to Code §401(m)(6)) in any Plan Year, such excess aggregate contributions and all income allocable thereto will be distributed, or, if forfeitable, forfeited, in the manner and within the time required by the
said §401(m)(6). Income allocable to excess aggregate contributions with respect to any Participant shall equal the sum of the allocable gain or loss for the Plan Year, and, effective January 1, 2006, any allocable gain or loss for the
period between the end of the Plan Year and the date of the forfeiture or corrective distribution (the “gap period”). Income allocable to excess aggregate contributions for the Plan Year and any gap period shall be calculated under any
reasonable method as determined by the Plan Administrator, provided that such method is used for allocating income attributable to Participants’ Company Contribution Accounts, and is used consistently for all Participants and for all corrective
distributions under the Plan for the Plan Year. Any excess aggregate contributions made to the Plan shall be taken into account as employer contributions to the extent required in applicable IRS regulations. 

 

	(d)	In order to determine the amount of excess After-tax Contributions, if any, for the members of the Highly Compensated Employee Group, the Plan Administrator or his
delegate will: 

  

	 	(1)	determine the “highly compensated employee” (as defined in Code §414(q)) in the Group with the highest After-tax Contribution Percentage (i.e., the
amount of such employee’s After-tax Contributions in a particular Plan Year, divided by his Compensation for the Plan Year), such After-tax Contributions to include any excess Pre-Tax Contributions which are treated as After-tax Contributions
due to recharacterization; 

  
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	 	(2)	determine how much the said Percentage would have to be reduced to either satisfy the Average After-tax Contribution Percentage test under Code §401(m)(3) or cause
such Percentage to equal the After-tax Contribution Percentage of the highly compensated employee with the next highest Percentage; and 

  

	 	(3)	repeat making the determination set forth in Paragraph (2) until such time as the Average After-tax Contribution Percentage test described in that Paragraph is
satisfied. 

 In making the determinations set forth in this Section, any amounts which were the subject of recharacterization of
Pre-tax Contributions as After-tax Contributions will be included herein as being After-tax Contributions. The amount of excess After-tax Contributions for the members of the Highly Compensated Employee Group is equal to the amount equal to the sum
of the hypothetical reductions described above, multiplied by such members’ Compensation. 
 3.020 Limits for Catch-up Contributions.
Notwithstanding the limitations set forth in the preceding Section 3.010 or any other provision of this Plan, the aggregate amount of Catch-up Contributions for a given Plan Year of any Participant who, as of the end of a Plan Year, is at
least age fifty (50), who intends to have Basic and Supplemental Pre-tax Contributions made to the Plan during the Plan Year which could be in excess of the limit set forth in the said Section 3.010 and who has a Basic Pre-tax or After tax
Contribution election of at least 1% in place, will be permitted to elect to have Catch-up Contributions made on his behalf to the Plan in amounts totaling the limits set forth below for such Contributions: 

 

					
	 Plan Year
	  	Dollar Limit	 
	 2002
	  	$	1000.00	  
	 2003
	  	$	2000.00	  
	2004	  	$	3000.00	  
	2005	  	$	4000.00	  
	2006	  	$	5000.00	  
	2007	  	$	5000.00	  
	 2008
	  	$	5000.00	  

 Such Dollar Limits for Plan Years subsequent to December 31, 2008 will be adjusted for increases in the cost of
living at the same time and in the same manner as adjustments are made under Code §415(d). 

  
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 To the extent that any such Catch-up Contribution is in excess of the limits of this Section and, if not
otherwise limited pursuant to any other provisions of this Plan which are applicable to Participant Contributions or Company Matching Contributions, such excess will nevertheless be contributed to the Plan as an After-tax Contribution of such
Participant. 
 3.025 Qualified Nonelective Contributions. The Company may make qualified nonelective contributions on behalf of any
Eligible Employee who is working in Puerto Rico, in order to satisfy applicable requirements of the Puerto Rico Internal Revenue Code of 1994, as amended. Such contributions shall be fully vested at all times and shall be made in a manner that also
complies with applicable IRS rules (including IRS Regulation §1.401(m)-2(a)(6)). 
 3.030 Incorporation by Reference. The
limitations of Internal Revenue Code §§401(k), 401(m) and 414(v) are hereby incorporated by reference. Articles II and III of the Plan set forth the basic requirements of Code §§401(k) and (m) and Section 414(v). In the
event of any conflict between the provisions of these Articles II and III and the Code §401(k), 401(m) and/or 414(v) requirements, the provisions of Code §§401(k), 401(m) and 414(v) and regulations thereunder shall govern. The Plan
also incorporates by reference any subsequent IRS guidance applicable under these Code provisions. 

  
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 ARTICLE IV: PLAN INVESTMENTS 
 4.010 Investment Elections. In addition to the elections and authorizations set forth in Article II, a Participant will be permitted to elect in which Investment Funds his Participant
Contributions will be invested. 
  

	(a)	Such investments will be elected by the Participant among the Investment Funds in one percent (1%) increments, with the total of the elected percentage
increments equaling one hundred percent (100%); provided, however, that the Participant will not be permitted to have any of the said Contributions invested in Rockwell Automation Stock Fund A, the Exxon Stock Fund or the Special Stock Funds.

  

	(b)	The Participant will be permitted to change, on a daily basis, any previous Investment Fund election or elections he has made with regard to his Contributions pursuant
to subsection (a), but he will not be permitted to elect to have investment of his Contributions changed to Rockwell Automation Stock Fund A, the Exxon Stock Fund or the Special Stock Funds. 

 

	(c)	The elections and changes to such elections which a Participant makes pursuant to this Section will be made by means of any method (including any available telephonic
or electronic method which is acceptable to the Plan Administrator at the time the election or change is made by the Participant), and may be made at any time and will be effective as of the New York Stock Exchange closing immediately following the
making of that election or change; provided, however, if it is determined by the Plan Administrator or his delegate that an investment election made by a Participant is invalid or defective, the Participant’s election prior to July 1,
2005, will, until duly corrected by him, be deemed to have been made in favor of the Stable Value Fund. Effective July 1, 2005, such an invalid or defective election will be deemed to have been made in favor of the appropriate target retirement
Investment Fund based on such Participant’s date of birth. 

  

	(d)	The Account of any Participant who initially fails to make a valid investment election prior to becoming a participant in the Plan shall be invested in the appropriate
target retirement Investment Fund based on such Participant’s date of birth (or such other Investment Fund as selected by the Trustee or as directed by the Plan Administrator). Prior to July 1, 2005, such Accounts were invested in a stable
value fund. 

 4.020 Transfers from Investment Funds. A Participant will be permitted to have the whole or a portion of the
value of his interest in any of the Plan’s Investment Funds (including, prior to July 1, 2005, Rockwell Automation Stock Fund B and after June 30, 2005, the Rockwell Automation Stock Fund), the Special Stock Funds and the Exxon Stock
Fund which is attributable to his own Participant Contributions transferred out of such Fund and into any of the Investment Funds, except that a Participant who is a Divested Business Employee will not be permitted to elect to have such interest
transferred into Rockwell Automation Stock Fund B. Notwithstanding the foregoing, effective from July 1, 2005 through November 7, 2007, a Divested Business Employee will be permitted to elect to have such interest transferred into the
Rockwell Automation Stock Fund. 

  
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 4.021 Investment Fund Transfers — Employer Contributions Prior to October 1, 1995. The
special transfer provisions set forth in this Section will be applicable to any portion of a Participant’s Company Contribution Account which is attributable to employer contributions which were made on the Participant’s behalf to the
Allen-Bradley Predecessor Plan or to the Reliance Predecessor Plan prior to October 1, 1995. Such a Participant may elect to have such portion of his Company Contribution Account transferred to any of the Investment Funds other than Rockwell
Automation Stock Fund B, but the Participant will be permitted to make a separate election to have any such portion transferred, prior to July 1, 2005, to Rockwell Automation Stock Fund A and on or after July 1, 2005, to the Rockwell
Automation Stock Fund. Any amounts which are so transferred to Rockwell Automation Stock Fund A or, after June 30, 2005, the Rockwell Automation Stock Fund, may not be later transferred out of that Stock Fund, except as may be permitted under
Section 4.040. 
 4.030 Transfers from Special Stock Funds. A Participant will be permitted to have the whole or a portion of the
value of his interest in any of the Plan’s Special Stock Funds transferred out of such Funds pursuant to the rules and limitations set forth below: 
  

	(a)	A Participant who is an Employee of the Company or who is a former Employee who is not a Divested Business Employee may elect to have some or all of his interest in any
Special Stock Fund which is attributable to his own Participant Contributions or Company Profit Sharing Contributions transferred to any Investment Fund, including Rockwell Automation Stock Fund B (or, after June 30, 2005, the Rockwell
Automation Stock Fund), but the portion of his interest in a Special Stock Fund which is attributable to Company Matching Contributions may only be transferred to Rockwell Automation Stock Fund A (or, after June 30, 2005, the Rockwell
Automation Stock Fund). Notwithstanding the foregoing, effective October 1, 2006, a Participant may transfer the portion of his interest in a Special Stock Fund which is attributable to Company Matching Contributions to any Investment Fund,
including the Rockwell Automation Stock Fund. Further notwithstanding the foregoing, effective November 7, 2007, a Participant who is no longer an Employee (including a Participant who is a Divested Business Employee) or a Beneficiary may not
make any transfers into the Rockwell Automation Stock Fund. 

  

	(b)	Prior to July 1, 2005, a Participant who is a Divested Business Employee may elect to have some or all of his interest in any Special Stock Fund, whether such
interest is attributable to his own Participant Contributions or to Company Contributions, transferred to any Investment Fund other than Rockwell Automation Stock Fund B. Effective July 1, 2005 through November 7, 2007, a Divested Business
Employee may elect to have some or all of his interest in any Special Stock Fund transferred into the Rockwell Automation Stock Fund. Effective November 7, 2007, a Divested Business Employee may not make any transfers into the Rockwell
Automation Stock Fund. 

  
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 4.040 Transfers from Rockwell Automation Stock Fund A and the Rockwell Automation Stock Fund. On and
after October 1, 2001, any Participant who has completed three (3) years of Vesting Service and who, therefore, has a fully vested and nonforfeitable interest in his Company Contribution account will be permitted at any time to have some
or all of his interest in Rockwell Automation Stock Fund A transferred out of such Stock Fund and into one or more of the Plan’s other Investment Funds. Effective July 1, 2005, any Participant who has completed three (3) years of
Vesting Service and who, therefore, has a fully vested and nonforfeitable interest in his Company Contribution Account will be permitted at any time to have some or all of his interest in the Rockwell Automation Stock Fund transferred out of such
Stock Fund and into one or more of the Plan’s other Investment Funds. Effective October 1, 2006, any Participant will be permitted at any time to have some or all of his interest in the Rockwell Automation Stock Fund transferred out of
such Stock Fund and into one more of the Plan’s other Investment Funds, regardless of a Participant’s years of Vesting Service. 

4.045 Mandatory Transfer from the Rockwell Automation Stock Fund. Notwithstanding any other provision of this Article IV to the contrary,
effective November 7, 2007, any Participant who is not an Employee at such time (including a Participant who is a Divested Business Employee) shall be deemed to have elected to transfer that portion of his interest in the Rockwell Automation
Stock Fund that exceeds 15% of his total Account value as of such time to a target retirement Investment Fund based on such Participant’s date of birth. 
 Further, for each Plan Year beginning after December 31, 2007, the Plan Administrator shall select a date prior to June 30 on which any Participant who is not an Employee as of the preceding
December 31 (including a Participant who is a Divested Business Employee) shall be deemed to have elected to transfer that portion of his interest in the Rockwell Automation Stock Fund that exceeds 15% of his total Account value to a target
retirement Investment Fund based on such Participant’s date of birth. The Plan Administrator shall give affected Participants at least sixty (60) days prior notice of such transfer. 
 4.050 General Transfer Rules and Limitations. The Fund transfers described in the preceding Sections will be subject to the following limitations: 

 

	(a)	Any such transfer will be effected in dollar amounts or in increments of 1% of the value of the Participant’s interest in a transferring Fund, but in no event will
any such transfer be in an amount less than Two Hundred and Fifty Dollars ($250.00), except that if the balance of a Participant’s interest in a Fund is less than Two Hundred and Fifty Dollars ($250.00), the Participant may elect to have the
entire balance of his interest in the Fund transferred. 

  
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	(b)	Transfer elections may be made at any time, but each such election by a Participant will be effective and be thereafter irrevocable as of the New York Stock Exchange
closing immediately following the Participant’s election. The elections may be made by means of any method (including any available telephonic or electronic method) which is acceptable to the Plan Administrator; provided, however, that, if it
is determined by the Plan Administrator or his delegate that an investment election made by a Participant is invalid or defective, the Participant’s election will, until duly corrected by him, be deemed to have not been made.

  

	(c)	Prior to July 1, 2005, at no time may assets be transferred from any of the Investment Funds or from the Exxon Stock Fund to Rockwell Automation Stock Fund A,
except as is permitted pursuant to Section 4.021, nor may assets be transferred from any of the Special Stock Funds to Rockwell Automation Stock Fund A, except as is required by Section 4.030(a). 

 

	(d)	At no time may any Plan assets be transferred to any of the Special Stock Funds or the Exxon Stock Fund. 

4.060 Participant’s Accounts. Separate Participant Contribution, Rollover (if applicable) and Company Contribution Accounts will be
established and maintained by the Trustee to represent all amounts, adjusted for gains or losses thereon, which have been contributed by or on behalf of a Participant as Participant Contributions, Rollover Contributions, Transfer Contributions,
Company Matching Contributions and Company Profit Sharing Contributions. Such separate Accounts must contain sufficient information to permit a determination of the dollar balance of the Participant’s Accounts at any time and to permit, with
respect to Rockwell Automation Stock Funds A and B, the Exxon Stock Fund and the Special Stock Funds, a determination of the number of equivalent shares of common stock held on the Participant’s behalf in those Funds. Each Contribution on
behalf of a Participant to an Investment Fund or Rockwell Automation Stock Funds A and B and each payment made to a Participant from an Investment Fund, the Exxon Stock Fund, a Special Stock Fund or Rockwell Automation Stock Funds A and B will
result in a credit or charge to the Account representing the Participant’s interest in such Fund. In addition, dividend proceeds on Rockwell Automation common stock held in Rockwell Automation Stock Funds A and B will be used for the purchase,
when possible, of additional shares of Rockwell Automation common stock for the two Funds and, therefore, will result in appropriate adjustments to the balances in the said Funds and to the value of the Participant’s interest in the said Funds.
Effective July 1, 2005, “the Rockwell Automation Stock Fund” shall be substituted for all instances of “Rockwell Automation Stock Fund A,” “Rockwell Automation Stock Fund B” and “Rockwell Automation Stock
Funds A and B” in this Section 4.060. 

  
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 4.070 Valuation and Participant Statements. As of each Valuation Date, an amount equal to the fair
market value of the Funds (other than dividends received which are attributable to whole shares of Rockwell Automation common stock which were or are to be transferred to Participant Accounts subsequent to the record date for such dividend) will be
determined by the Trustee in such manner and on such basis as it may deem appropriate. At least annually, but more frequently, if the Plan Administrator should so determine, the Trustee will forward by mail to each Participant a statement, in such
form as the Plan Administrator deems appropriate, setting forth pertinent information relative to each Participant’s Accounts. Such statement will, for all purposes, be deemed to have been accepted as correct, unless the Plan Administrator (or
the Trustee, as the case may be) is notified to the contrary by mail within ninety (90) days of the date on which it was mailed to the Participant. 

  
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 ARTICLE V: VESTING AND ACCOUNT DISTRIBUTIONS 

5.010 Vesting. 
  

	(a)	Every Participant will at all times have a One Hundred Percent (100%) vested and nonforfeitable interest in his After-tax Contribution Account, Pre-tax
Contribution Account and, if applicable, Rollover Account. 

  

	(b)	A Participant who attains age sixty five (65) or dies while still an Employee will thereafter have a One Hundred Percent (100%) vested and nonforfeitable
interest in his Company Contribution Account. A Participant who has not yet attained age sixty five (65), but has completed three (3) years of Vesting Service will have One Hundred Percent (100%) vested and nonforfeitable interest in his
Company Contribution Account. 

  

	(c)	Subject to subsection (b) above, a Participant who terminates employment at any time prior to completing three (3) years of Vesting Service will forfeit the
portion of his Company Contribution Account which is not vested on his Employment Severance Date: 

  

	 	(1)	on his Employment Severance Date, if he receives a distribution of all of his vested Account balances at that time, but the Participant may have the said forfeiture
restored, if he is reemployed by the Company or an Affiliated Company and repays the previously distributed amount within five (5) years of his Employment Severance Date, or 

 

	 	(2)	on the fifth anniversary of his Employment Severance Date, even though he does not receive a distribution as a result of his termination of employment and even though
he is reemployed by the Company or an Affiliated Company, if his Reemployment Date is not within five (5) years of his Employment Severance Date; 

 provided, however, that a Participant’s Vesting Service with respect to Company Contributions made after his Reemployment Date will include his Vesting Service prior to his Employment Severance Date,
if his Reemployment Date is less than five (5) years after his prior Employment Severance Date. 
  

	(d)	Notwithstanding any other provision in this Section to the contrary, if the vesting provisions in subsection (b) of this Section should be amended in the future, a
Participant who has completed three (3) years of Vesting Service at that time may elect to have his vested percentage in his Company Contribution Account determined under the vesting provisions of subsection (b) as they were set forth
prior to the said amendment. 

  
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	(e)	Any Participant who is a Divested Business Employee (including any employee of Rockwell Collins or of Rockwell Scientific Company LLC who was an Employee of the Company
immediately prior to the Collins Spin-off) will have a One Hundred Percent (100%) vested and nonforfeitable interest in such Participant’s Company Contribution Account resulting from Company Matching Contributions and Company Profit
Sharing Contributions made to that Account prior to the transaction which resulted in him becoming a Divested Business Employee. 

5.020 Retirement, Death, Termination of Employment. Subject to the provisions of Section 5.070 and Section 5.080, as soon as
administratively practicable after the occurrence of a Participant’s: 
  

	(a)	Retirement, 

  

	(b)	death, or 

  

	(c)	termination of employment, 

 a Participant or
his Beneficiary (in the case of the Participant’s death) will receive the entire vested balance of his Plan Account. In the case, however, of Retirement, a Participant who would otherwise receive a distribution pursuant to the preceding
sentence may instead make an election pursuant to the terms of Section 5.050. 
 Notwithstanding any provision of this
Plan to the contrary, distribution of a Participant’s vested interest in his Accounts shall commence no later than the Participant’s “Required Beginning Date.” The Participant’s Required Beginning Date is the April 1
following the close of the calendar year in which the Participant attains age 70 1/2, if the Participant is a more than 5% owner of the Company with respect to the Plan Year ending in that calendar year. For
any other Participant, the Participant’s “Required Beginning Date” is the April 1 following the close of the calendar year in which the Participant terminates service with the Company, or if later, the April 1 following the
close of the calendar year in which the Participant attains age 70 1/2. Distributions under the Plan made after the Participant’s Required Beginning Date shall be made in accordance with
Article XIV. 
 5.030 Distributions to Participants Who Are Divested Business Employees. In the case of any Participant who
is a Divested Business Employee who was prohibited (such prohibition being consistent with the Internal Revenue Service’s “same desk rule” in effect prior to September 1, 2000 for this Plan and other Code §401(k) plans) from
having his Plan Account balance distributed to him while he was still employed by the acquirer (including Boeing, Meritor and Conexant) of a former component of the Company will be permitted to elect to have such Plan Account balance distributed to
him on or after September 1, 2000, even though he is still employed by the said acquirer. Distributions under this Section will be made to the Participant as soon as practicable following his providing the Plan Administrator or his delegate
with an election therefor. Such distributions must consist of the entire balance of the Participant’s Plan Account and must be paid in a lump sum in whatever form is elected by the Participant pursuant to Section 5.040. 

  
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 5.040 Form of Distributions – Stock or Cash. Distributions made under this Article will be made
to Participants and, when applicable, their Beneficiaries in the form of cash or common stock, or in a combination of cash and common stocks, pursuant to subsections (a) and (b): 

 

	(a)	With respect to Investment Funds (other than Rockwell Automation Stock Fund B or, after June 30, 2005, the Rockwell Automation Stock Fund), a Participant will
receive the entire balance of his Accounts in such Funds in cash. Such balance will be determined in the manner set forth in Section 4.070, by reference to the value of the Participant’s interest: 

 

	 	(1)	on the date of such Participant’s Retirement or termination of employment or, 

 

	 	(2)	in the case of the Participant’s death or disability and in the case of Divested Business Employee’s election to receive such distribution, on the date all
documentation necessary to effect distribution has been received by the Plan Administrator or his delegate. 

  

	(b)	With respect to Rockwell Automation Stock Funds A and B, the Rockwell Automation Stock Fund and the Special Stock Funds, the Participant will be permitted, if he should
so elect, to receive the entire balance of his Accounts in such Funds in the manner described in the preceding subsection or in shares, as applicable, of Rockwell Automation, ExxonMobil, Boeing, Meritor, Conexant, Rockwell Collins, Skyworks or
MindSpeed common stock equal in number to the maximum number of whole shares of common stock which could be purchased for the closing price of that common stock on that date (as such price is documented on the New York Stock Exchange -- Composite
Transactions listing) or, in the event such date falls on a day on which for any reason there are no trades of such stock reflected on such listing, the next trading day subsequent to that date. In addition, the Participant will be paid in cash for
the value of any partial shares of the said common stock and the amount of any cash dividends received since that date which are attributable to the number of whole shares of common stock distributed to him. 

  
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 5.050 Payment Method for Distributions to Retiring Participants. Any Participant who is eligible for
and wishes to receive a distribution under Section 5.020 on account of his Retirement will make an election concerning the form of distribution and will provide such election to the Plan Administrator or the Plan Administrator’s delegate
prior to Retirement. The form of distributions such a Participant may elect will be in the form of either: 
  

	(a)	a lump sum payment, or 

  

	(b)	ten (10) or fewer annual installment payments, such installment payments to be equal to the value of the Participant’s Accounts as of the Valuation Date
immediately preceding distribution, divided by the number of installments remaining at the time of each payment. The initial installment payment will be made as soon as is practicable after the effective date of the Participant’s election, with
subsequent payments during the elected installment payment period to be made as of the annual anniversary date of the initial installment payment. 

 If a Participant who had previously Retired and commenced receipt of installment payments pursuant to subsection (b) returns to employment with the Company or an Affiliated Company (except as a Flex
Force Employee), such installment payments will be suspended until the Participant’s subsequent retirement, at which time he would be permitted again to make the election described therein. In the event that no election concerning the form of
distribution has been made by a Retired Participant by the end of the calendar year in which he has attained age seventy and one-half (70-1/2), distributions will be made in accordance with Article XIV. 

5.060 [Reserved] 
 5.070
Participant’s Consent to Distribution of Benefits. Notwithstanding any other provisions of the Plan to the contrary, if the aggregate value of the vested and nonforfeitable Account balances of an individual who terminates his employment
with the Company and is no longer a Plan Participant is One Thousand Dollars ($1,000.00) ($5,000 for Plan Years prior to 2005) or less, the Plan Administrator will arrange such balances to be consolidated and distributed to such Participant as soon
as practicable following such termination pursuant to in the manner set forth in Section 5.020. 
 If such vested and nonforfeitable amount
is in excess of One Thousand Dollars ($1,000.00) ($5,000 for Plan Years prior to 2005) and the Participant has not attained age seventy and one-half (70-1/2) at the time distribution of benefits under the Plan would otherwise be made, no
distribution of benefits under the Plan will be made, unless the Plan Administrator or his delegate first obtains the Participant’s consent thereto. In the event such consent is not so obtained, the Participant’s Accounts will be retained
by the Plan and will be maintained and valued in accordance with Article IV. Distribution of the Participant’s Accounts pursuant to this Section will be made following the date on which the Participant’s consent to such distribution is
obtained or, if earlier, the date on which the Participant attains age seventy and one-half (70-1/2) or dies, in the manner provided under Article XIV and Section 5.080, respectively. 

  
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 5.075 Cashout Forfeitures and Repayments. In the case of a Participant who receives a distribution
pursuant to Article V upon his termination of participation in this Plan when he has less than three (3) years of Vesting Service, such Participant will, at the time of the distribution, forfeit any portion of his Company Contribution Account
which is not vested and nonforfeitable at the time of his termination of participation in the Plan. If such Participant should return to employment with the Company within five (5) years of the date of such distribution and forfeiture, the said
forfeiture will be restored, if he repays the amount previously distributed. The amount restored, upon repayment of the distribution pursuant to this Section, will be equal to the amount forfeited at the time of the distribution, such amount to be
unadjusted any gains or losses subsequent to the forfeiture and prior to the repayment. 
 Notwithstanding any other provisions of the Plan to
the contrary, a Participant’s service with respect to which he received a distribution under this Section or under Section 6.040 will not be affected or reduced for eligibility purposes or for determination of his years of Vesting Service
under Section 5.010. 
 5.080 Distributions to Beneficiaries. In the event of a Participant’s death, a distribution to the
Participant’s Beneficiary shall be made as follows: 
  

	(a)	A Non-spousal Beneficiary shall receive a lump-sum payment as soon as administratively practicable following the Participant’s death. 

 

	(b)	A Spousal Beneficiary shall continue to receive installment payments that the Participant elected pursuant to Section 5.050, if any, unless such spousal
Beneficiary elects to receive the Participant’s remaining Account balance in a lump sum payment at any time following the Participant’s death. In the event that no distribution election has been made by a Spousal Beneficiary prior to the
time distributions are required under Code §401(a)(9) and regulations thereunder or installment payments are not completed by such time, distribution will be made in accordance with Article XIV. 

5.090 Transfer of Distribution Directly to Eligible Retirement Plan. If a Participant, a Participant’s spouse entitled to distribution as his
Beneficiary pursuant to Article VII or a former spouse entitled to distribution pursuant to Section 9.120(b) or, effective as of September 1, 2007, any individual entitled to a distribution as a Beneficiary pursuant to Article VII should
so request in writing, the Plan Administrator will cause all or a portion of the amounts (including shares of Rockwell Automation, Boeing, ExxonMobil, Meritor, Conexant, Rockwell Collins, MindSpeed or Skyworks common stock) with respect to which the
Participant would be taxed under Code §402 to be transferred from the Trustee directly to the custodian of an Eligible Retirement Plan specified by the Participant. Such request will be made, in the case of a Participant, at the time his
consent to such distribution is given to the Plan Administrator pursuant to Section 5.070, or at such later date as the Plan Administrator permits, or, in the case of the Participant’s spouse or former spouse, at such time as the Plan
Administrator determines. Prior to effecting such a transfer the Plan Administrator may require evidence reasonably satisfactory to him that the entity to which such transfer is to be made is in fact an Eligible Retirement Plan and that such
Eligible Retirement Plan may receive the distribution in the forms required under this Article. 
 5.100 Uncashed Checks. If the Plan
Administrator distributes the assets in a Participant’s Account pursuant to this Article V and the distribution check is not cashed, a Participant will be entitled to request a new check. In such case, the amount of the new check will be equal
to the amount of the original, uncashed distribution check and will not be adjusted for earnings and losses. 

  
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 ARTICLE VI: WITHDRAWALS AND LOANS 

6.010 Withdrawals from Accounts by Participants under Age 59-1/2. 
  

	(a)	A Participant who has not yet attained age fifty-nine and one-half (59-1/2) may elect while still employed to withdraw certain amounts from his Accounts. As soon
as is practicable after the Plan Administrator’s receipt of such an election, there will be paid or transferred to such Participant cash and, if applicable, common stock from his Accounts in the following order: 

 

	 	(1)	first, from that portion of his After-tax Contribution Account which is attributable to his Supplemental After-tax Contributions prior to January 1, 1987;

  

	 	(2)	second, from that portion of his After-tax Contribution Account which is attributable to his Supplemental After-tax Contributions after December 31, 1986;

  

	 	(3)	third, from that portion of his After-tax Contributions Account which is attributable to Basic After-tax Contributions; 

 

	 	(4)	fourth, from that portion of his Rollover Account which is attributable to pre-tax Rollover Contributions; 

 

	 	(5)	fifth, from that portion of his Rollover Account which is attributable to after-tax Rollover Contributions; 

 

	 	(6)	sixth, from that portion of his Company Contribution Account, if vested, which is attributable to his Basic After-tax Contributions; 

 

	 	(7)	seventh, from that portion of his Company Contribution Account, if vested, which is attributable to Company Matching Contributions under the Allen Bradley Predecessor
Plan; 

  

	 	(8)	eighth, from that portion of his Pre-tax Contribution Account which is attributable to his Supplemental Pre-tax Contributions; 

 

	 	(9)	ninth, from that portion of his Account which is attributable to his Catch-up Contributions. 

 

	 	(10)	tenth, from that portion of his Pre-tax Contribution Account, which is attributable to his Basic Pre-tax Contributions. 

  
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	(b)	Withdrawals pursuant to this subsection may only be made by a Participant once every six (6) months; provided, however, that this limitation may be waived by the
Plan Administrator for the six-month period immediately following any due declaration by the President of the United States under applicable federal law that a particular occurrence or situation constitutes a national disaster condition, if the
withdrawal is requested for a reason associated with financial need of the Participant resulting from the effects of the said condition. 

  

	(c)	If a Participant should withdraw an amount from his Company Contribution Account pursuant to subsection (a)(6), Company Matching Contributions will be suspended and
will not be made to his Company Contribution Account during the six-month period immediately following the withdrawal. 

  

	(d)	Withdrawals from a Participant’s Pre-tax Contribution Account pursuant to subsections (a)(7), (a)(8), (a)(9) or (a)(10) prior to his attainment of age fifty-nine
and one-half (59-1/2) will only be permitted upon the occurrence of a Hardship and such withdrawals will be administered pursuant to Section 6.030. 

  

	(e)	With the exception of the types of withdrawals available to certain Participants pursuant to subsection (d), no Participant will be permitted to withdraw amounts in his
Company Contribution Accounts which are attributable to his Basic Pre-tax Contributions prior to his attainment of age fifty-nine and one-half (59-1/2). 

  

	(f)	The portion of a Participant’s Company Contribution Account balance which is attributable to employer contributions which were made on his behalf to the Reliance
Predecessor Plan prior to October 1, 1995 will be available for withdrawal by the Participant at any time, in whole or in part, if the Participant has a One Hundred Percent (100%) vested and nonforfeitable interest in that Account balance
pursuant to Section 5.010(b); provided, however, that any such withdrawal will result in the suspension described in subsection (c) of this Section. 

 

	(g)	Withdrawals from Rockwell Automation Stock Funds A and B, the Rockwell Automation Stock Fund or the Special Stock Funds may, at the election of the withdrawing
Participant, be in the form of cash or, as applicable, in the form of Rockwell Automation, ExxonMobil, Boeing, Meritor, Conexant, Rockwell Collins, Skyworks or MindSpeed common stock. 

  
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 6.020 Withdrawal from Accounts by Participants Over Age 59-1/2. 

 

	(a)	A Participant who has attained age fifty-nine and one-half (59-1/2) and is still employed by the Company may elect to withdraw any or all of the amounts in his
Accounts. As soon as is practicable after the Plan Administrator’s receipt of such an election, there will be paid or transferred to such Participant cash and, if applicable, common stock from his Accounts in the following order:

  

	 	(1)	first, from that portion of his After-tax Contribution Account which is attributable to his Supplemental After-tax Contributions prior to January 1, 1987;

  

	 	(2)	second, from that portion of his After-tax Contribution Account which is attributable to his Supplemental After-tax Contributions after December 31, 1986;

  

	 	(3)	third, from that portion of his After-tax Contributions Account which is attributable to Basic After-tax Contributions; 

 

	 	(4)	fourth, from that portion of his Rollover Account which is attributable to pre-tax Rollover Contributions; 

 

	 	(5)	fifth, from that portion of his Rollover Account which is attributable to after-tax Rollover Contributions; 

 

	 	(6)	sixth, from that portion of his Pre-tax Contribution Account which is attributable to his Supplemental Pre-tax Contributions; 

 

	 	(7)	seventh, from that portion of his Account which is attributable to his Catch-up Contributions. 

 

	 	(8)	eighth, from that portion of his Pre-tax Contribution Account which is attributable to his Basic Pre-tax Contributions 

 

	 	(9)	ninth, from that portion of his Company Contribution Account which is attributable to qualified non-elective contributions (QNECs); 

 

	 	(10)	tenth, from that portion of his Company Contribution Account, if vested, which is attributable to Company Matching Contributions under the Reliance Predecessor Plan;

  

	 	(11)	eleventh, from that portion of his Company Contribution Account, if vested, which is attributable to Company Matching Contributions under the Allen Bradley Predecessor
Plan; 

  

	 	(12)	twelfth, from that portion of his Company Contribution Account, if vested, which is attributable to his After-tax Basic Contributions; 

 

	 	(13)	thirteenth, from that portion of his Company Contribution Account, if vested, which is attributable to his Pre-tax Basic Contributions; 

  
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	 	(14)	fourteenth, from that portion of his Company Contribution Account attributable to qualified matching contributions (QMACs); 

 

	 	(15)	fifteenth, from that portion of his Account, if vested, which is attributable to ESOP dividends; and 

 

	 	(16)	sixteenth, from that portion of his Company Contribution Account, if vested, which is attributable to Company Profit Sharing Contributions. 

 

	(b)	Withdrawals from Rockwell Automation Stock Funds A and B, the Rockwell Automation Stock Fund or the Special Stock Funds may, at the election of the withdrawing
Participant, be in the form of cash or, as applicable, in the form of Rockwell Automation, Exxon Mobil, Boeing, Rockwell Collins, Meritor, MindSpeed, Skyworks or Conexant common stock. 

6.030 Hardship Withdrawals from Pre-tax Accounts. Subject to any restrictions the Plan Administrator might establish with respect to loans made
pursuant to Section 6.060, the following provisions may apply, in the event of the occurrence of a Hardship. 
  

	(a)	An Participant who has not attained age fifty-nine and one-half (59-1/2) may request approval to withdraw some or all of the balance of his Pre-tax Contribution
Account, if the Participant can demonstrate that the withdrawal is required as a result of a Hardship (including payment of any federal, state or local income taxes and penalties reasonably anticipated to result from such Hardship withdrawal).

  

	(b)	Any determination of the existence of a Hardship, the reasonable availability to the Participant of funds from other sources and the amount necessary to be withdrawn on
account of such Hardship will be made on the basis of all relevant facts and circumstances and in accordance with the provisions of this Section and Section 1.370, as applied in a uniform and nondiscriminatory manner. Such determination may, if
it is reasonable in light of all relevant and known facts and circumstances, be based upon the Participant’s representation that the Hardship cannot be relieved: 

 

	 	(1)	through reimbursement or compensation by insurance or otherwise; 

  

	 	(2)	by reasonable liquidation of the Participant’s assets, to the extent that such liquidation would not itself cause an immediate and heavy financial need;

  

	 	(3)	by suspension of Participant Contributions to the Plan; or 

  
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	 	(4)	by other distributions (other than Hardship distributions) or loans (which meet the requirements of Code §72(p)) from the Plan and any other plan maintained by an
Affiliated Company or by any former employer or by borrowing from commercial sources at reasonable commercial rates. 

  

	(c)	An individual who receives a Hardship distribution pursuant to this Section prior to his attainment of age fifty-nine and one-half (59-1/2) will not be permitted to
make any Participant Contributions to the Plan during the six (6) months immediately following his receipt of the said Hardship distribution. In addition, such Hardship distributions will only be available to Participants hereunder only once
every six (6) months. 

  

	(d)	The proceeds of a Hardship withdrawal made pursuant to this Section after December 31, 1999 may not be distributed or transferred (in the manner described in
Section 6.070) from the Trustee of this Plan as an eligible rollover distribution to the custodian or trustee of an Eligible Retirement Plan. 

  

	(e)	Hardship withdrawals will be paid to a Participant in the order set forth in Section 6.010(a). 

6.040 Forfeitures and Suspensions. 
  

	(a)	Subject to the exception described in subsection (b), in the event that a Participant with less than three (3) years of Vesting Service makes a withdrawal under
Section 6.010 with the result that his Basic After-tax Contribution Account is the source of some or all of such withdrawal, the Participant will at that time forfeit the unvested portion of his Company Contribution Account which is
attributable to the withdrawal. The forfeitable interest which is attributable to the Participant’s Basic After-tax Contributions will be determined by multiplying the dollar balance of the Participant’s Company Contribution Account by a
fraction, the numerator of which is equal to the dollar value of the Basic After-tax Contributions which were withdrawn by the Participant and the denominator of which is the total dollar value of his After-tax Contribution Account attributable to
his Basic After-tax Contributions (both such dollar values to be determined as of the date of the withdrawal). Before July 1, 2005, the Participant may have the forfeiture restored, if he repays, as an Employee of the Company, the amount
previously withdrawn within five (5) years of the withdrawal; provided, however, that such a repayment will not be permitted within the first twelve (12) months immediately following the withdrawal. 

 

	(b)	If a Participant applies for and receives a Hardship withdrawal, pursuant to Section 6.030, from his Basic and /or Supplemental Pre-tax Contribution Account, the
forfeitures described in subsection (a) will not be applicable. 

  
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 6.050 Allocation of Withdrawals Among Investment Funds. Withdrawals and forfeitures under Sections
6.010 through 6.040 will be taken from a Participant’s Accounts in the Investment Funds in a pro rata fashion, based upon the relative size of such Accounts, but withdrawals for Hardship will not be permitted to be taken at any time from a
Participant’s Accounts, if any, in the Special Stock Funds. 
 6.060 Loans. The Plan Administrator will establish, and may from time
to time modify, procedures pursuant to which any Employee or other “party in interest” (as defined in ERISA §3(14)) may apply for and receive a loan from the Plan, in an amount not exceeding the least of (a), (b),
(c) or (d): 
  

	(a)	the aggregate of the balances in the borrower’s Pre-tax and After-tax Contribution Accounts and, if applicable, in the portion of his Account attributable to QNECs
or in his Rollover Account; 

  

	(b)	an amount which, when combined with all outstanding loans to the borrower from all other plans of all Affiliated Companies, equals Fifty Thousand Dollars ($50,000.00),
reduced by the excess, if any, of 

  

	 	(1)	the highest outstanding and unpaid balances of all prior loans to the borrower from the Plan and such other plans during the twelve (12) month period immediately
preceding the date on which such loan is made, over 

  

	 	(2)	the outstanding balance of any loan to the borrower from the Plan or such other plans on the date on which the loan is made; 

 

	(c)	one-half (1/2) of the aggregate of the balances of the borrower’s Accounts; or 

 

	(d)	such amount, not exceeding the amounts described in (a) through (c) above, as the Plan Administrator determines. 

All such loans will be made available to all eligible Employees and other parties in interest on a reasonably equivalent and non-discriminatory basis and
will be governed by the provisions of Appendix C, as such Appendix is from time to time constituted, pursuant to determination of the Plan Administrator. 
 6.070 Transfer of Distribution or Withdrawal to Eligible Retirement Plan. Except in the case of Hardship withdrawals pursuant to Section 6.030, if a Participant who is entitled to an
in-service withdrawal under this Article VI should so request in writing at the time his election to receive such withdrawal is made or at such later date as the Plan Administrator may permit, the Plan Administrator will cause all or a portion of
the amounts (including shares of Rockwell Automation, ExxonMobil, Boeing, Meritor, Conexant, Rockwell Collins, Skyworks or MindSpeed common stock) with respect to which the Participant would be taxable under Code §402 to be transferred from the
Trustee directly to the custodian of an Eligible Retirement Plan specified by the Participant. Prior to effecting such transfer the Plan Administrator will require evidence reasonably satisfactory to him that the entity to which such transfer is to
be made is in fact an Eligible Retirement Plan and that such Eligible Retirement Plan may receive the distribution in the forms required under this Article. (Further, the Plan Administrator shall not direct the Trustee to engage in a direct transfer
of Pre-tax Accounts to another plan unless the Plan Administrator reasonably concludes that the accepting plan will continue to apply the 401(k) distribution restrictions to transferred Pre-tax Accounts.) 

  
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 ARTICLE VII: DEATH BENEFITS 
 7.010 Designation of a Beneficiary. Subject to the provisions of Section 7.020, in the event of a Participant’s death, payment of the benefits provided under this Plan will be made to
such person or persons as he has designated as his Beneficiary to receive such benefits. 
 7.020 Spouse as Automatic Beneficiary. In the
case of a Participant who has been married for at least one (1) year at the time of his death and who dies prior to complete distribution of his Accounts, the Beneficiary will be deemed to be the Participant’s spouse regardless of any
contrary designation, unless the Participant has filed with the Plan Administrator a written Beneficiary designation naming a person or persons other than such spouse. Such written designation must be accompanied by a written consent of the
Participant’s spouse, but may be accepted by the Plan Administrator without such a written consent, if it is established to the Plan Administrator’s satisfaction that such a written consent cannot be obtained because: 

 

	(a)	there is no spouse; 

  

	(b)	the spouse cannot be located; or 

  

	(c)	other circumstances exist, as permitted under Code §417(a)(2), which prevent presentation of such consent to the Plan Administrator. 

Such written consent (which must be witnessed by a notary public) must be on a form furnished to the Participant by the Plan Administrator and must
acknowledge the effect of the consent. In the event that a Participant has a new spouse to whom he has been married for a one (1) year period, the previous designation of a prior spouse will be void and the new spouse will be deemed to be the
Participant’s Beneficiary, unless the Participant makes a written designation of a person or persons other than the new spouse in a manner described above in this Section. 
 7.030 Beneficiary Changes. A Participant may change his designation of Beneficiary at any time by filing a request for such change with the Plan Administrator (or such other person as is designated
by the Plan Administrator). Such change will become effective only upon receipt of the request by the Plan Administrator (or the Plan Administrator’s delegate), but upon such receipt, the change will relate back to and be effective as of the
date the Participant signed such request; provided, however, that the Plan Administrator, the other named fiduciaries and the Trust Fund will be not be liable in any way or to any degree for any payment made to the Beneficiary designated before
receipt of such request. 

  
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 7.040 Participant’s Estate as Beneficiary in Certain Cases. The benefits payable from a
Participant’s Accounts at the time of his death will be paid to the Participant’s estate, if any of the following circumstances should exist at the time of his death: 

 

	(a)	no valid designation of Beneficiary exists pursuant to this Article; 

  

	(b)	the Plan Administrator or Trustee has a doubt as to the rights of a potential Beneficiary; or 

 

	(c)	a previously designated Beneficiary predeceases the Participant. 

 In such case, the Plan Administrator and the Trustee will not be individually liable in any manner and to any degree with respect to such payment. 
 7.050 Payment to a Beneficiary. Upon receipt by the Plan Administrator (or another person designated by him) of evidence satisfactory to such person of the death of a Participant and of the
identity and existence at the time of such death of the Beneficiary, the Plan Administrator will direct the Trustee to pay the Participant’s Accounts to such Beneficiary in accordance with Article V. 

  
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 ARTICLE VIII: TRUST AGREEMENT 

8.010 Establishment of Trust Fund. The property resulting from contributions made on behalf of all Participants, including contributions made by
the Company, will be held in a Trust Fund by a Trustee selected by the Employee Benefit Plan Committee pursuant to a Trust Agreement entered into between such Trustee and the Employee Benefit Plan Committee. 

8.020 Investment Funds and Stock Funds. The Plan, as well as the Trust Fund associated with the Plan, is intended to at all times be structured
and administered in a manner which conforms to the requirements of ERISA §404(c). In keeping with the requirements of the said ERISA provision, the Trustee will establish and maintain as parts of the Trust Fund individual Investment Funds and
Stock Funds, as are described below. 
  

	(a)	The Investment Funds available under the Trust Fund will consist of mutual funds or collective funds, accounts or other similar investment vehicles, which will consist
of and be identical to the individual Plan Investment Funds. 

  

	(b)	Except as otherwise indicated, the Stock Funds prior to March 31, 2006 are as described below: 

 

	 	(1)	Rockwell Automation Stock Fund A will consist of all cash, Rockwell Automation common stock and the proceeds and income from that common stock, which are attributable
to Company Matching Contributions. The dividends or other proceeds or income received by Rockwell Automation Stock Fund A will be invested by the Trustee in Rockwell Automation common stock and will remain in the said Rockwell Automation Stock Fund
A. Effective July 1, 2005, Rockwell Automation Stock Fund A and Rockwell Automation Stock Fund B will be combined into the Rockwell Automation Stock Fund. 

 

	 	(2)	Rockwell Automation Stock Fund B will consist of all cash, Rockwell Automation common stock and the proceeds and income from that common stock, which are attributable
to Participant Contributions and Company Profit Sharing Contributions designated as contributions to Rockwell Automation Stock Fund B. The dividends and other proceeds or income received by Rockwell Automation Stock Fund B will be invested by the
Trustee in Rockwell Automation common stock and will remain in the said Rockwell Automation Stock Fund B. Effective July 1, 2005, Rockwell Automation Stock Fund A and Rockwell Automation Stock Fund B will be combined into the Rockwell
Automation Stock Fund. 

  
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	 	(3)	Rockwell Automation Stock Fund will consist of all assets of Rockwell Automation Stock Fund A and Rockwell Automation Stock Fund B as of July 1, 2005, as well as
all cash, Rockwell Automation common stock and the proceeds and income from that common stock, which are attributable to Participant Contributions and Company Profit Sharing Contributions designated as contributions to the Rockwell Automation Stock
Fund and Company Matching Contributions. The dividends or other proceeds or income received by the Rockwell Automation Stock Fund will be invested by the Trustee in Rockwell Automation common stock and will remain in the said Rockwell Automation
Stock Fund. 

  

	 	(4)	The Boeing Stock Fund will consist of common stock of Boeing received by Rockwell Automation Stock Funds A and B pursuant to the A&D Agreement and as part of the
A&D Transaction. Any dividends or other income received by the Boeing Stock Fund which are attributable to Company Matching Contributions will be transferred to Rockwell Automation Stock Fund A (or, after June 30, 2005, the Rockwell
Automation Stock Fund) and then invested by the Trustee in Rockwell Automation common stock in the said Rockwell Automation Stock Fund A (or Rockwell Automation Stock Fund). Any dividends or other income received by the Boeing Stock Fund which are
attributable to Participant Contributions or Company Profit Sharing Contributions will be transferred to a stable value fund. 

  

	 	(5)	The Meritor Stock Fund will consist of common stock of Meritor Automotive, Inc. (now known as “ArvinMeritor, Inc.”) received by Rockwell Automation Stock
Funds A and B as part of the Automotive Spin-off. Any dividends or other income received by the Meritor Stock Fund which are attributable to Company Matching Contributions will be transferred to Rockwell Automation Stock Fund A and then invested by
the Trustee in Rockwell Automation common stock in the said Rockwell Automation Stock Fund A. Any dividends or other income received by the Meritor Stock Fund which are attributable to Participant Contributions or Company Profit Sharing
Contributions will be transferred to a stable value fund. 

  

	 	(6)	The Conexant Stock Fund will consist of common stock of Conexant received by Rockwell Automation Stock Funds A and B as part of the Semiconductor Spin-off. Any
dividends or other income received by the Conexant Stock Fund which are attributable to Company Matching Contributions will be transferred to Rockwell Automation Stock Fund A (or, after June 30, 2005, the Rockwell Automation Stock Fund) and
then invested by the Trustee in Rockwell Automation common stock in the said Rockwell Automation Stock Fund A (or the Rockwell Automation Stock Fund). Any dividends or other income received by the Conexant Stock Fund which are attributable to
Participant Contributions or Company Profit Sharing Contributions will be transferred to a stable value fund. 

  
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	 	(7)	The Skyworks Stock Fund will consist of common stock of Skyworks, Solutions, Inc. received by the Conexant Stock Fund as part of the Conexant Wireless Spin-off. Any
dividends or other income received by the Skyworks Stock Fund which are attributable to Company Matching Contributions will be transferred to Rockwell Automation Stock Fund A (or, after June 30, 2005, the Rockwell Automation Stock Fund) and
then invested by the Trustee in Rockwell Automation common stock in the said Rockwell Automation Stock Fund A (or, after June 30, 2005, the Rockwell Automation Stock Fund). Any dividends or other income received by the Skyworks Stock Fund which
are attributable to Participant Contributions will be transferred to a stable value fund. 

  

	 	(8)	The Rockwell Collins Stock Fund will consist of common stock of Rockwell Collins received by Rockwell Automation Stock Funds A and B (or, after June 30, 2005, the
Rockwell Automation Stock Fund) as part of the Collins Spin-off. Any dividends or other income received by the Rockwell Collins Stock Fund which are attributable to Company Matching Contributions will be transferred to Rockwell Automation Stock Fund
A (or, after June 30, 2005, the Rockwell Automation Stock Fund) and then invested by the Trustee in Rockwell Automation common stock in the said Rockwell Automation Stock Fund A (or, after June 30, 2005) the Rockwell Automation Stock
Fund). Any dividends or other income received by the Rockwell Collins Stock Fund which are attributable to Participant Contributions or Company Profit Sharing Contributions will be transferred to a stable value fund. 

 

	 	(9)	The Exxon Stock Fund will consist of shares of the common stock of Exxon Corporation (now known as “Exxon Mobil Corporation”) previously purchased by the
Trustee of the Reliance Predecessor Plan. Any dividends or other income received by the Exxon Stock Fund which are attributable to Company Matching Contributions will be transferred to Rockwell Automation Stock Fund A (or after June 30, 2005,
to the Rockwell Automation Stock Fund) and then invested by the Trustee in Rockwell Automation common stock. Any dividends or other income receive by the Exxon Stock Fund which are attributable to Participant Contributions or Company Profit Sharing
Contributions will be transferred to a stable value fund. 

  

	 	(10)	The MindSpeed Stock Fund will consist of common stock of MindSpeed Technologies, Inc. received by the Skyworks Stock Fund as part of the MindSpeed Technologies
Spin-off. Any dividends or other income received by the MindSpeed Stock Fund which are attributable to Company Matching Contributions will be transferred to Rockwell Automation Stock Fund A (or, after June 30, 2005, the Rockwell Automation
Stock Fund) and then invested by the Trustee in Rockwell Automation common stock in the said Rockwell Automation Stock Fund A (or, after June 30, 2005, the Rockwell Automation Stock Fund). Any dividends or other income received by the MindSpeed
Stock Fund which are attributable to Participant Contributions or Company Profit Sharing Contributions will be transferred to a stable value fund. 

  
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	(c)	Effective March 31, 2006, all of the Special Stock Funds other than the Rockwell Automation Stock Funds and the Exxon Stock Fund will be discontinued. Participants
who fail to transfer their interests in the Plan from one of the discontinued Special Stock Funds to an Investment Fund or to the Rockwell Automation Stock Fund (as otherwise permitted under Article IV of this Plan) by March 31, 2006 will be
deemed to have elected to have such amounts transferred to the appropriate target retirement Investment Fund based on a Participant’s date of birth. 

  

	(d)	Effective June 29, 2007, the Exxon Stock Fund will be discontinued. Any Participant who fails to transfer his interest in the Plan from the Exxon Stock Fund to an
Investment Fund or to the Rockwell Automation Stock Fund (as otherwise permitted under Article IV of this Plan) by June 29, 2007, will be deemed to have elected to have such amounts transferred to the appropriate target retirement Investment
Fund based on such Participant’s date of birth. 

 8.030 Trustee’s Powers and Authority. Subject to the
provisions of Section 8.050 concerning certain power and authority connected with the common stock of Rockwell Automation, which is held in Rockwell Automation Stock Funds A and B or the Rockwell Automation Stock Fund, the Trustee will have
full authority and discretion with respect to management of the assets of the Trust Fund, including management of the assets of the individual Investment Funds held thereunder. 
 8.040 Statutory Limits. In making all investments pursuant to this Plan, the Trustee will: 
  

	(a)	be subject to applicable provisions of ERISA governing the exercise of its fiduciary responsibilities on behalf of the Trust Fund and this Plan, as well as to all
applicable securities laws governing the investments of the Trust Fund (including any investment companies or mutual funds therein), but will not be bound by any law or any court doctrine of any state or jurisdiction limiting trust investments,
except as otherwise provided or permitted by ERISA; 

  

	(b)	at all times give consideration to the cash requirements of the Plan; and 

  

	(c)	not cause the Plan to engage in any transaction constituting a prohibited transaction under ERISA §406. 

  
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 8.050 Duty of Trustee as to Common Stock in Stock Funds. 

 

	(a)	Except as otherwise provided in this Section, the duty with respect to the voting, retention, and tendering of common stock held in Rockwell Automation Stock Funds A
and B, the Rockwell Automation Stock Fund and in the Special Stock Funds will lie solely with the Trustee and will be exercised in the Trustee’s discretion. 

 

	(b)	With respect to any matter as to which a vote of the outstanding shares of such common stock held in such a Stock Fund is solicited: 

 

	 	(1)	the Trustee will solicit the direction in writing of each Participant, as to the manner in which voting rights of the Participant’s vested and non-vested shares of
common stock held in or credited to a Stock Fund as of the record date fixed for determining the holders of common stock entitled to vote on such matter are to be exercised with respect to such matter, and the Trustee will exercise the voting rights
of such shares with respect to such matter in accordance with the last-dated timely written direction, if any, of such Participant; and 

  

	 	(2)	the Trustee, in its sole discretion, will exercise voting rights of shares of common stock held in the Stock Funds as to which no timely direction has been
received pursuant to paragraph (1). 

  

	(c)	In the event of any Tender Offer: 

  

	 	(1)	the Trustee will solicit the direction in writing of each Participant, as to the tendering or depositing of any vested or non-vested shares of common stock held in any
Stock Fund with respect to such Participant and, except as limited by subsection (d), will tender or deposit such shares pursuant to any such Tender Offer in accordance with the last dated timely written direction, if any, of such Participant;

  

	 	(2)	the Trustee will have the duty, except as limited by subsection (d), with respect to the retention, tendering or depositing of shares of common stock held in any Stock
Fund as to which no timely direction has been received pursuant to paragraph (1); 

  

	(d)	Shares of common stock held in the Stock Funds will not be tendered or deposited by the Trustee pursuant to any such Tender Offer until the earlier of:

  

	 	(1)	immediately preceding the scheduled expiration of the Tender Offer pursuant to which such shares are to be tendered or deposited, or 

  
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	 	(2)	immediately preceding the expiration of the period during which such shares of common stock will be taken up and paid for on a pro rata basis pursuant to such Tender
Offer, or 

  

	 	(3)	the expiration of thirty (30) days from the date of the Trustee’s solicitation of Participants’ written direction pursuant to subsection (c)(1).

  

	(e)	The duty with respect to the withdrawal, or other exercise of any right of withdrawal, of shares of common stock held in a Stock Fund which have been tendered or
deposited pursuant to any such Tender Offer will be solely that of the Trustee; provided that the Trustee may solicit the direction in writing of each Participant with respect to whom any such shares of common stock have been tendered or deposited
pursuant to any such Tender Offer as to the withdrawal of, or other exercise of any right to withdraw, such shares of common stock and, if such solicitation is made, the Trustee will act in accordance with the last dated timely written direction, if
any, of each such Participant. 

 8.060 Rights in the Trust Fund. Nothing in the Plan or in the Trust Agreement will be
deemed to confer any legal or equitable right or interest in the Trust Fund in favor of any Participant, Beneficiary or other person, except to the extent expressly provided in the Plan. 
 8.070 Taxes, Fees and Expenses of the Trustee. 
  

	(a)	The reasonable fees and expenses of the Trustee (including the reasonable expenses of the Trustee’s counsel) will be paid from the Trust Fund and will constitute a
charge on the Trust Fund until so paid; provided, however, that in no event will the Trust Fund nor the Company (unless the Company is specifically so directed by resolution of the Company’s Board of Directors) pay any such Trustee fees
or expenses: 

  

	 	(1)	for preparation or prosecution of any action against the Company, the Plan, any member of the Employee Benefit Plan Committee or the Plan Administrator, or

  

	 	(2)	for the defense or settlement of, or the satisfaction of a judgment related to, any proceeding arising either out of any alleged misfeasance or nonfeasance in any
person’s performance of duties with respect to the Plan or out of any alleged wrongful act against the Plan. 

Included in the reasonable expenses payable from the Trust Fund are any direct internal costs (which may include reimbursement of
compensation of employees of the Company) associated with Plan operations and administration, the payment of which will be in conformity with the requirements of Title I of ERISA. Neither the Plan Administrator nor the members of the Employee
Benefit Plan Committee may be compensated from the Plan but may be compensated by the Company for services rendered on behalf of the Plan. 
  

	(b)	Brokerage fees, commissions, stock transfer taxes and other charges and expenses incurred in connection with transactions relating to the acquisition or disposition of
property for or of the Trust Fund, or distributions therefrom, will be paid from the Trust Fund. Taxes, if any, payable by the Trustee on the assets at any time held in the Trust Fund or on the income thereof will be paid from the Trust Fund.

  
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 ARTICLE IX: ADMINISTRATION 
 9.010 General Administration. Authority to control and manage the operation and administration of the Plan has been vested in the Employee Benefit Plan Committee by the Board, except to the extent
that: 
  

	(a)	the Plan Administrator is allocated any such authority under the Plan; 

  

	(b)	the Trustee may, pursuant to Article VIII, be granted exclusive authority and discretion to manage and control all or any portion of the assets of the Plan;

  

	(c)	the Employee Benefit Plan Committee, the Plan Administrator, the Employee Benefits Appeals Committee and the Trustee constitute ERISA named fiduciaries of the Plan.

 Neither the Company nor the Board shall control or manage the operation or administration of the Plan nor be fiduciaries with
respect to the Plan. All functions of the Company and the Board under the Plan shall be settlor functions and not fiduciary functions. 

9.020 Employee Benefit Plan Committee. The Employee Benefit Plan Committee shall consist of the Company’s Director-Global Benefits and up to
four other members appointed by the Company’s Director-Global Benefits. The Employee Benefit Plan Committee will act, with or without a meeting, in a manner consistent with the rules and regulations adopted pursuant to Section 9.060(c).

 9.025 Employee Benefits Appeals Committee. The Employee Benefits Appeals Committee shall consist of up to seven (7) members, each
appointed by the Plan Administrator. The Plan Administrator shall designate one member to serve as Chairperson and a second member to service as Vice-Chairperson. The Employee Benefits Appeals Committee will review claims and appeals pursuant to the
procedures described in Article X. 
 9.030 Employee Benefit Plan Committee Records. The Employee Benefit Plan Committee will keep such
records and data as it deems appropriate and it will from time to time file with the Board of Directors such reports as the latter may request. It will be a function of the Employee Benefit Plan Committee to keep records of the assets of the Trust
Fund, based upon reports furnished by the Trustee, and the evaluations placed thereon by the Committee will be final and conclusive. 
 9.035
Employee Benefits Appeals Committee Records. The Employee Benefits Appeals Committee will keep records of all participant claims and appeal submitted to it pursuant to Article X. The Employee Benefits Appeals Committee may from time to time file
with the Plan Administrator or Employee Benefit Plan Committee such reports as the latter may request. 

  
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 9.040 Funding Policy. The Employee Benefit Plan Committee will be responsible for determining a
funding policy of the Plan and will from time to time advise the Trustee of such policy. 
 9.050 Allocation and Delegation of Duties Under
Plan. The Employee Benefit Plan Committee, Employee Benefits Appeals Committee and the Plan Administrator each have the following powers and authorities: 
  

	(a)	to designate agents to carry out responsibilities relating to the Plan, other than fiduciary responsibilities; and 

 

	(b)	to employ such legal, consultant, medical, accounting, clerical and other assistance as it may deem appropriate in carrying out the provisions of this Plan including
one or more persons to render advice with regard to any responsibility any fiduciary may have under the Plan. 

 9.060 Employee
Benefit Plan Committee Powers. In addition to any powers and authority conferred on the Employee Benefit Plan Committee elsewhere in the Plan or by law, the Employee Benefit Plan Committee has the following powers and authority: 

 

	(a)	to allocate fiduciary responsibilities, other than trustee responsibilities (responsibilities under the Trust Agreement to manage or control the Plan assets) to one or
more members of the Employee Benefit Plan Committee or to the Plan Administrator and to designate one or more persons (other than the Trustee) to carry out such fiduciary responsibilities; 

 

	(b)	to determine the manner in which the assets of this Plan, or any part thereof, will be disbursed by the Trustee, except as relates to the making and retention of
investments; and 

  

	(c)	to establish rules and regulations from time to time for the conduct of the Employee Benefit Plan Committee’s business and for the administration and effectuation
of its responsibilities under the Plan. 

 9.070 Plan Administrator. In addition to any powers and authority conferred on
the Plan Administrator elsewhere in the Plan, the Plan Administrator has the following powers and authority: 
  

	(a)	to administer, interpret, construe and apply this Plan and to decide all questions which may arise or which may be raised by any Employee, Participant, Beneficiary, or
other person whatsoever, and the actions or decisions of the Plan Administrator in regard thereto, or in regard to anything or matter otherwise within his discretion, will be conclusive and binding on all Employees, Participants, Beneficiaries, and
other persons whatsoever; 

  
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	(b)	to designate one or more persons, other than the Trustee, to carry out fiduciary responsibilities (other than trustee responsibilities); 

 

	(c)	to establish rules and regulations from time to time for the administration and effectuation of his responsibilities under the Plan. 

The Plan Administrator has such other responsibility as is designated by ERISA as the responsibility of the administrator of the Plan and will have such
other power and authority as is necessary to fulfill his responsibilities under ERISA or under the Plan. Benefits under the Plan shall be payable to any party only if the Plan Administrator or its designee, including the Employee Benefits
Appeals Committee, decides in its discretion that the party is entitled to them. Any final determination by the Plan Administrator shall be binding on all parties. If challenged in court, such determination shall not be subject to de
novo review and shall not be overturned unless proven to be arbitrary and capricious upon the evidence considered by the Plan Administrator or its designee at the time of such determination. 

9.080 Reliance Upon Documents and Opinions. The members of the Employee Benefit Plan Committee and the Employee Benefits Appeals Committee, the
Plan Administrator, the Board of Directors and the Company will be entitled to rely upon any tables, valuations, computations, estimates, certificates and reports furnished by any consultants or consulting firms, opinions furnished by legal counsel
and reports furnished by the Trustee. The members of the Employee Benefit Plan Committee and the Employee Benefits Appeals Committee, the Plan Administrator, the Board of Directors and the Company will be fully protected and will not be liable in
any manner whatsoever, except as otherwise specifically provided by law, for anything done or action taken or suffered in reliance upon any such consultant, Trustee or counsel. Any and all such things done or such actions taken or suffered by the
Employee Benefit Plan Committee, the Employee Benefits Appeals Committee, the Plan Administrator, the Board of Directors and the Company will be conclusive and binding on all Employees, Participants, Beneficiaries, and other persons whatsoever
except as otherwise specifically provided by law. The Employee Benefit Plan Committee, the Employee Benefits Appeals Committee and the Plan Administrator may, but are not required to, rely upon all records of the Company with respect to any matter
or thing whatsoever, and to the extent they rely thereon, such records will be conclusive with respect to all Employees, Participants, and Beneficiaries. 
 9.090 Requirement of Proof. The Employee Benefit Plan Committee, the Plan Administrator, the Employee Benefits Appeals Committee, the Board of Directors or the Company may require satisfactory
proof of any matter under this Plan from or with respect to any Employee, Participant, or Beneficiary, and no such person may acquire any rights or be entitled to receive any benefits under this Plan until such proof is furnished as so required.

  
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 9.100 Limitation and Indemnification. Except as provided in Part 4 of Title 1 of ERISA, no person
will be subject to any liability with respect to his duties under the Plan, unless he acted fraudulently or in bad faith. No person will be liable for any breach of fiduciary responsibility resulting from the act or omission of any other fiduciary
or any person to whom fiduciary responsibilities have been allocated or delegated, except as provided in ERISA §405(a) and 405(c)(2)(A) or (B). No action or responsibility will be deemed to be a fiduciary action or responsibility except to the
extent required by ERISA. The Company shall indemnify the Plan Administrator, each member of the Employee Benefit Plan Committee, each member of the Employee Benefits Appeals Committee and any other employee of the Company with duties under the
Plan, to the full extent permitted by law against expenses, liability and loss (including attorney’s fees, judgments, fines, ERISA excise taxes or penalties and amounts paid in settlement) reasonably incurred by him in connection with any
claims against him by reason of this position in connection with the Plan or his duties under the Plan. Such rights of indemnification shall include the right to be paid by the Company expenses, including attorney’s fees, incurred in defending
any civil, criminal, administrative or investigative action, suit or proceeding, in advance of the final disposition of such action, suit or proceeding upon receipt of an understanding by or on behalf of such person to repay such amount if it shall
be determined that such person is not entitled to be indemnified by the Company. 
 9.110 Mailing and Lapse of Payments. All payments
under the Plan will be delivered in person or mailed to the last address of the Participant (or, in the case of the death of the Participant, to that of any other person entitled to such payments under the terms of the Plan) furnished pursuant to
Section 9.130 below. If the Participant is deceased and payment cannot be made alternately to the estate of either and no surviving spouse, child, grandchild, parent, brother or sister of the Participant or his Beneficiary are known to the Plan
Administrator or the Trustee or, if known, cannot with reasonable diligence be located, the amount payable will be retained by the Trustee until the amount can be distributed pursuant to the provisions of this Plan or of applicable law. 

9.120 Non-Alienation. No right or benefit provided for in the Plan will be subject in any manner to anticipation, alienation, sale, transfer,
assignment, pledge, encumbrance (including garnishment, attachment, execution or levy of any kind or charge) and any attempt to anticipate, alienate, sell, transfer, assign, pledge, encumber or charge the same will be void; provided, however, that
the foregoing will not apply to the creation, assignment, or recognition of a right to any benefit payable with respect to a Participant pursuant to: 
  

	(a)	a federal income tax levy issued against the Participant by the Internal Revenue Service; or 

 

	(b)	a domestic relations order, which the Plan Administrator determines is a qualified domestic relations order under Code §414(p) and which requires that the
order’s alternate payee (as defined in the said Code section) will be paid in a lump sum as soon as is practicable following the order’s issuance. 

  
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 9.130 Notices and Communications. Each Participant will be responsible for furnishing the Plan
Administrator or his designee with his current address and the correct current name and address of his Beneficiary. All communications from Participants must be in the manner from time to time prescribed by the Plan Administrator or his designee and
must be addressed or communicated (including telephonic communications) to such entity or Company office as may be designated by the Plan Administrator, and will be deemed to have been given to the Company when received by such entity or Company
office. Each communication directed to a Participant or Beneficiary must be in writing and may be delivered in person or by mail, in which latter event it will be deemed to have been delivered and received by him when so deposited in the United
States Mail with postage prepaid addressed to the Participant or Beneficiary at his last address of record with the office designated by the Plan Administrator. 
 9.140 Company Rights. The Company’s rights to discipline or discharge Employees or to exercise its rights as to incidents and tenure of employment will not be affected in any manner by reason
of the existence of the Trust Agreement or the Plan, or any action taken under them. 
 9.150 Payments on Behalf of Incompetent Participants
or Beneficiaries. In the event that the Plan Administrator or his designee finds that any Participant or Beneficiary to whom a benefit is payable under the terms of this Plan is unable to care for his affairs because of illness or accident, is
otherwise mentally or physically incompetent, or unable to give a valid receipt, the Plan Administrator may cause the payment becoming due to such Participant or Beneficiary to be paid to another person for his benefit without responsibility on the
part of the Plan Administrator, the Employee Benefit Plan Committee, the Employee Benefits Appeals Committee, the Company or the Trustee to follow the application of such payment. Any such payment will be a payment for the account of the Participant
or Beneficiary and will operate as a complete discharge of all liability therefor under this Plan of the Trustee, the Company, the Plan Administrator, the Employee Benefits Appeals Committee and the Employee Benefit Plan Committee. 

  
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 ARTICLE X: PARTICIPANT CLAIMS 

10.010 Claims and Appeals Procedures. The following paragraphs set forth the exclusive procedure for making claims against the Plan. Any person
making a claim hereunder shall proceed as follows: 
  

	(a)	Request for Benefits. Benefits shall be requested by written application on a form filed in accordance with procedures established and uniformly applied by the
Plan Administrator or its delegate. The Employee Benefits Appeals Committee or its delegate shall make all determinations as to the right of any Participant, Beneficiary, or spouse to receive a benefit under the Plan and the amount of such benefit.
The time, manner, and form of distribution of such benefit shall occur in accordance with the terms of the Plan. 

  

	(b)	Claims. If a Participant believes that the requested benefit was erroneously denied or that the amount of a withdrawal or distribution from the Plan is in error
or if an Employee believes that he has been improperly denied the right to participate in the Plan or receive a contribution to the Plan, such Participant or Employee must make a claim to the Employee Benefits Appeals Committee in such manner and
pursuant to such procedure as established by the Committee. A claimant who fails to reduce a claim to writing shall be deemed not to have made such claim. 

  

	(c)	Decision on Claims. The Employee Benefits Appeals Committee or its delegate will make a decision with respect to a claim within 90 days of the receipt of the
written claim, unless special circumstances require an extension of time for processing, in which case a decision must be rendered within 180 days (notice of the delay must be furnished within the initial 90-day period, however). If a claim is
wholly or partially denied, the claimant shall receive from the Employee Benefits Appeals Committee a written notice which includes the following: (A) the specific reason or reasons for the denial, (B) specific references to pertinent
provisions of the Plan upon which the denial is based, (C) a description of any additional material or information necessary for the claimant to perfect the claim and an explanation as to why such material or information is necessary,
(D) appropriate information as to the steps to be taken if the claimant wishes to submit a claim for review and (E) a statement of the claimant’s right to bring an action under ERISA §502(a) following an adverse benefit
determination on review. 

  

	(d)	Appeal. Any person whose claim has been denied as set forth in (c) may appeal the denial to the Employee Benefits Appeals Committee by filing a written
appeal within sixty (60) days of the date of receipt of the denial. In such review, the claimant or his duly authorized representative shall have the right to review any pertinent Plan documents and to submit any issues or comments in writing.
In addition, the claimant (i) shall have the right to submit documents, records, and other information relating to the claim for benefits; and (ii) shall be provided upon request and free of charge, reasonable access to and copies of all
documents, records, and other information that is relevant to the claim for benefits. In the sole discretion of the Employee Benefits Appeals Committee or its delegate, the Committee may arrange to meet with the claimant and/or the claimant’s
representative or have a hearing for the purpose of understanding the claimant’s position and any related evidence which the claimant wishes to offer. In all cases, the Committee’s review of the appeal shall take into account all comments,
documents, records, and other information submitted by the claimant, without regard to whether such information was submitted or considered in the initial benefit determination. 

  
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 For purposes of this Section, information is considered “relevant” to a
claimant’s claim if such document, record, or other information (i) was relied upon in making the benefit determination; (ii) was submitted, considered, or generated in the course of making the benefit determination, without regard to
whether such document, record, or other information was relied upon in making the determination; or (iii) demonstrates compliance with the Plan’s review procedures and that, if appropriate, the Plan provisions have been applied
consistently with respect to similarly situated claimants. 
  

	(e)	Decision on Appeal. The Employee Benefits Appeals Committee or its delegate, within sixty (60) days after receipt of the request for review, or, in special
circumstances such as where the Committee or its delegate in its sale discretion finds there is a need to hold a hearing, within one hundred and twenty (120) days of receipt of the request for review (in which case notice of the delay will be
given to the claimant during the initial sixty- (60) day period), shall give written notice of its decision to the claimant in writing. The notice shall include specific reasons for the decision and specific references to the pertinent Plan
provisions upon which the decision is based. In addition, the written notice of the decision denying a claim shall contain (i) a statement that the claimant is entitled to receive, upon request and free of charge, reasonable access to and
copies of all documents, records, and other information that is relevant to the claimant’s claim for benefits, and (ii) a statement of the claimant’s right to bring an action under ERISA §502(a). If the appeal has not been
granted and the notice is not furnished within the period of time specified above, the appeal shall be deemed to be denied. The decision on appeal shall be binding on all parties. 

10.020 Limitation on Legal Action. In the event a claim is finally determined under this Article X, no legal action shall be brought against the
Plan, the Plan Administrator, the Employee Benefit Plan Committee, the Employee Benefits Appeals Committee or the Company more than two years after the date of final determination, nor shall any claim or other action be brought against the Plan, the
Plan Administrator, the Employee Benefit Plan Committee, the Employee Benefits Appeals Committee or the Company more than two years after the claimant knew or should have known of the existence of such claim or action. 

  
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 ARTICLE XI: AMENDMENT, MERGERS, TERMINATION, ETC. 

11.010 Amendment. The Board of Directors or its designee may, at any time and from time to time, amend this Plan in whole or in part. However,
except as provided in Section 11.040 below, no amendment may be made, the effect of which would be: 
  

	(a)	to cause any contributions paid to the Trustee to be used for or diverted to purposes other than providing benefits to the Participants and their Beneficiaries, and
defraying reasonable expenses of administering the Plan, prior to satisfaction of all liabilities with respect to Participants and their Beneficiaries; 

  

	(b)	to have any retroactive effect so as to deprive any Participant or Beneficiary of any benefit to which he would be entitled under this Plan if his employment were
terminated immediately before such amendment; or 

  

	(c)	to increase the responsibilities or liabilities of the Trustee without its written consent. 

 11.020 Transfer of Assets and Liabilities. The Employee Benefit Plan Committee at any time may, in its sole discretion and without the consent of the Participant or his representative, cause the
Trustee to segregate part of the assets of the Trust Fund into one or more separate trust funds and designate a group of Participants whose benefits will be provided solely from each such segregated fund. The Board of Directors may, in its sole
discretion without the consent of any Participant or his representative, establish a separate plan to cover any such group of Participants. The initial terms and conditions of any such plan will be identical to the extent such terms and conditions
affect the rights of Participants under the Plan. Amendment to the Plan will not be necessary to carry out the provisions of this Section. 

11.030 Merger Restriction. The Company may, by action of the Board of Directors, merge this Plan, in whole or in part, with any other plan
sponsored by the Company or by an Affiliate of the Company. Notwithstanding any other provision in this Plan, the Plan may not in whole or in part be merged or consolidated with, or have its assets or liabilities transferred to any other plan,
unless each affected Participant in this Plan would (if the Plan then terminated) receive a benefit immediately after the merger, consolidation, or transfer which is equal to or greater than the benefit he would have been entitled to receive
immediately before the merger, consolidation, or transfer (if the Plan had then terminated). 
 11.040 Suspension of Contributions. The
Company may, without amendment of the Plan and without the consent of any Participant or representative of any Participant, suspend contributions to the Plan as to all or certain Participants by action of the Board of Directors. In any event, the
Company will suspend contributions at any time when the amount of any contribution by it would be in excess of the earnings, including retained earnings, of the Company. Upon a suspension, the Employee Benefit Plan Committee may, in its sole
discretion permit the Trust Fund to continue to be held by the Trustee, or may segregate one or more parts of the Trust Fund, as provided in Section 11.020. 

  
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 11.050 Discontinuance of Contributions. The Company may, by action of the Board of Directors, without
amendment of the Plan and without the consent of any Participant or representative of any Participant, discontinue such contributions to the Plan as to all or certain Participants. 
 11.060 Termination. The Company may terminate or partially terminate the Plan at any time. Upon such termination or partial termination of the Plan, or upon a complete discontinuance of
contributions pursuant to Section 11.050, the Accounts of each affected Participant will remain fully vested and nonforfeitable. In the event of termination or partial termination the Employee Benefit Plan Committee may, without the consent of
any Participant or other person, permit the Trustee to retain all or part of the Trust Fund or distribute all or part of the Trust Fund to the Participants or their spouses or Beneficiaries. 

  
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 ARTICLE XII: STATUTORY LIMITATIONS 

12.010 Annual Limits of Participants’ Account Increases. This Article is intended to conform the Plan to the requirements of Code §415,
and the regulations issued thereunder; and will be administered and interpreted in accordance with such requirements and regulations; and notwithstanding any provision of this Plan to the contrary, no amount may be credited to any Participant’s
Account which is in excess of the limitation imposed by said §415, as from time to time amended or replaced. The amount allocated in each calendar year to any Participant under the combination of defined contribution plans of all Affiliated
Companies cannot exceed the lesser of Forty Thousand Dollars ($40,000.00), or such larger amount as may be established under Code §415(d)(1) to reflect an increase in the cost of living, or 100% of the Participant’s total
compensation. For purposes of this limitation, the amount allocated will be deemed to be comprised of Company Matching Contributions and Company Profit Sharing Contributions and the Participant’s Pre-tax and After-tax Contributions. 

12.015 Excess Annual Additions. If an amount in excess of the limitation imposed by Code §415 were to be credited to a Participant’s
Account in contravention of Section 12.010 with respect to a particular Plan Year as a result of estimation of annual Compensation, the allocation of forfeitures or a reasonable error in determining the amount of elective deferrals that may be
made with respect to the Participant pursuant to Code §402(g)(3), such excess will be used to reduce employer contributions for that Participant for the following Plan Year (and, if necessary, for succeeding Plan Years), if the Participant is
still a Participant at the end of such first Plan Year. If, on the other hand, the said Participant is not covered by the Plan in that Plan Year, then the excess will be held in suspense for the remainder of the Plan Year and will be allocated or
reallocated in the following Plan Years among the Accounts of all of the Participants prior the making of any contributions in such following Plan Years. 
 12.020 Combining Similar Plans. For purposes of this Article, all defined contribution plans which are required to be aggregated under Code §414(b) will be so aggregated and the limitation set
forth herein will be applied to the total amounts allocated under all such plans. 

  
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 ARTICLE XIII: MISCELLANEOUS 
 13.010 Benefits Payable only from Trust Fund. All benefits payable hereunder will be provided solely from the trust, and the Company assumes no responsibility for the acts of the Trustee,
except as provided in the Trust Agreement. 
 13.020 Requirement for Release. Any payment to any Participant or a Participant’s
present, future or former spouse or Beneficiary in accordance with the provisions of this Plan will, to the extent thereof, be in full satisfaction of all claims against the Plan, the Plan Administrator, the Trustee and the Company, and the Trustee
may require such Participant or Beneficiary, as a condition precedent to such payment to execute a receipt and release to such effect. 

13.030 Transfers of Stock. Transfers of Rockwell Automation, Boeing, ExxonMobil, Meritor and Conexant, MindSpeed, Rockwell Collins and Skyworks
common stock from the Plan will be made as soon as practicable, but the Company, the Plan Administrator, any other Named Fiduciary and the Trustee will not have any responsibility for any decrease in the value of such common stock between the
Valuation Date used for determination of the number of shares to which the Participant is entitled and the date of transfer by the transfer agent, nor will the Participant receive any dividends, rights, options or warrants on such
stock other than those payable to stockholders of record as of a date on or after the date of transfer. 
 13.040 Rights of
Reemployed Veterans. Notwithstanding any other provision of the Plan to the contrary, contributions, benefits and service credit with respect to qualified military service will be provided in accordance with Code §414(u). 

13.050 Qualification of the Plan. The Company intends for the Plan to be qualified and approved by the Internal Revenue Service under Code
§401(a) and for Company Contributions to be deductible by the Company for federal income tax purposes. Continuation of the Plan is contingent upon and subject to retaining such qualification and approval. Any modification or amendment of the
Plan or the Trust Agreement may be made retroactively by the Company, if necessary or appropriate, to qualify or maintain the Plan and the Trust as a plan and trust meeting the requirements of applicable provisions of the Code and of other federal
and state laws, as are now or in the future may be in effect. No contribution made by the Company may revert to the Company, unless such contribution was the result of a good faith mistake of fact, in which case such contribution may be returned to
the Company within one (1) year to the extent permitted by all applicable laws. 
 13.060 Interpretation. The masculine gender will
include the feminine and the singular will include the plural unless the context clearly indicates otherwise. 

  
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 13.070 No Contract of Employment. The adoption and maintenance of this Plan shall not be construed as
creating any contract of employment between the Company or any Affiliated Company and any employee, and each such Company shall have the right in all respects to deal with its employees, their hiring, discharge, compensation and conditions of
employment as though the Plan did not exist. No employee shall have any right to question the action of any such Company in discontinuing its contributions to this Plan or in terminating this Plan in its entirety. Each Participant shall have the
right to see the record of his Account(s) but no right to inquire as to the Accounts of other Participants. 

  
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 ARTICLE XIV: MINIMUM DISTRIBUTION REQUIREMENTS 

14.010 General Rules. This Article sets forth revised rules regarding minimum distributions utilizing Model Plan Amendment 1 from Revenue
Procedure 2002-29 (with minor changes as permitted by that Revenue Procedure) as set forth below. Notwithstanding the foregoing, this Article XIV does not expand the forms of distribution available under the Plan, nor does it allow Participants to
defer commencement of distributions beyond what is allowed in Article V. If another provision of the Plan calls for an earlier distribution or a larger payment on any given date, such provision shall supersede this Article XIV. 

 

	(a)	Effective Date. The provisions of this Article XIV will apply for purposes of determining required minimum distributions for calendar years beginning with the
2003 calendar year. 

  

	(b)	Precedence. Except as provided above, the requirements of this Article will take precedence over any inconsistent provisions of the Plan.

  

	(c)	Requirements of Treasury Regulations Incorporated. All distributions required under this Article will be determined and made in accordance with the
Treasury regulations under Code §401(a)(9). 

 14.020 Time and Manner of Distribution. 

 

	(a)	Required Beginning Date. The Participant’s entire interest will be distributed, or begin to be distributed, to the Participant no later than the
Participant’s required beginning date. 

  

	(b)	Death of Participant Before Distributions Begin. If the Participant dies before distributions begin, the Participant’s entire interest will be distributed,
or begin to be distributed, no later than as follows: 

  

	 	(i)	if the Participant’s surviving spouse is the Participant’s sole designated beneficiary, then distributions to the surviving spouse will begin by
December 31 of the calendar year immediately following the calendar year in which the Participant died, or by December 31 of the calendar year in which the Participant would have attained age 70-1/2, if later. 

 

	 	(ii)	if the Participant’s surviving spouse is not the Participant’s sole designated beneficiary, then distributions to the designated beneficiary will begin by
December 31 of the calendar year immediately following the calendar year in which the Participant died. 

  

	 	(iii)	if there is no designated beneficiary as of September 30 of the year following the year of the Participant’s death, the Participant’s entire interest
will be distributed by December 31 of the calendar year containing the fifth anniversary of the Participant’s death. 

  

	 	(iv)	if the Participant’s surviving spouse is the Participant’s sole designated beneficiary and the surviving spouse dies after the Participant but before
distributions to the surviving spouse begin, this Section 14.020(b), other than Section 14.02(b)(i), will apply as if the surviving spouse were the Participant. 

  
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 For purposes of this Section 14.020(b) and Section 14.040, unless Section 14.020(b)(iv)
applies, distributions are considered to begin on the Participant’s required beginning date. If Section 14.020(b)(iv) applies, distributions are considered to begin on the date distributions are required to begin to the surviving spouse
under Section 14.020(b)(i). If distributions under an annuity purchased from an insurance company irrevocably commence to the Participant before the Participant’s required beginning date (or to the Participant’s surviving spouse
before the date distributions are required to begin to the surviving spouse under Section 14.020(b)(i)), the date distributions are considered to begin is the date distributions actually commence. 

 

	(c)	Forms of Distribution. Unless the Participant’s interest is distributed in the form of an annuity purchased from an insurance company or in a single sum on
or before the required beginning date, as of the first distribution calendar year distributions will be made in accordance with Sections 14.030 and 14.040 of this Article. If the Participant’s interest is distributed in the form of an annuity
purchased from an insurance company, distributions thereunder will be made in accordance with the requirements of Code §401(a)(9) of the Code and the Treasury regulations. 

 14.030 Required Minimum Distributions During Participant’s Lifetime. 
  

	(a)	Amount of Required Minimum Distribution For Each Distribution Calendar Year. During the Participant’s lifetime, the minimum amount that will be distributed
for each distribution calendar year is the lesser of: 

  

	 	(i)	the quotient obtained by dividing the Participant’s account balance by the distribution period in the Uniform Lifetime Table set forth in Treas. Reg.
§1.401(a)(9)-9 of the Treasury regulations, using the Participant’s age as of the Participant’s birthday in the distribution calendar year; or 

 

	 	(ii)	if the Participant’s sole designated beneficiary for the distribution calendar year is the Participant’s spouse, the quotient obtained by dividing the
Participant’s account balance by the number in the Joint and Last Survivor Table set forth in Treas. Reg. §1.401(a)(9)-9 of the Treasury regulations, using the Participant’s and spouse’s attained ages as of the Participant’s
and spouse’s birthdays in the distribution calendar year. 

  

	(b)	Lifetime Required Minimum Distributions Continue Through Year of Participant’s Death. Required minimum distributions will be determined under this
Section 14.030 beginning with the first distribution calendar year and up to and including the distribution calendar year that includes the Participant’s date of death. 

  
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 14.040 Required Minimum Distributions After Participant’s Death. 

 

	(a)	Death On or After Date Distributions Begin. 

  

	 	(i)	Participant Survived by Designated Beneficiary. If the Participant dies on or after the date distributions begin and there is a designated beneficiary,
the minimum amount that will be distributed for each distribution calendar year after the year of the Participant’s death is the quotient obtained by dividing the Participant’s account balance by the longer of the remaining life expectancy
of the Participant or the remaining life expectancy of the Participant’s designated beneficiary, determined as follows: 

  

	 	(A)	The Participant’s remaining life expectancy is calculated using the age of the Participant in the year of death, reduced by one for each subsequent year.

  

	 	(B)	If the Participant’s surviving spouse is the Participant’s sole designated beneficiary, the remaining life expectancy of the surviving spouse is calculated
for each distribution calendar year after the year of the Participant’s death using the surviving spouse’s age as of the spouse’s birthday in that year. For distribution calendar years after the year of the surviving spouse’s
death, the remaining life expectancy of the surviving spouse is calculated using the age of the surviving spouse as of the spouse’s birthday in the calendar year of the spouse’s death, reduced by one for each subsequent calendar year.

  

	 	(C)	If the Participant’s surviving spouse is not the Participant’s sole designated beneficiary, the designated beneficiary’s remaining life expectancy is
calculated using the age of the beneficiary in the year following the year of the Participant’s death, reduced by one for each subsequent year. 

  

	 	(ii)	No Designated Beneficiary. If the Participant dies on or after the date distributions begin and there is no designated beneficiary as of September 30 of the
year after the year of the Participant’s death, the minimum amount that will be distributed for each distribution calendar year after the year of the Participant’s death is the quotient obtained by dividing the Participant’s account
balance by the Participant’s remaining life expectancy calculated using the age of the Participant in the year of death, reduced by one for each subsequent year. 

  
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	(b)	Death Before Date Distributions Begin. 

  

	 	(i)	Participant Survived by Designated Beneficiary. If the Participant dies before the date distributions begin and there is a designated beneficiary, the minimum
amount that will be distributed for each distribution calendar year after the year of the Participant’s death is the quotient obtained by dividing the Participant’s account balance by the remaining life expectancy of the Participant’s
designated beneficiary, determined as provided in Section 14.040(a). 

  

	 	(ii)	No Designated Beneficiary. If the Participant dies before the date distributions begin and there is no designated beneficiary as of September 30 of the year
following the year of the Participant’s death, distribution of the Participant’s entire interest will be completed by December 31 of the calendar year containing the fifth anniversary of the Participant’s death.

  

	 	(iii)	Death of Surviving Spouse Before Distributions to Surviving Spouse Are Required to Begin. If the Participant dies before the date distributions begin, the
Participant’s surviving spouse is the Participant’s sole designated beneficiary, and the surviving spouse dies before distributions are required to begin to the surviving spouse under Section 14.020(b)(i), this Section 14.040(b)
will apply as if the surviving spouse were the Participant. 

 14.050 Definitions. 

(a) Designated beneficiary. The individual who is designated as the beneficiary under Section 1.130 of the Plan and is
the designated beneficiary under Code §401(a)(9) and Treas. Reg. §1.401(a)(9)-1, Q&A-4, of the Treasury regulations. 
 (b) Distribution calendar year. A calendar year for which a minimum distribution is required. For distributions beginning before the Participant’s death, the first distribution calendar year
is the calendar year immediately preceding the calendar year which contains the Participant’s required beginning date. For distributions beginning after the Participant’s death, the first distribution calendar year is the calendar year in
which distributions are required to begin under Section 14.020(b). The required minimum distribution for the Participant’s first distribution calendar year will be made on or before the Participant’s required beginning date. The
required minimum distribution for other distribution calendar years, including the required minimum distribution for the distribution calendar year in which the Participant’s required beginning date occurs, will be made on or before
December 31 of that distribution calendar year. 
 (c) Life expectancy. Life expectancy as computed by use of the
Single Life Table in Section 1.401(a)(9)-9 of the Treasury regulations. 
 (d) Participant’s account balance.
The account balance as of the last valuation date in the calendar year immediately preceding the distribution calendar year (valuation calendar year) increased by the amount of any contributions made and allocated or forfeitures allocated to the
account balance as of dates in the valuation calendar year after the valuation date and decreased by distributions made in the valuation calendar year after the valuation date. The account balance for the valuation calendar year includes any amounts
rolled over or transferred to the Plan either in the valuation calendar year or in the distribution calendar year if distributed or transferred in the valuation calendar year. 
 (e) Required beginning date. The date specified in the Section 5.020 of the Plan. 

  
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 Restated 1-1-08 
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 APPENDIX A 
 EXCLUDED EMPLOYERS 
 Effective as of November 1, 2007, the following Affiliated
Employers do not participate in this Plan: 
 W-Interconnections, Inc. 
 Rockwell Automation Caribbean LLP 
 ICS TriPlex 

Pavilion Technologies, Inc. 

  
 Plan 008

 Restated 1-1-08 
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 APPENDIX B 
 PARTICIPANTS IN THE CLASS OF EMPLOYEES ELIGIBLE FOR 
 ROCKWELL SOFTWARE
COMPANY PROFIT SHARING 
 AS OF SEPTEMBER 1, 2007 

 

									
	 Employee Name

	Demaster, Megan A	  	Dyer, Rosanna	  	Fredette, Mark R	  	Fuchs, Michael A	  	Shah, Riddhi
	Shah, Hemil V	  	Prominski, Alex M	  	Jenkins, Mark W	  	Brown, James C	  	McIntosh, William P
	Jefcik, Kyle M	  	Rex, Brian A	  	Vang, Kong	  	Westphal, Natalie A	  	Csepegi, Nikki M
	Borgohain, Jubaraj	  	Mackall, Kurtis B	  	Mirani, Sandeep R	  	Selkin, Roy A	  	Pichler, Todd K
	Wick, Henry C	  	Johnson, Stewart W	  	McCauley, John H	  	Rickey, Christopher R	  	Chambers, Keith R
	Dao, Roger Q	  	Ho, Chi-Yu	  	Jeong, Annette	  	Julius, Elaine M	  	Laroche, Stephen
	Lu, Hsiao-Chi	  	Moor, Crisler T	  	Nguyen, Lenny V	  	Nguyen, Thien Q	  	Primitivo, Joan M
	Randall, Kent W	  	Reznik, Oleg	  	Ryan, Richard L	  	Singh, Baltej	  	Sze, Richard W
	Truong, Quoc K	  	Vazquez Galvan, Irma Veron	  	Yama, Winston M	  	Nguyen, Tu T	  	Bremer, Martin L
	Reyna, Manuel	  	Slater, Kevin J	  	Balistrieri, Joseph A	  	Coelho, Joseph M	  	Sin, Mona
	Schwartz, Gordon G	  	Morrison, Joshua	  	KAMMER, KHRISTOPHER	  	Miller, David Jason	  	Gelberg, Sarah E
	Pritsker, Gene	  	Nugent, Michael James	  	Pingel, Jan	  	Mu, Xinyu	  	Song, Xiaodan
	Liang, Coco	  	Halsey, Matthew J	  	Costa, Michele	  	Kuo, Jennshi	  	Bockhop, Tiffany A
	Zhang, Frank Xiaoqing	  	Fox, Michelle	  	Zuehlke, Kevin R	  	Ni, Xin	  	Rafeedie, Bob
	Vidosavljevic, Petar	  	Dawson, Keith Victor	  	Wong, Vincent A	  	Bandsuh, Robert Allen	  	Taguma, Cheryl Yoko
	Jin, Li	  	VAIRAVAN, VAIRAVAN E	  	Kanodia, Hemant Kumar	  	KATARIA, KARUNA	  	MehrRostami, Parimah -
	Sharma, Rahul	  	Folk, Michael L	  	Clay, Carroll Franklin	  	Nguyen, Binh T	  	Hobson, Larry D
	Babuder, David M	  	Pierce, Lynn A	  	Noonen, Daniel P	  	Baier, John J	  	Roy, Lisette E
	Pensky, Alexander E	  	Staas, Karl	  	Fatica, Ronnie J	  	Pappenhagen, Robert E	  	Zucker, Jack A
	King, Teresa A	  	Dixon, Elmorris P	  	Williams, Alesia	  	Kelly, John L	  	Armstrong, Larry D
	Porter, Brian A	  	Doering, Heidi C	  	Adams, Michael D	  	Lemkelde, Andrea R	  	Balmert, Steven M
	Sinclair, James A	  	Jasper, Taryl J	  	Jenson, Gary L	  	Pantaleano, Michael J	  	Johnson, Brent R
	Harmon Jr, Gilbert	  	Scaife-Taylor, Gwendolyn	  	Dugar, Deepali	  	Palmieri, Frank A	  	Moore, Felicia F
	Woldt, Mark D	  	Comeau, David W	  	Checkel, Patricia	  	Miserocchi, Nathan	  	Ellert, Edward S
	Meyers, Scott A	  	Campbell, Antonette M	  	Drake, Glenn R	  	Glavach, Mark A	  	Hayson, Thomas C
	Kasales, Cynthia J	  	Matwijec, Theodore F	  	Miller, Scott A	  	Sadowski, Randall P	  	Spataro, Thomas
	Sturrock, David T	  	Takus, A David	  	Gatton, James A	  	Voll, Carol A	  	Nasr, Islam A
	Rodbort, Michael	  	Briant, Stephen C	  	Schenk Jr, Guy A	  	Crooks, Cory R	  	Hollenbeck, James

  
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	Wiltshire, John	  	Shah, Chirayu S	  	Thomas, David E	  	Garber, Michael	  	Hughes, Lisa D
	Urbonavicius, Vytautas	  	Styba, Loren K	  	Vance, Todd A	  	Wergin, Lon A	  	Tambascio, Kevin
	Basterash, Sherryl K	  	Rogers, Christopher M	  	Weber, Jason A	  	Smith, Todd M	  	Brandl, Sheri
	Burke, David T	  	Adams, Debra	  	Enslow, Craig M	  	Palus, Thaddeus A	  	Pingel, Robert M
	Schilling, Laura R	  	Hobbs, Mark D	  	Isely, Mary M	  	Ridenour, David F	  	Hale, Teri-Jo H
	Boppre, Timothy P	  	Brandt, Robert A	  	Bronikowski, Joseph	  	D’Amico, Michael P	  	Duhacek, Paul A
	Feldman, Jeffrey W	  	Foley, Jeffrey L	  	Greene, Suzanne K	  	Grooms, David W	  	Johnson, David K
	Kraschnewski, Susan	  	Kujawa, Matthew J	  	Levine, David A	  	Miller, Michael B	  	Moran, Todd M
	Ruske, David	  	Schneider, Deborah L	  	Smith, Kevin C	  	Snyder, David A	  	Timmerman, Jill M
	Widule, Patrick H	  	Mehling, Christopher J	  	Vogel, Frederick	  	Vance, Catherine J	  	Moczynski, Raymond C
	Borkoski, Michael G	  	Krueger, Matthew D	  	Burtch, Susan E	  	Cash, Simon	  	Ferrell, Linda
	Fischer, Glen A	  	Terwelp, Michael J	  	Albert, Kevin J	  	Lu, Haison P	  	Seery, Brian
	Aiello, Christopher	  	Huffman, David E	  	Schmidt, Linda	  	Schwarten, Susan	  	Kindwall, Jesse

  
 Plan 008

 Restated 1-1-08 
 -68- 

 APPENDIX C 
 PROCEDURES, TERMS AND CONDITIONS OF LOANS 
 Eligibility for Loans. The
individuals eligible to obtain loans from the Plan (“Borrowers”) are limited to: 
  

	 	(1)	Employees, and 

  

	 	(2)	non-Employees who are “parties in interest” (as defined in ERISA §3(14)) 

 who have Plan Account balances. An Employee who wishes to obtain a loan must be employed on an active payroll of an Affiliated Company at the time of the loan application. A party in interest who is not
an Employee will be eligible to obtain a loan only if an agreement can be provided by the party’s current employer to deduct and remit the required loan repayments to the Savings Plan. 
 Limitation on Number and Minimum Amount of Loans. Only two (2) loans to a Borrower will be permitted to be outstanding from all Company sponsored savings plans at any one time. Each
loan must be for a minimum of One Thousand Dollars ($1,000.00). 
 Maximum Amount of Loan. The amount which a Borrower will be
permitted to borrow from the Plan is based on the aggregate value of the Borrower’s Accounts, determined in accordance with the Plan, and may not exceed the least of the amounts described in Section 6.060 of the Plan. The maximum amount of
any loan will be further limited to ensure that, after applying the appropriate interest rate and taking into account all applicable deductions, the resulting periodic repayments will not exceed the Borrower’s net earnings. The deductions
referred to in the preceding sentence include statutory withholdings, deductions for employee benefits and all Pre-tax contributions to the Plan. 
 Loan Applications. Loan applications by prospective Borrowers will be made via telephone to the Plan Administrator or such third party administrator as may be designated by the Plan
Administrator (either of whom is hereafter referred to as the “Loan Administrator”). The Loan Administrator will then review the telephonic application and determine eligibility for the loan. If the loan is approved, the Loan Administrator
will prepare and forward to the Borrower a letter notifying the Borrower of the approval, together with a Truth in Lending Statement and a check for the loan amount, all in form approved by the Plan Administrator. The Borrower’s endorsement of
the loan check will be considered to be the Borrower’s agreement to the terms of the loan. Failure by the Borrower to endorse the check within thirty (30) days after the date of the check will be deemed to be a withdrawal by the Borrower
of the loan application. 

  
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 Restated 1-1-08 
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 Loan Initiation Fee. A fee in the amount of Seventy-five Dollars ($75.00) will be assessed in
connection with the initiation of each loan. This fee will be deducted from the Borrower’s Plan Account at the same time that the loan is approved and processed. 
 Source of Loan Funds. Each loan will be funded from the Borrower’s Investment Funds on a pro rata basis, based upon the relative size of the balance of each such Fund, by withdrawing
the required amounts from the Plan Account(s) of the Borrower in the following order: 
  

					
	First	  	—	  	from amounts in the Borrower’s Pre-tax Contribution Account attributable to his Supplemental Pre-tax Contributions;
			
	Second	  	—	  	from amounts in the Borrower’s Pre-tax Contribution Account attributable to his Catch-up Contributions;
			
	Third	  	—	  	from amounts in the Borrower’s Pre-tax Contribution Account attributable to his Basic Pre-tax Contributions;
			
	Fourth	  	—	  	from amounts in the Borrower’s Account attributable to QNECs;
			
	Fifth	  	—	  	from amounts in the Borrower’s After-tax Contribution Account attributable to his Supplemental After-tax Contributions;
			
	Sixth	  	—	  	from amounts in the Borrower’s After-tax Contribution Account attributable to his Basic After-tax Contributions;
			
	Seventh	  	—	  	from amounts in the Borrower’s Contribution Accounts attributable to his pre-tax Rollover and Transfer Contributions; and
			
	Eighth	  	—	  	from amounts in the Borrower’s Contribution Accounts attributable to his after-tax Rollover Contributions.

 Determination of Loan Interest Rate. The interest rate to be charged for loans will be one percent
(1%) over the prime rate stated by The Wall Street Journal published on the last business day of each calendar month. 
 Term of
Loans. Loans will be permitted for terms of 12, 24, 36, 48 or 60 months for loans other than those for the purpose of purchasing a primary residence, which will be permitted for terms up to 120 months. 

  
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 Restated 1-1-08 
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 Repayments. Loan repayments by Employees will be deducted from the Employee’s pay check
each pay period. If a pay check is insufficient to cover the full amount of the loan repayment, no deduction will be made, and the repayment will be deducted from the Employee’s next pay check. 

Prepayments. Prepayment of a loan will not be permitted during the first 30 days of the loan’s existence, but the full unpaid balance
of the loan may be prepaid by a Borrower at any time after 30 days. Partial prepayments in excess of scheduled payroll deductions will not be accepted. 
 Missed Payments. If any payment is not made, interest will continue to accrue on such missed payment and subsequent payments will be applied first to accrued and unpaid interest on the
missed payment and then to principal. A notice will be mailed to the last known address of the Borrower stating that if three (3) consecutive months of payments are missed, the loan will be considered to be in default. 

Termination of Employment. If a Borrower who is an Employee terminates employment or is on an unpaid Leave, or if a Borrower who is not an
Employee is no longer able to repay a loan through payroll deductions, the Borrower may continue to make loan repayments by bank check, cashier check, personal check or money order. Such repayments to the Plan will be made through the Loan
Administrator at an address to be provided to the Borrower by the Loan Administrator. 
 Default. A loan will be considered to be
in default after three (3) consecutive months of payments have been missed during the term of the loan or when a Borrower revokes a payroll deduction authorization. In the event of such a default, a distribution of the loan amount, including
both unpaid principal and accrued but unpaid interest, will be deemed to have occurred (as described in §1.401(k)-1(d)(6)(ii) of the Treasury Regulations) and an information return reflecting the tax consequences, if any, to the Borrower will
be issued. Upon the occurrence of an event permitting actual distribution of the Borrower’s Account pursuant to the provisions of Code §401(k) (whether distribution of the Borrower’s entire Plan Account will actually be made or will
be deferred pursuant to applicable provisions of the Plan), the unpaid balance of a defaulted loan will be charged off against the Borrower’s Account. If no distribution event has occurred, which would otherwise permit payment to the Borrower
under Code §401(k), the unpaid balance of the loan will be retained in the Account until such time as payment would be permitted under that Code Section, at which time the unpaid balance of the loan, including any accrued and unpaid interest,
will be charged off against the Borrower’s Account. 

  
 Plan 008

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 -71- 

 APPENDIX D 
 TOP-HEAVY PLAN PROVISIONS 
 In the event that this Plan is or becomes a Top-Heavy Plan (as
that term is defined and described in this Appendix D, the following special provisions will become applicable to the Plan and will supersede the comparable provisions contained elsewhere in the Plan. 

D -I. DEFINITIONS 

Solely for purposes of this Appendix D, the following special definitions will be in effect: 
 D1.010 Aggregation Group means a group of plans (including this Plan) maintained by one or more Affiliated Companies in which a Key Employee is a participant or which is combined with this
Plan in order to meet the coverage and nondiscrimination requirements of Code §§410 and 401(a)(4). The Aggregation Group also includes those plans other than this Plan which need not be aggregated with this Plan to meet Code
Requirements, but which are selected by the Company to be part of a selective Aggregation Group including this Plan, if the Aggregation Group would continue to meet the requirements of Code §§401(a)(4) and 410 with such plans being
taken into account. 
 D1.020 Compensation means compensation as described in Code §415(c)(3), including employer
contributions made pursuant to any salary reduction arrangement. 
 D1.030 Determination Date means the last day of the
immediately preceding plan year or, in the case of the first plan year of any plan, the last day of such plan year. 
 D1.040
Employee means not only an Employee as defined in Article I, but also any beneficiary of such Employee. 
 D1.050 Key
Employee Key employee means any employee or former employee (including any deceased employee) who at any time during the Plan Year that includes the determination date was an officer of the Company having annual compensation greater than
$130,000 (as adjusted under Section 416(i)(1) of the Code for Plan Years beginning after December 31, 2002), a 5-percent owner of the Company, or a 1-percent owner of the Company having “annual compensation” of more than
$150,000. For this purpose, annual compensation means compensation within the meaning of Section 415(c)(3) of the Code. The determination of who is a key employee will be made in accordance with Section 416(i)(1) of the Code and the
applicable regulations and other guidance of general applicability issued thereunder. 

  
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 Restated 1-1-08 
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 D1.060 Non-Key Employee means any employee who is not a Key Employee. Non-Key Employee also
means an employee who is a former Key Employee. 
 D1.070 Top-Heavy Plan means a qualified retirement plan, including this Plan if
applicable, which is included in, or which constitutes, an Aggregation Group under which, as of the Determination Date, the sum of the present values of accrued benefits for all Key Employees under all defined benefit plans in the Aggregation Group
and the aggregate of all accounts of Key Employees under all defined contribution plans in the Aggregation Group exceeds sixty percent (60%) of the sum of the present values of accrued benefits under all such defined benefit plans and of all
accounts under all such defined contribution plans for all participants under such plans. 
 D-II. APPLICATION OF THIS
APPENDIX 
 In the event that this Plan is or becomes a Top-Heavy Plan, the provisions of this Appendix, where aggregated with each other
defined contribution plan in the Aggregation Group in which a Key Employee is a participant, will be applied as follows: 
 D2.010 Minimum
Contributions. The following special provisions regarding contributions will become applicable and will supersede the Company contribution provisions contained elsewhere in this Plan. In such case, the Plan, where aggregated with each
other defined contribution plan in the Aggregation Group in which a Key Employee is a participant, will provide a minimum allocation to the account of each Participant who is not a Key Employee for each Plan Year to which these rules apply equal to
the lesser of: 
  

	(a)	four percent (4%) of the Participant’s Compensation, or 

  

	(b)	the highest percentage of contribution made for the Plan Year to a Participant who is a Key Employee for such Plan Year. 

D2.020 Vesting. A Participant’s nonforfeitable right to his Company Contribution Account will not be less than
the amount determined pursuant to the following schedule: 
  

					
	Years of Service	  	Vested Interest	 
	 Less than two
	  	 	0	% 
	 Two but less than three
	  	 	20	% 
	 Three or more
	  	 	100	% 

 If the Plan ceases to be a Top-Heavy Plan, the vesting schedule set forth in Section 5.010(b) will again become
applicable; provided that a Participant’s nonforfeitable right to his Company Contribution Account will not be less than his nonforfeitable right to his balance in that Account immediately before the Plan ceased to be a Top-Heavy Plan.

  
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 Restated 1-1-08 
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 D2.030 Maximum Compensation. For any Plan Year in which the Plan
is a Top-Heavy Plan, only the first Two Hundred Thousand Dollars ($200,000.00) of a Participant’s Base Compensation will be taken into account for purposes of determining benefits under the Plan; provided, however, that such
amount will be automatically adjusted as prescribed by the Secretary of the Treasury. 
 D2.040 Determination of Present Values
and Amounts. This Section D2.040 shall apply for purposes of determining the present values of accrued benefits and the amounts of account balances of Participants as of the determination date. 

 

	(a)	Distributions during year ending on the determination date. The present values of accrued benefits and the amounts of account balances of a Participant as of the
determination date shall be increased by the distributions made with respect to the Participant under the Plan and any plan aggregated with the Plan under Section 416(g)(2) of the Code during the 1-year period ending on the determination date.
The preceding sentence shall also apply to distributions under a terminated plan which, had it not been terminated, would have been aggregated with the Plan under Section 416(g)(2)(A)(i) of the Code. In the case of a distribution made for a
reason other than separation from service, death, or disability, this provision shall be applied by substituting “5-year period” for “1-year period.” 

 

	(b)	Employees not performing services during year ending on the determination date. The accrued benefits and accounts of any individual who has not performed
services for the Company during the 1-year period ending on the determination date shall not be taken into account. 

  

	D2.050	Minimum Benefits. 

  

	(a)	Matching contributions. Company Matching Contributions shall be taken into account for purposes of satisfying the minimum contribution requirements of
Section 416(c)(2) of the Code and the Plan. The preceding sentence shall apply with respect to Company Matching Contributions under the Plan or, if the Plan provides that the minimum contribution requirement shall be met in another plan,
matching contributions to such other plan. Company Matching Contributions that are used to satisfy the minimum contribution requirements shall be treated as matching contributions for purposes of the actual contribution percentage test and other
requirements of Section 401(m) of the Code. 

  

	(b)	Contributions under other plans. The Company may provide that the minimum benefit requirement shall be met in another plan (including another plan that consists
solely of a cash or deferred arrangement which meets the requirements of Section 401(k)(12) of the Code and matching contributions with respect to which the requirements of Section 401(m)(11) of the Code are met). 

  
 Plan 008

 Restated 1-1-08 
 -74- 

 APPENDIX E 
 EMPLOYEE STOCK OWNERSHIP PLAN 
 The purpose of this Appendix E is to document the
conversion of each of the Rockwell Automation Stock Funds (namely, Rockwell Automation Stock Fund A, Rockwell Automation Stock Fund B and the Rockwell Automation Stock Fund) to separate employee stock ownership plans and to designate them as such.
In addition, this Appendix E sets forth the provisions governing the operation of each of the said ESOPs. The provisions of this Appendix, as they relate to the converted Stock Funds, supersede any provisions of the Plan to the contrary.
Notwithstanding the above, the conversion of the two Stock Funds (after June 30, 3005, one Stock Fund) and their designation as ESOPs are intended to create separate plans. Assets attributable to the two ESOPs (after June 30, 2005, one
ESOP) will continue to be assets of the Plan and will be available for the payment of all benefits under the Plan. 

E–I. DEFINITIONS 

The following definitions will be in effect and applicable to the ESOP created by conversion of the Rockwell Automation Stock Funds into employee stock
ownership plans: 
 E1.010 ESOP means employee stock ownership plan (as that term is defined in
§4975(e)(7) of the Code), the benefit form into which Rockwell Automation Stock Fund A, Rockwell Automation Stock Fund B and the Rockwell Automation Stock Fund were converted. 
 E1.020 ESOP Account means any portion of a Participant’s Plan Account which is invested in either of the Rockwell Automation Stock Funds ESOPs. 

E1.030 ESOP Effective Date means June 1, 2000. 
 E1.040 Non-ESOP Account means an Account that is not an ESOP Account. 
 E1.050
Rockwell Automation Stock Fund A ESOP Account means an Account established in accordance with Section E2.010(a) of this Appendix. 

E1.060 Rockwell Automation Stock Fund B ESOP Account means an Account established in accordance with Section E2.010(b) of this Appendix.

 E1.070 The Rockwell Automation Stock Fund ESOP Account means an Account established in accordance with
Section E2.010(c) of this Appendix. 

  
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 E–II. ESOP ACCOUNTS 
 E2.010 General. As of the ESOP Effective Date, the portions of a Participant’s interest in his Plan Account, individually, in Rockwell Automation Stock Fund A and Rockwell Automation
Stock Fund B which consist of common stock of the Company are hereby designated as separate ESOPs and while in the said Rockwell Automation Stock Funds will continue thereafter while invested in one or both of the said Stock Funds to be invested
primarily in stock of the Company which meets the definition of an “employer security” under §409(l) of the Code. At that time and from time to time thereafter, the Trustee will establish and maintain, if applicable, for each
Participant: 
  

	(a)	Prior to July 1, 2005, a Rockwell Automation Stock Fund A ESOP Account, consisting of that portion of the Participant’s interest in the Plan which is
attributable to Company Matching Contributions and which holds the Company’s common stock in Rockwell Automation Stock Fund A; and 

  

	(b)	Prior to July 1, 2005, a Rockwell Automation Stock Fund B ESOP Account, consisting of that portion of the Participant’s interest in the Plan which is
attributable to his own Basic and Supplemental Pre-tax and After-tax Contributions and Company Profit Sharing Contribution and which holds the Company’s common stock in Rockwell Automation Stock Fund B. 

 

	(c)	Effective July 1, 2005, the Accounts described in (a) and (b) above shall be combined into a single account consisting of all of the Participant’s
interest in the Plan in the Company’s common stock in the Rockwell Automation Stock Fund. 

 It is specifically understood
and provided that, other than cash and/or cash equivalents, the ESOP Accounts under this Plan will at all times be invested solely in the Company’s common stock and in other stock of the Company, as such common stock and other stock may be
deemed to be “employer securities” pursuant to §409(l) of the Code. It is further understood and provided that the above-described ESOP Accounts are established for bookkeeping purposes only and will not be segregated from the other
assets of the Plan. 
 E2.020 Code §401(m) Discrimination Testing. The provisions of Section 3.015 will be
applied separately to Company Matching Contributions which are invested in the Rockwell Automation Stock Fund A ESOP Account or, after June 30, 2005, a Rockwell Automation Stock Fund ESOP Account, as if those Matching Contributions were made
under a separate plan. 
 E2.030 Transfers between ESOP and Non-ESOP Accounts. Participants will be permitted to elect transfers
of assets involving their Stock Fund A ESOP and Stock Fund B ESOP Accounts or, after June 30, 2005, their Rockwell Automation Stock Fund ESOP Account, but such transfers will at all times be subject to the provisions and limitations,
respectively, of Sections 4.040, 4.021 and 4.020 of the Plan. This Section of this Appendix E, when administered in conjunction with the provisions of the said Sections of the Plan is intended to comply in all respects with the diversification and
other requirements of §401(a)(28) of the Code. 

  
 Plan 008

 Restated 1-1-08 
 -76- 

 E-III. PASS-THROUGH DIVIDENDS AND VOTING RIGHTS 

E3.010 Pass-through of Dividends Paid on Company Stock. Prior to December 31, 2005, the Company or its agent will, as soon as
practicable after each date on which dividends are paid on Company stock, distribute directly to Participants all dividends attributable to the interests in Company stock held by their Rockwell Automation Stock Fund A ESOP Accounts and, if
applicable, their Rockwell Automation Stock Fund B ESOP Accounts or their Rockwell Automation Stock Fund ESOP Account. Notwithstanding the foregoing, after January 1, 2005, the Company or its agent will invest such dividends in Company Stock,
which will remain in their Rockwell Automation Stock Fund A ESOP Account, Rockwell Automation Stock Fund B ESOP Account, or after June 30, 2005, their Rockwell Automation Stock Fund ESOP Account. 

E3.020 Pass-through of Voting Rights with Respect to Company Stock. The Trustee exercises all voting rights with respect to Company stock
held by the Plan, but must exercise those rights in accordance with the instructions of Participants, to the extent of their ESOP Accounts. The Trustee will establish procedures for distributing proxy material to and soliciting voting instructions
from, Participants on all corporate matters which are subject to vote of the Company’s shareholders. The Trustee must vote the Plan’s stock in accordance with he Participant’s instructions. Any shares with respect to which no
instructions are received just be voted in the same proportions as shares with respect to which the Trustee does receive instructions. 

  
 Plan 008

 Restated 1-1-08 
 -77- 

 APPENDIX F 
 ADDENDUM CONCERNING PRIOR SERVICE CREDIT 
 This Appendix contains
information concerning crediting of prior service under the Rockwell Automation Retirement Savings Plan for Salaried Employees (the “Plan”) with respect to certain businesses (the “Acquired Business”) the stock or assets of which
was acquired by Rockwell Automation, Inc. or its affiliates on or after January 1, 2007. Except as otherwise specifically indicated with respect to an Acquired Business, service with the Acquired Business will be credited for all purposes under
the Plan, including eligibility and vesting with respect to employees employed by the Acquired Business on the acquisition date who became employees of Rockwell Automation, Inc. in connection with the acquisition. This Appendix supersedes the
provisions of the Plan in all respects. 
 1. Pavilion Technologies, Inc. was acquired on November 1, 2007. Pavilion Technologies, Inc.
employees are not eligible to participate in the Plan. Pavilion Technologies, Inc. was merged into Rockwell Automation, Inc. effective January 1, 2008, at which time former Pavilion Technologies, Inc. employees became Rockwell Software
employees and thus, eligible to participate in the Plan. Such employees will receive credit for service with Pavilion Technologies, Inc. for vesting service purposes. 

  
 Plan 008

 Restated 1-1-08 
 -78- 

 FIRST AMENDMENT TO THE 

ROCKWELL AUTOMATION, INC. 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 WHEREAS, Rockwell Automation, Inc.
(the “Company”) sponsors and maintains the Rockwell Automation Retirement Savings Plan for Salaried Employees (the “Plan”) which is a qualified retirement plan in the United States with section 401(k) and section 401(m)
contribution features; 
 WHEREAS, the Plan covers employees of the Company’s United States and Puerto Rico operations; 

WHEREAS, the Company desires to ratify, approve and confirm the participation of the Company’s Puerto Rico employees in the Plan; 

WHEREAS, the Company also desires to amend the Plan to specifically comply with the Puerto Rico Internal Revenue Code of 1994, as amended (the
“PR Code”) by adopting the provisions set forth on Appendix G attached hereto and made a part hereof by reference; 
 WHEREAS,
the Company intends that the Plan be submitted to the Puerto Rico Treasury Department to obtain a ruling on the tax-qualified status of the Plan under the PR Code; 
 WHEREAS, the Puerto Rico employees who perform services in the Company’s Puerto Rico Operations are employed by Rockwell Automation Puerto Rico, Inc. (“RAPR”); 

WHEREAS, RAPR timely adopted the Plan by commencing salary deferral contributions on behalf of their Puerto Rico employees; 

WHEREAS, pursuant to Article 11.010 of the Plan, the Board of Directors of the Company (the “Board”) has the authority to amend
the Plan at any time; 
 WHEREAS, by Board resolution dated December 4, 1996, the Board has granted Robert A. Bilsborough, Vice
President, Compensation & Benefits, of Rockwell Automation, Inc. authority to amend the Plan; 
 NOW THEREFORE, BE IT:

 RESOLVED, that the Plan is hereby amended to comply with Puerto Rico law by adopting the provisions set forth in Appendix G attached
hereto and made a part hereof by reference. 

 APPENDIX G 

 

			
		
	 PLAN ARTICLE
	  	 ADDITIONAL LANGUAGE FOR PUERTO RICO
PARTICIPANTS

		
	 Article 1.100

 
 Base Compensation
	  	The Company may elect to exclude Puerto Rico Participants from the dollar limit included as part of the definition of Base Compensation. No such election is currently in
place.
		
	 Article 1.370

 
 Hardship
	  	 (a) A Puerto Rico Participant may make a withdrawal only in the event that he furnishes satisfactory evidence to the Plan Administrator
that the withdrawal is to alleviate his Financial Hardship (as defined below) and is for one of the following reasons:
  
 (1) Medical expenses incurred, or needed to be incurred, by the Participant, the Participant’s spouse, or any dependents of the Participant;

 
 (2) Costs directly related to the purchase of a principal residence for the
Participant (excluding mortgage payments);
  
 (3) Payment of tuition, related
educational fees, and room and board expenses, for the next twelve (12) months of post-secondary education for the Participant, his Spouse, children, or his or her dependents (as defined by Section 1025(d) of the PR Code);

 
 (4) Payments necessary to prevent the eviction of the Participant from his principal
residence or foreclosure on the mortgage of the Participant’s principal residence;
  
 (5) Payments necessary to reimburse the Participant for funeral expenses for the Participant’s deceased parent, Spouse, children or dependents (as defined by Section 1025(d) of the PR Code);
or
  
 (6) Such other immediate and heavy financial need as the Plan
Administrator, or its delegate, approves from time to time based on rulings, regulations or other guidance issued by the Puerto Rico Treasury Department.

			
		
		  	 (b) Financial Hardship. As used herein, Financial Hardship will mean an immediate and heavy financial need that based on the facts
and circumstances cannot be met from other resources that are reasonably available to the Participant. For this purpose, the Participant’s resources are deemed to include those assets of the Participant’s Spouse and minor children that are
reasonably available to the Participant. A distribution will be deemed to satisfy an immediate and heavy financial need of the Participant if the Participant represents in writing to the Plan Administrator that the distribution is necessary to
satisfy an immediate and heavy financial need and all of the following requirements are satisfied:
  
 (1) The distribution is not in excess of the amount of the immediate and heavy financial need of the Participant; provided, however, that the amount of such distribution may include the amount of any
federal, state or local taxes or penalties reasonably anticipated to result from the withdrawal;
  
 (2) The Participant has obtained all distributions, other than hardship distributions, and all nontaxable loans currently available to Participant from commercial sources and under the Plan and all of the
plans maintained by the Employer or any other employer;
  
 (3) Such need
cannot reasonably be relieved through reimbursement or compensation by insurance or otherwise, by liquidation of the Participant’s assets, or by cessation of Pre-Tax Contributions to the Plan.

		
	 Article 1.555
	  	PR Code means the Puerto Rico Internal Revenue Code of 1994, as amended. Reference to a section of the PR Code will include that section, applicable regulations promulgated
thereunder and any comparable section of any future legislation that amends, supplements or supersedes said section, effective as of the date such comparable section is effective with respect to the Plan.
		
	 Article 2.030
  

Supplemental Contributions
	  	 For Puerto Rico Participants, in the case of Supplemental Pre-tax Contributions amounts shall be subject to the limits imposed by
Article 3.010(a).
  
 For Puerto Rico Participants, in the case of
Supplemental After-tax Contributions such amounts shall not exceed ten (10) percent of the Participant’s aggregate compensation for all years since becoming a Participant.

		
	 Article 2.045
  

Catch-Up Contributions
	  	Each Puerto Rico Participant who is eligible to make Pre-Tax Contributions under the Plan and who has attained age 50 before the close of the Plan Year shall be eligible to make
Catch-Up Contributions in accordance with, and subject to, the limitations of Section 1165(e)(7)(C) of the PR Code. Such Catch-Up Contributions shall not be taken into account for purposes of the Pre-Tax Contribution limit provided in Article
3.010(a) or the Average Actual Deferral Percentage Test provided in Article 3.010(f).

  
 3 

			
	 Article 2.050
  

Rollover Contributions
	  	For Puerto Rico Participants, the Plan is authorized to accept a Rollover Contribution from any Participant if such contribution meets the following criteria: (a) such
contribution represents the entire balance credited to the Puerto Rico Participant in a employee benefit plan qualified under Sections 1165(a) or 1165(e) of the PR Code of a former employer which is distributed to the Puerto Rico Participant within
a single taxable year by reason of separation from service; (b) such contribution is transferred directly by the trustee of the transferor plan or is rolled over by the Puerto Rico Participant within sixty (60) days after receipt of the
distribution; (c) the spousal consent requirements of ERISA Section 205 are complied with, if applicable; and (d) such contribution meets any other conditions as determined necessary by the Plan, the Trustee or the Plan Administrator to comply with
Section 1165(b)(2) of the PR Code.
		
	 Article 2.080
  

Limit on Employer Contributions
	  	With respect to Puerto Rico Participants, the contribution of a Company for any Plan Year will in no event exceed the maximum amount allowable as a deduction to the Company under
the provisions of Section 1023(n) of the PR Code. The Company may make contributions to the Plan without regard to net profits, current or accumulated.
		
	 Article 3.010(a)

 
 Limit on Pre-Tax
Contributions
	  	Contributions under this Plan or under any other qualified plan maintained by the Company on behalf of any Puerto Rico Participant for any calendar year may not exceed the lesser
of ten percent (10%) of the Puerto Rico Participant’s Base Compensation for such calendar year or $8,000, or any other amount which may be provided under the Puerto Rico Internal Revenue Code of 1994 (“PR Code”). The Pre-Tax
Contributions and the corresponding salary reductions made on behalf of any Puerto Rico Participant shall cease for the remainder of a calendar year whenever the amount of such contributions equals the dollar limitation described
herein.
		
	 Article 3.010(f)

 
 Limits on Contributions for Puerto Rico
Participants
	  	 With respect to Puerto Rico Participants each Plan Year, Pre-Tax Contributions under the Plan for the Plan Year shall not exceed the
limitations by or on behalf of Highly Compensated Employees under Section 1165(e) of the PR Code, as provided in this Section. In the event that Pre-Tax Contributions under the Plan by or on behalf of Highly Compensated Employees for any Plan Year
exceed the limitations of this Article, such Excess Contributions and any investment income or loss allocable thereto shall be distributed or re-characterized in accordance with Articles 3.010(h) and 3.010(i).

 
 With respect to Puerto Rico Participants, Pre-Tax Contributions made on behalf of
Puerto Rico Participants for a Plan Year shall satisfy the Average Actual Deferral Percentage Test set forth in (A) or (B) below:
  

(A) the Average Actual Deferral Percentage for Highly Compensated Employees shall not be more than the Average Actual Deferral Percentage of Non-Highly
Compensated Employees eligible to participate in the Plan multiplied by 1.25; or
  
 (B) the excess of the Average Actual Deferral Percentage for Highly Compensated Employees over the Average Actual Deferral Percentage for Non-Highly Compensated Employees eligible to participate in the
Plan shall not be more than two (2) percentage points and the Average Actual Deferral Percentage for Highly Compensated Employees shall not be more than the Average Actual Deferral Percentage of Non-Highly Compensated Employees eligible to
participate in the Plan multiplied by 2.0;

  
 4 

			
		  	 (C) for these purposes, if two or more plans described in Section 1165(a) of the PR Code are considered one plan for the purposes of
Sections 1165(a)(3) and 1165(a)(4) of the PR Code, the Average Actual Deferral Percentages shall be calculated as if all Pre-Tax Contributions were made under one plan;
  

(D) the determination and treatment of the Average Actual Deferral Percentage of any Employee eligible to participate in the Plan shall satisfy such other
requirements as may be prescribed by the Secretary of the Puerto Rico Department of the Treasury;
  
 (E) the Plan Administrator may, at any time during the Plan Year, restrict the amount of Pre-Tax Contributions allowed by Highly Compensated Employees if it determines that such restriction is necessary
in order to assure the Plan’s compliance with the Average Actual Deferral Percentage Test of Section 1165(e) of the PR Code;
  

(F) the Plan Administrator shall keep or cause to have kept such records as are necessary to demonstrate that the Plan satisfies the requirements of
Section 1165(e)(3) of the PR Code and the regulations thereunder.

		
	 Article 3.010(g)

 
 Definitions for Puerto Rico
Participants
	  	 For purposes of this Article 3.010, the following terms have the following definitions when used with respect to Puerto Rico
Participants:
  
 (A) “Actual Deferral Percentage” means the ratio
(expressed as a percentage to the nearest one hundredth of one percent) of the Pre-Tax Contributions and/or Qualified Non-Elective Contributions (“QNECs”), if any, made on behalf of a Puerto Rico Participant for the Plan Year in relation
to the Puerto Rico Participant’s Compensation for such Plan Year;
  
 (B)
“Average Actual Deferral Percentage” means, with respect to a group of Puerto Rico Participants for any Plan Year, the average (expressed as a percentage to the nearest one hundredth of one percent) of the Actual Deferral Percentages of
all Puerto Rico Participants in the group;
  
 (C) “Highly Compensated
Employee” means any Puerto Rico Employee who is more highly compensated than two-thirds of all Puerto Rico Eligible Employees employed by the Company or any Affiliated Company, as applicable under the PR Code;

 
 (D) “Non-Highly Compensated Employee” means a Puerto Rico Employee who is
not a Highly Compensated Employee.

  
 5 

			
	 Article 3.010(h)

 
 Distribution of Excess Contributions for
Puerto Rico Participants
	  	 (i) The Plan Administrator shall determine, as soon as is reasonably possible following the close of each Plan Year, the extent (if
any) to which Pre-Tax Contributions by or on behalf of Highly Compensated Employees may cause the Plan to exceed the limitations of Article 3.010(f) for such Plan Year. If, pursuant to the determination by the Plan Administrator, and as required by
the leveling method described in paragraph (ii) below, such contributions may cause the Plan to exceed such limitations, then the Plan Administrator shall return to the Highly Compensated Employees any Excess Contributions, together with any income
or loss allocable to such amount (determined in accordance with (iii) below). If administratively feasible, any amounts distributed shall be returned within two and one-half (2 and 1/2) months following the close of the Plan Year for which such
Excess Contributions were made, but in any event no later than the end of the first Plan Year following the Plan Year for which the Excess Contributions were made.
  

(ii) For purposes of satisfying the Average Actual Deferral Percentage test, the amount of any Excess Contributions for a Plan Year under this Article
shall be determined by the application of a leveling method under which the Actual Deferral Percentage of the Highly Compensated Employee who has the highest such percentage for such Plan Year is reduced to the extent required to enable the Plan to
satisfy the Average Actual Deferral Percentage test, or to cause such Highly Compensated Employee’s Actual Deferral Percentage to equal the Actual Deferral Percentage of the Highly Compensated Employee with the next highest Actual Deferral
Percentage. This process shall be repeated until the Plan satisfies the Average Actual Deferral Percentage test. For each Highly Compensated Employee, the amount of Excess Contributions shall be equal to the total Pre-Tax Contributions made on
behalf of such Highly Compensated Employee (determined prior to the application of the foregoing provisions) minus the amount determined by multiplying the Highly Compensated Employee’s Actual Deferral Percentage (determined after the
application of the foregoing provisions) by his Compensation.
  
 (iii) The
Plan Administrator shall not be liable to any Puerto Rico Participant (or Beneficiary, if applicable) for any losses caused by a mistake in calculating the amount of any Excess Contributions by or on behalf of a Highly Compensated Employee and the
income or loss allocable thereto.

  
 6 

			
	 Article 3.010(i)
  

Re-characterization of Excess Contributions for Puerto Rico Participants
	  	Notwithstanding Article 3.010(h), at the Plan Administrator’s discretion, Excess Contributions of Puerto Rico Participants as determined under Article 3.010(h) may be
re-characterized as After-Tax Contributions. Any such re-characterization shall be made in accordance with applicable rules and regulations under the PR Code.
		
	 Article 3.010(j)

 
 Qualified Non-Elective
Contributions
	  	In the event that the Average Actual Deferral Percentage Test of Article 3.010(f) is not satisfied for any Plan Year, in the Company’s discretion, instead of distributing or
re-characterizing any Excess Contributions pursuant to Articles 3.010(h) and (i), the Company may make Qualified Non-Elective Contributions on behalf of those Puerto Rico Participants who are Non-Highly Compensated Employees in an amount sufficient
to meet the Average Actual Deferral Percentage of Article 3.010(f). Such additional contributions shall be allocated to the Pre-Tax Contributions Account of each Non-Highly Compensated Participant in the proportion that each such Participant’s
Compensation bears to the Compensation of all other Non-Highly Compensated Participants or the Plan Year.
		
	 Article 3.020
  

Limitations on After-tax and Matching Contributions
	  	The Company may elect to exclude Puerto Rico Participants from the provisions of Article 3.020.”
		
	 Article 5.090
  

Puerto Rico Participants Direct Rollover Option
	  	 A Puerto Rico Participant may elect, at the time and in the manner prescribed by the Company, to have any portion of an Eligible
Rollover Distribution paid directly to an Eligible Retirement Plan specified by the Puerto Rico Participant in a direct rollover. The following definitions shall apply for purposes of this Article 5.090:

 
 (i) “Eligible Retirement Plan.” An Eligible Retirement Plan is an
individual retirement account described in Section 1169 of the PR Code, or a qualified trust described in Section 1165(a) of the PR Code, that accepts the Puerto Rico Participant’s Eligible Rollover Distribution. In the case of an Eligible
Rollover Distribution to a Beneficiary who is the Puerto Rico Participant’s surviving spouse, an Eligible Retirement Plan is also an individual retirement account or qualified trust described above;

 
 (ii) “Eligible Rollover Distribution.” An Eligible Rollover Distribution is
any distribution of all of the balance to the credit of the Puerto Rico Participant within a single taxable year by reason of separation from service.

  
 7 

			
	 Article 6.030(c)
  

Hardship Withdrawals
	  	Article 6.030(c) regarding the restrictions applicable to participants who make a hardship withdrawal is revised to provide that a Puerto Rico Participant who makes a withdrawal
pursuant to Article 1.370 shall not be permitted to make Pre-Tax Contributions until the end of the twelve (12) month period commencing on the date such withdrawal was received by the Puerto Rico Participant. In addition, such Puerto Rico
Participant may not make Pre-Tax Contributions for such Puerto Rico Participant’s taxable year immediately following the taxable year of such withdrawal that is in excess of the applicable limit under Section 1165(e)(7)(A) of the PR Code for
such immediately following taxable year less the amount of such Puerto Rico Participant’s Pre-Tax Contributions for the taxable year in which such Puerto Rico Participant made the withdrawal.
		
	 Article XII
  

Statutory Limitations
	  	The Company may elect to exclude Puerto Rico Participants from the provisions of Article XII.
		
	 Article XIV
  

Minimum Distribution Requirements
	  	The Company may elect to exclude Puerto Rico Participants from the provisions of Article XIV. Such an election is not currently in place.
		
	 Appendix D
  

Top Heavy Provisions
	  	This Appendix is not applicable to Puerto Rico Participants.

  
 8 

 The foregoing actions are taken with the understanding that such actions are consistent with the intentions
of the Company. 
  

					
	
Date:                  
   , 2008
  
	 		  	  

		 		  	Robert A. Bilsborough

  
 9 

 SECOND AMENDMENT TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 The undersigned, Robert A. Bilsborough,
Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to authority provided by resolution of the Corporation’s Board of Directors on December 4, 1996, does hereby approve,
for and on behalf of the Corporation, the following amendment to Appendix A, Excluded Employers, of the Rockwell Automation Retirement Savings Plan for Salaried Employees (008): 

Appendix A is amended effective as of May 13, 2008 to add “Incuity Software, Inc.” to the list of Affiliated Employers that
do not participate in the Plan. 
 The foregoing actions are taken with the understanding that such actions are consistent with the intentions
of the Company. 
  

					
	
Date:                  
   , 2008
  
	 		  	  

		 		  	Robert A. Bilsborough

 THIRD AMENDMENT 

TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN 
 FOR SALARIED EMPLOYEES 

The undersigned, Robert A. Bilsborough, Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the
“Corporation”), pursuant to authority provided by resolution of the Corporation’s Board of Directors on December 4, 1996, does hereby approve, for and on behalf of the Corporation, effective as of January 1, 2008, the
following clarifying amendments to the Rockwell Automation Retirement Savings Plan for Salaried Employees (008) to read as follows: 
  

	 	1.	The first sentence of Paragraph (d) of Section 2.070 is hereby replaced with the following: 

“Prior to July 1, 2005, Company Matching Contributions made hereunder, whether they are made in the form of Rockwell Automation
common stock or cash, will be directed to Rockwell Automation Stock Fund A when they are contributed and, unless distributed to the Participant pursuant to Article V or transferred to an Investment Fund pursuant to Section 4.040, will remain in
Rockwell Automation Stock Fund A. Prior to January 1, 2005, any dividends or other earnings on such common stock or cash will be distributed directly to Participants. Effective January 1, 2005, unless a Participant elects a cash
distribution, any dividends or other earnings on such common stock or cash will remain in Rockwell Automation Stock Fund A.” 
  

	 	2.	The second to last sentence of Section 4.060 is hereby replaced with the following: 

“Prior to January 1, 2005, dividend proceeds on Rockwell Automation common stock held in Rockwell Automation Stock Funds A and B
will be distributed directly to Participants. Effective January 1, 2005, unless a Participant elects a cash distribution, dividend proceeds on Rockwell Automation common stock held in Rockwell Automation Stock Funds A and B will be used for the
purchase of additional shares of Rockwell Automation common stock for the two Funds and, therefore, will result in appropriate adjustments to the balances in the said Funds and to the value of the Participant's interest in the said Funds.”

  

	 	3.	The second to last sentence of each of Paragraph (1) and (2) is hereby replaced with the following: 

“Prior to January 1, 2005, the dividends or other proceeds or income received by the Stock Fund will be distributed directly to
Participants. Effective January 1, 2005, unless a Participant elects a cash distribution, the dividends or other proceeds or income received by this Stock Fund will be invested by the Trustee in Rockwell Automation common stock and will remain
in the said Stock Fund.” 

	 	4.	The last sentence of Paragraph (3) of Section 8.020(b) is hereby replaced with the following: 

“Unless a Participant elects a cash distribution, the dividends or other proceeds or income received by this Stock Fund will be
invested by the Trustee in Rockwell Automation common stock and will remain in the said Stock Fund.” 
  

	 	5.	Section E3.010 of Appendix E is amended to read: 

 “E3.010 Pass-through of Dividends Paid on Company Stock. Prior to January 1, 2005, the Company or its agent will, as soon as practicable after each date on which dividends are paid
on Company stock, distribute directly to Participants all dividends attributable to the interests in Company stock held by their Rockwell Automation Stock Fund A ESOP Accounts and, if applicable, their Rockwell Automation Stock Fund B ESOP Accounts.
On and after January 1, 2005, unless a Participant elects a cash distribution, the Company or its agent will invest such dividends in Company Stock, which will remain in the Participant’s Rockwell Automation Stock Fund A ESOP Account,
Rockwell Automation Stock Fund B ESOP Account, or after June 30, 2005, Rockwell Automation Stock Fund ESOP Account.” 

The foregoing actions are taken with the understanding that such actions are consistent with the intentions of the Corporation.

  

			
	 Date: July            ,
2008
  
	  	  

		  	Robert A. Bilsborough

 FOURTH AMENDMENT TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 The undersigned, Robert A. Bilsborough,
Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation’s Board of Directors on December 4, 1996, does hereby
approve, for and on behalf of the Corporation, the following amendments to the Rockwell Automation Retirement Savings Plan for Salaried Employees (008), effective January 1, 2009: 

 

	1.	Section 1.030 of the Plan is amended to delete the last paragraph thereof, such that Rockwell Automation Puerto Rico, Inc. is no longer an Affiliated Company under
the Plan. 

  

	2.	Appendix A to the Plan is amended to add Rockwell Automation Puerto Rico, Inc. to the list of Excluded Employers. 

 

	3.	Subsections (a)(1) and (b)(1) of Section 2.030 of the Plan are amended to replace all instances of “25%” with “50%”. 

 

	4.	Subsection (a)(1) of Section 2.030 of the Plan is amended to replace “12%” with “16%”. 

 

	5.	The clause after subsection (b)(2) in Section 2.030, beginning with “provided, however,” and ending with “a Highly Compensated Employee” is
amended to replace “19%” with “44%”. 

  

	6.	The “Determination of Loan Interest Rate” Section in Appendix C to the Plan is amended and restated in its entirety to read as follows:

 “Determination of Loan Interest Rate. The interest rate to be charged for loans will be one percent
(1%) over the prime rate stated by Reuters published on the last business day of each calendar month.” 
 The foregoing actions are
taken with the understanding that such actions are consistent with the intentions of the Corporation. 
  

			
	 Date:             , 2008

 
	  	  

		  	Robert A. Bilsborough

 FIFTH AMENDMENT TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 The undersigned, Robert A. Bilsborough,
Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation’s Board of Directors on December 4, 1996, does hereby
approve, for and on behalf of the Corporation, the following amendment to the Rockwell Automation Retirement Savings Plan for Salaried Employees (008), effective April 1, 2009: 

Section 2.060(a) of the Plan is hereby amended to add the following at the end of such Section: 

“Notwithstanding the foregoing, no Company Matching Contributions shall be made with respect to any payroll occurring on or after
April 24, 2009 through September 30, 2009.” 
 The foregoing actions are taken with the understanding that such actions are
consistent with the intentions of the Corporation. 
  

			
	 Date: April             , 2009

 
	  	  

		  	Robert A. Bilsborough

 SIXTH AMENDMENT TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 The undersigned, Robert A. Bilsborough,
Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation’s Board of Directors on December 4, 1996, does hereby
approve, for and on behalf of the Corporation, the following amendments to the Rockwell Automation Retirement Savings Plan for Salaried Employees (008): 
 Effective as of July 1, 2008, the Plan is amended as follows to comply with final regulations under Code Section 415 by amending and restated Section 12.010 in its entirety to read as
follows: 
 “This Section of the Plan incorporates the provision of Section 415 of the Code and rulings, notices and
regulations issued thereunder, by reference. For this purpose, the limitation year shall be the Plan Year. The benefits payable under this Plan, as limited by this Section shall be subject to further limitation in order that the amount of
employer-provided benefits payable under all defined contribution plans maintained by the Company and all Affiliated Companies shall not, in the aggregate, exceed the benefit limitations described in Section 415 of the Code. For purposes of
this limitation, the amount allocated will be deemed to be comprised of Company Matching Contributions and Company Profit Sharing Contributions and the Participant’s Pre-Tax and After-Tax Contributions. If a reduction in the benefits under such
defined contributions plans in the aggregate is thus required, such reduction shall be applied first to the benefits provided under this Plan, then to the benefits provided under the Retirement Savings Plan for Hourly Employees, then to the Savings
and Investment Plan for Represented Hourly Employees and then to the benefits provided under the Retirement Savings Plan for Represented Hourly Employees. Any benefits provided under any multi-employer plan to which the Company or an Affiliated
Company is a party shall be taken into account under this Section only to the extent that the benefits provided under such plan exceed the benefits that would have been provided under such plan if the Participant had no service with the Company or
any Affiliated Companies." 
 The foregoing actions are taken with the understanding that such actions are consistent with the intentions of the
Corporation. 
  

			
	 Date: June             , 2009

 
	  	  

		  	Robert A. Bilsborough

 SEVENTH AMENDMENT TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 The undersigned, Robert A. Bilsborough,
Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation’s Board of Directors on December 4, 1996, does hereby
approve, for and on behalf of the Corporation, the following amendments to the Rockwell Automation Retirement Savings Plan for Salaried Employees (008): 
 Effective as of January 1, 2009, the Plan is amended as follows to reflect the existence of Roth 401(k) amounts from the transfer of assets from the Pavilion Technologies, Inc. 401(k) Plan to the
Plan as follows: 
  

	 	1.	Section 1.020 is amended to add “Roth 401(k) Account” to the list of accounts contained in such Section. 

 

	 	2.	The Plan is amended to add new Section 1.695 to read as follows: 

 “1.695 Roth 401(k) Account means a Plan Account with respect to a Participant which is comprised of amounts transferred from the Pavilion Technologies, Inc. 401(k) to this Plan that are
“designated Roth contributions” within the meaning of Treas. Reg. §1.401(k)-1(f).” 
  

	 	3.	Section 6.010 is amended to add new item (11) to read as follows: 

 “(11) eleventh, from his Roth 401(k) Account.” 
  

	 	4.	Section 6.020 is amended to add new item (17) to read as follows: 

 “(17) seventh, from his Roth 401(k) Account.” 
 The foregoing actions are taken with the
understanding that such actions are consistent with the intentions of the Corporation. 
  

			
	 Date: June             , 2009

 
	  	  

		  	Robert A. Bilsborough

 EIGHTH AMENDMENT TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 The undersigned, Robert A. Bilsborough,
Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation’s Board of Directors on December 4, 1996, does hereby
approve, for and on behalf of the Corporation, the following amendment to the Rockwell Automation Retirement Savings Plan for Salaried Employees (008), effective September 30, 2009: 

Section 2.060(a) of the Plan is hereby amended to replace the last sentence of that section with the following: 

“Notwithstanding the foregoing, no Company Matching Contributions shall be made with respect to any payroll occurring on or after
April 24, 2009 through March 31, 2010.” 
 The foregoing actions are taken with the understanding that such actions are
consistent with the intentions of the Corporation. 
  

			
	 Date: September             , 2009

 
	  	  

		  	Robert A. Bilsborough

 NINTH AMENDMENT TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 The undersigned, Robert A. Bilsborough,
Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation’s Board of Directors on December 4, 1996, does hereby
approve, for and on behalf of the Corporation, the following amendments to the Rockwell Automation Retirement Savings Plan for Salaried Employees (008), which have been requested by the Internal Revenue Service in connection with the determination
letter request for the Plan, effective as of January 1, 2008, the effective date of the restated Plan: 
  

	 	1.	Section 1.100 of the Plan is amended to add the following as a new second sentence thereof: 

“Further, payments made by the later of two and one-half months after a Participant's severance from employment or the end of the
limitation year that includes the date of severance from employment are included in Base Compensation for the limitation year if, absent a severance from employment, such payments would have been paid to the Participant while the Participant
continued in employment with the Employer and would otherwise be considered Base Compensation pursuant to this Section.” 
  

	 	2.	Section 2.010 of the Plan is amended to add the following at the end of the first paragraph thereof: 

“A Participant's election to contribute to the Plan will cease to be in effect as soon as administratively feasible following such
Participant's Employment Severance Date.” 
  

	 	3.	Section 3.010 is amended to add the following new subsection (f) thereto: 

“(f) The Plan Administrator shall apply the test described in this Section on the basis of current Plan Year data.” 

 

	 	4.	Section 3.015 is amended to add the following new subsection (f) thereto: 

“(e) The Plan Administrator shall apply the test described in this Section on the basis of current Plan Year data.” 

 

	 	5.	Section D2.040(a) of Appendix D to the Plan is hereby amended to replace the term “separation from service” with “severance from employment”.

 The foregoing actions are taken with the understanding that such actions are consistent with the intentions
of the Corporation. 
 Date: October             , 2009 

 

	
	  
	Robert A. Bilsborough

  
 2 

 TENTH AMENDMENT TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 The undersigned, Robert A. Bilsborough,
Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation’s Board of Directors on December 4, 1996, does hereby
approve, for and on behalf of the Corporation, the following amendments to the Rockwell Automation Retirement Savings Plan for Salaried Employees (008): 
 Effective as of the dates set forth below, the Plan is amended as follows to comply with Pension Protection Act of 2006: 
  

	 	1.	Section 1.280, Eligible Retirement Plan, is amended to add the following at the end of such Section: 

“Effective as of January 1, 2007, with respect to after-tax or Roth elective deferral contributions, an eligible retirement plan
shall also include a qualified plan or 403(b) plan that agrees to account separately for amounts so transferred, including accounting separately for the portion of such distribution which is includible in gross income and portion of such
distribution which is not includible in gross income. Further, effective January 1, 2008, an eligible retirement plan shall also include a Roth IRA described in Code §408(A)(b).” 

 

	 	2.	Section 3.010(b)(2) is amended to insert the following new language prior to the last sentence thereof: 

“Effective January 1, 2008, with respect to excess Pre-tax Contributions made in taxable years after 2007, gap period income may
not be distributed.” 
  

	 	3.	Section 3.015(a)(2) is amended to insert the following new language prior to the last sentence thereof: 

“Effective January 1, 2008, with respect to excess After-tax Contributions made in taxable years after 2007, gap period income
may not be distributed.” 
  

	 	4.	Section 3.015(c) is amended to insert the following new language between the second and third sentences thereof: 

“Effective January 1, 2008, with respect to excess aggregate contributions made in taxable years after 2007, gap period income
may not be distributed.” 
  

	 	5.	Section 9.120, Non-Alienation, is amended to add the following at the end of such Section: 

“Effective as of April 6, 2007, a domestic relations order will not fail to be a QDRO: (i) solely because the order is
issued after, or revises, another domestic relations order or QDRO; or (ii) solely because of the time at which the order is issued, including issuance after the Participant’s death.” 

 The foregoing actions are taken with the understanding that such actions are consistent with the intentions
of the Corporation. 
 Date: June             , 2009 

 

	
	  
	Robert A. Bilsborough

  
 2 

 ELEVENTH AMENDMENT TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 The undersigned, Robert A. Bilsborough,
Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation's Board of Directors on November 5, 2009, does hereby approve, for
and on behalf of the Corporation, the following amendments to the Rockwell Automation Retirement Savings Plan for Salaried Employees (008) (the “Plan”): 
 Effective as of January 1, 2009, the Plan is amended by adding a new Article II.B, as follows: 
 “ARTICLE IIB: 2009 NON-ELECTIVE 
 CONTRIBUTION 

2B.010 General. The Company, for the Plan Year ended December 31, 2009, will make a 2009 Non-Elective Contribution to the Plan. Such
Contribution, but only such Contribution, will be subject to all of the provisions of this Article IIB. 
 2B.020 Amount of
Contributions. The amount of such 2009 Non-Elective Contribution will be determined by and at the discretion of the Company and will be made from its current or accumulated net profits. Such contribution will be determined and made prior to the
time the Company files its federal income tax return for the fiscal year ended September 30, 2009. 
 2B.030 Eligibility For
Contributions. A Participant will be eligible for the 2009 Non-Elective Contribution if the Participant was employed by the Company on the last day of the fiscal year ended September 30, 2009 and the Participant was not eligible for the
Rockwell Software Company Profit Sharing Contribution pursuant to Article IIA of the Plan. 
 2B.040 Allocation of Contributions. The
2009 Non-Elective Contribution will be allocated to the Pre-Tax Account of each Participant eligible for such allocation, based upon the ratio that such Participant's Base Compensation and overtime paid during the period from January 1, 2009
through September 30, 2009 (but not including Base Compensation and overtime in excess of $183,750) bears to the total Base Compensation and overtime paid during the period from January 1, 2009 through September 30, 2009 (but not
including Base Compensation and overtime in excess of $183,750) for all Participants who are eligible to share in the contribution. The qualified non-elective contribution (QNEC) source shall be used for the 2009 Non-Elective contribution.

 2B.050 Plan Provisions Applicable to 2009 Non-Elective Contribution. The 2009 Non-Elective Contribution will be fully vested. The 2009
Non-Elective Contribution will be allocated to the Participant's Pre-Tax Account and will be invested in the same manner as other amounts credited to the Participant's Accounts under Section 4.010.” 

 The foregoing actions are taken with the understanding that such actions are consistent with the intentions
of the Corporation. 
 Date: November             , 2009 

 

	
	  
	Robert A. Bilsborough

  
 2 

 TWELFTH AMENDMENT TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 The undersigned, Keith D. Nosbusch,
President and Chief Executive Officer of Rockwell Automation, Inc. (the "Corporation"), pursuant to the authority provided by resolution of the Corporation's Board of Directors on November 5, 2009, does hereby approve, for and on behalf of the
Corporation, the following amendment to the Rockwell Automation Retirement Savings Plan for Salaried Employees (008) (the “Plan”): 
 Effective as of January 1, 2010, Section 2.060(a) of the Plan is amended to add the following at the end of such Section: 
 “Further notwithstanding the foregoing, Company Matching Contributions shall be reinstated and made with respect to any payroll occurring on or after January 1, 2010.” 

The foregoing action is taken with the understanding that such action is consistent with the intentions of the Corporation. 

Date: December             , 2009 

 

	
	  
	Keith D. Nosbusch

 THIRTEENTH AMENDMENT TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 The undersigned, Robert A. Bilsborough,
Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation's Board of Directors on December 4, 1996, does hereby approve, for
and on behalf of the Corporation, the following amendments to the Rockwell Automation Retirement Savings Plan for Salaried Employees (008) (the “Plan”): 
 1. Effective as of April 1, 2010, Appendix A to the Plan is amended and restated in its entirety to remove “ICS Triplex” from the list of excluded employers and to read as follows:

 “APPENDIX A 
 EXCLUDED EMPLOYERS 
 Effective as of April 1, 2010, the following
Affiliated Employers do not Participate in this Plan: 
 W-Interconnections, Inc. 

Rockwell Automation Caribbean LLP 
 Rockwell Automation Puerto Rico, Inc.” 
 2. Effective as of April 1, 2010, Appendix F to
the Plan is amended to add the following third paragraph thereto: 
 “2. The Plan was amended to cover employees of ICS
Triplex Inc. effective as of April 1, 2010. Such employees will receive credit for service with ICS Triplex Inc., Rutter Hinz, Inc. and Silvertech Systems, Inc. for vesting service purposes under the Plan.” 

The foregoing action is taken with the understanding that such action is consistent with the intentions of the Corporation. 

Date: March            , 2010 

 

	
	  
	Robert A. Bilsborough

 Fourteenth Amendment 

Rockwell Automation Retirement Savings Plan for Salaried Employees 

First Amendment 
 Rockwell Automation 1165(e) Plan 
 The undersigned, Robert A. Bilsborough, Vice President,
Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolutions of the Corporation’s Board of Directors on December 4, 1996, and December, 2009, does hereby
approve, for and on behalf of the Corporation, the following amendments to the Rockwell Automation Retirement Savings Plan for Salaried Employees (the “Savings Plan”) (008) and the Rockwell Automation 1165(e) Plan (the “1165(e)
Plan”) (011). 
 Premises 
  

	1.	Prior to January 1, 2009, the certain employees of the Corporation working in Puerto Rico participated in the Savings Plan (“Puerto Rico Participants”).

  

	2.	The Corporation established the 1165(e) Plan effective January 1, 2009 for the benefit of its employees working in Puerto Rico, including those employees who
previously participated in the Savings Plan. 

  

	3.	The Puerto Rico Treasury Department has issued letters recognizing the tax-qualified status of both the Savings Plan and the 1165(e) Plan under Puerto Rico law.

  

	4.	The Corporation desires to transfer the all Puerto Rico Participant accounts from the Savings Plan to the 1165(e) Plan in a plan-to-plan transfer.

 Resolutions 
 NOW THEREFORE BE IT RESOLVED THAT: 
  

	1.	The Savings Plan is hereby amended to add new Section 9.160 to read as follows: 

9.160 Special Transfer to 1165(e) Plan. Effective August 31, 2010 and pursuant to the transition relief provided under
Internal Revenue Service Revenue Ruling 2008-40, the Trustee shall transfer the Account of any Participant who is, or was at the time of his or her termination of employment, working in Puerto Rico to the trustee of the Rockwell Automation 1165(e)
Plan. No such Participant's accrued benefit shall be reduced or eliminated, to the extent such reduction or elimination would violate applicable law. 

	2.	The 1165(e) Plan is hereby amended to add new Section 11.160 to read as follows: 

11.160 Special Transfer from Salaried Savings Plan. Effective August 31, 2010 and pursuant to the transition relief provided
under Internal Revenue Service Revenue Ruling 2008-40, the Trustee shall accept the transfer of Accounts from the trustee of the Rockwell Automation Retirement Savings Plan for Salaried Employees (the “Savings Plan”) of any participants
who is, or was at the time of his or her termination of employment, working in Puerto Rico to the Plan. Such transferred amounts shall be allocated to a Participant's Account in the same manner as such amounts were allocated under the Savings Plan,
and no such Participant's accrued benefit shall be reduced or eliminated, to the extent such reduction or elimination would violate applicable law. To the extent a Participant is not fully vested in amounts transferred pursuant to this Section, the
vesting provision of Section 5.010 of this Plan, which are identical to those in the Savings Plan, shall apply. 
 The foregoing actions
are taken with the understanding that such actions are consistent with the intentions of the Corporation. 
 Dated as of August 31, 2010.

  

	
	  
	Robert A. Bilsborough

 FIFTHTEENTH AMENDMENT TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 The undersigned, Robert A. Bilsborough,
Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation’s Board of Directors on December 4, 1996 and June 3,
2010, does hereby approve, for and on behalf of the Corporation, the following amendments to the Rockwell Automation Retirement Savings Plan for Salaried Employees (008) (the “Plan”): 

Effective as of July 1, 2010, the Plan is amended as follows to reflect the addition of a Company Non-Elective Contribution: 

1. Section 1.203, defining Company Non-Elective Contributions, is hereby added to the Plan to read as follows: 

“1.203 Company Non-Elective Contributions mean the contributions made to the Trust Fund by
Rockwell Automation or an Affiliated Company pursuant to the provisions of Article IIC.”  
 2. Section 1.470, defining
Non-Elective Contribution Pay, is hereby added to the Plan to read as follows: 
 “1.470 Non-Elective
Contribution Pay means the Participant’s compensation, not in excess of Two Hundred Thousand Dollars ($200,000) or such larger amounts as may be established pursuant to Code §401(a)(17) in any calendar year, including base or
regular pay, lump sum merit awards, vacation pay, jury duty pay, holiday pay, commission and sales incentive plan payments, overtime or shift differential, performance bonuses paid or accrued and payable in future years (including, without
limitation, bonuses paid after the year to which they relate under the Company’s Performance Incentive Pay and Incentive Compensation Plans, if applicable), any nonperiodic payments related to the performance of services which are classified by
the Company as “variable compensation”, any amount which would be paid to the Participant absent elections under Sections 2.020(a) and 2.030(a) or an election to make elective employee contributions pursuant to a qualified cash or deferred
arrangement under a cafeteria plan meeting the requirements of Code §125, qualified transportation deferrals under Code Section 132(f)(4) and/or military differential pay within the meaning of Code §3401(h)(2). Non-Elective
Contribution Pay does not include deferrals under any non-qualified deferred compensation arrangement, unused vacation pay upon termination of employment, severance pay, the value of any awards of options to purchase the stock of the Company
(including the difference between the exercise price and the fair market value of any such Company stock purchased by the exercise of any such awards), cash and/or the value of Company stock awarded under any Long Term Incentive Plan
(“LTIP”), payments unrelated to the performance of services which are classified by an Employer as a “special payment” (e.g., sign-on bonuses or incentives); reimbursement for expenses, relocation payments, tuition payments,
foreign service premiums, foreign service differentials, foreign service allowances and patent awards.” 

 3. Article IIC: Company Non-Elective Contributions is hereby added to the Plan to read as follows:

 “ARTICLE IIC: COMPANY NON-ELECTIVE CONTRIBUTIONS 
 2C.010 Non-Elective Contribution Formula. Effective for Plan Years beginning on or after January 1, 2010, the Company will contribute to the Plan on behalf of each Eligible Participant out of
its current or accumulated profits Company Non-Elective Contributions equal to the Eligible Participant's Non-Elective Contribution Pay multiplied by the Applicable Percentage, with such Applicable Percentage being determined based an Eligible
Participant's age and Years of Service as of December 31 of a Plan Year pursuant to the chart below: 
  

					
	 Total Points

(Age + Years of Service
 as of December 31)
	  	Applicable Percentage	 
	 <40
	  	 	3.00	% 
	 40-59
	  	 	4.00	% 
	 60-79
	  	 	5.00	% 
	 80+
	  	 	7.00	% 

 2C.020 Eligible Participants. A Participant will be eligible for a Company Non-Elective Contribution if he was
employed by the Company on the last business day of the Plan Year and if he is not accruing a benefit under the Rockwell Automation Pension Plan on such date. Notwithstanding the foregoing, for the 2010 Plan Year, Participants who are eligible for
Rockwell Software Company Profit Sharing Contributions pursuant to Article IIA of this Plan and Participants who are employees of Sprecher & Schuh, Inc. are not eligible for Company Non-Elective Contributions. 

2C.030 Years of Service. For purposes of this Article IIC, “Years of Service” shall mean the period commencing with an Employee's
Employment Commencement Date and ending with his Employment Severance Date and the period form an Employee's Reemployment Date to his subsequent Employment Severance Date. Unless otherwise provided on Appendix F, Years of Service shall include
service with an Acquired Business. 
 2C.040 Allocation of Contributions. Company Non-Elective Contributions will be allocated to a
Company Contribution Account of each Participant eligible for such allocation. 
 2C.050 Investment of Contributions. Company
Non-Elective Contributions will be made in cash and will be subject to the investment elections made by the Participant under Section 4.010 with regard to his own Participant Contributions.” 

 * * * * * 
 Effective as of January 1, 2011, the Plan is amended as follows to reflect the eligibility of Rockwell Software Employees for Company Matching Contributions and Company Non-Elective Contributions and
the eligibility of employees of Sprecher & Schuh for the Company Non-Elective Contribution: 
  

	1.	Section 2.060(b) is amended and restated in its entirety to read as follows: 

 “(b) Notwithstanding the foregoing, Participants who are in the class of Employees that are eligible for Company Profit Sharing Contributions as described in Article IIA are not eligible to receive
Company Matching Contributions. Effective for Plan Years beginning on or after January 1, 2011, Company Profit Sharing Contributions have been eliminated and the foregoing exclusion shall no longer apply.” 

 

	2.	Section 2C.020 is amended and restated in its entirety to read as follows: 

 “2C.020 Eligible Participants. A Participant will be eligible for a Company Non-Elective Contribution if he was employed by the Company on the last day of the Plan Year and if he is not
accruing a benefit under the Rockwell Automation Pension Plan on such date. Notwithstanding the foregoing, a Participant who is eligible for Rockwell Software Company Profit Sharing Contributions pursuant to Article IIA of this Plan and Participants
who are employees of Sprecher & Schuh, Inc. are not eligible for Company Non-Elective Contributions. Further notwithstanding the foregoing, effective for Plan Years beginning on and after January 1, 2011, the foregoing exclusion for
certain Rockwell Software Employees and employees of Sprecher & Schuh shall no longer apply.” 
 * * * * *

 Effective as of January 1, 2011, Section 2A.010, General, is amended to add the following new sentence at the end of such Section
the Plan to reflect the elimination of Company Profit Sharing Contributions: 
 “Effective for Plan Years beginning on or after
January 1, 2011, the Company will no longer make Company Profit Sharing Contributions to this Plan.” 
 * * * * *

 Effective as of January 1, 2008, Section 13.040, Rights of Reemployed Veterans, is amended and restated in its entirety to read as
follows to comply with the Heroes Earnings Assistance and Tax Relief Act of 2008: 
 “13.040 Special Provisions Respecting Military
Service. 
 (a) Notwithstanding any provision of the Plan to the contrary, contributions, benefits and service credit with respect to
qualified military service will be provided in accordance with Section 414(u) of the Code. 

 (b) Notwithstanding any other provision of the Plan to the contrary, for years beginning after
December 31, 2008, (i) a differential wage payment, as defined in Code Section 3401(h)(2), shall be treated as compensation for purposes of Code Section 415(c)(3) and Treasury Regulations Section 1.415(c)-2. 

(c) In the case of a death occurring on or after January 1, 2007, if a Participant dies while performing qualified military service as defined in
Code Section 414(u), the Participant’s Beneficiary is entitled to any additional benefits (other than benefit accruals related to the period of qualified military service) provided under the Plan as if the Participant had resumed
employment and then terminated employment on account of death. The Participant’s qualified military service will be credited as service for vesting purposes, as though the Participant had resumed employment under the Uniformed Services
Employment and Reemployment Rights Act immediately prior to the Participant’s death.” 
 * * * * * 

Effective as of January 1, 2011, the last paragraph of Section 8.070(a) of the Plan is amended and restated in its entirety to read as follows
to reflect the Trustee's ability to reimburse the Corporation for plan administration expenses that the Corporation has incurred. 
 “Such
reasonable expenses shall include any direct internal costs (which may include reimbursement of compensation of Company Employees or reimbursement of the Company for expenses that it has paid) associated with Plan operation and administration, the
payment of which shall be in conformity with the requirements of Title I of ERISA. Neither the Plan Administrator nor the members of the Employee Benefit Plan Committee shall be compensated from the Plan but may be compensated by the Company or an
Affiliated Company for services rendered on behalf of the Plan.” 
 The foregoing action is taken with the understanding that such action
is consistent with the intentions of the Corporation. 
  

			
	 Date:             , 2010

 
	  	  

Robert A. Bilsborough

 SIXTHTEENTH AMENDMENT TO THE 

ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR SALARIED EMPLOYEES 
 ELEVENTH AMENDMENT TO
THE 
 ROCKWELL AUTOMATION RETIREMENT SAVINGS PLAN FOR HOURLY EMPLOYEES 

SEVENTH AMENDMENT TO THE 
 ROCKWELL AUTOMATION 
 RETIREMENT SAVINGS PLAN FOR REPRESENTED HOURLY
EMPLOYEES 
 SIXTH AMENDMENT TO THE 
 ROCKWELL AUTOMATION 
 SAVINGS AND INVESTMENT PLAN FOR 

REPRESENTED HOURLY EMPLOYEES 
 Plan Consolidation and Merger 
 The undersigned, Harry A. Malone, Vice President,
Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation's Board of Directors on December 4, 1996, does hereby approve, for and on behalf
of the Corporation, the following amendments to the Rockwell Automation Retirement Savings Plan for Salaried Employees (008), Rockwell Automation Retirement Savings Plan for Hourly Employees (007), Rockwell Automation Retirement Savings Plan for
Represented Hourly Employees (053) and the Rockwell Automation Savings and Investment Plan for Represented Hourly Employees (009): 
 Premises 
 1. The Corporation sponsors the Rockwell Automation Retirement Savings Plan for
Salaried Employees, Rockwell Automation Retirement Savings Plan for Hourly Employees, Rockwell Automation Retirement Savings Plan for Represented Hourly Employees and the Rockwell Automation Savings and Investment Plan for Represented Hourly
Employees (the “Plans”). 
 2. The Corporation has determined that it would be desirable to merge all of the Plans into a single plan
and to rename the surviving plan. 
 3. The Corporation desires to clarify past eligibility for certain profit sharing contributions for former
employees of the Rockwell Software segment of the Corporation's business who transferred to another segment of the Corporation's business. 

  
 1 

 Resolutions 
 NOW THEREFORE BE IT RESOLVED THAT: 
 1. The Rockwell Automation Retirement Savings Plan for Hourly
Employees, Rockwell Automation Retirement Savings Plan for Represented Hourly Employees, and the Rockwell Automation Savings and Investment Plan for Represented Hourly Employees, shall be merged into the Rockwell Automation Retirement Savings Plan
for Salaried Employees effective immediately following the posting of participant deferrals to the Plans on July 21, 2011 (the “Effective Time”), with the merged plan to be known as the Rockwell Automation Retirement Savings Plan.

 * * * * * 
 2. The
Rockwell Automation Retirement Savings Plan, formerly known as the Rockwell Automation Retirement Savings Plan for Salaried Employees (the “Plan”) shall be amended as of the Effective Time to reflect the action described in 1., above, as
follows: 
 a. The Plan is renamed the Rockwell Automation Retirement Savings Plan. 

b. The Preamble shall be amended to add the following new final “WHEREAS” provision: 

“WHEREAS, the Rockwell Automation Retirement Savings Plan for Hourly Employees, Rockwell Automation Retirement Savings Plan for
Represented Hourly Employees and Rockwell Automation Savings, and Investment Plan for Represented Hourly Employees, were all merged into this Plan effective July 21, 2011, with the surviving plan being known as the Rockwell Automation
Retirement Savings Plan;”. 
 c. Section 1.270, Eligible Employee, is amended as follows: 

 

	 	i.	To restate the first sentence to read “Eligible Employee means any Employee (including any officer) employed on a U.S. payroll of an
Affiliated Company, or on a U.S. payroll of a division, plant, office or location of an Affiliated Company, such Affiliated Company, for purposes of interpretation of this Section, to include the Rockwell Software business segment of the
Company.” 

  

	 	ii.	To delete “(b) any Employee who is on an hourly payroll of an Affiliated Company” and “(d) any Employee who is covered by a collective bargaining
agreement” from the list of excluded employees. 

  
 2 

 d. The following Section 1.325, Euclid Employee, is added to the Plan: 

“Euclid Employee means any Employee who is a member of Local 84737 of International Union of Electronic,
Electrical Salaried, Machine and Furniture Works — Cleveland, Ohio.” 
 d. The last paragraph of Section 2.010,
Participation, shall be amended and restated in its entirety to read as follows: 
 “Further notwithstanding the foregoing,
effective January 1, 2008, any Eligible Employee who is not a Euclid Employee and who has not previously made an affirmative contrary Basic Pre-Tax Contribution election shall be deemed to have elected an automatic Basic Pre-Tax Contribution of
three percent (3%) of such Participant's base Compensation to be contributed under the Plan. Such deemed automatic 3% Basic Pre-Tax contribution shall be effective as of January 1, 2008 and shall continue in effect as described in the
paragraph above.” 
 e. Section 2.060, Matching Contribution Formula, shall be amended to add a new Subsection
(c) to read as follows: 
 “(c) Further notwithstanding the foregoing, a Participants who is a Euclid Employee is not
eligible to receive Company Matching Contributions as described in Section 2.060(a) above. The Company will contribute to the Plan on behalf of each Euclid Employee out of its current or accumulated profits Company Matching Contributions equal
to fifty percent (50%) of the Participant's Basic Pre-Tax Contributions and Basic After-tax Contributions (up to 3% of Base Compensation).” 
 f. Section 5.010, Vesting, is amended to add the following new Subsection (f): 

“(f) Any individual who terminated employment with the Company prior to July 22, 2011 shall have his vested interest in his
Accounts in this Plan determined in accordance with the vesting rules in effect under the terms of the applicable predecessor to this Plan as in effect on the date of such individual's termination of employment. Special vesting provisions apply to
the Accounts of certain Participants who previously participated in the Rockwell Automation Retirement Savings Plan for Represented Hourly Employees or the Rockwell Automation Savings and Investment Plan for Represented Hourly Employees, as
described in Appendix H to this Plan.” 
 g. The following Appendix H is added to the Plan: 

  
 3 

 “APPENDIX H 

SPECIAL VESTING PROVISIONS FOR 
 CERTAIN FORMER REPRESENTED HOURLY EMPLOYEES 
 The following special vesting
provisions apply with respect to accounts of certain Participants under the Rockwell Automation Retirement Savings Plan for Represented Hourly Employees and the Rockwell Automation Savings and Investment Plan for Represented Hourly Employees
(collectively, the “Represented Hourly Employee Plans”) that were transferred to this Plan in connection with the July 21, 2011 merger of the Represented Hourly Employee Plans into this Plan: 

1. Any Participant who is no longer an Employee of the Company because he was an Employee of Reliance Electric Co. or its affiliated
companies on January 31, 2007, the date of the Company’s sale of Reliance Electric Co. and affiliated companies to Baldor Electric Company (the “Power Systems Sale”), was granted a One Hundred Percent (100%) vested and
nonforfeitable interest in his Company Contribution Account resulting from Company Matching Contributions made to that Account prior to the Power Systems Sale. 
 2. Any Participant who was a member of Local 78 of the International Association of Machinists and Aerospace Workers; AFL-CIO-Milwaukee, Wisconsin and an Employee as of September 30, 2010, was
granted a One Hundred Percent (100%) vested and nonforfeitable interest in his entire Account as of such date. 
 3. Any
Participant who was a member of Local 1111 of the United Electrical, Radio and Machine Workers of America, UE-Milwaukee, Wisconsin and an Employee as of July 31, 2010 shall have a One Hundred Percent (100%) vested and nonforfeitable
interest in his entire Account as of such date.” 
 * * * * * 
 3. Section 2A.030 of Article IIA, Rockwell Software Company Profit Sharing Contributions, of the Rockwell Automation Retirement Savings Plan shall be amended to add the following as a new last
sentence thereto: 
 “Further notwithstanding the foregoing, for the 2008, 2009 and 2010 Plan Years, a Participant who
transferred from employment with Rockwell Software to employment with Rockwell Automation, Inc. on October 1 of such a Plan Year shall be eligible for a Company Profit Sharing Contribution based on his Base Compensation earned while an employee
of Rockwell Software if he remained employed by the Company on the last day of such Plan Year.” 

  
 4 

 The foregoing action is taken with the understanding that such action is consistent with the intentions of
the Corporation. 
 Date: July         , 2011 

 

	
	 Harry A. Malone

  
 5 

 SEVENTEENTH AMENDMENT TO THE 

ROCKWELL AUTOMATION RETIREMENT SAVINGS PLAN 
 Roth 401(k) Contributions 
 The undersigned, Harry A. Malone, Vice President,
Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the Corporation’s Board of Directors on December 4, 1996, does hereby approve, for and on
behalf of the Corporation, the following amendments to the Rockwell Automation Retirement Savings Plan (008): 
 Premises

  

	1.	The Corporation sponsors the Rockwell Automation Retirement Savings Plan (the “Plan”). 

 

	2.	The Corporation desires to add a Roth 401(k) after-tax contribution option to the Plan. 

 

	3.	The Corporation also desires to clarify the forfeiture provisions under the Plan. 

 

	4.	The Corporation also desires to amend the Plan to reflect the minimum required distribution suspension options enacted under the Worker, Retiree, and Employer Recovery
Act of 2008. 

  

	5.	The Corporation also desires to renumber a certain subsection of the Plan for purposes of clarification. 

Resolutions 
 NOW
THEREFORE BE IT RESOLVED THAT the Plan is hereby amended, effective as of January 1, 2012 unless otherwise provided below, as follows: 

1. Section 1.090, Average Pre-Tax Contribution Percentage, is amended to add the following second sentence: 

“For purposes of calculating the Average Pre-Tax Contribution Percentage, Roth 401(k) Contributions shall be treated as Pre-Tax Contributions.”

 2. A new Section 1.125 is added to read: 
 “1.125 “Basic Roth 401(k) Contribution” means an amount contributed to the Plan on behalf of a participant pursuant to the Participant’s election under
Section 2.020(c).” 

  
 1 

 3. Section 1.500, Participant Contributions, is restated to read: 

“1.500 Participant Contributions means, as applicable, a Participant’s: 

“(a) Basic Pre-tax, Basic After-Tax and Basic Roth 401(k) Contributions; 

 

	(b)	Supplemental Pre-tax, Supplemental After-tax Contributions and Supplemental Roth 401(k) Contributions; 

 

	(c)	Catch-up Contributions; and 

  

	(d)	Transfer, Rollover and/or Roth 401(k) Rollover contributions.” 

 4. Section 1.165 is restated to read: 
 “1.165 Catch-up
Contribution means an amount contributed to the Plan on a pre-tax basis on behalf of a Participant pursuant to the Participant’s election under 2.045. 
 5. Section 1.695, Roth 401(k) Account, is renumbered as Section 1.692 and restated to read: 
 “1.692 Roth 401(k) Account means a Plan Account with respect to a Participant which is comprised of his Basic Roth 401(k) Contributions, Supplemental Roth 401(k)
Contributions and Roth 401(k) Catch-up Contributions. 
 6. Section 1.694 is added to read: 

“1.694 Roth 401(k) Catch-up Contribution means an amount contributed to the Plan on an after-tax basis on behalf of a
Participant pursuant to the Participant’s election under Section 2.045.” 
 7. Section 1.695 is added to read: 

“1.695 Roth 401(k) Rollover Account means a Plan Account described in Section 2.050 which has as its purpose the
holding of amounts which are received by the Plan on a Participant's behalf as a Roth 401(k) Rollover Contribution, including amounts received from the Pavilion Technologies, Inc. 401(k) Plan. 

8. Section 1.697 is added to read: 

“1.697 Roth 401(k) Rollover Contribution means the amounts described in Section 2.050 which are transferred to a
Participant’s Roth 401(k) Rollover Account pursuant to the terms of subsection (b) of that Section. 
 9. New Section 1.755 is
added to read: 
 “1.755 Supplemental Roth 401(k) Contribution means the amounts contributed to the Plan on
behalf of a Participant pursuant to the Participant's election under Section 2.030(c).” 

  
 2 

 10. Section 2.020, Basic Contributions, is amended as follows: 

i. The first line is restated to read: “A Participant may take any or all of the action described in subsection (a), (b) and
(c) below:” 
 ii. New subsection (c) is added to read: 

 

	 	“(c)	after December 31, 2011, authorize having deducted from his regular Base Compensation 1% through 6% (such deduction to be authorized in whole percentages) and then
have the amount of such deduction (as adjusted for all applicable taxes due on that amount) paid to the Plan as a Roth 401(k) Contribution to his Roth 401(k) Contribution Account;” 

 

	 	iii.	The last line is restated to read: “provided, however, that the percentages elected to be deferred or deducted and then made as Basic Pre-tax, Basic After-tax and
Basic Roth 401(k) Contributions may together not exceed 6% of the Participant’s Base Compensation.” 

 11.
Section 2.030 is amended as follows: 
 i. The first line is restated to read: “A Participant who is not a Euclid
employee and who has made the elections and/or authorizations described in Section 2.020 will also be permitted to take any or all of the actions described in subsections (a), (b) and (c) below:” 

ii. New subsection (c) is added to read: 
  

	 	“(c)	after December 31, 2011 

(1) if he is a non-Highly Compensated Employee, authorize having deducted from his regular Base Compensation 7% through 50% (such
deduction to be authorized in whole percentages) and then have the amount of such deduction (as adjusted for all applicable taxes due on that amount) paid to the Plan as a Supplemental Roth 401(k) Contribution to his Roth 401(k) Contribution
Account; and 
 (2) if he is a Highly Compensated Employee, authorize having deducted from his regular Base Compensation 7%
through 16% (such deduction to be authorized in whole percentages) and then have the amount of such deduction (as adjusted for all applicable taxes due on that amount) paid to the Plan as a Supplemental Roth 401(k) Contribution to his Roth 401(k)
Contribution Account.” 
  

	 	(iii)	The last line is restated to read: “provided, however, that the percentages elected to be deferred or deducted and then made as Supplemental Pre-tax, Supplemental
After-tax and Supplemental Roth 401(k) Contributions may together not exceed 44% of the Participant’s Base Compensation if he is a non-Highly Compensated Employee or 10% of the Participant’s Base Compensation if he is a Highly Compensated
Employee. Notwithstanding the foregoing, if a Participant is a Euclid Employee, the maximum percentage limit in Section 2.030(a)(1) is 25%, the maximum percentage limit in Section 2.030(a)(2) is 12%, the maximum percentage limit in
Section 2.030(b)(1) is 25%, and the maximum percentage limit in the clause immediately preceding this sentence is 19%.” 

  
 3 

 12. Section 2.040 is restated to read: 
 “2.040 Changes Among Pre-tax, After-tax Contributions and Roth 401(k). A Participant will be permitted to elect to increase or decrease at any time (and as often as he wishes) the rate of his
Pre-tax and After-tax Contributions, and after December 31, 2011, his Roth 401(k) Contributions. Any such increase or decrease of the rate of the Participant’s Pre-tax and After-tax Contributions, and after December 31, 2011, his Roth
401(k) Contributions, will be effective as soon as is reasonably possible after receipt by the Plan Administrator of the Participant’s election. 
 13. Section 2.045 is restated to read: 
 “2.045 Catch-up and Roth 401(k) Catch-up
Contributions. In addition to the Basic Pre-tax Contributions, Basic Roth 401(k) Contributions, Supplemental Pre-tax Contributions and Supplemental Roth 401(k) Contributions described in Sections 2.020 and 2.030, subject to Section 3.020
and notwithstanding any of the nondiscrimination rules described in Code §401(a)(4) or limitations on Participant Contributions as are otherwise in effect under this Plan, including, but not limited to any such rules or limitations as are set
forth in Sections 3.010 and 12.010, any Participants in the Plan who on or prior to the last day of a Plan Year will have attained age 50 and who has in place an election under Section 2.020 of at least 1% of Base Compensation will be permitted
to elect to have an additional amount equal to 1% through 75% of his regular Base Compensation contributed as a pre-tax Catch-up Contribution or , after December 31, 2011, after-tax Roth 401(k) Catch-up Contribution to the Plan on his behalf
during that Plan Year, so long as the total of any such Catch-up Contributions and Roth 401(k) Catch-up Contributions in the aggregate during the Plan Year are not in excess of the applicable dollar amount set forth in the said
Section 3.020.” 
 14. Section 2.050 is restated to read: 
 “2.050 Rollover Contributions. Rollovers to this Plan of a Participant’s interest in another individual account plan will be permitted as set forth below: 

 

	(a)	A Participant who is an Eligible Employee may elect (by providing the Plan Administrator with notice thereof) to have the entire amount credited to his account in a
qualified individual account plan of a former employer transferred from such plan to this Plan as a Rollover Contribution, subject to the following: 

  

	 	(1)	Such Rollover Contributions are eligible for receipt hereunder only if they are in the form of cash and are derived entirely from employee contributions or vested
employer contributions to a retirement plan described in and subject to Code §401(a), a tax-sheltered annuity plan described in and subject to Code §403(b) or a governmental retirement plan described in and subject to Code §457.

  
 4 

	 	(2)	No portion of such Rollover Contributions may be derived from a transfer from a qualified plan which at any time had permitted benefit payments in the form of a life
annuity. 

  

	(b)	A Participant who is an Eligible Employee may elect (by providing the Plan Administrator with notice thereof) to have the entire amount credited to his account in a
qualified individual account plan of a former employer transferred from such plan to this Plan as a Roth 401(k) Rollover Contribution, subject to the following: 

 

	 	(1)	Such Roth 401(k) Rollover Contributions are eligible for receipt hereunder only if they are in the form of cash and are derived entirely from employee contributions or
vested employer contributions to a retirement plan described in and subject to Code §401(a). The Plan will accept a rollover contribution to a 401(k) Roth Rollover Account only if it is a direct rollover from another Roth elective deferral
account under an applicable retirement plan described in Code Section 402A(e)(1) and only to the extent the rollover is permitted under the rules of Code Section 402(c). 

 

	 	(2)	No portion of such Roth 401(k) Rollover Contributions may be derived from a transfer from a qualified plan which at any time had permitted benefit payments in the form
of a life annuity. 

  

	(c)	Rollover and Roth 401(k) Rollover Contributions will be credited to separate Rollover or Roth 401(k) Rollover Accounts, as applicable, which will be separate from the
Participant’s Pre-tax, After-tax and Roth 401(k) Contribution Accounts and, as such, will be subject to investment elections which are separate from those related to the Participant’s Pre-tax, After-tax and Roth 401(k) Contribution
accounts, but which will be subject to the same process as is set forth in Article IV of this Plan. 

 15. Section 2.060,
Matching Contribution Formula, is amended to add new subsection (d) to read: 
 “(d) Effective on and after January 1, 2012, the
Company will make Company Matching Contribution with respect to a Participant’s Basic Roth 401(k) Contributions. Such Company Matching Contribution shall be in the amount and made in the manner described above for Basic Pre-tax Contributions
and Basic After-tax Contributions.” 
 16. Subsection (b) of Section 2.070, Rules Concerning Matching Contributions, is amended
to add “Supplemental Roth 401(k) Contributions, Roth 401(k) Catch-Up Contributions, and Roth 401(k) Rollover Contributions” thereto. 

  
 5 

 17. Subsections 3.010(a)-(e) are restated to read: 

“3.010 Limitations on Employee Pre-tax and Roth 401(k) Contributions. 

 

	(a)	The aggregate amount in any calendar year of all of a Participant’s: 

  

	 	(1)	Basic and Supplemental Pre-tax and Roth 401(k) Contributions to this Plan; 

 

	 	(2)	elective deferrals under any other cash or deferred arrangement (as defined in Code §402(g)); and 

 

	 	(3)	elective employer contributions to any simplified employee pension (as defined in and pursuant to, respectively, Code §§408(k)(1) and (6))

 may not exceed Ten Thousand Dollars ($10,000.00), or such larger sum as may be in effect under
Code §402(g)(5). 
  

	(b)	Prior to the beginning of, and periodically during, each Plan Year, the Plan Administrator will cause a test to be conducted of Pre-tax Contribution and, after
December 31, 2011, Roth 401(k) Contribution elections under Sections 2.020(a), 2.020(c), 2.030(a) and 2.030(c) in order to determine whether the Average Pre-tax Contribution Percentage for the Highly Compensated Employee Group exceeds the
Pre-tax Contribution Percentage Limit. If it is determined that the Pre-tax Contributions and after December 31, 2011, Roth 401(k) Contributions made for any Plan Year by the Highly Compensated Employee Group would (if not reduced) cause the
Average Pre-tax Contribution Percentage of that Group to exceed the Pre-tax Contribution Percentage Limit, the Plan Administrator will first reduce any Supplemental Roth 401(k) Contributions and Supplemental Pre-tax Contributions elected by
Participants in the Highly Compensated Employee Group on a pro rata basis, then any Basic Roth 401(k) Contributions and Basic Pre-tax Contributions elected by Participants in the Highly Compensated Employee Group on a pro rata basis, so that the
Pre-tax Contribution Percentage Limit will not be exceeded for the Plan Year: 

  

	 	(1)	Such reduction will be effective as of the first payroll date in the month following such determination and will be made by first reducing the Roth 401(k) Contributions
Accounts and/or Pre-tax Contribution Accounts, as applicable, of Highly Compensated Employee Group Participants who have the greatest dollar amount of Pre-tax Contributions (but not below the Highly Compensated Employee Group Participants with the
next highest dollar amount of Pre-tax Contributions), and then, if necessary, reducing the Roth 401(k) Contributions and/or Pre-tax Contributions, of the Highly Compensated Employee Group Participants as applicable, with the next highest dollar
amount of Pre-tax Contributions (including the Pre-tax Contributions of the Highly Compensated Employee Group Participants whose Pre-tax Contributions have already been reduced by the Plan Administrator), and continuing in descending order until the
Average Pre-tax Contribution Percentage for the Highly Compensated Employee Group satisfies the Pre-tax Contribution Limit. 

  
 6 

	 	(2)	Such excess Roth 401(k) and/or Pre-tax Contributions will be distributed to the affected Participants who are Highly Compensated Employee Group Participants as soon as
practicable after the end of such Plan Year and in all events prior the end of the next following Plan Year. Effective January 1, 2006, income allocable to such excess Pre-tax Contributions with respect to any Participant that are distributed
in the next following Plan Year shall equal the sum of the allocable gain or loss for the Plan Year, and any allocable gain or loss for the period between the end of the Plan Year and the date of the corrective distribution (i.e., the “gap
period”). Effective January 1, 2008, with respect to excess Pre-tax Contributions made in taxable years after 2007, gap period income may not be distributed. Income allocable to excess Roth 401(k) Contributions and/or Pre-tax Contributions
for the Plan Year and any gap period shall be calculated under any reasonable method as determined by the Plan Administrator, provided that such method is used for allocating income to Participants’ Roth 401(k) Contribution Accounts and Pre-tax
Contribution Accounts and is used consistently for all Participants and for all corrective distributions under the Plan for the Plan Year. 

  

	(c)	Reductions in Basic or Supplemental Roth 401(k) or Pre-tax Contributions pursuant to subsection (b) of this Section will continue until the Plan Administrator
determines that changed circumstances permit a revision of such Roth 401(k) and/or Pre-tax Contributions, in which case the Plan Administrator will determine the amount by which such Roth 401(k) and/or Pre-tax Contributions may be revised for the
balance of the Plan Year. 

  

	(d)	In order to determine the amount of excess Roth 401(k) and Pre-tax Contributions, if any, for the members of the Highly Compensated Employee Group, the Plan
Administrator or his delegate will: 

  

	 	(1)	determine the “highly compensated employee” (as defined in Code §414(q)) in the Group with the highest Pre-tax Contribution Percentage (i.e., the amount
of such employee’s Pre-tax Contributions in a particular Plan Year, divided by his Compensation for the Plan Year); 

  

	 	(2)	determine how much the said Percentage would have to be reduced to either satisfy the Average Pre-tax Contribution Percentage test under Code §401(k)(3) or cause
such Percentage to equal the Pre-tax Contribution Percentage of the highly compensated employee with the next highest Percentage; and 

  

	 	(3)	repeat making the determination set forth in Paragraph (2) until such time as the Average Pre-tax Contribution Percentage test described in that Paragraph is
satisfied. 

 The amount of excess Roth 401(k) and Pre-tax Contributions for the members of the Highly Compensated Employee Group
is equal to the amount equal to the sum of the hypothetical reductions described above, multiplied by such members' Compensation. 

  
 7 

	(e)	To the extent permitted under Section 3.015 and, on and after January 1, 2012, to the extent that that the Participant does not elect otherwise, the amount
representing the additional amount of Base Compensation which would have been contributed as Supplemental Roth 401(k) or Pre-tax or Basic Roth 401(k) or Pre-tax Contributions on behalf of the Participant will be contributed by the Participant to the
Plan, as appropriate, as Supplemental After-tax or Basic After-tax Contributions. In addition, to the extent permitted by regulation, the Plan Administrator may during or following a Plan Year cause Supplemental or Basic Roth 401(k) or Pre-tax
Contributions made on behalf of Highly Compensated Employee Group Participants to be recharacterized (on a uniform and non-discriminatory basis) as Supplemental or Basic After-tax Contributions to the extent necessary to prevent the Average Pre-tax
Contribution Percentage for that Plan Year for those Participants from exceeding the Pre-tax Contribution Percentage Limit.” 

18. The first sentence of the last paragraph of Section 3.015, Limitation on After-tax Contributions and Matching Contributions, is restated to
read: “In making the determinations set forth in this Section, any amounts which were the subject of recharacterization of Pre-tax or Roth 401(k) Contributions as After-tax Contributions will be included herein as being After-tax
Contributions.” 
 19. The first paragraph of Section 3.020 is restated to read: 

“3.020 Limits for Catch-up Contributions. Notwithstanding the limitations set forth in the preceding Section 3.010 or any other
provision of this Plan, the aggregate amount of Catch-up Contributions for a given Plan Year of any Participant who, as of the end of a Plan Year, is at least age fifty (50), who intends to have Basic and Supplemental Pre-tax or Roth 401(k)
Contributions made to the Plan during the Plan Year which could be in excess of the limit set forth in the said Section 3.010 and who has a Basic Pre-tax, After-tax or Roth 401(k) Contribution election of at least 1% in place, will be permitted
to elect to have Catch-up Contributions made on his behalf to the Plan in amounts totaling the limits set forth below for such Contributions: 
  

					
	 Plan Year
	  	Dollar Limit	 
	 2008
	  	$	5,000.00	  
	 2009
	  	$	5,500.00	  
	 2010
	  	$	5,500.00	  
	 2011
	  	$	5,500.00	  
	 2012
	  	$	5,500.00	  

 Such Dollar Limits for Plan Years subsequent to December 31, 2012 will be adjusted for increases in the cost of
living at the same time and in the same manner as adjustments are made under Code §415(d).” 
 20. Subsection (a) of
Section 5.010, Vesting, is restated to read: 
  

	“(a)	Every Participant will at all times have a One Hundred Percent (100%) vested and nonforfeitable interest in his After-tax Contribution Account, Pre-tax
Contribution Account, Roth 401(k) Contribution Account and, if applicable, Rollover Account and Roth 401(k) Rollover Account.” 

  
 8 

 21. Subsection (a) of Section 6.010, Withdrawals from Accounts by Participants under Age 59 1/2,
is amended to replace item (11) and add new items (12) through (15) to read as follows: 
  

	“(11)	eleventh, from the portion, if any, of his Roth 401(k) Account containing amounts transferred from the Pavilion Technologies, Inc. 401(k) Plan to this Plan;

  

	(12)	twelfth, from his Roth 401(k) Rollover Account; 

  

	(13)	thirteenth, from that portion of his Roth 401(k) Account, which is attributable to his Supplemental Roth 401(k) Contributions; 

 

	(14)	fourteenth, from that portion of his Roth 401(k) Account, which is attributable to his Roth Catch-up 401(k) Contributions; and 

 

	(15)	fifteenth, from that portion of his Roth 401(k) Account, which is attributable to his Basic Roth 401(k) Contributions.” 

22. Subsections (d) and (e) of Section 6.010, Withdrawals from Accounts by Participants under Age 59 1/2, are restated to read:

  

	(d)	“ Withdrawals from a Participant’s Pre-tax Contribution Account pursuant to subsections (a)(7), (a)(8), (a)(9) or (a)(10) or Roth 401(k) Account pursuant to
subsections (a)(13), (a)(14) or (a)(15) prior to his attainment of age fifty-nine and one-half (59-1/2) will only be permitted upon the occurrence of a Hardship and such withdrawals will be administered pursuant to Section 6.030.

  

	(e)	With the exception of the types of withdrawals available to certain Participants pursuant to subsection (d), no Participant will be permitted to withdraw amounts in his
Company Contribution Accounts which are attributable to his Basic Pre-tax or Basic Roth 401(k) Contributions prior to his attainment of age fifty-nine and one-half (59-1/2).” 

23. Subsection (a) of Section 6.020 is amended to replace item (17) and add new items (18) through (21) to read as follows:

  

	“(17)	seventeenth, from the portion, if any, of his Roth 401(k) Account containing amounts transferred from the Pavilion Technologies, Inc. 401(k) Plan to this Plan;

  

	(18)	eighteenth, from his Roth 401(k) Rollover Account; 

  

	(19)	nineteenth, from that portion of his Roth 401(k) Account, which is attributable to his Supplemental Roth 401(k) Contributions; 

 

	(20)	twentieth, from that portion of his Roth 401(k) Account, which is attributable to his Roth Catch-up 401(k) Contributions; and 

 

	(21)	twenty-first, from that portion of his Roth 401(k) Account, which is attributable to his Basic Roth 401(k) Contributions.” 

  
 9 

 24. Section 6.030, Hardship Withdrawals from Pre-tax Accounts, renamed “Hardship Withdrawals from
Pre-tax and Roth 401(k) Accounts” and subsection (a) is amended to replace “Pre-tax Contribution Account” with “Pre-tax or Roth 401(k) Contribution Account”. 
 25. Subsection (b) of Section 6.040, Forfeitures and Suspensions”, is restated to read: 
  

	“(b)	If a Participant applies for and receives a Hardship withdrawal, pursuant to Section 6.030, from his Basic and /or Supplemental Pre-tax or Roth 401(k) Contribution
Account, the forfeitures described in subsection (a) will not be applicable.” 

 26. Subsection (a) of
Section 6.060, Loans, is restated to read: 
  

	“(a)	the aggregate of the balances in the borrower’s Pre-tax, After-tax and Roth 401(k) Contribution Accounts and, if applicable, in the portion of his Account
attributable to QNECs or in his Rollover or Roth 401(k) Rollover Account; 

 27. Schedule C is amended to add the following at the
list under the heading “Source of Loan Funds”: 
  

					
	“Ninth	 	—	  	from amounts in the Borrower’s Contribution Accounts attributable to his Roth 401(k) Rollover contributions;
			
	Tenth	 	—	  	from amounts in the Borrower’s Roth 401(k) Contribution Account attributable to his Supplemental Roth 401(k) Contributions;
			
	Eleventh	 	—	  	from amounts in the Borrower’s Roth 401(k) Contribution Account attributable to his Roth 401(k) Catch-up Contributions; and
			
	Twelfth	 	—	  	from amounts in the Borrower’s Roth 401(k) Contribution Account attributable to his Basic Roth 401(k) Contributions.”

 28. Section 5.090, Transfer of Distribution Directly to Eligible Retirement Plan, is amended to add a new last
sentence to read: 
 “Notwithstanding the foregoing, a direct rollover of a distribution from a Roth 401(k) Contribution Account under the
Plan will only be made to another Roth elective deferral account under an applicable retirement plan described in Code Section 402A(e)(1) or to a Roth IRA described in Code Section 408A, and only to the extent the rollover is permitted
under the rules of Code Section 402(c).” 
 29. Subsection (a) of Section 2.060, Matching Contribution Formula, is amended
effective as of September 1, 2011 to delete the sentence that reads “Any forfeitures of Company Matching Contributions occurring during a Plan Year shall be used to reduce Company Matching Contributions for such Plan Year.”

 30. New Section 13.080 is added effective as of September 1, 2011 to read as follows: 

“13.080 Allocation of Forfeitures. Any forfeitures of Company Matching Contributions, Company Non-Elective Contributions or any other
amounts occuring during a Plan Year shall be used to reduce Company Contributions or any other amounts that the Company may otherwise be required to contribute to the Plan for such Plan Year.” 

  
 10 

 31. New Section 14.060 is added effective as of January 1, 2009 to read as follows: 

“14.060 Suspension of Minimum Required Distributions. Notwithstanding anything to the contrary in this Article XIV, a Participant or
Beneficiary who would have been required to receive minimum required distributions during 2009 but for the enactment of Code Section 401(a)(9)(H) (“2009 MRDs”), and who would have satisfied that requirement by receiving distributions
that are (1) equal to the 2009 MRDs or (2) one or more payments in a series of substantially equal distributions (that include the 2009 MRDs) made at least annually and expected to last for the life (or life expectancy) of the Participant,
the joint lives (or joint life expectancy) of the Participant and the Participant's designated Beneficiary, or for a period of at least 10 years (“Extended 2009 MRDs”), will not receive those distributions for 2009 unless the Participant
or Beneficiary chooses to receive such distributions. Participants and Beneficiaries described in the preceding sentence will be given the opportunity to elect to receive the distributions described in the preceding sentence.” 

32. Subsection 3.010(k), added by the Ninth Amendment to the Plan, shall be renumbered as Subsection 3.010(f). 

The foregoing action is taken with the understanding that such action is consistent with the intentions of the Corporation. 

Date: December         , 2011 

 

	
	 Harry A. Malone

  
 11 

 EIGHTEENTH AMENDMENT TO THE 

ROCKWELL AUTOMATION RETIREMENT SAVINGS PLAN 
 The undersigned, Harry A. Malone, Vice President, Compensation & Benefits, of Rockwell Automation, Inc. (the “Corporation”), pursuant to the authority provided by resolution of the
Corporation’s Board of Directors on December 4, 1996 does hereby approve, for and on behalf of the Corporation, the following amendments to the Rockwell Automation Retirement Savings Plan (008) (the “Plan”): 

Premises 
 a. The
Corporation sponsors the Rockwell Automation Retirement Savings Plan (the “Plan”). 
 b. The Corporation desires to clarify the
provisions of the Plan relating to fees and expenses. 
 Resolutions 

NOW THEREFOR BE IT RESOLVED THAT the Plan is herby amended, effective as of January 1, 2012, as follows: 

1. Section 8.070 is amended in its entirety to read as follows: 
 “8.070 Fees and Expenses 
 (a) To the maximum extent
permitted by ERISA, the fees and expenses of the Plan and the Trustee will be paid from the Trust Fund and will constitute a charge on the Trust Fund until so paid. The Company may, however, in its sole discretion pay any such fees and expenses. If
the Company pays any fees or expenses, it may be reimbursed for any such fees or expenses if ERISA permits the fee or expense to be paid by the Plan and if the Company seeks reimbursement within one year of the date it pays the fee or expense.

 (b) Such fees and expenses shall include: 

(i) expenses of administration including recordkeeping, electronic system changes, the costs to provide web and telephone
access, distribution processing and benefit calculations; 
 (ii) communication related fees; 

(iii) legal fees; 
 (iv) accounting fees; 
 (v) QDRO review expenses and loan expenses;

 (vi) investment fees and expenses; 

(vii) the costs of amending the Plan to remain qualified and obtaining IRS approval of the Plan; 

(viii) discrimination testing; 
 (ix) Trustees fees and expenses (including the reasonable expenses of Trustees’ counsel); 
 (x) direct internal costs (including reimbursement of compensation of Company Employees) 
 (c) Such fees and expenses shall not include: 
 (i) expenses
incurred with respect to settlor functions or which for other reasons may not be legally paid by the Plan and Trust; 
 (ii) expenses incurred by the Trustee in prosecuting any action against the Company, the Plan, the Plan Administrator or the Employee Benefit Plan Committee; 

(iii) expenses incurred for the defense or settlement of any proceeds arising either out of the alleged misfeasance or
nonfeasance in any person's performance of duties with respect to the Plan; 
 (iv) expenses which are not
reasonable; 
 (v) expenses which, if paid, would result in a breach of fiduciary duty or prohibited transaction
under ERISA 
 (vi) IRS or DOL penalties 

(d) Fees and expenses paid by the Plan may be allocated on any basis determined by the Employee Benefit Plan Committee
including per capita, pro rata based on Account balance, or allocated to a specific Participant provided, however, that the participant annual recordkeeping fee ($62.00 in 2012) shall be allocated on a per capita basis.” 

Date:                      , 2012 

 

	
	 Harry A. MaloneIndenture

 Exhibit 4.1 
 EXECUTION VERSION 
  

					
		  	  
	  	
		  	  
 Lender Processing Services, Inc.

as Issuer
  

the Guarantors party hereto
  

and
  

U.S. Bank National Association
 as Trustee
  
  

Senior Notes Indenture
  

Dated as of October 12, 2012

 
  
 5.75%
 Senior Notes

Due 2023
  
	  	
		  	  
	  	

 CROSS-REFERENCE TABLE 

 

			
	 TIA Sections
	  	 Indenture Sections

		
	 §  310 (a)
	  	7.10
	            (b)
	  	7.08
	 §  311
	  	7.03
	 §  312
	  	11.02
	 §  313
	  	7.06
	 §  314 (a)
	  	4, 4.02
	            (c)
	  	11.04
	            (e)
	  	11.05
	 §  315 (a)
	  	7.01, 7.02
	            (b)
	  	7.02, 7.05
	            (c)
	  	7.01
	            (d)
	  	7.02
	            (e)
	  	6.12, 7.02
	 §  316 (a)
	  	2.05, 6.02, 6.04, 6.05
	            (b)
	  	6.06, 6.07
	            (c)
	  	11.02
	 §  317 (a) (1)
	  	6.08
	            (a) (2)
	  	6.09
	            (b)
	  	2.03
	 §  318
	  	11.01

  
 2 

 RECITALS 
  

					
	ARTICLE 1	  
	DEFINITIONS AND INCORPORATION BY REFERENCE	  
		
	 Section 1.01. Definitions
	  	 	2	  
	 Section 1.02. Rules of Construction
	  	 	34	  
	
	ARTICLE 2	  
	THE NOTES	  
		
	 Section 2.01. Form, Dating and Denominations; Legends
	  	 	34	  
	 Section 2.02. Execution and Authentication; Additional Notes
	  	 	35	  
	 Section 2.03. Registrar, Paying Agent and Authenticating Agent; Paying Agent to Hold Money in Trust
	  	 	36	  
	 Section 2.04. Replacement Notes
	  	 	36	  
	 Section 2.05. Outstanding Notes
	  	 	37	  
	 Section 2.06. Temporary Notes
	  	 	37	  
	 Section 2.07. Cancellation
	  	 	38	  
	 Section 2.08. CUSIP and ISIN Numbers
	  	 	38	  
	 Section 2.09. Registration, Transfer and Exchange
	  	 	38	  
	 Section 2.10. Restrictions on Transfer and Exchange
	  	 	41	  
	
	ARTICLE 3	  
	REDEMPTION; OFFER TO PURCHASE	  
		
	 Section 3.01. Optional Redemption
	  	 	42	  
	 Section 3.02. Redemption with Proceeds of Equity Offering
	  	 	42	  
	 Section 3.03. Method and Effect of Redemption
	  	 	42	  
	 Section 3.04. Offer to Purchase
	  	 	44	  
	
	ARTICLE 4	  
	COVENANTS	  
		
	 Section 4.01. Payment Of Notes
	  	 	46	  
	 Section 4.02. Maintenance of Office or Agency
	  	 	47	  
	 Section 4.03. Existence
	  	 	48	  
	 Section 4.04. Payment of Taxes and other Claims
	  	 	48	  
	 Section 4.05. Maintenance of Properties
	  	 	48	  
	 Section 4.06. Limitation on Debt and Disqualified or Preferred Stock
	  	 	48	  
	 Section 4.07. Limitation on Restricted Payments
	  	 	54	  
	 Section 4.08. Limitation on Liens
	  	 	58	  
	 Section 4.09. Limitation on Sale and Leaseback Transactions
	  	 	59	  

  
 3 

					
	 Section 4.10. Limitation on Dividend and other Payment Restrictions Affecting Restricted Subsidiaries
	  	 	59	  
	 Section 4.11. Guaranties by Restricted Subsidiaries
	  	 	61	  
	 Section 4.12. Repurchase of Notes Upon a Change of Control
	  	 	62	  
	 Section 4.13. Limitation on Asset Sales
	  	 	62	  
	 Section 4.14. Limitation on Transactions with Affiliates
	  	 	64	  
	 Section 4.15. Designation of Restricted and Unrestricted Subsidiaries
	  	 	66	  
	 Section 4.16. Financial Reports
	  	 	68	  
	 Section 4.17. Reports to Trustee
	  	 	69	  
	 Section 4.18. Suspension of Certain Covenants when Notes Rated Investment Grade
	  	 	70	  
	
	ARTICLE 5	  
	CONSOLIDATION, MERGER OR SALE OF ASSETS	  
		
	 Section 5.01. Consolidation, Merger or Sale of Assets by the Company; No Lease of All or Substantially All
Assets
	  	 	71	  
	 Section 5.02. Consolidation, Merger or Sale of Assets by a Guarantor
	  	 	72	  
	
	ARTICLE 6	  
	DEFAULT AND REMEDIES	  
		
	 Section 6.01. Events of Default
	  	 	73	  
	 Section 6.02. Acceleration
	  	 	74	  
	 Section 6.03. Other Remedies
	  	 	75	  
	 Section 6.04. Waiver of Past Defaults
	  	 	75	  
	 Section 6.05. Control by Majority
	  	 	75	  
	 Section 6.06. Limitation on Suits
	  	 	76	  
	 Section 6.07. Rights of Holders to Receive Payment
	  	 	76	  
	 Section 6.08. Collection Suit by Trustee
	  	 	76	  
	 Section 6.09. Trustee May File Proofs of Claim
	  	 	77	  
	 Section 6.10. Priorities
	  	 	77	  
	 Section 6.11. Restoration of Rights and Remedies
	  	 	77	  
	 Section 6.12. Undertaking for Costs
	  	 	78	  
	 Section 6.13. Rights and Remedies Cumulative
	  	 	78	  
	 Section 6.14. Delay or Omission Not Waiver
	  	 	78	  
	 Section 6.15. Waiver of Stay, Extension or Usury Laws
	  	 	78	  
	
	ARTICLE 7	  
	THE TRUSTEE	  
		
	 Section 7.01. General
	  	 	79	  
	 Section 7.02. Certain Rights of Trustee
	  	 	79	  
	 Section 7.03. Individual Rights of Trustee
	  	 	81	  

  
 4 

					
	 Section 7.04. Trustee’s Disclaimer
	  	 	81	  
	 Section 7.05. Notice of Default
	  	 	81	  
	 Section 7.06. Reports by Trustee to Holders
	  	 	82	  
	 Section 7.07. Compensation And Indemnity
	  	 	82	  
	 Section 7.08. Replacement of Trustee
	  	 	83	  
	 Section 7.09. Successor Trustee by Merger
	  	 	84	  
	 Section 7.10. Eligibility
	  	 	84	  
	 Section 7.11. Money Held in Trust
	  	 	84	  
	
	ARTICLE 8	  
	DEFEASANCE AND DISCHARGE	  
		
	 Section 8.01. Discharge of Company’s Obligations
	  	 	84	  
	 Section 8.02. Legal Defeasance
	  	 	85	  
	 Section 8.03. Covenant Defeasance
	  	 	87	  
	 Section 8.04. Application of Trust Money
	  	 	87	  
	 Section 8.05. Repayment to Company
	  	 	87	  
	 Section 8.06. Reinstatement
	  	 	88	  
	
	ARTICLE 9	  
	AMENDMENTS, SUPPLEMENTS AND WAIVERS	  
		
	 Section 9.01. Amendments Without Consent of Holders
	  	 	88	  
	 Section 9.02. Amendments With Consent of Holders
	  	 	89	  
	 Section 9.03. Effect of Consent
	  	 	90	  
	 Section 9.04. Trustee’s Rights and Obligations
	  	 	90	  
	 Section 9.05. Conformity With Trust Indenture Act
	  	 	91	  
	 Section 9.06. Payments for Consents
	  	 	91	  
	
	ARTICLE 10	  
	GUARANTIES	  
		
	 Section 10.01. The Guaranties
	  	 	91	  
	 Section 10.02. Guaranty Unconditional
	  	 	91	  
	 Section 10.03. Discharge; Reinstatement
	  	 	92	  
	 Section 10.04. Waiver by the Guarantors
	  	 	92	  
	 Section 10.05. Subrogation and Contribution
	  	 	93	  
	 Section 10.06. Stay of Acceleration
	  	 	93	  
	 Section 10.07. Limitation on Amount of Guaranty
	  	 	93	  
	 Section 10.08. Execution and Delivery of Guaranty
	  	 	93	  
	 Section 10.09. Release of Guaranty
	  	 	93	  

  
 5 

					
	ARTICLE 11	  
	MISCELLANEOUS	  
		
	 Section 11.01. Trust Indenture Act of 1939
	  	 	94	  
	 Section 11.02. Noteholder Communications; Noteholder Actions
	  	 	94	  
	 Section 11.03. Notices
	  	 	96	  
	 Section 11.04. Certificate and Opinion as to Conditions Precedent
	  	 	96	  
	 Section 11.05. Statements Required in Certificate or Opinion
	  	 	97	  
	 Section 11.06. Payment Date Other Than a Business Day
	  	 	97	  
	 Section 11.07. Governing Law
	  	 	97	  
	 Section 11.08. No Adverse Interpretation of Other Agreements
	  	 	97	  
	 Section 11.09. Successors
	  	 	97	  
	 Section 11.10. Duplicate Originals
	  	 	98	  
	 Section 11.11. Separability
	  	 	98	  
	 Section 11.12. Table of Contents and Headings
	  	 	98	  
	 Section 11.13. No Liability of Directors, Officers, Employees, Incorporators, Members and
Stockholders
	  	 	98	  

  
 6 

 EXHIBITS 
  

			
	EXHIBIT A	  	Form of Note
	EXHIBIT B	  	Form of Supplemental Indenture
	EXHIBIT C	  	DTC Legend

  
 7 

 INDENTURE, dated as of October 12, 2012, among Lender Processing Services, Inc., a
Delaware corporation, as the Company, the Guarantors party hereto and U.S. Bank National Association, a national banking association duly organized and existing under the laws of the United States of America and having a corporate trust office in
Atlanta, Georgia, as Trustee. 
 RECITALS 
 The Company has duly authorized the execution and delivery of this Indenture to provide for the issuance of up to $600,000,000 aggregate principal amount of the Company’s 5.75% Senior Notes Due 2023,
and, if and when issued, any Additional Notes issued therefor as provided herein (the “Notes”). All things necessary to make this Indenture a valid agreement of the Company, in accordance with its terms, have been done, and the
Company has done all things necessary to make the Notes (in the case of the Additional Notes, when duly authorized), when executed by the Company and authenticated and delivered by the Trustee and duly issued by the Company, the valid obligations of
the Company as hereinafter provided. 
 In addition, the Guarantors party hereto have duly authorized the execution and delivery
of this Indenture as guarantors of the Notes. All things necessary to make this Indenture a valid agreement of each Guarantor, in accordance with its terms, have been done, and each Guarantor has done all things necessary to make the Note
Guarantees, when the Notes are executed by the Company and authenticated and delivered by the Trustee and duly issued by the Company, the valid obligations of such Guarantor as hereinafter provided. 

This Indenture is subject to, and will be governed by, the provisions of the Trust Indenture Act that are required to be a part of and
govern indentures qualified under the Trust Indenture Act. 

 THIS INDENTURE WITNESSETH 

For and in consideration of the premises and the purchase of the Notes by the Holders thereof, the parties hereto covenant and agree, for
the equal and proportionate benefit of all Holders, as follows: 
 ARTICLE 1 

DEFINITIONS AND INCORPORATION BY REFERENCE 

Section 1.01. Definitions.  
 “Acquired Debt” means Debt of a Person (x) existing at the time the Person merges with or into or becomes a Restricted Subsidiary or (y) assumed in connection with the
acquisition of assets from such Person, in each case not Incurred in connection with, or in contemplation of, the Person merging with or into or becoming a Restricted Subsidiary or such acquisition of assets. 

“Additional Notes” means any Notes issued under this Indenture in addition to the Original Notes having the same terms
in all respects as the Original Notes except that interest will accrue on the Additional Notes from their date of issuance. 

“Affiliate” means, with respect to any Person, any other Person directly or indirectly controlling, controlled by, or
under direct or indirect common control with, such Person. For purposes of this definition, “control” (including, with correlative meanings, the terms “controlling,” “controlled by” and “under common control
with”) with respect to any Person, means the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of such Person, whether through the ownership of voting securities, by contract or
otherwise. 
 “Agent” means any Registrar, Paying Agent or Authenticating Agent. 

“Agent Member” means a member of, or a participant in, the Depositary. 

“Applicable Premium” means, with respect to any Notes on any Redemption Date, the greater of: 

(1) 1.0% of the principal amount of such Notes, and 

(2) the excess, if any, of (a) the present value at such Redemption Date of (i) the redemption price of such
Notes at October 15, 2017 (such redemption price being set forth in the table appearing above under “Optional Redemption”), plus (ii) all required remaining scheduled interest payments due on such Notes through
October 15, 2017, computed using a discount rate equal to the Treasury Rate as of such Redemption Date plus 50 basis points; over (b) the principal amount of such Notes. 

“Asset Sale” means any sale, lease, transfer or other disposition of any assets by the Company or any Restricted
Subsidiary, including by means of a 

  
 2 

 
merger, consolidation or similar transaction and including any sale or issuance of the Equity Interests (other than directors’ qualifying shares or to the extent required by applicable law)
of any Restricted Subsidiary (each of the above referred to as a “disposition”), provided that the following are not included in the definition of “Asset Sale”: 

(1) a disposition to the Company or a Restricted Subsidiary, including the sale or issuance by the Company or any
Restricted Subsidiary of any Equity Interests of any Restricted Subsidiary to the Company or any Restricted Subsidiary; 
 (2) the disposition by the Company or any Restricted Subsidiary in the ordinary course of business of (i) cash and cash management investments, including without limitation investments held pursuant
to Cash Management Practices, (ii) inventory and other assets acquired and held for resale in the ordinary course of business, (iii) damaged, surplus, worn out or obsolete assets, or (iv) rights granted to others pursuant to leases or
licenses; 
 (3) the sale or discount of accounts receivable arising in the ordinary course of business in
connection with the compromise or collection thereof or the conversion or exchange of accounts receivable for notes receivable; 
 (4) a transaction covered the provisions under Section 5.01 or any disposition constituting a Change of Control; 

(5) a Restricted Payment permitted under Section 4.07 or a Permitted Investment; 

(6) a Sale and Leaseback Transaction, provided that at least 75% of the consideration paid to the Company or the
Restricted Subsidiary for such Sale and Leaseback Transaction consists of cash received at closing, 
 (7) the
issuance of Disqualified or Preferred Stock pursuant to Section 4.06; 
 (8) leases, subleases, licenses or
sublicenses of property in the ordinary course of business and which do not materially interfere with the business of the Company or any Restricted Subsidiary; 
 (9) dispositions in the ordinary course of business consisting of the abandonment of intellectual property which, in the reasonable good faith determination of the Company, are not material to the conduct
of the business of the Company or any Restricted Subsidiary; 

  
 3 

 (10) dispositions of real property and related assets in the ordinary course
of business in connection with relocation activities for directors, officers, members of management, employees or consultants of the Company or any Restricted Subsidiary; 

(11) dispositions of tangible property in the ordinary course of business as part of a like-kind exchange under
Section 1031 of the Code; 
 (12) the creation of Permitted Liens and dispositions in connection with
Permitted Liens; 
 (13) the issuance of Preferred Stock by a Guarantor that is permitted by this Indenture;

 (14) the unwinding of obligations under Hedging Agreements; 

(15) any “fee in lieu” or other disposition of assets to any governmental authority or agency that continue in
use by the Company or any Restricted Subsidiary, so long as the Company or any Restricted Subsidiary may obtain title to such assets upon reasonable notice by paying a nominal fee; 

(16) any disposition arising from foreclosure, condemnation or similar action with respect to any property or other
assets, or exercise of termination rights under any lease, license, concession or other agreement; 
 (17) any
disposition of securities of an Unrestricted Subsidiaries and any disposition of a Permitted Investment (other than Equity Interests of any Restricted Subsidiary) made by the Company or any Restricted Subsidiary after the Issue Date, if such
Permitted Investment was (a) received in exchange for, or purchased out of the Net Cash Proceeds of the substantially concurrent sale (other than to a Subsidiary of the Company) of, Qualified Equity Interests of the Company or (b) received
in the form of, or was purchased from the proceeds of, a substantially concurrent contribution of common equity capital to the Company; provided that any such proceeds or contributions in clauses (a) or (b) shall be excluded from
clause (3) of Section 4.07(a); 
 (18) any dispositions of Securitization Assets (or a fractional
undivided interest therein) in a Securitization Financing permitted under this Indenture; or 
 (19) any
disposition in a transaction or series of related transactions of assets with a Fair Market Value of less than $25.0 million. 

  
 4 

 “Attributable Debt” means, in respect of a Sale and Leaseback Transaction
the present value, discounted at the interest rate implicit in the Sale and Leaseback Transaction, of the total obligations of the lessee for rental payments during the remaining term of the lease in the Sale and Leaseback Transaction. 

“Authenticating Agent” refers to a Person engaged to authenticate the Notes in the stead of the Trustee. 

“Average Life” means, as of the date of determination, with respect to any Debt or Preferred Stock, the quotient
obtained by dividing (i) the sum of the products of (x) the number of years (calculated to the nearest one-twelfth) from the date of determination to the dates of each successive scheduled principal payment of such Debt or redemption or
similar payment with respect to such Preferred Stock and (y) the respective amounts of such payments by (ii) the sum of all such payments. 
 “bankruptcy default” has the meaning assigned to such term in Section 6.01. 
 “Board of Directors” means the board of directors or comparable governing body of the Company, or any committee thereof duly authorized to act on its behalf. 

“Board Resolution” means a resolution duly adopted by the Board of Directors which is certified by the Secretary or an
Assistant Secretary of the Company and remains in full force and effect as of the date of its certification. 

“Business Day” means each day which is not a Saturday, a Sunday or a day on which commercial banking institutions are
not required to be open in the State of New York or place of payment. 
 “Capital Lease” means, with respect to
any Person, any lease of any property which, in conformity with GAAP, is required to be capitalized on the balance sheet of such Person. 
 “Capital Stock” means 
 (1) in the case of a corporation,
corporate stock; 
 (2) in the case of an association or business entity, any and all shares, interests, participations, rights
or other equivalents (however designated) of corporate stock; 

  
 5 

 (3) in the case of a partnership or limited liability company, partnership interests
(whether general or limited) or membership interests; and 
 (4) any other interest or participation that confers on a Person
the right to receive a share of the profits and losses of, or distributions of assets of, the issuing Person. 
 “Cash
Equivalents” means 
 (1) United States dollars, or money in other currencies received in the ordinary
course of business, 
 (2) U.S. Government Obligations or certificates representing an ownership interest in U.S.
Government Obligations with maturities not exceeding one year from the date of acquisition, 
 (3) securities
issued by any state of the United States or any political subdivision of any such state or any public instrumentality thereof having maturities of not more than 12 months from the date of acquisition thereof and, at the time of acquisition, having a
rating of at least “A-2” or “P-2” (or long-term ratings of at least “A3” or “A-”) from either S&P or Moody’s, or, with respect to municipal bonds, a rating of at least MIG 2 or VMIG 2 from
Moody’s (or the equivalent thereof), 
 (4) (i) demand deposits, (ii) time deposits and certificates of
deposit with maturities of one year or less from the date of acquisition, (iii) domestic and eurodollar certificates of bankers’ acceptances with maturities not exceeding one year from the date of acquisition, and (iv) overnight bank
deposits, in each case with any bank or trust company organized or licensed under the laws of the United States or any state thereof having capital, surplus and undivided profits in excess of $500.0 million whose short-term debt is rated
“A-2” or higher by S&P or “P-2” or higher by Moody’s, 
 (5) repurchase obligations
with a term of not more than thirty days for underlying securities of the type described in clauses (2) and (3) above entered into with any financial institution meeting the qualifications specified in clause (3) above, 

(6) commercial paper maturing not more than 12 months after the date of creation thereof and, at the time of acquisition,
having a rating of at least A-1 or P-1 from either S&P or Moody’s and commercial paper maturing not more than 90 days after the creation thereof and, at the time of acquisition, having a rating of at least A-2 or P-2 from either S&P or
Moody’s, 

  
 6 

 (7) money market funds at least 95% of the assets of which consist of
investments of the type described in clauses (1) through (6) above, 
 (8) fixed maturity securities
which are rated BBB- and above by S&P or Baa3 and above by Moody’s; provided that the aggregate amount of Investments by any Person in fixed maturity securities which are rated BBB+, BBB or BBB- by S&P or Baa1, Baa2 or Baa3 by
Moody’s shall not exceed 10% of the aggregate amount of Investments in fixed maturity securities by such Person, and 
 (9) in case of a Foreign Restricted Subsidiary, substantially similar investments, of comparable credit quality, denominated in the currency of any jurisdiction in which such Person conducts business.

 “Cash Management Practices” means the cash, Cash Equivalent and short-term investment management practices
of the Company and its Restricted Subsidiaries as approved by the Board of Directors or chief financial officer of the Company from time to time, including any Debt of the Company and its Restricted Subsidiaries having a maturity of 92 days or less
representing borrowings from any financial institution with which the Company and its Restricted Subsidiaries have a depository or other investment relationship in connection with such practices (or any Affiliate of such financial institution),
which borrowings may be secured by the cash, Cash Equivalents and other short-term investments purchased by the relevant Person with the proceeds of such borrowings. 
 “Certificated Note” means a Note in registered individual form without interest coupons. 
 “Change of Control” means: 
 (1) the merger or
consolidation of the Company with or into another Person or the merger of another Person with or into the Company or the merger of any Person with or into a Subsidiary of the Company if Capital Stock of the Company is issued in connection therewith,
or the sale of all or substantially all the assets of the Company to another Person, unless holders of a majority of the aggregate voting power of the Voting Stock of the Company, immediately prior to such transaction, hold securities of the
surviving or transferee Person that represent, immediately after such transaction, at least a majority of the aggregate voting power of the Voting Stock of the surviving Person; 

  
 7 

 (2) any “person” or “group” (as such terms are used for
purposes of Sections 13(d) and 14(d) of the Exchange Act) is or becomes the “beneficial owner” (as such term is used in Rules 13d-3 under the Exchange Act), directly or indirectly, of more than 50% of the total voting power of the Voting
Stock of the Company; 
 (3) during any period of twelve consecutive months, individuals who on the Issue Date
constituted the Board of Directors, together with any new directors whose election by the Board of Directors or whose nomination for election by the stockholders of the Company was approved by a majority of the directors then still in office who
were either directors or whose election or nomination for election was previously so approved, cease for any reason to constitute a majority of the Board of Directors then in office; or 

(4) the adoption of a plan relating to the liquidation or dissolution of the Company. 

“Change of Control Offer” has the meaning assigned to such term in Section 4.12. 

“Code” means the Internal Revenue Code of 1986. 

“Common Stock” means Capital Stock not entitled to any preference on dividends or distributions, upon liquidation or
otherwise. 
 “Company” means the party named as such in the first paragraph of this Indenture or any successor
obligor under this Indenture and the Notes pursuant to Section 5.01. 
 “Consolidated Net Income” means,
as of any date for the applicable period ending on such date with respect to any Person and its Restricted Subsidiaries on a consolidated basis, net income (excluding, without duplication, (i) extraordinary items and (ii) any amounts
attributable to Investments in any Joint Venture to the extent that (A) such amounts were not earned by such Joint Venture during the applicable period, (B) there exists any legal or contractual encumbrance or restriction on the ability of
such Joint Venture to pay dividends or make any other distributions in cash on the Equity Interests of such Joint Venture held by such Person and its Subsidiaries, but only to the extent so encumbered or restricted or (C) such Person does not
have the right to receive or the ability to cause to be distributed its pro rata share of all earnings of such Joint Venture) as determined in accordance with GAAP; provided that Consolidated Net Income for any such period shall not include:

 (1) the net income (but not loss) of any non-Guarantor Restricted Subsidiary to the extent that the
declaration or payment of dividends or similar distributions by such non-Guarantor Restricted Subsidiary of such net income would not have been permitted for the relevant period by charter or by any agreement, instrument, judgment, decree, order,
statue, rule or governmental regulation applicable to such non-Guarantor Restricted Subsidiary; 

  
 8 

 (2) the cumulative effect of a change in accounting principles during such
period; 
 (3) any net after-tax income or loss (less all fees and expenses or charges relating thereto)
attributable to the early extinguishment of Debt; 
 (4) any non-cash charges resulting from mark-to-market
accounting relating to Equity Interests; and 
 (5) any non-cash impairment charges resulting from the
application of Statement of Financial Accounting Standards No. 142 – Goodwill and Other Intangibles and No. 144 – Accounting for the Impairment or Disposal of Long-Lived Assets and the amortization of intangibles including
arising pursuant to Statement of Financial Accounting Standards No. 141 – Business Combinations. 
 “Corporate
Trust Office” means the office of the Trustee at which the corporate trust business of the Trustee is principally administered, which at the date of this Indenture is located at 1349 W. Peachtree Street, Suite 1050, Atlanta, GA 30309 and,
for purposes of Section 4.02, shall mean U.S. Bank National Association, 100 Wall Street, New York, New York 10005 Attention Corporate Trust Services. 
 “Credit Agreement” means the amended and restated credit agreement dated August 18, 2011 (as amended, amended and restated, supplemented or otherwise modified from time to time)
among the Company, the lenders party thereto and JPMorgan Chase Bank, N.A., as Administrative Agent, Swing Line Lender and L/C Issuer, together with any related documents (including any security documents and guarantee agreements), any Notes and
letters of credit issued pursuant thereto and any guarantee and collateral agreements, mortgages or letter of credit applications and other guarantees, pledge agreements, security agreements and collateral documents, in each case as the same may be
amended, 

  
 9 

 
supplemented, waived or otherwise modified from time to time, or refunded, refinanced, restructured, replaced, renewed, repaid, increased or extended from time to time (whether in whole or in
part, whether with the original banks, lenders or institutions or other banks, lenders or institutions or otherwise, and whether provided under one or more other credit agreements, indentures (including this Indenture), financing agreements or
otherwise). Without limiting the generality of the foregoing, the term “Credit Agreement” shall include any agreement (i) changing the maturity of any Debt Incurred thereunder or contemplated thereby, (ii) adding Subsidiaries as
additional borrowers or guarantors thereunder, (iii) increasing the amount of Debt Incurred thereunder or available to be borrowed thereunder or (iv) otherwise altering the terms and conditions thereof. 

“Credit Facilities” means one or more of (i) the Credit Agreement, and (ii) any other facilities or
arrangements designated by the Company, in each case with one or more banks or other lenders or institutions providing for one or more revolving credit loans, term loans, any Securitization Financing, receivables financings (including without
limitation through the sale of receivables to such institutions or to special purpose entities formed to borrow from such institutions against such receivables or the creation of any Liens in respect of such receivables in favor of such
institutions), letters of credit or other Debt, in each case, including all agreements, instruments and documents executed and delivered pursuant to or in connection with any of the foregoing, including but not limited to any Notes and letters of
credit issued pursuant thereto and any guarantee and collateral agreement, mortgages or letter of credit applications and other guarantees, pledge agreements, security agreements and collateral documents, in each case as the same may be amended,
supplemented, waived or otherwise modified from time to time, or refunded, refinanced, restructured, replaced, renewed, repaid, increased or extended from time to time (whether in whole or in part, whether with the original banks, lenders or
institutions or other banks, lenders or institutions or otherwise, and whether provided under any original Credit Facility or one or more other credit agreements, indentures (including this Indenture), financing agreements or other Credit Facilities
or otherwise). Without limiting the generality of the foregoing, the term “Credit Facility” shall include any agreement (i) changing the maturity of any Debt Incurred thereunder or contemplated thereby, (ii) adding Subsidiaries
as additional borrowers or guarantors thereunder, (iii) increasing the amount of Debt Incurred thereunder or available to be borrowed thereunder or (iv) otherwise altering the terms and conditions thereof. 

“Debt” means, with respect to any Person at any date of determination, without duplication, 

(1) all indebtedness of such Person for borrowed money; 

  
 10 

 (2) all obligations of such Person evidenced by bonds, debentures, notes or
other similar instruments; 
 (3) all obligations of such Person in respect of letters of credit, bankers’
acceptances or other similar instruments , excluding obligations in respect of trade letters of credit or bankers’ acceptances issued in respect of trade payables to the extent not drawn upon or presented, or, if drawn upon or presented, the
resulting obligation of the Person is paid within 20 Business Days; 
 (4) all obligations of such Person to pay
the deferred and unpaid purchase price of property or services which are recorded as liabilities under GAAP, excluding trade payables arising in the ordinary course of business; 

(5) all obligations of such Person as lessee under Capital Leases; 

(6) indebtedness or similar financing obligations of such Person under any Securitization Financing; 

(7) the principal component of all Debt of other Persons Guaranteed by such Person to the extent so Guaranteed by such
Person; 
 (8) all Debt of other Persons secured by a Lien on any asset of such Person, whether or not such Debt
is assumed by such Person; and 
 (9) all obligations of such Person under Hedging Agreements. 

The amount of Debt of any Person will be deemed to be: 
 (A) with respect to contingent obligations, the maximum liability upon the occurrence of the contingency giving rise to the obligation; 

(B) with respect to Debt secured by a Lien on an asset of such Person but not otherwise the obligation, contingent or
otherwise, of such Person, the lesser of (x) the fair market value of such asset on the date the Lien attached and (y) the amount of such Debt; 
 (C) with respect to any Debt issued with original issue discount, the face amount of such Debt less the remaining unamortized portion of the original issue discount of such Debt; 

(D) with respect to any Hedging Agreement, the net amount payable if such Hedging Agreement terminated at that time due to
default by such Person; and 

  
 11 

 (E) otherwise, the outstanding principal amount thereof together with any
interest thereon that is more than 30 days past due. 
 The accrual of interest, accrual of dividends, the accretion of accreted value, the
payment of interest in the form of additional Debt, and the payment of dividends in the form of additional shares of Preferred Stock or Disqualified Stock will not be deemed to be an Incurrence of Debt for purposes of Section 4.06. 

“Default” means any event that is, or after notice or passage of time or both would be, an Event of Default. 

“Depositary” means the depositary of each Global Note, which will initially be DTC. 

“Designated Non-cash Consideration” means the Fair Market Value of non-cash consideration received by the Company or any
of its Restricted Subsidiaries in connection with an Asset Sale that is so designated as Designated Non-cash Consideration pursuant to an Officer’s Certificate, setting forth the basis of such valuation, less the amount of Cash Equivalents
received in connection with a subsequent sale of or collection on such Designated Non-cash Consideration. 

“Disqualified Equity Interests” means Equity Interests that by their terms or upon the happening of any event are

 (1) required to be redeemed or redeemable at the option of the holder prior to the Stated Maturity of the
Notes for consideration other than Qualified Equity Interests, or 
 (2) convertible at the option of the holder
into Disqualified Equity Interests or exchangeable for Debt (excluding Capital Stock which is convertible or exchangeable solely at the option of the Company or a Restricted Subsidiary); 
 provided that Equity Interests will not constitute Disqualified Equity Interests solely because of provisions giving holders thereof the right to require repurchase or redemption upon an
“asset sale” or “change of control” occurring prior to the Stated Maturity of the Notes if those provisions 
 (A) are no more favorable to the holders than Section 4.12 and Section 4.13, and 
 (B) specifically state that repurchase or redemption pursuant thereto will not be required prior to the Company’s repurchase of the Notes as required by this Indenture. 

  
 12 

 “Disqualified Stock” means Capital Stock constituting Disqualified Equity
Interests. 
 “DTC” means The Depository Trust Company, a New York corporation, and its successors. 

“DTC Legend” means the legend set forth in Exhibit C. 

“Domestic Restricted Subsidiary” means any Restricted Subsidiary formed under the laws of the United States of America,
any state thereof or the District of Columbia. 
 “EBITDA” means, for any period, the sum of: 

(1) Consolidated Net Income, plus 
 (2) Fixed Charges, to the extent deducted in calculating Consolidated Net Income, including letter of credit fees, plus 

(3) to the extent deducted in calculating Consolidated Net Income and as determined on a consolidated basis for the
Company and its Restricted Subsidiaries in conformity with GAAP: 
 (A) income, franchise and similar taxes,
other than income taxes or income tax adjustments (whether positive or negative) attributable to Asset Sales, extinguishment of Debt or extraordinary gains or losses; and 

(B) depreciation, amortization (including amortization of financing costs, intangibles, goodwill and organization costs)
and all other non-cash items reducing Consolidated Net Income (not including non-cash charges in a period which reflect cash expenses paid or to be paid in another period), less all non-cash items increasing Consolidated Net Income; 

provided that, with respect to any Restricted Subsidiary, the items set forth in (A) and (B) above will be added only to
the extent and in the same proportion that the relevant Restricted Subsidiary’s net income was included in calculating Consolidated Net Income, plus 
 (4) net after-tax losses attributable to any sale, lease, transfer or other disposition of assets outside the ordinary course of business, to the extent reducing Consolidated Net Income, plus 

  
 13 

 (5) non-recurring charges so long as such charges do not exceed $20.0
million during any fiscal year, plus 
 (6) to the extent covered by insurance, expenses with respect to
liability or casualty events or business interruption, plus 
 (7) to the extent actually reimbursed, expenses
Incurred to the extent covered by indemnification provisions in any agreement in connection with an Investment, plus 
 (8) cash expenses Incurred in connection with any Investment permitted under Section 4.07, the issuance and sale of Qualified Equity Interests or the issuance or refinancing of Debt (in each case,
whether or not consummated), minus 
 (9) an amount which, in the determination of Consolidated Net Income, has
been included for (i) (A) non-cash gains (other than with respect to cash actually received) and (B) all extraordinary gains, and (ii) any gains realized upon any sale, lease, transfer or other disposition of assets or property
outside of the ordinary course of business, plus/minus 
 (10) unrealized losses/gains in respect of Swap
Contracts. 
 “Equity Interests” means all Capital Stock and all warrants, profits, interests, equity
appreciation rights or options with respect to, or other rights to purchase, Capital Stock, but excluding Debt convertible into equity. 
 “Equity Offering” means (i) an underwritten primary public offering, after the Issue Date, of Qualified Stock of the Company pursuant to an effective registration statement under the
Securities Act other than an issuance registered on Form S-4 or S-8 or any successor thereto or any issuance pursuant to employee benefit plans or otherwise in compensation to officers, directors or employees or (ii) a sale of Capital Stock of
any Person proceeds of which are contributed to the equity capital of the Company or any of Restricted Subsidiary. 

“Event of Default” has the meaning assigned to such term in Section 6.01. 

“Excess Proceeds” has the meaning assigned to such term in Section 4.13. 

“Exchange Act” means the Securities Exchange Act of 1934. 

“Exchange Companies” means Investment Property Exchange Services, Inc. and any other Restricted Subsidiaries that are
engaged in like-kind-exchange operations. 

  
 14 

 “Fair Market Value” means, with respect to any asset or property, the price
which could be negotiated in an arm’s length, free market transaction, for cash, between a willing and able seller and a willing and able buyer, neither of whom is under undue pressure or compulsion to complete the transaction (as determined in
good faith by the Company or, if specified herein, its Board of Directors, and in any such case, which determination shall be conclusive). 
 “Fixed Charge Coverage Ratio” means, on any date (the “transaction date”), the ratio of 

(x) the aggregate amount of EBITDA for the four fiscal quarters immediately prior to the transaction date for which
internal financial statements are available (the “reference period”) to 
 (y) the aggregate
Fixed Charges during such reference period. 
 In making the foregoing calculation the following adjustments shall be made:

 (1) Incurrence of Debt: If the Company or any Restricted Subsidiary has Incurred any Debt since the
beginning of the reference period that remains outstanding on the transaction date or if the transaction giving rise to the need to calculate the Fixed Charge Coverage Ratio is an Incurrence of Debt, EBITDA and Interest Expense for the reference
period will be calculated after giving effect on a pro forma basis to such Debt as if such Debt had been Incurred on the first day of the reference period (except that in making such computation, the amount of Debt under any revolving credit
facility outstanding on the date of such calculation will be deemed to be (i) the average daily balance of such Debt during such four fiscal quarters or such shorter period for which such facility was outstanding or (ii) if such facility
was created after the end of such four fiscal quarters, the average daily balance of such Debt during the period from the date of creation of such facility to the date of such calculation) and the discharge of any other Debt repaid, repurchased,
defeased or otherwise discharged with the proceeds of such new Debt as if such discharge had occurred on the first day of the reference period; or 
 (2) Discharge of Debt. If the Company or any Restricted Subsidiary has repaid, repurchased, defeased or otherwise discharged any Debt since the beginning of the period that is no longer outstanding
on the transaction date or if the transaction giving rise to the need to calculate the Fixed Charge Coverage Ratio involves a discharge of Debt (in each case other than Debt Incurred under any revolving credit facility unless such Debt has been
permanently repaid and the related commitment 

  
 15 

 
terminated), EBITDA and Interest Expense for the reference period will be calculated after giving effect on a pro forma basis to such repayment, repurchase, defeasance or other discharge of such
Debt, including with the proceeds of such new Debt, as if such discharge had occurred on the first day of the reference period; 
 (3) Sales. If since the beginning of the reference period the Company or any Restricted Subsidiary will have made any Asset Sale or disposed of any company, division, operating unit, segment,
business, group of related assets or line of business or if the transaction giving rise to the need to calculate the Fixed Charge Coverage Ratio is such an Asset Sale: 

(a) the EBITDA for the reference period will be reduced by an amount equal to the EBITDA (if positive) directly
attributable to the assets which are the subject of such disposition for the reference period or increased by an amount equal to the EBITDA (if negative) directly attributable thereto for the reference period; and 

(b) Interest Expense for the reference period will be reduced by an amount equal to the Interest Expense directly
attributable to any Debt of the Company or any Restricted Subsidiary repaid, repurchased, defeased or otherwise discharged (including, but not limited to, through the assumption of such Debt by another Person if the Company and its Restricted
Subsidiaries are no longer liable for such Debt after the assumption thereof) with respect to the Company and its continuing Restricted Subsidiaries in connection with such disposition for the reference period (or, if the Capital Stock of any
Restricted Subsidiary is sold, the Interest Expense for the reference period directly attributable to the Debt of such Restricted Subsidiary to the extent the Company and its continuing Restricted Subsidiaries are no longer liable for such Debt
after such sale); 
 (4) Purchases. If since the beginning of the reference period the Company or any
Restricted Subsidiary (by merger or otherwise) will have made an Investment in any Restricted Subsidiary (or any Person which becomes a Restricted Subsidiary or is merged with or into the Company) or an acquisition of assets, including any
acquisition of assets occurring in connection with a transaction causing a calculation to be made hereunder, which constitutes all or substantially all of a company, division, operating unit, segment, business, group of related assets or line of
business, EBITDA and Interest Expense for the reference period will be calculated 

  
 16 

 
after giving pro forma effect thereto (including the Incurrence of any Debt) as if such Investment or acquisition occurred on the first day of the reference period; and 

(5) Adjustments for Acquired Person. If since the beginning of the reference period any Person (that subsequently
became a Restricted Subsidiary or was merged with or into the Company or any Restricted Subsidiary since the beginning of the reference period) will have Incurred any Debt or discharged any Debt, made any Asset Sale or any Investment or acquisition
of assets that would have required an adjustment pursuant to clause (3) or (4) above if made by the Company or a Restricted Subsidiary during the reference period, EBITDA and Interest Expense for the reference period will be calculated
after giving pro forma effect thereto as if such transaction occurred on the first day of the reference period. 

For purposes of this definition, whenever pro forma effect is to be given to any calculation under this definition, the
pro forma calculations will be determined in good faith by a responsible financial or accounting officer of the Company and shall include, with respect to any period in the case of sales, Investments or acquisitions referred to above, the net
reduction in costs that have been realized or are reasonably anticipated to be realized in good faith with respect to such sale, Investment or acquisition within twelve months of the date thereof and that are reasonable and factually supportable, as
if all such reductions in costs had been effected as of the beginning of such period, decreased by any incremental expenses incurred or to be incurred during such four-quarter period in order to achieve such reduction in costs, as set forth in an
Officer’s Certificate delivered to the Trustee that outlines the specific actions taken or to be taken and the net reduction in costs achieved or to be achieved from each such action and that certifies that such cost reductions meet the
criteria set forth in this sentence. If any Debt bears a floating rate of interest and is being given pro forma effect, the interest expense on such Debt will be calculated as if the rate in effect on the transaction date had been the applicable
rate for the entire reference period (taking into account any Hedging Agreement applicable to such Debt if such Interest Rate Agreement has a remaining term in excess of 12 months). If any Debt that is being given pro forma effect bears an interest
rate at the option of the Company or any Restricted Subsidiary, the interest rate shall be calculated by applying such optional rate chosen by the Company or such Restricted Subsidiary. 

“Fixed Charges” means, for any period, the sum (without duplication) of 

(1) Interest Expense for such period; and 

  
 17 

 (2) the product of 

(x) cash and non-cash dividends paid, declared, accrued or accumulated on any Disqualified Stock or Preferred Stock of the
Company or a Restricted Subsidiary, except for dividends payable in the Company’s Qualified Stock or paid to the Company or to a Restricted Subsidiary, and 
 (y) a fraction (expressed as a decimal), the numerator of which is one and the denominator of which is one minus the sum of the currently effective combined Federal, state, local and foreign tax rate
applicable to the Company and its Restricted Subsidiaries. 
 “Foreign Restricted Subsidiary” means any
Restricted Subsidiary that is not a Domestic Restricted Subsidiary. 
 “GAAP” means generally accepted
accounting principles in the United States of America as in effect as of the Issue Date. 
 “Global Note” means
a Note in registered global form without interest coupons. 
 “Guarantee” means any obligation, contingent or
otherwise, of any Person directly or indirectly guaranteeing any Debt or other obligation of any other Person and, without limiting the generality of the foregoing, any obligation, direct or indirect, contingent or otherwise, of such Person
(i) to purchase or pay (or advance or supply funds for the purchase or payment of) such Debt or other obligation of such other Person (whether arising by virtue of partnership arrangements, or by agreement to keep-well, to purchase assets,
goods, securities or services, to take-or-pay, or to maintain financial statement conditions or otherwise) or (ii) entered into for purposes of assuring in any other manner the obligee of such Debt or other obligation of the payment thereof or
to protect such obligee against loss in respect thereof, in whole or in part; provided that the term “Guarantee” does not include endorsements for collection or deposit in the ordinary course of business or customary and reasonable
indemnity obligations in effect on the Issue Date or entered into in connection with any acquisition of assets or any Asset Sale permitted by this Indenture. The term “Guarantee” used as a verb has a corresponding meaning. 

“Guarantor” means (i) each Domestic Restricted Subsidiary of the Company that Guarantees Debt under the Credit
Agreement on the Issue Date and (ii) each Domestic Restricted Subsidiary that executes a supplemental indenture in the form of Exhibit B to this Indenture providing for the guaranty of the payment of the Notes, or any successor obligor under
its Note Guaranty pursuant to Section 5.02, in each case unless and until such Guarantor is released from its Note Guaranty pursuant to this Indenture. 

  
 18 

 “Hedging Agreement” means (i) any interest rate swap agreement,
interest rate cap agreement or other agreement designed to protect against fluctuations in interest rates, (ii) any foreign exchange forward contract, currency swap agreement or other agreement designed to protect against fluctuations in
foreign exchange rates, or (iii) any Swap Contract. 
 “Holder” or “Noteholder” means the
registered holder of any Note. 
 “Incur” means, with respect to any Debt or Capital Stock, to incur, create,
issue, assume or Guarantee such Debt or Capital Stock. If any Person becomes a Restricted Subsidiary on any date after the date of this Indenture (including by redesignation of an Unrestricted Subsidiary or failure of an Unrestricted Subsidiary to
meet the qualifications necessary to remain an Unrestricted Subsidiary), the Debt and Capital Stock of such Person outstanding on such date will be deemed to have been Incurred by such Person on such date for purposes of Section 4.06, but will
not be considered the sale or issuance of Equity Interests for purposes of Section 4.13. 
 “Indenture”
means this indenture, as amended or supplemented from time to time. 
 “Independent Financial Advisor” means an
accounting, appraisal, investment banking firm or consultant to Persons of nationally recognized standing that is, in the good faith judgment of the Company, qualified to perform the task for which it has been engaged. 

“interest”, in respect of the Notes, unless the context otherwise requires, refers to interest. 

“Interest Expense” means, for any period, the consolidated interest expense of the Company and its Restricted
Subsidiaries, plus, to the extent not included in such consolidated interest expense, and to the extent Incurred, accrued or payable by the Company or its Restricted Subsidiaries, without duplication, (i) interest expense attributable to Sale
and Leaseback Transactions, (ii) amortization of debt discount costs but excluding amortization or write-off of deferred financing charges, (iii) capitalized interest (but excluding interest accruing with respect to tax liabilities
(whether or not contingent)), (iv) non-cash interest expense, (v) commissions, discounts and other fees and charges owed with respect to letters of credit and bankers’ acceptance financing, (vi) net costs associated with Hedging
Agreements, and (vii) any of the above expenses with respect to Debt of another Person Guaranteed by the Company or any of its 

  
 19 

 
Restricted Subsidiaries, as determined on a consolidated basis and in accordance with GAAP; provided that, notwithstanding the foregoing, Interest Expense shall not include (i) annual
agency fees paid to the administrative agent under the Credit Agreement and (ii) fees and expenses associated with any Permitted Investment, issuance of Equity Interests or issuance of Debt (whether or not consummated), including the Notes.

 “Interest Payment Date” means each April 15 and October 15, commencing April 15, 2013.

 “Investment” means 
 (1) any direct or indirect advance, loan or other extension of credit to another Person, 
 (2) any capital contribution to another Person, by means of any transfer of cash or other property or in any other form, 

(3) any purchase or acquisition of Equity Interests, bonds, notes or other Debt, or other instruments or securities issued
by another Person, including the receipt of any of the above as consideration for the disposition of assets or rendering of services, or 
 (4) any Guarantee of any obligation of another Person. 
 If the Company or any
Restricted Subsidiary (x) sells or otherwise disposes of any Equity Interests of any direct or indirect Restricted Subsidiary so that, after giving effect to that sale or disposition, such Person is no longer a Subsidiary of the Company, or
(y) designates any Restricted Subsidiary as an Unrestricted Subsidiary in accordance with Section 4.15, all remaining Investments of the Company and the Restricted Subsidiaries in such Person shall be deemed to have been made at such time.
For all purposes of this Indenture, the amount of any Investment shall be the amount actually invested on the date of such Investment, without any adjustment for subsequent increases or decreases in the value of such Investment. 

“Investment Grade Rating” means BBB- or higher by S&P or Baa3 or higher by Moody’s, or the equivalent of such
ratings by S&P or Moody’s, or of another Rating Agency. 
 “Issue Date” means the date on which the
Original Notes are originally issued under this Indenture. 
 “Joint Venture” means (a) any Person which
would constitute an “equity method investee” of the Company or any of its Subsidiaries, (b) any other Person 

  
 20 

 
designated by the Company in writing to the Trustee (which designation shall be irrevocable) as a “Joint Venture” for purposes of this Indenture and at least 50% but less than 100% of
whose Equity Interests are directly owned by the Company or any of its Subsidiaries, and (c) any Person in whom the Company or any of its Subsidiaries beneficially owns any Equity Interest that is not a Subsidiary. 

“Lien” means any mortgage, pledge, security interest, encumbrance, lien or charge of any kind (including any conditional
sale or other title retention agreement or Capital Lease). 
 “Material Subsidiary” means each Restricted
Subsidiary other than Restricted Subsidiaries that, as of any date of determination, individually or collectively, for the four fiscal quarter period ended most recently prior to such date of determination did not generate more than 10% of the
EBITDA of the Company and its Restricted Subsidiaries and, at the date of determination, did not have assets constituting more than 5% of the Total Assets of the Company and its Restricted Subsidiaries on a consolidated basis. 

“Moody’s” means Moody’s Investors Service, Inc. and its successors. 

“Net Cash Proceeds” means, with respect to any Asset Sale, the proceeds of such Asset Sale in the form of cash
(including (i) payments in respect of deferred payment obligations to the extent corresponding to principal, but not interest, when received in the form of cash, and (ii) proceeds from the conversion of other consideration received when
converted to cash), net of 
 (1) brokerage commissions and other fees and expenses related to such Asset Sale,
including fees and expenses of counsel, accountants, underwriters and investment bankers; 
 (2) provisions for
taxes as a result of such Asset Sale without regard to the consolidated results of operations of the Company and its Restricted Subsidiaries; 
 (3) payments required to be made to holders of minority interests in Restricted Subsidiaries as a result of such Asset Sale or to repay Debt outstanding at the time of such Asset Sale that is secured by a
Lien on the property or assets sold; and 
 (4) appropriate amounts to be provided as a reserve against
liabilities associated with such Asset Sale, including pension and other post-employment benefit liabilities, liabilities related to environmental matters and indemnification obligations associated with such Asset Sale, with any subsequent reduction
of the reserve other than by payments made and charged against the reserved amount to be deemed a receipt of cash. 

  
 21 

 “Non-Recourse Debt” means Debt as to which (i) neither the Company nor
any Restricted Subsidiary provides any Guarantee and as to which the lenders have been notified in writing that they will not have any recourse to the stock or assets of the Company or any Restricted Subsidiary and (ii) no default thereunder
would, as such, constitute a default under any Debt of the Company or any Restricted Subsidiary. 
 “Notes” has
the meaning assigned to such term in the Recitals. 
 “Note Guaranty” means the guaranty of the Notes by a
Guarantor pursuant to this Indenture. 
 “Obligations” means, with respect to any Debt, all obligations
(whether in existence on the Issue Date or arising afterwards, absolute or contingent, direct or indirect) for or in respect of principal (when due, upon acceleration, upon redemption, upon mandatory repayment or repurchase pursuant to a mandatory
offer to purchase, or otherwise), premium, interest, penalties, fees and other amounts payable and liabilities with respect to such Debt pursuant to its terms, including all interest accrued or accruing after the commencement of any bankruptcy,
insolvency or reorganization or similar case or proceeding at the contract rate (including, without limitation, any contract rate applicable upon default) specified in the relevant documentation, whether or not the claim for such interest is allowed
as a claim in such case or proceeding. 
 “Offer to Purchase” has the meaning assigned to such term in
Section 3.04. 
 “Officer” means the chief executive officer, chief financial officer, the treasurer or
principal accounting officer of the Company. 
 “Officers’ Certificate” means a certificate signed in the
name of the Company by any one Officer of the Company. 
 “Opinion of Counsel” means a written opinion signed
by legal counsel, who may be an employee of or counsel to the Company or any Guarantor, satisfactory to the Trustee. 

“Original Notes” means the Notes issued on the date hereof in an initial aggregate principal amount of $600,000,000.

  
 22 

 “Paying Agent” refers to a Person engaged to perform the obligations of the
Trustee in respect of payments made or funds held hereunder in respect of the Notes. 
 “Permitted Bank Debt”
has the meaning assigned to such term in Section 4.06. 
 “Permitted Debt” has the meaning assigned to
such term in Section 4.06. 
 “Permitted Business” means any of the businesses in which the Company and
its Restricted Subsidiaries are engaged on the Issue Date, and any business reasonably related, incidental, complementary or ancillary thereto or extension, expansions or developments thereof; and any other business approved from time to time by the
Board of Directors. 
 “Permitted Investments” means: 

(1) any Investment in the Company or in a Restricted Subsidiary of the Company; 

(2) any Investment in cash or Cash Equivalents; 

(3) any Investment by the Company or any Subsidiary of the Company in a Person, if as a result of such Investment,

 (A) such Person becomes a Restricted Subsidiary of the Company, provided that such Person is primarily engaged
in a Permitted Business, or 
 (B) such Person is merged or consolidated with or into, or transfers or conveys
substantially all its assets to, or is liquidated into, the Company or a Restricted Subsidiary, provided that such Person is primarily engaged in a Permitted Business; 

(4) Investments received as non-cash consideration in an Asset Sale made pursuant to and in compliance with
Section 4.13 or in any other disposition of assets not constituting an Asset Sale pursuant to the exceptions in the definition thereof (except pursuant to clause (5) in such definition); 

(5) any Investment acquired solely in exchange for Qualified Stock of the Company; 

(6) Hedging Agreements otherwise permitted under this Indenture; 

  
 23 

 (7) (i) Investments consisting of extensions of credit in the nature of
accounts receivable or notes receivable arising from the grant of trade credit in the ordinary course of business, and Investments received in satisfaction or partial satisfaction thereof from financially troubled account debtors and other credits
to suppliers in the ordinary course of business, (ii) endorsements of negotiable instruments and documents for collection or deposit in the ordinary course of business, and (iii) Investments (including debt obligations and Equity Interests)
received in connection with the bankruptcy or reorganization of any Person and in settlement of obligations of, or other disputes with, any Person arising in the ordinary course of business and upon foreclosure with respect to any secured Investment
or other transfer of title with respect to any secured Investment; 
 (8) payroll, travel and other loans or
advances to, or Guarantees issued to support the obligations of, directors, officers, members of management, employees and consultants; in each case in the ordinary course of business, not in excess of $10.0 million outstanding at any time;

 (9) extensions of credit to customers and suppliers in the ordinary course of business; 

(10) Investments existing or contemplated on the Issue Date and any modification, replacement, renewal or extension
thereof; provided that the amount of the original Investment is not increased except as otherwise permitted under Section 4.07; 
 (11) Guarantees by the Company or any Restricted Subsidiary of leases (other than a Capital Lease) entered into in the ordinary course of business; 

(12) Investments in any Notes (including any Additional Notes) issued under this Indenture; 

(13) Guarantees by the Company or any of its Restricted Subsidiaries of Debt otherwise permitted to be Incurred by the
Company or any of its Restricted Subsidiaries under this Indenture; 
 (14) receivables owing to the Company or
any Restricted Subsidiary, if created or acquired in the ordinary course of business; 
 (15) any pledges or
deposits permitted under the definition of “Permitted Liens”; 

  
 24 

 (16) any transaction to the extent it constitutes an Investment that is
permitted by and made in accordance with the provisions of clauses (4), (6), (7) or (8) of Section 4.14(b); 
 (17) any Investment that replaces, refinances or refunds an existing Investment (other than an Investment under clauses (1), (2), (3), (7), (8), (9), (12), (14), or (15) above or (18), (19) or
(20) below); provided that the new Investment is in an amount that does not exceed the amount replaced, refinanced or refunded, and is made in the same Person as the Investment replaced, refinanced or refunded; 

(18) in addition to Investments listed above, Investments in an aggregate amount, taken together with all other
Investments made in reliance on this clause, not to exceed $175.0 million (net of, with respect to the Investment in any particular Person made pursuant to this clause, the cash return thereon received after the Issue Date as a result of any sale
for cash, repayment, redemption, liquidating distribution or other cash realization (not included in Consolidated Net Income) not to exceed the amount of such Investments in such Person made after the Issue Date in reliance on this clause);

 (19) any Investment in a Securitization Vehicle or any Investment by a Securitization Vehicle in any other
Person in connection with a Securitization Financing permitted by this Indenture, including Investments of funds held in accounts permitted or required by the arrangements governing the Securitization Financing or any related Debt; provided
that any Investment in a Securitization Vehicle is in the form of a purchase money note, contribution of additional Securitization Assets or equity investments; and 

(20) Investments of funds held by the Exchange Companies for the benefit of their customers in connection with their
like-kind-exchange operations. 
 If any Investment pursuant to clause (18) above is made in any Person that is not a
Restricted Subsidiary and such Person thereafter becomes a Restricted Subsidiary, such Investment shall thereafter be deemed to have been made pursuant to clause (1) above and not clause (18) above for so long as such Person continues to
be a Restricted Subsidiary. 
 “Permitted Liens” means 

(1) Liens existing on the Issue Date (other than Liens referred to in clause (3) below) and any modifications,
replacements, refinancings, 

  
 25 

 
renewals or extensions thereof; provided that (i) the Lien does not extend to any additional property other than (a) after-acquired property that is affixed or incorporated into
the property covered by such Lien or financed by Debt permitted under Section 4.06, and (b) improvements, accessions, dividends, distributions, proceeds and products thereof and (ii) the modification, replacement, renewal, extension
or refinancing of the Obligations secured or benefited by such Liens (if such Obligations constitute Debt) is permitted under Section 4.06; 
 (2) Liens securing the Notes (other than any Additional Notes) or any Note Guaranties; 
 (3) Liens securing Obligations under or with respect to Permitted Bank Debt and Obligations with respect thereto and securing any Guarantees of such Obligations; 

(4) (i) Liens Incurred in the ordinary course of business in connection with workers’ compensation, unemployment
insurance and other social security legislation and (ii) Liens Incurred in the ordinary course of business securing insurance premiums or reimbursement obligations under insurance policies; 

(5) statutory Liens of landlords, carriers, warehousemen, mechanics, materialmen, repairmen, construction contractors or
other like Liens arising in the ordinary course of business which secure amounts not overdue for a period of more than 60 days or, if more than 60 days overdue, (i) no action has been taken to enforce such Lien, (ii) such Lien is being
contested in good faith and by appropriate proceedings diligently conducted, if adequate reserves with respect thereto are maintained on the books of the applicable Person in accordance with GAAP or (iii) the nonpayment of which in the
aggregate would not reasonably be expected to have a material adverse effect on the Company and its Restricted Subsidiaries taken as a whole; 
 (6) Liens for taxes, assessments or governmental charges which (x) are not overdue for a period of more than 60 days, (y) if more than 60 days overdue, which are being contested in good faith
and by appropriate proceedings diligently conducted, if adequate reserves with respect thereto are maintained on the books of the applicable Person in accordance with GAAP or (z) the nonpayment of which in the aggregate would not reasonably be
expected to have a material adverse effect on the Company and its Restricted Subsidiaries taken as a whole; 

  
 26 

 (7) Liens securing reimbursement obligations with respect to letters of
credit that encumber documents and other property relating to such letters of credit and the proceeds thereof; 

(8) Liens to secure the performance of bids, trade contracts, governmental contracts and leases (other than Debt for
borrowed money), statutory obligations, surety, stay, customs and appeal bonds, performance bonds, performance and completion guarantees and other obligations of a like nature (including those to secure health, safety and environmental obligations)
Incurred in the ordinary course of business; 
 (9) survey exceptions, encumbrances, easements or reservations
of, or rights of others for, licenses, rights of way, sewers, electric lines, telegraph and telephone lines and other similar purposes, or zoning or other restrictions as to the use of real property, not interfering in any material respect with the
conduct of the business of the Company and its Restricted Subsidiaries; 
 (10) licenses or leases or subleases
as licensor, lessor or sublessor of any of its property, including intellectual property, in the ordinary course of business; 
 (11) Liens that are contractual rights of set-off (i) relating to the establishment of depository relations with banks not given in connection with the issuance of Debt (other than Debt described in
paragraph (7) of the definition of “Debt”), (ii) relating to pooled deposit or sweep accounts of the Company or any Restricted Subsidiary to permit satisfaction of overdraft or similar obligations Incurred in the ordinary course
of business of the Company or any Restricted Subsidiary and (iii) relating to purchase orders and other similar agreements entered into in the ordinary course of business; 

(12) Liens securing judgments for the payment of money not constituting an Event of Default; 

(13) Liens in favor of customs and revenue authorities arising as a matter of law to secure payment of customs duties in
connection with the importation of goods in the ordinary course of business; 
 (14) Liens in favor of the
Company or any Restricted Subsidiary securing Debt permitted under Section 4.06 or other obligations; 

(15) Liens (i) of a collection bank arising under Section 4.01-210 of the Uniform Commercial Code on items in
the course of collection, (ii) 

  
 27 

 
attaching to commodity trading accounts or other brokerage accounts Incurred in the ordinary course of business, or (iii) in favor of a banking institution arising as a matter of law
encumbering deposits (including the right of set-off) and which are within the general parameters customary in the banking industry; 
 (16) Liens arising from precautionary UCC financing statement filings (or similar filings under applicable Law) regarding leases entered into by the Company or any Restricted Subsidiary in the ordinary
course of business (and Liens consisting of the interests or title of the respective lessors thereunder); 
 (17)
Liens arising out of conditional sale, title retention, consignment or similar arrangements for sale of goods entered into by the Company or any Restricted Subsidiary in the ordinary course of business not prohibited by this Indenture; 

(18) Liens existing on property at the time of its acquisition or existing on the property of any Person at the time such
Person becomes a Restricted Subsidiary, in each case after the date hereof and any modifications, replacements, refinancings, renewals or extensions thereof; provided that (i) in the case of Liens securing Debt Incurred pursuant to
Section 4.06(b)(9), (a) such Liens (except for refinancings thereof) attach concurrently with or within 365 days after the purchase or completion of, construction or improvement (as applicable) of the property subject to such Liens and
(b) such Lien does not extend to or cover any other assets or property (other than the improvements, accessions, dividends, distributions, proceeds or products thereof and after-acquired property subjected to a Lien pursuant to terms existing
at the time of such acquisition, it being understood that such requirement to pledge after-acquired property shall not be permitted to apply to any property to which such requirement would not have applied but for such acquisition) and (ii) in
the case of Liens securing Debt other than Debt Incurred pursuant to Section 4.06(b)(9), (a) such Liens do not extend to the property of any Person other than the Person acquired or formed to make such acquisition and the subsidiaries of
such Person and (b) such Lien was not created in contemplation of such acquisition or such Person becoming a Restricted Subsidiary; 
 (19) Liens (i) (A) on advances of cash or Cash Equivalents in favor of the seller of any property to be acquired under paragraph (3) of the definition of “Permitted Investment” to
be applied against the purchase price for such Investment, and (B) consisting of an agreement to dispose of any property in a disposition permitted under Section 4.13 and (ii) on

  
 28 

 
cash earnest money deposits made by the Company or any Restricted Subsidiary in connection with any letter of intent or purchase agreement permitted under this Indenture; 

(20) Liens securing Hedging Agreements so long as such Hedging Agreements relate to other Debt that is, and is permitted
to be under this Indenture, secured by a Lien on the same property securing such Hedging Agreements; 
 (21)
Liens on property of any Foreign Restricted Subsidiary securing Debt of such Foreign Restricted Subsidiary to the extent permitted to be Incurred under Section 4.06; 

(22) any pledge of the Capital Stock of an Unrestricted Subsidiary to secure Debt of such Unrestricted Subsidiary;

 (23) extensions, renewals, refundings or replacements (in each case, in whole or in part) of any Liens
referred to in clauses (1), (2) or (18) in connection with the refinancing of the obligations secured thereby, provided that such Lien does not extend to any other property (plus improvements, accessions, proceeds or dividend or
distributions in respect thereof) and, except as contemplated by the definition of “Permitted Refinancing Debt”, the amount secured by such Lien is not increased; 

(24) Liens arising in connection with Cash Management Practices; 

(25) Liens securing Specified Non-Recourse Indebtedness; 

(26) Liens securing Debt permitted to be Incurred under Section 4.06 of this Indenture in an amount not to exceed the
maximum amount of Debt such that the Senior Secured Debt Ratio (at the time of incurrence of such Debt after giving pro forma effect thereto in a manner consistent with the calculation of the Fixed Charge Coverage Ratio) would not be greater than
2.25 to 1.00; and 
 (27) other Liens securing obligations in an aggregate amount not exceeding the greater of
(i) $75.0 million and (ii) 3.0% of Total Assets. 
 “Permitted Refinancing Debt” has the meaning
assigned to such term in Section 4.06. 
 “Person” means an individual, a corporation, a partnership, a
limited liability company, joint venture, joint stock company, an association, unincorporated organization, a trust or any other entity, including a government or political subdivision or an agency or instrumentality thereof. 

  
 29 

 “Preferred Stock” means, with respect to any Person, any and all Capital
Stock which is preferred as to the payment of dividends or distributions, upon liquidation or otherwise, over another class of Capital Stock of such Person. 
 “principal” of any Debt means the principal amount of such Debt, (or if such Debt was issued with original issue discount, the face amount of such Debt less the remaining unamortized
portion of the original issue discount of such Debt). 
 “Prospectus Supplement” means the prospectus
supplement dated September 28, 2012 related to the issuance of Notes on the Issue Date. 
 “Qualified Equity
Interests” means all Equity Interests of a Person other than Disqualified Equity Interests. 
 “Qualified
Stock” means all Capital Stock of a Person other than Disqualified Stock. 
 “Rating Agency” means
(i) S&P, (ii) Moody’s or (iii) if neither S&P or Moody’s is rating the Notes, another recognized rating agency, selected by the Company. 
 “Redemption Date” has the meaning assigned to such term in Section 3.01. 
 “refinance” has the meaning assigned to such term in Section 4.06. 
 “Register” has the meaning assigned to such term in Section 2.09. 
 “Registrar” means a Person engaged to maintain the Register. 

“Regular Record Date” for the interest payable on any Interest Payment Date means the April 1 or October 1
(whether or not a Business Day) next preceding such Interest Payment Date. 
 “Restricted Payment” has the
meaning assigned to such term in Section 4.07. 
 “Restricted Subsidiary” means any Subsidiary of the
Company other than an Unrestricted Subsidiary. 

  
 30 

 “S&P” means Standard & Poor’s Ratings Group, a division
of McGraw Hill, Inc. and its successors. 
 “Sale and Leaseback Transaction” means, with respect to any Person,
an arrangement whereby such Person enters into a lease of property previously transferred by such Person to the lessor. 

“SEC” means the Securities and Exchange Commission. 

“Securities Act” means the Securities Act of 1933. 

“Securitization Assets” means any accounts receivable, royalty or revenue streams, other financial assets, proceeds and
books, records and other related assets incidental to the foregoing subject to a Securitization Financing. 

“Securitization Financing” means Debt Incurred in connection with a receivables securitization transaction involving the
Company or any of its Restricted Subsidiaries and a Securitization Vehicle; provided that (i) such Debt when Incurred shall not exceed 100% of the cost or fair market value, whichever is lower, of the property being acquired on the date
of acquisition, (ii) such Debt is created and any Lien attaches to such property concurrently with or within forty-five (45) days of the acquisition thereof, and (iii) such Lien does not at any time encumber any property other than
the property financed by such Debt. 
 “Securitization Vehicle” means one or more special purpose vehicles that
are, directly or indirectly, wholly-owned Subsidiaries of the Company and are Persons organized for the limited purpose of entering into a Securitization Financing by purchasing, or receiving by way of capital contributions, sale or other transfer,
assets from the Company and its Subsidiaries and obtaining financing for such assets from third parties, and whose structure is designed to insulate such vehicle from the credit risk of the Company. 

“Senior Secured Debt Ratio” as of any date of determination means the ratio of (1) (x) Total Indebtedness of
the Company and its Restricted Subsidiaries that is secured by a Lien minus (y) the aggregate amount of cash and Cash Equivalents (which shall be free and clear of any Liens) of the Company and its Restricted Subsidiaries determined on a
consolidated basis as reflected on the balance sheet in accordance with GAAP, in each case of clause (x) and (y) as of the most recent fiscal period for which internal financial statements are available immediately preceding the date on
which such event for which such calculation is being made shall occur, to (2) EBITDA of the Company and its Restricted Subsidiaries for the most recently ended four full fiscal quarters for which internal financial statements are available
immediately preceding the date on which such event for which such calculation is being made shall occur, in each case, with 

  
 31 

 
such pro forma adjustments to Total Indebtedness and EBITDA as are appropriate and consistent with the pro forma adjustment provisions set forth in the definition of “Fixed Charge Coverage
Ratio.” 
 “Stated Maturity” means (i) with respect to any Debt, the date specified as the fixed date
on which the final installment of principal of such Debt is due and payable or (ii) with respect to any scheduled installment of principal of or interest on any Debt, the date specified as the fixed date on which such installment is due and
payable as set forth in the documentation governing such Debt, not including any contingent obligation to repay, redeem or repurchase prior to the regularly scheduled date for payment. 

“Subordinated Debt” means any Debt of the Company or any Guarantor which is subordinated in right of payment to the
Notes or the Note Guaranty, as applicable, pursuant to a written agreement to that effect. 
 “Subsidiary”
means with respect to any Person, any corporation, association or other business entity of which more than 50% of the outstanding Voting Stock is owned, directly or indirectly, by, or, in the case of a partnership, the sole general partner or the
managing partner or the only general partners of which are, such Person and one or more Subsidiaries of such Person (or a combination thereof). Unless otherwise specified, “Subsidiary” means a Subsidiary of the Company. 

“Swap Contract” means (a) any and all rate swap transactions, basis swaps, credit derivative transactions, forward
rate transactions, commodity swaps, commodity options, forward contracts, futures contracts, equity or equity index swaps or options, bond or bond price or bond index swaps or options or forward bond or forward bond price or forward bond index
transactions, interest rate options, forward foreign exchange transactions, cap transactions, floor transactions, collar transactions, currency swap transactions, cross-currency rate swap transactions, currency options, spot contracts, repurchase
agreements, reverse repurchase agreements, sell buy backs and buy sell back agreements, and securities lending and borrowing agreements or any other similar transactions or any combination of any of the foregoing (including any options to enter into
any of the foregoing), whether or not any such transaction is governed by or subject to any master agreement, and (b) any and all transactions of any kind, and the related confirmations, which are subject to the terms and conditions of, or
governed by, any form of master agreement published by the International Swaps and Derivatives Association, Inc., any International Foreign Exchange Master Agreement, or any other master agreement or related schedules, including any such obligations
or liabilities arising therefrom. 

  
 32 

 “Total Assets” means, at any time with respect to any Person, the total
assets appearing on the most recently prepared consolidated balance sheet of such Person as of the end of the most recent fiscal quarter of such Person for which such balance sheet is available, prepared in accordance with GAAP. 

“Total Indebtedness” means, as of any date of determination, an amount equal to (1) the aggregate principal amount
of Debt of the Company and its Restricted Subsidiaries outstanding on such date, determined on a consolidated basis, to the extent required to be recorded on a balance sheet in accordance with GAAP, consisting of Debt for borrowed money, Debt of the
Company and its Restricted Subsidiaries in respect of Capital Leases, Debt or similar financing obligations of the Company and its Restricted Subsidiaries under any Securitization Financing and Debt obligations evidenced by promissory notes or
similar instruments and (2) the aggregate amount of all outstanding Disqualified Stock of the Company and all Disqualified Stock and Preferred Stock of its Restricted Subsidiaries on a consolidated basis, with the amount of such Disqualified
Stock and Preferred Stock equal to the greater of their respective voluntary or involuntary liquidation preferences and maximum fixed repurchase prices, in each case determined on a consolidated basis in accordance with GAAP. For purposes hereof,
the “maximum fixed repurchase price” of any Disqualified Stock or Preferred Stock that does not have a fixed repurchase price shall be calculated in accordance with the terms of such Disqualified Stock or Preferred Stock as if such
Disqualified Stock or Preferred Stock were purchased on any date on which Total Indebtedness shall be required to be determined pursuant to this Indenture. 
 “Treasury Rate” means, as of any Redemption Date, the yield to maturity as of such Redemption Date of United States Treasury securities with a constant maturity (as compiled and published
in the most recent Federal Reserve Statistical Release H.15 (519) that has become publicly available at least two Business Days prior to the Redemption Date (or, if such Statistical Release is no longer published, any publicly available source
of similar market data)) most nearly equal to the period from the Redemption Date to October 15, 2017; provided that if the period from the Redemption Date to such date is less than one year, the weekly average yield on actually traded
United States Treasury securities adjusted to a constant maturity of one year will be used. 
 “Trustee” means
the party named as such in the first paragraph of this Indenture or any successor trustee under this Indenture pursuant to Article 7. 
 “Trust Indenture Act” means the Trust Indenture Act of 1939. 

“U.S. Government Obligations” means obligations issued or directly and fully guaranteed or insured by the United States
of America or by any agent or instrumentality thereof, provided that the full faith and credit of the United States of America is pledged in support thereof. 

  
 33 

 “Unrestricted Subsidiary” means any Subsidiary of the Company that at the
time of determination has previously been designated, and continues to be (at any relevant time of determination), an Unrestricted Subsidiary in accordance with Section 4.15. 

“Voting Stock” means, with respect to any Person, Capital Stock of any class or kind ordinarily having the power to vote
for the election of directors, managers or other voting members of the governing body of such Person. 
 “Wholly
Owned” means, with respect to any Restricted Subsidiary, a Restricted Subsidiary all of the outstanding Capital Stock of which (other than any director’s qualifying shares) is owned by the Company and one or more Wholly Owned
Restricted Subsidiaries (or a combination thereof). 
 Section 1.02. Rules of Construction. Unless the context
otherwise requires or except as otherwise expressly provided, 
 (1) an accounting term not otherwise defined has
the meaning assigned to it in accordance with GAAP; 
 (2) “herein,” “hereof” and other words
of similar import refer to this Indenture as a whole and not to any particular Section, Article or other subdivision; 
 (3) all references to Sections or Articles 1 or Exhibits refer to Sections or Articles 1 or Exhibits of or to this Indenture unless otherwise indicated; 

(4) references to agreements or instruments, or to statutes or regulations, are to such agreements or instruments, or
statutes or regulations, as amended from time to time (or to successor statutes and regulations); and 
 (5) in
the event that a transaction meets the criteria of more than one category of permitted transactions or listed exceptions the Company may classify such transaction as it, in its sole discretion, determines. 

ARTICLE 2 

THE NOTES 
 Section 2.01. Form, Dating and Denominations; Legends. (a) The Notes and the Trustee’s certificate of authentication will be substantially in the form

  
 34 

 
attached as Exhibit A. The terms and provisions contained in the form of the Notes annexed as Exhibit A constitute, and are hereby expressly made, a part of this Indenture. The Notes may have
notations, legends or endorsements required by law, rules of or agreements with national securities exchanges to which the Company is subject, or usage. Each Note will be dated the date of its authentication. The Notes will be issuable in
denominations of $2,000 in principal amount and any multiple of $1,000 in excess thereof. The terms of the Notes set forth in Exhibit A are part of the terms of this Indenture. Each Global Note, whether or not an Original Note or an Additional Note,
will bear the DTC Legend. 
 Section 2.02. Execution and Authentication; Additional Notes. (a) An Officer shall
execute the Notes for the Company by facsimile or manual signature in the name and on behalf of the Company. If an Officer whose signature is on a Note no longer holds that office at the time the Note is authenticated, the Note will still be valid.

 (b) A Note will not be valid until the Trustee manually signs the certificate of authentication on the Note, with the
signature conclusive evidence that the Note has been authenticated under this Indenture. 
 (c) At any time and from time to
time after the execution and delivery of this Indenture, the Company may deliver Notes executed by the Company to the Trustee for authentication. The Trustee will authenticate and deliver 

(i) Original Notes for original issue in the aggregate principal amount not to exceed $600,000,000, and 

(ii) Additional Notes from time to time for original issue in aggregate principal amounts specified by the Company.

 after the following conditions have been met: 
 (1) Receipt by the Trustee of an Officers’ Certificate specifying 
 (A) the amount of Notes to be authenticated and the date on which the Notes are to be authenticated, 
 (B) whether the Notes are to be Original Notes or, Additional Notes, 
 (C) in the case of Additional Notes, that the issuance of such Notes does not contravene any provision of Article 4, 

  
 35 

 (D) whether the Notes are to be issued as one or more Global Notes or
Certificated Notes, and 
 (E) other information the Company may determine to include or the Trustee may
reasonably request. 
 Section 2.03. Registrar, Paying Agent and Authenticating Agent; Paying Agent to Hold Money in
Trust. (a) The Company may appoint one or more Registrars and one or more Paying Agents, and the Trustee may appoint an Authenticating Agent, in which case each reference in this Indenture to the Trustee in respect of the obligations of the
Trustee to be performed by that Agent will be deemed to be references to the Agent. The Company may act as Registrar or (except for purposes of Article 8) Paying Agent. In each case the Company and the Trustee will enter into an appropriate
agreement with the Agent implementing the provisions of this Indenture relating to the obligations of the Trustee to be performed by the Agent and the related rights. The Company initially appoints the Trustee as Registrar and Paying Agent.

 (b) The Company will require each Paying Agent other than the Trustee to agree in writing that the Paying Agent will hold in
trust for the benefit of the Holders or the Trustee all money held by the Paying Agent for the payment of principal of and interest on the Notes and will promptly notify the Trustee in writing of any default by the Company in making any such
payment. The Company at any time may require a Paying Agent to pay all money held by it to the Trustee and account for any funds disbursed, and the Trustee may at any time during the continuance of any payment default, upon written request to a
Paying Agent, require the Paying Agent to pay all money held by it to the Trustee and to account for any funds disbursed. Upon doing so, the Paying Agent will have no further liability for the money so paid over to the Trustee. 

Section 2.04. Replacement Notes. If a mutilated Note is surrendered to the Trustee or if a Holder claims that its Note has
been lost, destroyed or wrongfully taken and furnishes to Trustee evidence reasonably satisfactory to Trustee of the ownership of such Note and of such loss, destruction or theft, the Company will issue and the Trustee will authenticate a
replacement Note of like tenor and principal amount and bearing a number not contemporaneously outstanding. Every replacement Note is an additional obligation of the Company and entitled to the benefits of this Indenture. If required by the Trustee
or the Company, an indemnity must be furnished that is sufficient in the judgment of both the Trustee and the Company to protect the Company and the Trustee from any loss they may suffer if a Note is replaced. The Company and Trustee (if not
reimbursed by the Company) may charge the Holder for the expenses of the Company and the Trustee in replacing a Note. In case the mutilated, lost, destroyed or wrongfully taken Note has become or is about to become due and payable, the Company in
its discretion may pay the Note instead of issuing a replacement Note. 

  
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 Section 2.05. Outstanding Notes. (a) Notes outstanding at any time are all
Notes that have been authenticated by the Trustee except for 
 (1) Notes cancelled by the Trustee or delivered
to it for cancellation; 
 (2) any Note which has been replaced pursuant to Section 2.04 unless and until
the Trustee and the Company receive proof satisfactory to them that the replaced Note is held by a bona fide purchaser; and 
 (3) on or after the maturity date or any redemption date or date for purchase of the Notes pursuant to an Offer to Purchase, those Notes payable or to be redeemed or purchased on that date for which the
Trustee (or Paying Agent, other than the Company or an Affiliate of the Company) holds money sufficient to pay all amounts then due. 
 (b) A Note does not cease to be outstanding because the Company or one of its Affiliates holds the Note, provided that in determining whether the Holders of the requisite principal amount of the
outstanding Notes have given or taken any request, demand, authorization, direction, notice, consent, waiver or other action hereunder, Notes owned by the Company or any Affiliate of the Company will be disregarded and deemed not to be outstanding,
(it being understood that in determining whether the Trustee is protected in relying upon any such request, demand, authorization, direction, notice, consent, waiver or other action, only Notes which the Trustee actually knows to be so owned will be
so disregarded). Notes so owned which have been pledged in good faith may be regarded as outstanding if the pledgee establishes to the satisfaction of the Trustee the pledgee’s right so to act with respect to such Notes and that the pledgee is
not the Company or any Affiliate of the Company. 
 Section 2.06. Temporary Notes. Until definitive Notes are ready
for delivery, the Company may prepare and the Trustee will authenticate temporary Notes. Temporary Notes will be substantially in the form of definitive Notes but may have insertions, substitutions, omissions and other variations determined to be
appropriate by the Officer executing the temporary Notes, as evidenced by the execution of the temporary Notes. If temporary Notes are issued, the Company will cause definitive Notes to be prepared without unreasonable delay. After the preparation
of definitive Notes, the temporary Notes will be exchangeable for definitive Notes upon surrender of the temporary Notes at the office or agency of the Company designated for the purpose pursuant to Section 4.02, without charge to the Holder.
Upon surrender for cancellation of any temporary Notes the 

  
 37 

 
Company will execute and the Trustee will authenticate and deliver in exchange therefor a like principal amount of definitive Notes of authorized denominations. Until so exchanged, the temporary
Notes will be entitled to the same benefits under this Indenture as definitive Notes. 
 Section 2.07. Cancellation.
The Company at any time may deliver to the Trustee for cancellation any Notes previously authenticated and delivered hereunder which the Company may have acquired in any manner whatsoever, and may deliver to the Trustee for cancellation any
Notes previously authenticated hereunder which the Company has not issued and sold. Any Registrar or the Paying Agent will forward to the Trustee any Notes surrendered to it for transfer, exchange or payment. The Trustee will cancel all Notes
surrendered for transfer, exchange, payment or cancellation and dispose of them in accordance with its normal procedures or the written instructions of the Company received prior to any such cancellation. The Company may not issue new Notes to
replace Notes it has paid in full or delivered to the Trustee for cancellation. 
 Section 2.08. CUSIP and ISIN Numbers.
The Company in issuing the Notes may use “CUSIP” and “ISIN” numbers, and the Trustee will use CUSIP numbers or ISIN numbers in notices of redemption or exchange or in Offers to Purchase as a convenience to Holders, the notice
to state that no representation is made as to the correctness of such numbers either as printed on the Notes or as contained in any notice of redemption or exchange or Offer to Purchase. The Company will promptly notify the Trustee of any change in
the CUSIP or ISIN numbers. 
 Section 2.09. Registration, Transfer and Exchange. (a) The Notes will be issued
in registered form only, without coupons, and the Company shall cause the Trustee to maintain a register (the “Register”) of the Notes, for registering the record ownership of the Notes by the Holders and transfers and exchanges of
the Notes. 
 (b) (1) Each Global Note will be registered in the name of the Depositary or its nominee and, so long as DTC
is serving as the Depositary thereof, will bear the DTC Legend. 
 (2) Each Global Note will be delivered to the
Trustee as custodian for the Depositary. Transfers of a Global Note (but not a beneficial interest therein) will be limited to transfers thereof in whole, but not in part, to the Depositary, its successors or their respective nominees, except
(1) as set forth in Section 2.09(b)(4) and (2) transfers of portions thereof in the form of Certificated Notes may be made upon request of an Agent Member (for itself or on behalf of a beneficial owner) by written notice given to the
Trustee by or on behalf of the Depositary in accordance with customary procedures of the Depositary and in compliance with this Section 2.09 and Section 2.10. 

  
 38 

 (3) Agent Members will have no rights under this Indenture with respect to
any Global Note held on their behalf by the Depositary, and the Depositary may be treated by the Company, the Trustee and any agent of the Company or the Trustee as the absolute owner and Holder of such Global Note for all purposes whatsoever.
Notwithstanding the foregoing, the Depositary or its nominee may grant proxies and otherwise authorize any Person (including any Agent Member and any Person that holds a beneficial interest in a Global Note through an Agent Member) to take any
action which a Holder is entitled to take under this Indenture or the Notes, and nothing herein will impair, as between the Depositary and its Agent Members, the operation of customary practices governing the exercise of the rights of a holder of
any security. 
 (4) If (x) the Depositary notifies the Company that it is unwilling or unable to continue
as Depositary for a Global Note and a successor depositary is not appointed by the Company within 90 days of the notice or (y) an Event of Default has occurred and is continuing and the Trustee has received a written request from the
Depositary, the Trustee will promptly exchange each beneficial interest in the Global Note for one or more Certificated Notes in authorized denominations having an equal aggregate principal amount registered in the name of the owner of such
beneficial interest, as identified to the Trustee by the Depositary in writing, and thereupon the Global Note will be deemed canceled. 
 (c) Each Certificated Note will be registered in the name of the holder thereof or its nominee. 
 (d) A Holder may transfer a Note (or a beneficial interest therein) to another Person or exchange a Note (or a beneficial interest therein) for another Note or Notes of any authorized denomination by
presenting to the Trustee a written request therefor stating the name of the proposed transferee or requesting such an exchange, accompanied by any certification, opinion or other document required by Section 2.10. The Trustee will promptly
register any transfer or exchange that meets the requirements of this Section by noting the same in the register maintained by the Trustee for the purpose; provided that 

(x) no transfer or exchange will be effective until it is registered in such register, and 

(y) the Trustee will not be required (i) to issue, register the transfer of or exchange any Note for a period of
seven days before a 

  
 39 

 
selection of Notes to be redeemed or purchased pursuant to an Offer to Purchase, (ii) to register the transfer of or exchange any Note so selected for redemption or purchase in whole or in
part, except, in the case of a partial redemption or purchase, that portion of any Note not being redeemed or purchased, or (iii) if a redemption or a purchase pursuant to an Offer to Purchase is to occur after a Regular Record Date but on or
before the corresponding Interest Payment Date, to register the transfer of or exchange any Note on or after the Regular Record Date and before the date of redemption or purchase. Prior to the registration of any transfer, the Company, the Trustee
and their agents will treat the Person in whose name the Note is registered as the owner and Holder thereof for all purposes (whether or not the Note is overdue), and will not be affected by notice to the contrary. 

From time to time the Company will execute and deliver to the Trustee and the Trustee will authenticate additional Notes as necessary in
order to permit the registration of a transfer or exchange in accordance with this Section. 
 No service charge will be imposed
in connection with any transfer or exchange of any Note, but the Company may require payment of a sum sufficient to cover any transfer tax or similar governmental charge payable in connection therewith (other than a transfer tax or other similar
governmental charge payable upon exchange pursuant to subsection (d)(4)). 
 (e) (1) Global Note to Global Note. If
a beneficial interest in a Global Note is transferred or exchanged for a beneficial interest in another Global Note, the Trustee will (x) record a decrease in the principal amount of the Global Note being transferred or exchanged equal to the
principal amount of such transfer or exchange and (y) record a like increase in the principal amount of the other Global Note. Any beneficial interest in one Global Note that is transferred to a Person who takes delivery in the form of an
interest in another Global Note, or exchanged for an interest in another Global Note, will, upon transfer or exchange, cease to be an interest in such Global Note and become an interest in the other Global Note and, accordingly, will thereafter be
subject to all transfer and exchange restrictions, if any, and other procedures applicable to beneficial interests in such other Global Note for as long as it remains such an interest. 

(2) Global Note to Certificated Note. If a beneficial interest in a Global Note is transferred or exchanged for a
Certificated Note, the Trustee will (x) record a decrease in the principal amount of such Global Note equal to the principal amount of such transfer or exchange and (y) deliver one or more new Certificated Notes in authorized denominations
having an equal aggregate principal amount to the transferee (in the case of a transfer) or the owner of such beneficial interest (in the case of an exchange), registered in the name of such transferee or owner, as applicable. 

  
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 (3) Certificated Note to Global Note. If a Certificated Note is
transferred or exchanged for a beneficial interest in a Global Note, the Trustee will (x) cancel such Certificated Note, (y) record an increase in the principal amount of such Global Note equal to the principal amount of such transfer or
exchange and (z) in the event that such transfer or exchange involves less than the entire principal amount of the canceled Certificated Note, deliver to the Holder thereof one or more new Certificated Notes in authorized denominations having
an aggregate principal amount equal to the untransferred or unexchanged portion of the canceled Certificated Note, registered in the name of the Holder thereof. 
 (4) Certificated Note to Certificated Note. If a Certificated Note is transferred or exchanged for another Certificated Note, the Trustee will (x) cancel the Certificated Note being
transferred or exchanged, (y) deliver one or more new Certificated Notes in authorized denominations having an aggregate principal amount equal to the principal amount of such transfer or exchange to the transferee (in the case of a transfer)
or the Holder of the canceled Certificated Note (in the case of an exchange), registered in the name of such transferee or Holder, as applicable, and (z) if such transfer or exchange involves less than the entire principal amount of the
canceled Certificated Note, deliver to the Holder thereof one or more Certificated Notes in authorized denominations having an aggregate principal amount equal to the untransferred or unexchanged portion of the canceled Certificated Note, registered
in the name of the Holder thereof. 
 Section 2.10. Restrictions on Transfer and Exchange. (a) The transfer or
exchange of any Note (or a beneficial interest therein) may only be made in accordance with this Section and Section 2.09) and, in the case of a Global Note (or a beneficial interest therein), the applicable rules and procedures of the
Depositary. The Trustee shall refuse to register any requested transfer or exchange that does not comply with the preceding sentence. 
 (b) The Trustee will retain copies of all certificates, opinions and other documents received in connection with the transfer or exchange of a Note (or a beneficial interest therein), and the Company will
have the right to inspect and make copies thereof at any reasonable time upon written notice to the Trustee. 

  
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 ARTICLE 3 
 REDEMPTION; OFFER TO PURCHASE 
 Section 3.01. Optional Redemption. (a) At any time prior to October 15, 2017, the Company may redeem the Notes, in whole or in part, at a redemption price equal to 100.0% of the
principal amount of the Notes redeemed plus the Applicable Premium as of, plus accrued and unpaid interest, if any, to, the date of redemption (the “Redemption Date”), subject to the right of Holders of record on the relevant
Regular Record Date to receive interest due on the relevant Interest Payment Date. 
 (b) At any time and from time to time on
or after October 15, 2017, the Company may on one or more occasions redeem the Notes, in whole or in part, upon not less than 30 nor more than 60 days’ notice at a redemption price equal to the percentage of principal amount set forth
below plus accrued and unpaid interest on the Notes redeemed to the Redemption Date, if redeemed during the twelve-month period beginning on October 15 of the years indicated below, subject to the rights of Noteholders on the relevant Record
Date to receive interest on the relevant Interest Payment Date. 
  

					
	 Year
	  	Percentage	 
	 2017
	  	 	102.875	% 
	 2018
	  	 	101.917	% 
	 2019
	  	 	100.958	% 
	 2020 and thereafter
	  	 	100.000	% 

 Section 3.02. Redemption with Proceeds of Equity Offering. At any time and from time to time
prior to October 15, 2015, the Company may redeem Notes with the net cash proceeds received by the Company from any Equity Offering at a redemption price equal to 105.750% of the principal amount plus accrued and unpaid interest to the
Redemption Date, in an aggregate principal amount for all such redemptions not to exceed 35% of the original aggregate principal amount of the Notes, including Additional Notes, provided that 

(1) in each case the redemption takes place not later than 60 days after the closing of the related Equity Offering, and

 (2) not less than 65% of the original aggregate principal amount of the Notes issued (calculated after giving
effect to any issuance of Additional Notes) remains outstanding immediately thereafter. 
 Section 3.03. Method and
Effect of Redemption. (a) Any redemption pursuant to Section 3.01 or Section 3.02 may, in the Company’s discretion, be subject to satisfaction of one or more conditions precedent including, but not

  
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limited to, the occurrence of a Change of Control or consummation of any Equity Offering or financing transaction. If the Company elects to redeem Notes, it must notify the Trustee of the
Redemption Date and the principal amount of Notes to be redeemed by delivering an Officers’ Certificate at least 60 days before the Redemption Date (unless a shorter period is satisfactory to the Trustee). If fewer than all of the Notes are
being redeemed, the Officers’ Certificate must also specify a record date not less than 15 days after the date of the notice of redemption is given to the Trustee, and the Trustee will select the Notes to be redeemed pro rata, by lot or by any
other method the Trustee in its sole discretion deems fair and appropriate, in denominations of $2,000 principal amount and integral multiples of $1,000 in excess thereof. The Trustee will notify the Company promptly of the Notes or portions of
Notes to be called for redemption. Notice of redemption must be sent by the Company or at the Company’s request, by the Trustee in the name and at the expense of the Company, to Holders whose Notes are to be redeemed at least 30 days but not
more than 60 days before the Redemption Date. 
 (b) The notice of redemption will identify the Notes to be redeemed and will
include or state the following: 
 (1) the Redemption Date; 

(2) the redemption price (or the formula by which the redemption price will be determined), including the portion thereof
representing any accrued interest; 
 (3) the place or places where Notes are to be surrendered for redemption;

 (4) Notes called for redemption must be so surrendered in order to collect the redemption price; 

(5) on the Redemption Date the redemption price will become due and payable on Notes called for redemption, and interest
on Notes called for redemption will cease to accrue on and after the Redemption Date; 
 (6) if any Note is
redeemed in part, on and after the Redemption Date, upon surrender of such Note, new Notes equal in principal amount to the unredeemed portion will be issued; and 

(7) if any Note contains a CUSIP or ISIN number, no representation is being made as to the correctness of the CUSIP or
ISIN number either as printed on the Notes or as contained in the notice of redemption and that the Holder should rely only on the other identification numbers printed on the Notes. 

  
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 (c) Once notice of redemption is sent to the Holders, Notes called for redemption become due
and payable at the redemption price on the Redemption Date subject to the terms of each notice of redemption, and upon surrender of the Notes called for redemption, the Company shall redeem such Notes at the redemption price. Commencing on the
Redemption Date, Notes redeemed will cease to accrue interest. Upon surrender of any Note redeemed in part, the Holder will receive a new Note equal in principal amount to the unredeemed portion of the surrendered Note. 

Section 3.04. Offer to Purchase. (a) An “Offer to Purchase” means an offer by the Company to purchase
Notes as required by this Indenture. An Offer to Purchase must be made by written offer (the “offer”) sent to the Holders. The Company will notify the Trustee at least 10 days (or such shorter period as is acceptable to the Trustee)
prior to sending the offer to Holders of its obligation to make an Offer to Purchase, and the offer will be sent by the Company or, at the Company’s request, by the Trustee in the name and at the expense of the Company. 

(b) The offer must include or state the following as to the terms of the Offer to Purchase: 

(1) the provision of this Indenture pursuant to which the Offer to Purchase is being made; 

(2) the aggregate principal amount of the outstanding Notes offered to be purchased by the Company pursuant to the Offer
to Purchase (including, if less than 100%, the manner by which such amount has been determined pursuant to this Indenture) (the “purchase amount”); 

(3) the purchase price, including the portion thereof representing accrued interest; 

(4) an expiration date (the “expiration date”) not less than 30 days or more than 60 days after the date
of the offer, and a settlement date for purchase (the “purchase date”) not more than five Business Days after the expiration date; 
 (5) to the extent not already included in the reports filed by the Company under the Exchange Act, information concerning the business of the Company and its Subsidiaries which the Company in good faith
believes will enable the Holders to make an informed decision with respect to the Offer to Purchase, at a minimum to include 

  
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 (A) the most recent annual and quarterly financial statements and
“Management’s Discussion and Analysis of Financial Condition and Results of Operations” for the Company, 
 (B) a description of material developments in the Company’s business subsequent to the date of the latest of the financial statements (including a description of the events requiring the Company to
make the Offer to Purchase), and 
 (C) if applicable, appropriate pro forma financial information concerning the
Offer to Purchase and the events requiring the Company to make the Offer to Purchase; 
 (6) a Holder may tender
all or any portion of its Notes, subject to the requirement that any portion of a Note tendered must be in a multiple of $1,000 principal amount; 
 (7) the place or places where Notes are to be surrendered for tender pursuant to the Offer to Purchase; 
 (8) each Holder electing to tender a Note pursuant to the offer will be required to surrender such Note at the place or places specified in the offer prior to the close of business on the expiration date
(such Note being, if the Company or the Trustee so requires, duly endorsed or accompanied by a duly executed written instrument of transfer); 
 (9) interest on any Note not tendered, or tendered but not purchased by the Company pursuant to the Offer to Purchase, will continue to accrue; 

(10) on the purchase date the purchase price will become due and payable on each Note accepted for purchase, and interest
on Notes purchased will cease to accrue on and after the purchase date; 
 (11) Holders are entitled to withdraw
Notes tendered by giving notice, which must be received by the Company or the Trustee not later than the close of business on the expiration date, setting forth the name of the Holder, the principal amount of the tendered Notes, the certificate
number of the tendered Notes and a statement that the Holder is withdrawing all or a portion of the tender; 

  
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 (12) (i) if Notes in an aggregate principal amount less than or equal to the
purchase amount are duly tendered and not withdrawn pursuant to the Offer to Purchase, the Company will purchase all such Notes, and (ii) if the Offer to Purchase is for less than all of the outstanding Notes and Notes in an aggregate principal
amount in excess of the purchase amount are tendered and not withdrawn pursuant to the offer, the Company will purchase Notes having an aggregate principal amount equal to the purchase amount on a pro rata basis, with adjustments so that only Notes
in multiples of $1,000 principal amount will be purchased; 
 (13) if any Note is purchased in part, new Notes
equal in principal amount to the unpurchased portion of the Note will be issued; and 
 (14) if any Note contains
a CUSIP or ISIN number, no representation is being made as to the correctness of the CUSIP or ISIN number either as printed on the Notes or as contained in the offer and that the Holder should rely only on the other identification numbers printed on
the Notes. 
 (c) Prior to the purchase date, the Company will accept tendered Notes for purchase as required by the Offer to
Purchase and deliver to the Trustee all Notes so accepted together with an Officers’ Certificate specifying which Notes have been accepted for purchase. On the purchase date the purchase price will become due and payable on each Note accepted
for purchase, and interest on Notes purchased will cease to accrue on and after the purchase date. The Trustee will promptly return to Holders any Notes not accepted for purchase and send to Holders new Notes equal in principal amount to any
unpurchased portion of any Notes accepted for purchase in part. 
 (d) The Company will comply with Rule 14e-1 under the
Exchange Act and all other applicable laws in making any Offer to Purchase, and the above procedures will be deemed modified as necessary to permit such compliance. 
 ARTICLE 4 
 COVENANTS 

Section 4.01. Payment Of Notes. (a) The Company agrees to pay the principal of and interest on the Notes on the dates
and in the manner provided in the Notes and this Indenture. Not later than 9:00 A.M. (New York City time) on the due date of any principal of or interest on any Notes, or any redemption or purchase price of the Notes, the Company will deposit with
the Trustee (or Paying Agent) money in immediately available funds sufficient to pay such amounts, provided that if the Company or any Affiliate of the Company is acting as Paying 

  
 46 

 
Agent, it will, on or before each due date, segregate and hold in a separate trust fund for the benefit of the Holders a sum of money sufficient to pay such amounts until paid to such Holders or
otherwise disposed of as provided in this Indenture. In each case the Company will promptly notify the Trustee in writing of its compliance with this paragraph. 
 (b) An installment of principal or interest will be considered paid on the date due if the Trustee (or Paying Agent, other than the Company or any Affiliate of the Company) holds on that date money
designated for and sufficient to pay the installment. If the Company or any Affiliate of the Company acts as Paying Agent, an installment of principal or interest will be considered paid on the due date only if paid to the Holders. 

(c) The Company agrees to pay interest on overdue principal, and overdue installments of interest at the rate per annum specified in the
Notes. 
 (d) Payments in respect of the Notes represented by the Global Notes are to be made by wire transfer of immediately
available funds to the accounts specified by the Holders of the Global Notes. With respect to Certificated Notes, the Company will, in its sole discretion, make all payments by wire transfer of immediately available funds to the accounts specified
by the Holders thereof or by mailing a check to each Holder’s registered address. 
 (e) Notwithstanding anything to the
contrary contained in this Indenture, the Company may, to the extent it is required to do so by law, deduct or withhold income or other similar taxes imposed by the United States of America from principal or interest payments hereunder. 

Section 4.02. Maintenance of Office or Agency. The Company will maintain in the Borough of Manhattan, the City of New York,
an office or agency where Notes may be surrendered for registration of transfer or exchange or for presentation for payment and where notices and demands to or upon the Company in respect of the Notes and this Indenture may be served. The Company
hereby initially designates the Corporate Trust Office of the Trustee as such office of the Company. The Company will give prompt written notice to the Trustee of the location, and any change in the location, of such office or agency. If at any time
the Company fails to maintain any such required office or agency or fails to furnish the Trustee with the address thereof, such presentations, surrenders, notices and demands may be made or served to the Trustee. 

The Company may also from time to time designate one or more other offices or agencies where the Notes may be surrendered or presented
for any of such purposes and may from time to time rescind such designations. The Company will give prompt written notice to the Trustee of any such designation or rescission and of any change in the location of any such other office or agency.

  
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 Section 4.03. Existence. The Company will do or cause to be done all things
necessary to preserve and keep in full force and effect its existence and the existence of each of its Restricted Subsidiaries in accordance with their respective organizational documents, and the material rights, licenses and franchises of the
Company and each Restricted Subsidiary, provided that the Company is not required to preserve any such right, license or franchise, or the existence of any Restricted Subsidiary, if (i) the maintenance or preservation thereof is no
longer desirable in the conduct of the business of the Company and its Restricted Subsidiaries taken as a whole, (ii) the absence of such maintenance or preservation would not reasonably be expected to have a material adverse effect on the
financial condition or results of operations of the Company and its Restricted Subsidiaries taken as a whole or (iii) the Board of Directors of the Company determines in its sole discretion that such maintenance or preservation is not necessary
for any reason.; and provided further that this Section shall not prohibit any transaction otherwise permitted by Section 4.13 or Article 5. 
 Section 4.04. Payment of Taxes and other Claims. The Company will pay or discharge, and cause each of its Subsidiaries to pay or discharge before the same become delinquent (i) all
material taxes, assessments and governmental charges levied or imposed upon the Company or any Subsidiary or its income or profits or property, and (ii) all material lawful claims for labor, materials and supplies that, if unpaid, might by law
become a Lien upon the property of the Company or any Subsidiary, other than any such tax, assessment, charge or claim the amount, applicability or validity of which is being contested in good faith by appropriate proceedings and for which adequate
reserves have been established. 
 Section 4.05. Maintenance of Properties. (a) The Company will cause all
properties used or useful in the conduct of its business or the business of any of its Restricted Subsidiaries to be maintained and kept in good condition, repair and working order as in the judgment of the Company may be necessary so that the
business of the Company and its Restricted Subsidiaries may be properly conducted at all times; provided that nothing in this Section prevents the Company or any Restricted Subsidiary from discontinuing the use, operation or maintenance of
any of such properties or disposing of any of them, if such discontinuance or disposal is, in the judgment of the Company, desirable in the conduct of the business of the Company and its Restricted Subsidiaries taken as a whole. 

Section 4.06. Limitation on Debt and Disqualified or Preferred Stock. (a) The Company 

  
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 (1) will not, and will not permit any of its Restricted Subsidiaries to,
Incur any Debt; and 
 (2) (x) will not, and will not permit any Restricted Subsidiary to, Incur any Disqualified
Stock, and (y) will not permit any of its Restricted Subsidiaries to Incur any Preferred Stock (other than Disqualified or Preferred Stock of Restricted Subsidiaries held by the Company or a Restricted Subsidiary, so long as it is so held);

 provided that the Company or any Guarantor may Incur Debt and the Company or any Guarantor may Incur Disqualified Stock and any
Guarantor may Incur Preferred Stock if, on the date of the Incurrence, after giving effect to the Incurrence and the receipt and application of the proceeds therefrom, the Fixed Charge Coverage Ratio is not less than 2:1. 

(b) Notwithstanding the foregoing, the Company and, to the extent provided below, any Restricted Subsidiary may Incur the following
(“Permitted Debt”): 
 (1) Debt (“Permitted Bank Debt”) of the Company or any
Guarantor pursuant to Credit Facilities; provided that the aggregate principal amount at any time outstanding does not exceed $1.185 billion, less any amount of such Debt permanently repaid as provided under Section 4.13, and Guarantees
of such Debt by the Company or any Restricted Subsidiary (provided that such Restricted Subsidiary concurrently Guarantees the Notes) 
 (2) Debt of the Company owing to any Restricted Subsidiary or Debt of any Restricted Subsidiary owing to the Company or any other Restricted Subsidiary, in each case for so long as such Debt continues to
be owed to the Company or a Restricted Subsidiary, as the case may be provided that (x) if the obligor is the Company, such Debt is subordinated in right of payment to the Notes and (y) if the obligor is a Guarantor and the Company
or a Guarantor is not the obligee, such Debt is subordinated in right of payment to the Note Guaranty of such Guarantor; 
 (3) Debt of the Company pursuant to the Notes (other than Additional Notes) and Debt of any Guarantor pursuant to a Note Guaranty of the Notes (including Additional Notes); 

(4) Debt (“Permitted Refinancing Debt”) constituting an extension or renewal of, replacement of, or
substitution for, or issued in exchange for, or the net proceeds of which are used to repay, redeem, repurchase, refinance or refund, including by way of defeasance or 

  
 49 

 
discharge (all of the above, for purposes of this clause, “refinance”) Debt then outstanding on the date of this Indenture or Incurred thereafter in compliance with this
Indenture (including, subject to the limits below, (x) Debt of the Company that refinances Debt of any Restricted Subsidiary, (y) Debt of any Restricted Subsidiary that refinances Debt of another Restricted Subsidiary or the Company and
(z) Debt that refinances Permitted Refinancing Debt) in an amount not to exceed the principal amount of the Debt so refinanced, plus premiums, fees and expenses; provided that 

(A) in case the Debt to be refinanced is subordinated in right of payment to the Notes, the new Debt, by its terms or by
the terms of any agreement or instrument pursuant to which it is outstanding, is expressly made subordinate in right of payment to the Notes at least to the extent that the Debt to be refinanced is subordinated to the Notes 

(B) (a) if the Stated Maturity of the Debt being refinanced is earlier than the Stated Maturity of the Notes, the
Refinancing Debt has a Stated Maturity no earlier than the Stated Maturity of the Debt being refinanced or (b) if the Stated Maturity of the Debt being refinanced is later than the Stated Maturity of the Notes, the Refinancing Debt has a Stated
Maturity after the Stated Maturity of the Notes, 
 (C) the Average Life of the new Debt is at least equal to the
remaining Average Life of the Debt to be refinanced, 
 (D) in no event may Debt of the Company or any Guarantor
be refinanced pursuant to this clause by means of any Debt of any Restricted Subsidiary that is not a Guarantor, and 
 (E) Debt Incurred pursuant to clause (1), (2), (5), (6), (9), (10), (11), (12), (13), (14), (15) (16), (17) or (19) may not be refinanced pursuant to this clause; 

(5) Hedging Agreements of the Company or any Restricted Subsidiary entered into in the ordinary course of business for the
purpose of limiting risks associated with the business (including the Debt) of the Company and its Restricted Subsidiaries and not for speculation; 
 (6) Debt of the Company or any Restricted Subsidiary with respect to (A) letters of credit and bankers’ acceptances issued in the ordinary course of business and not supporting Debt, including
letters of 

  
 50 

 
credit supporting performance, surety or appeal bonds or (B) indemnification, adjustment of purchase price or similar obligations Incurred in connection with the acquisition or disposition
of any business or assets; 
 (7) Acquired Debt, provided that after giving effect to the Incurrence
thereof and the related acquisition, (i) the Company could incur at least $1.00 of Debt under the Fixed Charge Coverage Ratio under Section 4.06(a) or (ii) the Fixed Charge Coverage Ratio for the Company and its Restricted
Subsidiaries would be greater than such ratio for the Company and its Restricted Subsidiaries immediately prior to such Incurrence; 
 (8) Debt of the Company or any Restricted Subsidiary outstanding on the Issue Date (and, for the purposes of clause (4) (E), not otherwise constituting Permitted Debt); 

(9) Debt of the Company or any Restricted Subsidiary, which may include Capital Leases, Incurred on or after the Issue
Date no later than one year after the date of purchase or completion of construction or improvement of property or assets or the acquisition of the Capital Stock of any Person that owns such property or assets for the purpose of financing or
refinancing all or any part of the purchase price, leasing cost or cost of construction or improvement, and any Debt Incurred to refinance such Debt, in an aggregate principal amount not to exceed the greater of (i) $50.0 million and
(ii) 2.0% of Total Assets at any time outstanding; 
 (10) Debt of (x) the Company or any Guarantor
consisting of Guarantees of Debt of the Company or any Guarantor or (y) any Non-Guarantor Restricted Subsidiary consisting of Guarantees of Debt of another Non-Guarantor Restricted Subsidiary, in each case Incurred under any other clause
(including, without limitation, paragraph (a)) of this Section 4.06; 
 (11) Debt Incurred by the Company or
any Restricted Subsidiary representing deferred compensation to employees of the Company or a Restricted Subsidiary Incurred (x) in the ordinary course of business or (y) in connection with any acquisition permitted by this Indenture;

 (12) Debt consisting of promissory Notes issued by the Company or any Restricted Subsidiary to future, present
or former directors, officers, members of management, employees or consultants of 

  
 51 

 
the Company or any of its Subsidiaries or their respective estates, heirs, family members, spouses or former spouses to finance the purchase or redemption of Equity Interests of the Company
permitted by Section 4.07; 
 (13) Debt arising from the honoring by a bank or other financial institution
of a check, draft or similar instrument (except in the case of daylight overdrafts) drawn against insufficient funds in the ordinary course of business, provided, however, that such Debt is extinguished within five business days of Incurrence;

 (14) Debt of the Company or any Restricted Subsidiary supported by a letter of credit issued pursuant to
Credit Facilities that is Incurred under clause (b)(1) of this Section 4.06, in a principal amount not in excess of the stated amount of such letter of credit; 

(15) Debt Consisting of the financing of insurance premiums in the ordinary course of business; 

(16) Debt in respect of Cash Management Practices; 

(17) Debt Incurred in the ordinary course of business by the Exchange Companies in connection with “1031
exchange” transactions under Section 1031 of the Code (or regulations promulgated thereunder, including Revenue Procedure 2000-37) that is limited in recourse to the properties (real or personal) which are the subject of such “1031
exchange” transactions (collectively, the “Specified Non-Recourse Indebtedness”); 
 (18)
Debt of the Company or any Restricted Subsidiary Incurred on or after the Issue Date not otherwise permitted in an aggregate principal amount at any time outstanding, including any Permitted Refinancing Debt in respect thereof, not to exceed the
greater of (i) $75.0 million and (ii) 3.0% of Total Assets; and 
 (19) Debt arising from adjustment of
purchase price, earnouts or similar obligations, in each case, incurred or assumed in connection with the disposition of any business, assets or a Subsidiary; provided that such Debt is not reflected on the balance sheet of the Company or any
of its Restricted Subsidiaries (contingent obligations referred to in a footnote to financial statements and not otherwise reflected on the balance sheet will not be deemed to be reflected on such balance sheet for the purposes of this clause (19)).

  
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 (c) For purposes of determining compliance with this Section 4.06 in the event that an
item of Debt meets the criteria of more than one of the categories of Permitted Debt described in clauses (1) through (19) under Section 4.06(b) or is entitled to be Incurred pursuant to under Section 4.06(a), the Company shall,
in its sole discretion, classify or reclassify, or later divide, classify or reclassify, such item of Debt in any manner that complies with this Section 4.06 and may include the amount and type of such Debt in one or more of such clauses
(including in part under one such clause and in part under another such clause) and only be required to include the amount and type of such Debt in one of such clauses; provided that all Debt under the Credit Agreement outstanding on the
Issue Date shall be deemed to have been Incurred pursuant to clause (1) under Section 4.06(b) and the Company shall not be permitted to reclassify all or any portion of such Debt under the Credit Agreement outstanding on the Issue Date.

 (d) For purposes of determining compliance with any U.S. dollar-denominated restriction on the Incurrence of Debt, the U.S.
dollar-equivalent principal amount of Debt denominated in a foreign currency shall be calculated based on the relevant currency exchange rate in effect on the date such Debt was Incurred, in the case of term Debt, or first committed, in the case of
revolving credit Debt; provided that if such Debt is Incurred to refinance other Debt denominated in a foreign currency, and such refinancing would cause the applicable U.S. dollar-denominated restriction to be exceeded if calculated at the
relevant currency exchange rate in effect on the date of such refinancing, such U.S. dollar-denominated restriction shall be deemed not to have been exceeded so long as the principal amount of such refinancing Debt does not exceed the principal
amount of such Debt being refinanced. Notwithstanding any other provision of this Section 4.06, the maximum amount of Debt that the Company may Incur pursuant to this covenant shall not be deemed to be exceeded solely as a result of
fluctuations in the exchange rate of currencies. The principal amount of any Debt Incurred to refinance other Debt, if Incurred in a different currency from the Debt being refinanced, shall be calculated based on the currency exchange rate
applicable to the currencies in which such refinancing Debt is denominated that is in effect on the date of such refinancing. 

(e) Notwithstanding anything contained herein, neither the Company nor any Guarantor may Incur any Debt that is subordinate in right of
payment to other Debt of the Company or the Guarantor unless such Debt is also subordinate in right of payment to the Notes or the relevant Note Guaranty on substantially identical terms. This Indenture will not treat (1) unsecured Debt as
subordinated or junior to secured Debt merely because it is unsecured or (2) senior Debt as subordinated or junior to any other senior Debt merely because it has a junior priority with respect to the same collateral or by virtue of the fact
that the holders of such senior Debt have entered into intercreditor or other arrangements giving one or more of such holders priority over the other holders in the collateral held by them. 

  
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 Section 4.07. Limitation on Restricted Payments. (a) The Company will not,
and will not permit any Restricted Subsidiary to, directly or indirectly (the payments and other actions described in the following clauses being collectively “Restricted Payments”): 

(i) declare or pay any dividend or make any distribution on its Equity Interests (other than dividends or distributions
paid in the Company’s Qualified Equity Interests) held by Persons other than the Company or any of its Restricted Subsidiaries; 
 (ii) purchase, redeem or otherwise acquire or retire for value any Equity Interests of the Company or any Restricted Subsidiary held by Persons other than the Company or any of its Restricted
Subsidiaries; 
 (iii) repay, redeem, repurchase, defease or otherwise acquire or retire for value, or make any
payment on or with respect to, any Subordinated Debt except a payment of interest or principal at Stated Maturity (other than (x) Debt of the Company owing to and held by any Guarantor or Debt of a Guarantor owing to and held by the Company or
any other Guarantor permitted under Section 4.06(b)(2) or (y) a purchase, repurchase, redemption, defeasance or other acquisition or retirement for value in anticipation of satisfying a sinking fund obligation, principal installment or
final maturity, in each case due within one year of the date of such acquisition or retirement); or 
 (iv) make
any Investment other than a Permitted Investment; 
 unless, at the time of, and after giving effect to, the proposed Restricted Payment:

 (1) no Default has occurred and is continuing, 

(2) the Company could Incur at least $1.00 of Debt under the Fixed Charge Coverage Ratio test set forth in
Section 4.06(a), and 
 (3) the aggregate amount expended for all Restricted Payments (the amount so
expended, if other than in cash, to be as determined in good faith by the Board of Directors, whose determination shall be conclusive and evidenced by a resolution of the Board of Directors) made on or after the Issue Date would not, subject to
paragraph (c), exceed the sum of 

  
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 (A) 50% of the aggregate amount of the Consolidated Net Income (or, if the
Consolidated Net Income is a loss, minus 100% of the amount of the loss) accrued on a cumulative basis during the period, taken as one accounting period, beginning on July 1, 2008 and ending on the last day of the Company’s most recently
completed fiscal quarter for which internal financial statements are available, plus 
 (B) subject to paragraph
(c), the aggregate net cash proceeds and the fair value (as determined in good faith by the Board of Directors) of property or assets received (x) by the Company as capital contributions to the Company (other than from a Subsidiary) after the
Issue Date or (y) by the Company (other than from a Subsidiary) after the Issue Date from the issuance and sale of its Qualified Equity Interests, including by way of issuance of its Disqualified Equity Interests or Debt to the extent since
converted or exchanged into Qualified Equity Interests of the Company, plus 
 (C) an amount equal to the sum,
for all Unrestricted Subsidiaries, of the following: 
 (x) the cash return, after the Issue Date, on
Investments in an Unrestricted Subsidiary made after the Issue Date pursuant to this paragraph (a) as a result of dividends, distributions, cancellation of indebtedness for borrowed money owed by the Company or any Restricted Subsidiary to an
Unrestricted Subsidiary, interest payments, return of capital, repayments of Investments or other transfers of assets to the Company or any Restricted Subsidiary from any Unrestricted Subsidiary, any sale for cash, repayment, redemption, liquidating
distribution or other cash realization (not included in Consolidated Net Income), plus 
 (y) the portion
(proportionate to the Company’s equity interest in such Subsidiary) of the fair market value of the assets less liabilities of an Unrestricted Subsidiary at the time such Unrestricted Subsidiary is designated a Restricted Subsidiary, not to
exceed, in the case of any Unrestricted Subsidiary, the amount of Investments made after the Issue Date by the Company and its Restricted Subsidiaries in such Unrestricted Subsidiary pursuant to this paragraph (a), plus 

  
 55 

 (D) the cash return, after the Issue Date, on any other Investment made
after the Issue Date pursuant to this paragraph (a), as a result of any sale for cash, repayment, redemption, liquidating distribution or other cash realization (not included in Consolidated Net Income), not to exceed the amount of such Investment
so made. 
 The amount expended in any Restricted Payment, if other than in cash, will be deemed to be the fair market value of
the relevant non-cash assets, as determined in good faith by the Board of Directors, whose determination will be conclusive and evidenced by a Board Resolution. 
 (b) The foregoing will not prohibit any of the following: 
 (1) the
payment of any dividend, the making of any distribution or the redemption of any securities within 60 days after the date of declaration thereof or the giving of formal notice by the Company of such redemption if, at the date of declaration, such
payment, distribution or redemption would comply with Section 4.07(a); 
 (2) dividends or distributions by
a Restricted Subsidiary payable, on a pro rata basis or on a basis more favorable to the Company, to all holders of any class of Capital Stock of such Restricted Subsidiary a majority of which is held, directly or indirectly through Restricted
Subsidiaries, by the Company; 
 (3) the repayment, redemption, repurchase, defeasance or other acquisition or
retirement for value of Subordinated Debt with the proceeds of, or in exchange for, Permitted Refinancing Debt; 

(4) the purchase, redemption or other acquisition or retirement for value of Equity Interests of the Company or any
Restricted Subsidiary in exchange for, or out of the proceeds of a substantially concurrent offering of, Qualified Equity Interests of the Company or a substantially concurrent capital contribution to the Company; 

(5) the repayment, redemption, repurchase, defeasance or other acquisition or retirement of Subordinated Debt of the
Company in exchange for, or out of the proceeds of, a substantially concurrent offering of, Qualified Equity Interests of the Company or a substantially concurrent capital contribution to the Company; 

(6) any Investment made in exchange for, or out of the net cash proceeds of, a substantially concurrent offering of
Qualified Equity Interests of the Company or a substantially concurrent capital contribution to the Company; 

  
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 (7) the purchase, redemption or other acquisition or retirement for value of
Equity Interests of the Company held by any future, present or former officers, directors, employees, members of management or consultants (or their heirs, family members, spouses, former spouses or their estates or other beneficiaries under their
estates), upon death, disability, retirement, severance or termination of employment or pursuant to any agreement under which the Equity Interests were issued; provided that the aggregate cash consideration paid therefor in any calendar year
after the Issue Date does not exceed an aggregate amount of $20.0 million; 
 (8) the declaration and payment of
cash dividends on any Disqualified Stock of the Company or a Restricted Subsidiary or Preferred Stock of a Restricted Subsidiary Incurred after the Issue Date in compliance with Section 4.06; 

(9) the repurchase of any Subordinated Debt at a purchase price not greater than 101% of the principal amount thereof in
the event of (x) a change of control pursuant to a provision no more favorable to the holders thereof than Section 4.12 or (y) an Asset Sale pursuant to a provision no more favorable to the holders thereof than Section 4.13,
provided that, in each case, prior to the repurchase the Company has made an Offer to Purchase and repurchased all Notes issued under this Indenture that were validly tendered for payment in connection with the offer to purchase; 

(10) repurchases of Qualified Equity Interests deemed to occur upon exercise of stock options or warrants if such
Qualified Equity Interests represent a portion of the exercise price of such options or warrants; 
 (11) cash
payments in lieu of issuing fractional shares in connection with the exercise of warrants, options or other securities convertible into or exchangeable for Qualified Equity Interests of the Company and the Restricted Subsidiaries; 

(12) repurchases by the Company or any Restricted Subsidiary of Equity Interests or other ownership interests that were
not theretofore owned by the Company or a Subsidiary of the Company in any Restricted Subsidiary; 

  
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 (13) dividends on common stock not to exceed $40.0 million in any one
calendar year; 
 (14) any other Restricted Payment, which together with all other Restricted Payments made
pursuant to this clause (14) on or after the Issue Date, does not exceed the greater of (i) $75.0 million and (ii) 3.0% of Total Assets (net of, with respect to the Investment in any particular Person made pursuant to this clause, the
cash return thereon received after the Issue Date as a result of any sale for cash, repayment, redemption, liquidating distribution or other cash realization (not included in Consolidated Net Income) not to exceed the amount of such Investments in
such Person made after the Issue Date in reliance on this clause); 
 provided that, in the case of clauses (6), (7), (8) and
(13) no Default has occurred and is continuing or would occur as a result thereof. 
 (c) Proceeds of the issuance of
Qualified Equity Interests will be included under clause (3) of paragraph (a) only to the extent they are not applied as described in clause (4), (5) or (6) of paragraph (b). Restricted Payments permitted pursuant to clause (2),
(3), (4), (5), (6), (8), (9), (10), (11), (12), (13) or (14) will not be included in making the calculations under clause (3) of paragraph (a). 
 Section 4.08. Limitation on Liens. (a) The Company will not, and will not permit any Restricted Subsidiary to, directly or indirectly, Incur or permit to exist any Lien of any nature
whatsoever on any of its properties or assets, whether owned at the Issue Date or thereafter acquired, other than Permitted Liens, without effectively providing that the Notes or, in respect of Liens on any Restricted Subsidiary’s property or
assets, any Note Guaranty of such Restricted Subsidiary, are secured equally and ratably with (or, if the obligation to be secured by the Lien is subordinated in right of payment to the Notes or any Note Guaranty, prior to) the obligations so
secured for so long as such obligations are so secured. 
 (b) Any such Lien shall be automatically and unconditionally released
and discharged in all respects upon (i) the release and discharge of the other Lien to which it relates (except a release and discharge upon payment of the obligation secured by such Lien during the pendency of any Default or Event of Default
under this Indenture, in which case such Liens shall only be discharged and released upon payment of the Notes or cessation of such Default or Event of Default), (ii) in the case of any such Lien in favor of any such Note Guaranty, upon the
termination and discharge of such Note Guaranty in accordance with the terms of this Indenture or (iii) any sale, exchange or transfer (other than a transfer constituting a transfer of all or substantially all of the assets of the Company that

  
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is governed by Section 5.01) in compliance with this Indenture to any Person (not an Affiliate of the Company) of the property or assets secured by such initial Lien, or of all of the
Capital Stock held by the Company or any Restricted Subsidiary in, or all or substantially all the assets of, any Restricted Subsidiary creating such initial Lien). 
 Section 4.09. Limitation on Sale and Leaseback Transactions. The Company will not, and will not permit any Restricted Subsidiary to, enter into any Sale and Leaseback Transaction with respect
to any property or asset unless the Company or the Restricted Subsidiary would be entitled to 
 (A) Incur Debt
in an amount equal to the Attributable Debt with respect to such Sale and Leaseback Transaction pursuant to Section 4.06, and 
 (B) create a Lien on such property or asset securing such Attributable Debt pursuant to Section 4.08, 
 in which case, the corresponding Debt and Lien will be deemed Incurred pursuant to those provisions. 
 Section 4.10. Limitation on Dividend and other Payment Restrictions Affecting Restricted Subsidiaries. (a) Except as provided in paragraph (b), the Company will not, and will not permit
any Restricted Subsidiary to, create or otherwise cause or permit to exist or become effective any consensual encumbrance or restriction of any kind on the ability of any Restricted Subsidiary to 

(1) pay dividends or make any other distributions on any Equity Interests of the Restricted Subsidiary owned by the
Company or any other Restricted Subsidiary, 
 (2) pay any Debt or other obligation owed to the Company or any
other Restricted Subsidiary, 
 (3) make loans or advances to the Company or any other Restricted Subsidiary, or

 (4) transfer any of its property or assets to the Company or any other Restricted Subsidiary. 

(b) The provisions of paragraph (a) do not apply to any encumbrances or restrictions 

  
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 (1) existing on the Issue Date in the Credit Agreement, this Indenture or
any other agreements or instruments in effect on the Issue Date, and any extensions, renewals, replacements or refinancings of any of the foregoing; provided the encumbrances and restrictions in the extension, renewal, replacement or
refinancing are, taken as a whole, not materially less favorable to the Noteholders than the encumbrances or restrictions being extended, renewed, replaced or refinanced; 

(2) existing under or by reason of applicable law, rule, regulation or order, or required by any regulatory authority
having jurisdiction over the Company or any Restricted Subsidiary or any of their businesses; 
 (3) existing
(including, without limitation, as part of the terms of any Acquired Debt) 
 (A) with respect to any Person, or
to the property or assets of any Person, at the time the Person is acquired by the Company or any Restricted Subsidiary, or 
 (B) with respect to any Unrestricted Subsidiary at the time it is designated or is deemed to become a Restricted Subsidiary, 
 which encumbrances or restrictions (i) are not applicable to any other Person or the property or assets of any other Person and (ii) were not put in place in anticipation of such event, and any
extensions, renewals, replacements or refinancings of any of the foregoing, provided the encumbrances and restrictions in the extension, renewal, replacement or refinancing are, taken as a whole, not materially less favorable to the
Noteholders than the encumbrances or restrictions being extended, renewed, replaced or refinanced; 
 (4) (A)
that restricts in a customary manner the subletting, assignment or transfer of any property or asset that is subject to a lease, license or similar contract, or the assignment or transfer of any lease, license or other contract, (B) by virtue
of any transfer of, agreement to transfer, option or right with respect to, or Lien on, any property or assets of the Company or any Restricted Subsidiary not otherwise prohibited by this Indenture, (C) contained in mortgages, pledges or other
security agreements securing Debt of a Restricted Subsidiary (permitted by this Indenture) to the extent restricting the transfer of the property or assets subject thereto, (D) pursuant to customary provisions restricting dispositions of real
property interests set forth in any reciprocal easement 

  
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agreements of the Company or any Restricted Subsidiary, (E) pursuant to purchase money obligations or Capital Lease obligations (permitted by this Indenture) that impose encumbrances or
restrictions on the property or assets so acquired, (F) on cash or other deposits or net worth imposed by customers or suppliers under agreements entered into in the ordinary course of business, (G) pursuant to customary provisions
contained in agreements, including, without limitation, any joint venture agreements, and instruments entered into in the ordinary course of business (including but not limited to leases, sale and leaseback agreements, asset sale agreements and
joint venture and other similar agreements entered into in the ordinary course of business), or (H) pursuant to customary provisions in Hedging Agreements, permitted by this Indenture; 

(5) with respect to a Restricted Subsidiary (or any of its property or assets) and imposed pursuant to an agreement that
has been entered into for the sale or disposition of all or substantially all of the Capital Stock of, or property and assets of, the Restricted Subsidiary that is permitted by Section 4.13; 

(6) contained in the terms governing any Permitted Refinancing Debt if (as determined in good faith by the Board of
Directors) the encumbrances or restrictions are, taken as a whole, no less favorable in any material respect to the Noteholders than those contained in the agreements governing the Debt being refinanced; 

(7) any customary encumbrances or restrictions contained in (i) any Credit Facilities extended to any Foreign
Subsidiary of the Company permitted to be Incurred under this Indenture or (ii) Debt, Preferred Stock or Disqualified Stock permitted to be Incurred under this Indenture; provided that the Board of Directors determines in good faith that
such restrictions will not have a material adverse effect on the Company’s ability to pay principal and interest on the Notes; 
 (8) any customary restrictions imposed in connection with a Securitization Financing; or 
 (9) required pursuant to this Indenture. 
 Section 4.11. Guaranties by
Restricted Subsidiaries. If any Domestic Restricted Subsidiary Guarantees any Debt under the Credit Agreement after the date of this Indenture, the Restricted Subsidiary must provide a Note Guaranty, and, if the Guaranteed Debt is Subordinated
Debt, the Guarantee of such Guaranteed Debt must be subordinated in right of payment to the Note Guaranty to at least the extent that the Guaranteed Debt is subordinated to the Notes. 

  
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 A Restricted Subsidiary required to provide a Note Guaranty shall execute a supplemental
indenture in the form of Exhibit B. 
 Section 4.12. Repurchase of Notes Upon a Change of Control. (a) Not
later than 30 days following a Change of Control, the Company will make an Offer to Purchase (a “Change of Control Offer”) all outstanding Notes at a purchase price equal to 101% of the principal amount plus accrued interest to the
date of purchase (subject to the right of Holders of record on the relevant Regular Record Date to receive interest due on the relevant Interest Payment Date); provided, however, that the Company shall not be obligated to repurchase
Notes pursuant to this Section 4.12 in the event that it has exercised its right to redeem all of the Notes as described in Section 3.01(b). 
 (b) The Company will not be required to make a Change of Control Offer upon a Change of Control if (i) a third party makes the Change of Control Offer in the manner, at the times and otherwise in
compliance with the requirements set forth in this Indenture applicable to a Change of Control Offer made by the Company and purchases all Notes validly tendered and not withdrawn under such Change of Control Offer, or (ii) notice of redemption
has been given pursuant to this Indenture as described in Section 3.01, unless and until there is a default of the applicable redemption price. A Change of Control Offer may be made in advance of a Change of Control, with the obligation to pay
and the timing of payment conditioned upon the consummation of the Change of Control, if a definitive agreement to effect a Change of Control is in place at the time of the Change of Control Offer. 

Section 4.13. Limitation on Asset Sales. (a) The Company will not, and will not permit any Restricted Subsidiary to,
make any Asset Sale unless the following conditions are met: 
 (1) The Asset Sale is for Fair Market Value, as
determined in good faith by the Board of Directors. 
 (2) At least 75% of the consideration consists of cash or
Cash Equivalents received at closing. (For purposes of this clause (2), (A) the assumption by the purchaser of Debt or other obligations (other than Subordinated Debt) of the Company or a Restricted Subsidiary pursuant to a customary novation
agreement, and instruments or securities received from the purchaser that are promptly, but in any event within 30 days of the closing, converted by the Company to cash or Cash Equivalents, to the extent of the cash or Cash Equivalents actually so
received, shall be considered cash received at closing and (B) any Designated Non-cash Consideration received by the Issuer or any of its Restricted Subsidiaries in such Asset Sale having an aggregate Fair Market Value, taken together

  
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with all other Designated Non-cash Consideration received pursuant to this clause (B) that is at that time outstanding, not to exceed the greater of (x) 75.0 million and (y) 3.0%
of Total Assets, at the time of the receipt of such Designated Non-cash Consideration (with the Fair Market Value of each item of Designated Non-cash Consideration being measured at the time received and without giving effect to subsequent changes
in value). 
 (3) Within 360 days after the receipt of any Net Cash Proceeds from an Asset Sale, the Net Cash
Proceeds may be used 
 (A) to permanently repay secured Debt (and in the case of a revolving credit, permanently
reduce the commitment thereunder by such amount), in each case owing to a Person other than the Company or any Restricted Subsidiary, 
 (B) to (i) reduce the Obligations under the Notes as provided under Section 3.01, (ii) to repurchase, acquire, redeem, defease, discharge or retire in any manner the Notes through open
market purchases (provided that the purchase price is at least 100% (or, if issued with original issue discount, the accreted value) of the principal amount plus accrued interest), (iii) to reduce Obligations under the Notes and any Obligations
under any Debt ranking pari passu in right of payment with the Notes (“pari passu Debt”) by making an Offer to Purchase the Notes and any pari passu Debt in the manner described in clause (4) below, or (iv) to repurchase,
acquire, redeem, defease, discharge or retire in any manner any Debt, Disqualified Stock or Preferred Stock of any Restricted Subsidiary that is not a Guarantor, or 

(C) to acquire all or substantially all of the assets of a Permitted Business, or a majority of the Voting Stock of
another Person that thereupon becomes a Restricted Subsidiary engaged in a Permitted Business, or to make capital expenditures or otherwise acquire assets that are being used or to be used in a Permitted Business, provided that a binding
commitment entered into not later than such 360th day shall extend the period for such acquisition or investment for an additional 180 days after the end of such 360-day period so long as the Company or the applicable Restricted Subsidiary enters
into such commitment with the good faith expectation that such Net Cash Proceeds will be applied to satisfy such commitment within such 180 day period and, in the event such commitment is cancelled or terminated or for any reason such Net Cash
Proceeds are not so applied within such period, then such Net Cash Proceeds shall constitute Excess Proceeds on such 180th day; 

  
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 provided that pending the final application of any such Net Cash Proceeds in
accordance with clause (A), (B) or (C) above, the Company and its Restricted Subsidiaries may temporarily reduce Debt or otherwise invest such Net Cash Proceeds in any manner not prohibited by this Indenture. 

(4) The Net Cash Proceeds of an Asset Sale not applied pursuant to clause (3) within 360 days after the receipt of
any Net Cash Proceeds from such Asset Sale (or such later date as permitted in Section 4.13(a)(3)(C)) constitute “Excess Proceeds”. Excess Proceeds of less than $15.0 million will be carried forward and accumulated. When accumulated
Excess Proceeds equals or exceeds $15.0 million, the Company must, within 30 days, make an Offer to Purchase Notes having a principal amount equal to (the “purchase amount”) 

(A) accumulated Excess Proceeds, multiplied by 

(B) a fraction (x) the numerator of which is equal to the outstanding principal amount of the Notes and (y) the
denominator of which is equal to the outstanding principal amount of the Notes and all pari passu Debt similarly required to be repaid, redeemed or tendered for in connection with the Asset Sale, 

rounded down to the nearest $1,000. The purchase price for the Notes will be 100% of the principal amount (or, if issued with original
issue discount, the accreted value) plus accrued interest to the date of purchase. If the Offer to Purchase is for less than all of the outstanding notes and notes in an aggregate principal amount in excess of the purchase amount are tendered and
not withdrawn pursuant to the Offer to Purchase, the Company will purchase notes having an aggregate principal amount equal to the purchase amount on a pro rata basis, with adjustments so that only notes in multiples of $1,000 principal amount will
be purchased. Upon completion of the Offer to Purchase, Excess Proceeds will be reset at zero, and any Excess Proceeds remaining after consummation of the Offer to Purchase may be used for any purpose not otherwise prohibited by this Indenture.

 Section 4.14. Limitation on Transactions with Affiliates. (a) The Company will not, and will not permit any
Restricted Subsidiary to, directly or indirectly, enter into, renew or extend any transaction or arrangement including the purchase, sale, lease or exchange of property or assets, or the rendering of any service with any Affiliate of the Company or
of any Restricted Subsidiary involving aggregate payments or consideration in excess of $5.0 million (each 

  
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such person, a “Related Person” and, each such transaction, a “Related Party Transaction”), except upon fair and reasonable terms no less favorable to the
Company or the Restricted Subsidiary than could be obtained in a comparable arm’s-length transaction with a Person that is not an Affiliate of the Company. 
 (b) Any Related Party Transaction or series of Related Party Transactions with an aggregate value in excess of $35.0 million must first be approved by a majority of the Board of Directors who are
disinterested in the subject matter of the transaction pursuant to a Board Resolution delivered to the trustee. 
 (c) The
foregoing paragraphs do not apply to any of the following transactions: 
 (1) any transaction between the
Company and any of its Restricted Subsidiaries or between Restricted Subsidiaries of the Company; 
 (2) the
payment of reasonable and customary fees to directors of the Company who are not employees of the Company; 
 (3)
any Restricted Payment permitted to be paid pursuant to Section 4.07 or any Permitted Investment; 
 (4) (a)
the entering into, maintaining or performance of any employment contract, collective bargaining agreement, benefit plan, program or arrangement, related trust agreement or any other similar arrangement for or with any employee, officer or director
heretofore or hereafter entered into in the ordinary course of business, including vacation, health, insurance, deferred compensation, severance, retirement, savings or other similar plans, programs or arrangements, (b) the payment of
compensation, performance of indemnification or contribution obligations, or any issuance, grant or award of stock, options, other equity-related interests or other securities, to employees, officers or directors in the ordinary course of business,
(c) the payment of reasonable fees to directors of the Company or any of its Restricted Subsidiaries (as determined in good faith by the Company or such Subsidiary) or (d) to the extent permitted by law, loans or advances made to
directors, officers or employees of the Company or any Restricted Subsidiary (x) in respect of travel, entertainment or moving-related expenses Incurred in the ordinary course of business, or (y) in the ordinary course of business and (in
the case of this clause (y)) not exceeding $10.0 million in the aggregate outstanding at any time; 

  
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 (5) transactions pursuant to any contract, agreement or instrument in effect
on the date of this Indenture, as amended, modified or replaced from time to time so long as the amended, modified or new agreements, taken as a whole, are no less favorable to the Company and its Restricted Subsidiaries than those in effect on the
date of this Indenture; 
 (6) transactions with Persons solely in their capacity as holders of a minority of any
class of Debt or Capital Stock of the Company or any of its Restricted Subsidiaries, where such Persons are treated no more favorably than holders of such class of Debt or Capital Stock of the Company or such Restricted Subsidiary generally;

 (7) transactions with customers, clients, suppliers, or purchasers or sellers of goods or services in the
ordinary course of business and consistent with past business practices and approved by the Board of Directors; 

(8) sales of Capital Stock (other than Disqualified Stock) of the Company or any capital contribution to the Company;

 (9) any transaction with any Person who is not a Related Party immediately before the consummation of such
transaction that becomes a Related Party as a result of such transaction; 
 (10) transactions in which the
Company obtains a favorable written opinion from a nationally recognized investment banking firm as to the fairness of the transaction to the Company and its Restricted Subsidiaries from a financial point of view; 

(11) the granting or performance of registration rights under a customary registration rights agreement; or 

(12) any transaction with a Securitization Vehicle as part of a Securitization Financing permitted under this Indenture.

 Section 4.15. Designation of Restricted and Unrestricted Subsidiaries. (a) The Board of Directors may
designate any Subsidiary, including a newly acquired or created Subsidiary or a Person becoming a Subsidiary through merger or consolidation or Investment therein, to be an Unrestricted Subsidiary if it meets the following qualifications and the
designation would not cause a Default. 
 (1) Such Subsidiary does not own any Capital Stock of the Company or
any Restricted Subsidiary (other than a Restricted Subsidiary that is contemporaneously being designated as an Unrestricted Subsidiary) or hold any Debt of, or any Lien on any property of, the Company or any Restricted Subsidiary (except to the
extent permitted by this Indenture); and 

  
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 (2) At the time of designation, the designation would be permitted under
Section 4.07. 
 (3) To the extent the Debt of the Subsidiary is not Non-Recourse Debt, any Guarantee or
other credit support thereof by the Company or any Restricted Subsidiary is permitted under Section 4.06 and Section 4.07. 
 (4) The Subsidiary is not party to any transaction or arrangement with the Company or any Restricted Subsidiary that would not be permitted under Section 4.14. 

(5) Neither the Company nor any Restricted Subsidiary has any obligation to subscribe for additional Equity Interests of
the Subsidiary or to maintain or preserve its financial condition or cause it to achieve specified levels of operating results except to the extent permitted by Section 4.06 and Section 4.07. 

Once so designated the Subsidiary will remain an Unrestricted Subsidiary, subject to paragraph (b). 

(b) (1) A Subsidiary previously designated an Unrestricted Subsidiary which at any time fails to meet the qualifications set forth
in paragraph (a) will be deemed to become at that time a Restricted Subsidiary, subject to the consequences set forth in paragraph (d). 
 (2) The Board of Directors may designate an Unrestricted Subsidiary to be a Restricted Subsidiary if the designation would not cause a Default. 

(c) Upon a Restricted Subsidiary becoming an Unrestricted Subsidiary, 

(1) all existing Investments of the Company and the Restricted Subsidiaries therein (valued at the Company’s
proportional share of the fair market value of its assets less liabilities) will be deemed made at that time; 

(2) all existing Capital Stock or Debt of the Company or a Restricted Subsidiary held by it will be deemed Incurred at
that time, and all Liens on property of the Company or a Restricted Subsidiary held by it will be deemed Incurred at that time; 

  
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 (3) all existing transactions between it and the Company or any Restricted
Subsidiary will be deemed entered into at that time; 
 (4) it is released at that time from its Note Guaranty,
if any; and 
 (5) it will cease to be subject to the provisions of this Indenture as a Restricted Subsidiary.

 (d) Upon an Unrestricted Subsidiary becoming, or being deemed to become, a Restricted Subsidiary, 

(1) all of its Debt and Disqualified or Preferred Stock will be deemed Incurred at that time for purposes of
Section 4.06, but will not be considered the sale or issuance of Equity Interests for purposes of Section 4.13; 
 (2) Investments therein previously charged under Section 4.07 will be credited thereunder; 
 (3) it may be required to issue a Note Guaranty of the Notes pursuant to Section 4.11; and 
 (4) it will thenceforward be subject to the provisions of this Indenture as a Restricted Subsidiary. 
 (e) Any designation by the Board of Directors of a Subsidiary as a Restricted Subsidiary or Unrestricted Subsidiary will be evidenced to the Trustee by promptly filing with the Trustee a copy of the Board
Resolution giving effect to the designation and an Officer’s Certificate certifying that the designation complied with the foregoing provisions. 
 Section 4.16. Financial Reports. (a) Whether or not the Company is subject to the reporting requirements of Section 13 or 15(d) of the Exchange Act, the Company must provide the
Trustee and Noteholders within the time periods (including any extension periods under Rule 12b-25 of the Exchange Act) specified in those sections with 
 (1) all quarterly and annual financial information that would be required to be contained in a filing with the SEC on Forms 10-Q and 10-K if the Company were required to file such forms, including a
“Management’s Discussion and Analysis of Financial Condition and Results of Operations” and, with respect to annual information only, a report thereon by the Company’s certified independent accountants, and 

(2) all current reports that would be required to be filed with the SEC on Form 8-K if the Company were required to file
such reports; 

  
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 provided, however, that the reports set forth in clauses (1) and (2) above shall not be
required to: (x) contain any certification required by any such form or the Sarbanes-Oxley Act of 2002, (y) include separate financial statements of any Guarantor or (z) include any exhibit. 

In addition, whether or not required by the SEC, the Company will, if the SEC will accept the filing, file a copy of all of the
information and reports referred to in clauses (1) and (2) with the SEC for public availability within the time periods specified in the SEC’s rules and regulations. If the Company had any Unrestricted Subsidiaries during the relevant
period and the consolidated EBITDA of all Unrestricted Subsidiaries taken together exceeds 5% of the consolidated EBITDA of the Company and its Subsidiaries, then the Company will also provide to the Trustees and the Noteholders information
sufficient to ascertain the financial condition and results of operations of the Company and its Restricted Subsidiaries, excluding in all respects the Unrestricted Subsidiaries. 

(b) All obligors on the Notes will comply with Section 314(a) of the Trust Indenture Act. 

(c) Delivery of these reports and information to the Trustee is for informational purposes only and the Trustee’s receipt of them
will not constitute constructive notice of any information contained therein or determinable from information contained therein, including the Company’s compliance with any of its covenants hereunder (as to which the Trustee is entitled to rely
exclusively on Officers’ Certificates). 
 (d) For purposes of this Section 4.16, the Company will be deemed to have
furnished all required reports and information referred to in this Section 4.16 to the Trustee, the holders of Notes, securities analysts or prospective investors as required by this Section 4.16 if it has filed the reports referred to in
paragraph (a) with the SEC via the EDGAR filing system and such reports are publicly available. 
 (e) Notwithstanding
anything herein to the contrary, the Company will not be deemed to have failed to comply with any of its agreements set forth under this Section 4.16 for purposes of clause (4) of Section 6.01 and such failure shall not constitute a
“Default” until 60 days after the date any report required to be provided by this Section 4.16 is due. 

Section 4.17. Reports to Trustee. (a) The Company will deliver to the Trustee within 120 days after the end of each
fiscal year a certificate stating that the Company has fulfilled its obligations hereunder or, if there has been a Default, specifying the Default and its nature and status. 

  
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 (b) The Company will deliver to the Trustee, as soon as possible and in any event within 30
days after the Company becomes actually aware of the occurrence of a Default, an Officers’ Certificate setting forth the details of the Default, and the action which the Company proposes to take with respect thereto. 

(c) The Company will notify the Trustee in writing when any Notes are listed on any national securities exchange and of any delisting.

 Section 4.18. Suspension of Certain Covenants when Notes Rated Investment Grade. (a) During any period of
time that: (i) the Notes have an Investment Grade Rating from either Rating Agency and (ii) no Default or Event of Default has occurred and is continuing under this Indenture (the occurrence of the events described in the foregoing clauses
(i) and (ii) being collectively referred to as a “Covenant Suspension Event”), the Company and the Restricted Subsidiaries will not be subject to Section 4.06, Section 4.07, Section 4.10, Section 4.13,
Section 4.14 and Section 5.01(a)(3) (collectively, the “Suspended Covenants”). 
 (b) Upon the
occurrence of a Covenant Suspension Event, the amount of Net Cash Proceeds that have not been invested or applied as provided under Section 4.13 shall be set at zero as of such date (the “Suspension Date”). In the event that,
on any date subsequent to any Suspension Date (the “Reversion Date”), both Rating Agencies withdraw their Investment Grade Rating or downgrade such rating to below an Investment Grade Rating such that the Notes do not have an
Investment Grade Rating from either Rating Agency, then the Company and the Restricted Subsidiaries shall thereafter again be subject to the Suspended Covenants with respect to future events. The period of time between the Suspension Date and the
Reversion Date is referred to in this description as the “Suspension Period.” Notwithstanding the reinstatement of the Suspended Covenants, no Default or Event of Default will be deemed to have occurred as a result of a failure to
comply with the Suspended Covenants during the Suspension Period (or upon termination of the Suspension Period or after that time based solely on events that occurred during the Suspension Period). 

(c) On the Reversion Date all Debt Incurred during the Suspension Period will be classified as having been outstanding on the Issue Date,
so that it is classified as permitted under clause (b)(8) of Section 4.06. Calculations made after the Reversion Date of the amount available to be made as Restricted Payments under Section 4.07 will be made as though the covenant
described under Section 4.07 had been in effect since the Issue Date and throughout the Suspension Period. Accordingly, Restricted Payments made during the 

  
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Suspension Period will reduce the amount available to be made as Restricted Payments under the first paragraph of Section 4.07. In addition, for purposes of Section 4.14, all agreements
and arrangements entered into by the Company or any Restricted Subsidiary with an Affiliate of the Company during the Suspension Period will be deemed to have been entered into on or prior to the Issue Date, and for purposes of Section 4.10,
all contracts entered into during the Suspension Period that contain any of the restrictions contemplated by such covenant will be deemed to have been existing on the Issue Date. 

ARTICLE 5 

CONSOLIDATION, MERGER OR SALE OF ASSETS

 Section 5.01. Consolidation, Merger or Sale of Assets by the Company; No Lease of All or Substantially All Assets.
(a) The Company will not 
 (i) consolidate with or merge with or into any Person, or 

(ii) sell, convey, transfer, or otherwise dispose of all or substantially all of its assets as an entirety or
substantially an entirety, in one transaction or a series of related transactions, to any Person or 
 (iii)
permit any Person to merge with or into the Company 
 unless 

(1) either (x) the Company is the continuing Person or (y) the resulting, surviving or transferee Person is a
Person organized and validly existing under the laws of the United States of America or any jurisdiction thereof and expressly assumes by supplemental indenture all of the obligations of the Company under this Indenture and the Notes,
provided that in the case where the surviving Person is not a corporation, a co-obligor of the Notes is a corporation; 
 (2) immediately after giving effect to the transaction, no Default has occurred and is continuing; 
 (3) immediately after giving effect to the transaction on a pro forma basis, (A) the Company or the resulting, surviving or transferee Person could Incur at least $1.00 of Debt under the Fixed Charge
Coverage Ratio test set forth in Section 4.06(a) or (B) the Fixed Charge Coverage Ratio for the Company and its Restricted Subsidiaries following such transaction would be greater than such ratio for the Company and its Restricted
Subsidiaries immediately prior to such transaction; and 
 (4) the Company delivers to the Trustee an
Officers’ Certificate and an Opinion of Counsel, each stating that the consolidation, merger or transfer and the supplemental indenture (if any) comply with this Indenture; 

  
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 provided that clauses (2) and (3) do not apply (i) to the consolidation or merger, or
transfer of all or substantially all the assets, of the Company with, into or to a Wholly-Owned Restricted Subsidiary or the consolidation or merger, or transfer of all or substantially all the assets, of a Wholly-Owned Restricted Subsidiary with,
into or to the Company or (ii) if, in the good faith determination of the Board of Directors of the Company, whose determination is evidenced by a Board Resolution, the sole purpose of the transaction is to change the jurisdiction of
incorporation of the Company or changing its legal structure to another form of Person. 
 (b) The Company shall not lease all
or substantially all of its assets, whether in one transaction or a series of transactions, to one or more other Persons. 
 (c)
Upon the consummation of any transaction effected in accordance with these provisions, if the Company is not the continuing Person, the resulting, surviving or transferee Person will succeed to, and be substituted for, and may exercise every right
and power of, the Company under this Indenture and the Notes with the same effect as if such successor Person had been named as the Company in this Indenture. Upon such substitution, unless the successor is one or more of the Company’s
Subsidiaries, the Company will be released and discharged in all respects from its obligations under this Indenture and the Notes. 
 Section 5.02. Consolidation, Merger or Sale of Assets by a Guarantor. (a) No Guarantor may 
 (i) consolidate with or merge with or into any Person, or 
 (ii)
sell, convey, transfer or dispose of, all or substantially all its assets as an entirety or substantially as an entirety, in one transaction or a series of related transactions, to any Person, or 

(iii) permit any Person to merge with or into the Guarantor 

unless 
 (A) the other Person is the Company or any Restricted Subsidiary that is a Guarantor or becomes a Guarantor concurrently with the transaction; or 

  
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 (B) (1) either (x) the Guarantor is the continuing Person or
(y) the resulting, surviving or transferee Person expressly assumes by supplemental indenture all of the obligations of the Guarantor under its Note Guaranty; and 

(2) immediately after giving effect to the transaction, no Default has occurred and is continuing; or 

(C) the transaction constitutes a sale or other disposition (including by way of consolidation or merger) of the Guarantor
or the sale or disposition of all or substantially all the assets of the Guarantor (in each case other than to the Company or a Restricted Subsidiary) otherwise permitted by this Indenture. 

ARTICLE 6 

DEFAULT AND REMEDIES 
 Section 6.01. Events of Default. An “Event of Default” occurs if 
 (1) the Company defaults in the payment of the principal of any Note when the same becomes due and payable at maturity, upon acceleration or redemption, or otherwise (other than pursuant to an Offer to
Purchase); 
 (2) the Company defaults in the payment of interest on any Note when the same becomes due and
payable, and the default continues for a period of 30 days; 
 (3) the Company fails to accept and pay for Notes
tendered when and as required pursuant to Section 4.12 or Section 4.13, or the Company or any Guarantor fails to comply with Article 5; 
 (4) the Company defaults in the performance of or breaches any other covenant or agreement of the Company in this Indenture or under the Notes and the default or breach continues for a period of 60
consecutive days after written notice (a “default notice”) to the Company by the Trustee or to the Company and the Trustee by the Holders of 25% or more in aggregate principal amount of the Notes; 

(5) there occurs with respect to any Debt of the Company or any of its Material Subsidiaries having an outstanding
principal amount of $80.0 million or more in the aggregate for all such Debt of all such Persons (i) an event of default that results in such Debt being due and payable prior to its scheduled maturity or (ii) failure to make a principal
payment when due and such defaulted payment is not made, waived or extended within the applicable grace period; 

  
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 (6) one or more final judgments or orders of a court of competent
jurisdiction for the payment of money are rendered against the Company or any of its Material Subsidiaries and are not paid or discharged, and there is a period of 60 consecutive days following entry of the final judgment or order that causes the
aggregate amount for all such final judgments or orders outstanding and not paid or discharged against all such Persons to exceed $80.0 million (in excess of amounts which the Company’s insurance carriers have agreed to pay under applicable
policies) during which a stay of enforcement, by reason of a pending appeal or otherwise, is not in effect; 

(7) an involuntary case or other proceeding is commenced against the Company or any Material Subsidiary with respect to it
or its debts under any bankruptcy, insolvency or other similar law now or hereafter in effect seeking the appointment of a trustee, receiver, liquidator, custodian or other similar official of it or any substantial part of its property, and such
involuntary case or other proceeding remains undismissed and unstayed for a period of 60 days; or an order for relief is entered against the Company or any Material Subsidiary under the federal bankruptcy laws as now or hereafter in effect;

 (8) the Company or any of its Material Subsidiaries (i) commences a voluntary case under any applicable
bankruptcy, insolvency or other similar law now or hereafter in effect, or consents to the entry of an order for relief in an involuntary case under any such law, (ii) consents to the appointment of or taking possession by a receiver,
liquidator, assignee, custodian, trustee, sequestrator or similar official of the Company or any of its Material Subsidiaries or for all or substantially all of the property and assets of the Company or any of its Material Subsidiaries or
(iii) effects any general assignment for the benefit of creditors (an event of default specified in clause (7) or (8) a “bankruptcy default”); or 

(9) any Note Guaranty ceases to be in full force and effect, other than in accordance the terms of this Indenture, or a
Guarantor denies or disaffirms its obligations under its Note Guaranty. 
 Section 6.02. Acceleration. (a) If
an Event of Default, other than a bankruptcy default with respect to the Company, occurs and is continuing under this Indenture, the Trustee or the Holders of at least 25% in aggregate principal amount of the Notes then outstanding, by written
notice to the Company (and to 

  
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the Trustee if the notice is given by the Holders), may, and the Trustee at the request of such Holders shall, declare the principal of and accrued interest on the Notes to be immediately due and
payable. Upon a declaration of acceleration, such principal and interest will become immediately due and payable. If a bankruptcy default occurs with respect to the Company, the principal of and accrued interest on the Notes then outstanding will
become immediately due and payable without any declaration or other act on the part of the Trustee or any Holder. 
 (b) The
Holders of a majority in principal amount of the outstanding Notes by written notice to the Company and to the Trustee may waive all past defaults and rescind and annul a declaration of acceleration and its consequences if 

(1) all existing Events of Default, other than the nonpayment of the principal of, premium, if any, and interest on the
Notes that have become due solely by the declaration of acceleration, have been cured or waived, and 
 (2) the
rescission would not conflict with any judgment or decree of a court of competent jurisdiction. 
 Section 6.03. Other
Remedies. If an Event of Default occurs and is continuing, the Trustee may pursue, in its own name or as trustee of an express trust, any available remedy by proceeding at law or in equity to collect the payment of principal of and interest on
the Notes or to enforce the performance of any provision of the Notes or this Indenture. The Trustee may maintain a proceeding even if it does not possess any of the Notes or does not produce any of them in the proceeding. 

Section 6.04. Waiver of Past Defaults. Except as otherwise provided in Sections 6.02, 6.07 and 9.02, the Holders of a
majority in principal amount of the outstanding Notes may, by notice to the Trustee, waive (including, without limitation, waivers or consents obtained in connection with a purchase of, or a tender offer or exchange offer for, Notes) an existing
Default or Event of Default and its consequences. Upon such waiver, the Default will cease to exist, and any Event of Default arising therefrom will be deemed to have been cured, but no such waiver will extend to any subsequent or other Default or
impair any right consequent thereon. 
 Section 6.05. Control by Majority. The Holders of a majority in aggregate
principal amount of the outstanding Notes may direct the time, method and place of conducting any proceeding for any remedy available to the Trustee or exercising any trust or power conferred on the Trustee. However, the Trustee

  
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may refuse to follow any direction that conflicts with law or this Indenture, that may involve the Trustee in personal liability, or that the Trustee determines in good faith may be unduly
prejudicial to the rights of Holders of Notes not joining in the giving of such direction, and may take any other action it deems proper that is not inconsistent with any such direction received from Holders of Notes. 

Section 6.06. Limitation on Suits. A Holder may not institute any proceeding, judicial or otherwise, with respect to this
Indenture or the Notes, or for the appointment of a receiver or trustee, or for any other remedy under this Indenture or the Notes, unless: 
 (1) the Holder has previously given to the Trustee written notice of a continuing Event of Default; 
 (2) Holders of at least 25% in aggregate principal amount of outstanding Notes have made written request to the Trustee to institute proceedings in respect of the Event of Default in its own name as
Trustee under this Indenture; 
 (3) Holders have offered to the Trustee indemnity reasonably satisfactory to the
Trustee against any costs, liabilities or expenses to be Incurred in compliance with such request; 
 (4) the
Trustee for 60 days after its receipt of such notice, request and offer of indemnity has failed to institute any such proceeding; and 
 (5) during such 60-day period, the Holders of a majority in aggregate principal amount of the outstanding Notes have not given the Trustee a written direction that is inconsistent with such written
request. 
 Section 6.07. Rights of Holders to Receive Payment. Notwithstanding anything to the contrary, the right
of a Holder of a Note to receive payment of principal of or interest on its Note on or after the Stated Maturities thereof, or to bring suit for the enforcement of any such payment on or after such respective dates, may not be impaired or affected
without the consent of that Holder. 
 Section 6.08. Collection Suit by Trustee. If an Event of Default in payment
of principal or interest specified in clause (1) or (2) of Section 6.01 occurs and is continuing, the Trustee may recover judgment in its own name and as trustee of an express trust for the whole amount of principal and accrued
interest remaining unpaid, together with interest on overdue principal and overdue installments of interest, in each case at the rate specified in the Notes, and such further amount as is sufficient to cover the costs and expenses of collection,

  
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including the reasonable compensation, expenses, disbursements and advances of the Trustee, its agents and counsel and any other amounts due the Trustee hereunder. 

Section 6.09. Trustee May File Proofs of Claim. The Trustee may file proofs of claim and other papers or documents as may be
necessary or advisable in order to have the claims of the Trustee (including any claim for the reasonable compensation, expenses, disbursements and advances of the Trustee, its agents and counsel, and any other amounts due the Trustee hereunder) and
the Holders allowed in any judicial proceedings relating to the Company or any Guarantor or their respective creditors or property, and is entitled and empowered to collect, receive and distribute any money, securities or other property payable or
deliverable upon conversion or exchange of the Notes or upon any such claims. Any custodian, receiver, assignee, trustee, liquidator, sequestrator or other similar official in any such judicial proceeding is hereby authorized by each Holder to make
such payments to the Trustee and, if the Trustee consents to the making of such payments directly to the Holders, to pay to the Trustee any amount due to it for the reasonable compensation, expenses, disbursements and advances of the Trustee, its
agent and counsel, and any other amounts due the Trustee hereunder. Nothing in this Indenture will be deemed to empower the Trustee to authorize or consent to, or accept or adopt on behalf of any Holder, any plan of reorganization, arrangement,
adjustment or composition affecting the Notes or the rights of any Holder thereof, or to authorize the Trustee to vote in respect of the claim of any Holder in any such proceeding. 

Section 6.10. Priorities. If the Trustee collects any money pursuant to this Article, it shall pay out the money in the
following order: 
 First: to the Trustee for all amounts due hereunder; 

Second: to Holders for amounts then due and unpaid for principal of and interest on the Notes, ratably, without preference
or priority of any kind, according to the amounts due and payable on the Notes for principal and interest; and 

Third: to the Company or as a court of competent jurisdiction may direct. 

The Trustee, upon written notice to the Company, may fix a record date and payment date for any payment to Holders pursuant to this
Section. 
 Section 6.11. Restoration of Rights and Remedies. If the Trustee or any Holder has instituted a
proceeding to enforce any right or remedy under this Indenture and the proceeding has been discontinued or abandoned for any reason, 

  
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or has been determined adversely to the Trustee or to the Holder, then, subject to any determination in the proceeding, the Company, any Guarantors, the Trustee and the Holders will be restored
severally and respectively to their former positions hereunder and thereafter all rights and remedies of the Company, any Guarantors, the Trustee and the Holders will continue as though no such proceeding had been instituted. 

Section 6.12. Undertaking for Costs. In any suit for the enforcement of any right or remedy under this Indenture or in any
suit against the Trustee for any action taken or omitted by it as Trustee, a court may require any party litigant in such suit (other than the Trustee) to file an undertaking to pay the costs of the suit, and the court may assess reasonable costs,
including reasonable attorneys fees, against any party litigant (other than the Trustee) in the suit having due regard to the merits and good faith of the claims or defenses made by the party litigant. This Section does not apply to a suit by a
Holder to enforce payment of principal of or interest on any Note on the respective due dates, or a suit by Holders of more than 10% in principal amount of the outstanding Notes. 

Section 6.13. Rights and Remedies Cumulative. No right or remedy conferred or reserved to the Trustee or to the Holders under
this Indenture is intended to be exclusive of any other right or remedy, and all such rights and remedies are, to the extent permitted by law, cumulative and in addition to every other right and remedy hereunder or now or hereafter existing at law
or in equity or otherwise. The assertion or exercise of any right or remedy hereunder, or otherwise, will not prevent the concurrent assertion or exercise of any other right or remedy. 

Section 6.14. Delay or Omission Not Waiver. No delay or omission of the Trustee or of any Holder to exercise any right or
remedy accruing upon any Event of Default will impair any such right or remedy or constitute a waiver of any such Event of Default or an acquiescence therein. Every right and remedy given by this Article or by law to the Trustee or to the Holders
may be exercised from time to time, and as often as may be deemed expedient, by the Trustee or by the Holders, as the case may be. 
 Section 6.15. Waiver of Stay, Extension or Usury Laws. The Company and each Guarantor covenants, to the extent that it may lawfully do so, that it will not at any time insist upon, or plead,
or in any manner whatsoever claim or take the benefit or advantage of, any stay or extension law or any usury law or other law that would prohibit or forgive the Company or the Guarantor from paying all or any portion of the principal of, or
interest on the Notes as contemplated herein, wherever enacted, now or at any time hereafter in force, or that may affect the covenants or the performance of this Indenture. The Company and each Guarantor hereby expressly waives, to the extent that
it may lawfully do so, all 

  
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benefit or advantage of any such law and covenants that it will not hinder, delay or impede the execution of any power herein granted to the Trustee, but will suffer and permit the execution of
every such power as though no such law had been enacted. 
 ARTICLE 7 

THE TRUSTEE 
 Section 7.01. General. (a) The duties and responsibilities of the Trustee are as provided by the Trust Indenture Act and as set forth herein. Whether or not expressly so provided, every
provision of this Indenture relating to the conduct or affecting the liability of or affording protection to the Trustee is subject to this Article. 
 (b) Except during the continuance of an Event of Default, the Trustee need perform only those duties that are specifically set forth in this Indenture and no others, and no implied covenants or
obligations will be read into this Indenture against the Trustee. In case an Event of Default has occurred and is continuing, the Trustee shall exercise those rights and powers vested in it by this Indenture, and use the same degree of care and
skill in their exercise, as a prudent person would exercise or use under the circumstances in the conduct of his own affairs. 

(c) No provision of this Indenture shall be construed to relieve the Trustee from liability for its own grossly negligent action, its own
grossly negligent failure to act or its own willful misconduct. 
 Section 7.02. Certain Rights of Trustee. Subject
to Trust Indenture Act Sections 315(a) through (d): 
 (1) In the absence of bad faith on its part, the Trustee
may rely, and will be protected in acting or refraining from acting, upon any resolution, certificate, statement, instrument, opinion, report, notice, request, direction, consent, order, bond, debenture, note, other evidence of indebtedness or other
paper or document believed by it to be genuine and to have been signed or presented by the proper Person. The Trustee need not investigate any fact or matter stated in the document, but, in the case of any document which is specifically required to
be furnished to the Trustee pursuant to any provision hereof, the Trustee shall examine the document to determine whether it conforms to the requirements of this Indenture (but need not confirm or investigate the accuracy of mathematical
calculations or other facts stated therein). The Trustee, in its discretion, may make further inquiry or investigation into such facts or matters as it sees fit. 

  
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 (2) Before the Trustee acts or refrains from acting, it may require an
Officers’ Certificate or an Opinion of Counsel conforming to Section 11.05 and the Trustee will not be liable for any action it takes or omits to take in good faith in reliance on such certificate or opinion. 

(3) The Trustee may act through its attorneys and agents and will not be responsible for the misconduct or negligence of
any agent appointed with due care. 
 (4) The Trustee will be under no obligation to exercise any of the rights
or powers vested in it by this Indenture at the request or direction of any of the Holders, unless such Holders have offered to the Trustee reasonable security or indemnity against the costs, expenses and liabilities that might be incurred by it in
compliance with such request or direction. 
 (5) The Trustee will not be liable for any action it takes or omits
to take in good faith that it believes to be authorized or within its rights or powers or for any action it takes or omits to take in accordance with the direction of the Holders in accordance with Section 6.05 relating to the time, method and
place of conducting any proceeding for any remedy available to the Trustee, or exercising any trust or power conferred upon the Trustee, under this Indenture. 
 (6) The Trustee may consult with counsel, and the written advice of such counsel or any Opinion of Counsel will be full and complete authorization and protection in respect of any action taken, suffered
or omitted by it hereunder in good faith and in reliance thereon. 
 (7) No provision of this Indenture will
require the Trustee to expend or risk its own funds or otherwise incur any financial liability in the performance of its duties hereunder, or in the exercise of its rights or powers, unless it receives indemnity satisfactory to it against any loss,
liability or expense. 
 (8) The Trustee shall not be liable for any error of judgment made in good faith by an
Officer unless it is proved that the Trustee was negligent in ascertaining the pertinent facts. 
 (9) Unless
otherwise specifically provided in this Indenture, any demand, request, direction or notice from the Company shall be sufficient if signed by an Officer. The Trustee may request that the Company delivery an Officers’ Certificate setting forth
the names of individuals and/or titles of officers authorized at such time to take 

  
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specified actions pursuant to this Indenture, which Officers’ Certificate may be signed by any Person authorized to sign an Officers’ Certificate, including any Person specified as so
authorized in any such certificate previously delivered and not superseded. 
 (10) The right of the Trustee to
perform any discretionary act enumerated in this Indenture shall not be construed as a duty, and the Trustee shall not be answerable for other than its gross negligence or willful misconduct in the performance of such act. 

Section 7.03. Individual Rights of Trustee. The Trustee, in its individual or any other capacity, may become the owner or
pledgee of Notes and may otherwise deal with the Company or its Affiliates with the same rights it would have if it were not the Trustee. Any Agent may do the same with like rights. However, the Trustee is subject to Trust Indenture Act Sections
310(b) and 311. For purposes of Trust Indenture Act Section 311(b)(4) and (6): 
 (a) “cash transaction”
means any transaction in which full payment for goods or securities sold is made within seven days after delivery of the goods or securities in currency or in checks or other orders drawn upon banks or bankers and payable upon demand; and

 (b) “self-liquidating paper” means any draft, bill of exchange, acceptance or obligation which is made,
drawn, negotiated or incurred for the purpose of financing the purchase, processing, manufacturing, shipment, storage or sale of goods, wares or merchandise and which is secured by documents evidencing title to, possession of, or a lien upon, the
goods, wares or merchandise or the receivables or proceeds arising from the sale of the goods, wares or merchandise previously constituting the security, provided the security is received by the Trustee simultaneously with the creation of the
creditor relationship arising from the making, drawing, negotiating or incurring of the draft, bill of exchange, acceptance or obligation. 
 Section 7.04. Trustee’s Disclaimer. The Trustee (i) makes no representation as to the validity or adequacy of this Indenture or the Notes, (ii) is not accountable for the
Company’s use or application of the proceeds from the Notes and (iii) is not responsible for any statement in the Notes other than its certificate of authentication. 
 Section 7.05. Notice of Default. If any Default occurs and is continuing of which Trustee has received written notice, the Trustee will send notice of the Default to each Holder within 90 days
after it occurs, unless the Default has been cured; provided that, except in the case of a default in the payment of the principal of or interest on any Note, the Trustee may withhold the notice if and so long as

  
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the Trustee in good faith determines that withholding the notice is in the interest of the Holders. Notice to Holders under this Section will be given in the manner and to the extent provided in
Trust Indenture Act Section 313(c). 
 Section 7.06. Reports by Trustee to Holders. Within 60 days after each
April 15, beginning with April 15, 2013, the Trustee will mail to each Holder, as provided in Trust Indenture Act Section 313(c), a brief report dated as of such April 15, if required by Trust Indenture Act Section 313(a),
and file such reports with each stock exchange upon which its Notes are listed and with the SEC as required by Trust Indenture Act Section 313(d). 
 Section 7.07. Compensation And Indemnity. (a) The Company will pay the Trustee compensation as agreed upon in writing for its services. The compensation of the Trustee is not limited by
any law on compensation of a Trustee of an express trust. The Company will reimburse the Trustee upon request for all reasonable out-of-pocket expenses, disbursements and advances incurred or made by the Trustee, including the reasonable
compensation and expenses of the Trustee’s agents and counsel. The Company and the Guarantors jointly and severally shall reimburse the Trustee upon request for all reasonable out-of-pocket expenses incurred or made by it in accordance with the
provisions of this Indenture, including costs of collection, costs of preparing and reviewing reports, certificates and other documents, costs of preparation and mailing of notices to Holders and reasonable fees and expenses of counsel retained by
the Trustee in connection with the delivery of an Opinion of Counsel or otherwise, in addition to such compensation for its services, except any such expense, disbursement or advance as shall have been caused by its own negligence, willful
misconduct or bad faith. Such expenses shall include the reasonable compensation and expenses, disbursements and advances of the Trustee’s agents, counsel, accountants and experts. The Trustee shall provide the Company reasonable notice of any
expenditure not in the ordinary course of business; provided, that prior approval by the Company of any such expenditure shall not be a requirement for the making of such expenditure nor for reimbursement by the Company thereof. 

(b) The Company and the Guarantors will jointly and severally indemnify the Trustee, its officers, directors or employees, (collectively
the “Trustee Parties”) for, and hold the Trustee Parties harmless against, any loss, damage or liability or expense incurred by the Trustee Parties without negligence or bad faith on their part arising out of or in connection with the
acceptance or administration of this Indenture and the Trustee’s duties under this Indenture and the Notes, including the costs and expenses (including reasonable attorney’s fees) of defending themselves against any claim or liability and
of complying with any process served upon the Trustee or any of the Trustee Parties officers in connection with the exercise or performance of any of the Trustees powers or duties under this Indenture and the Notes. 

  
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 (c) To secure the Company’s payment obligations in this Section, the Trustee will have
a lien prior to the Notes on all money or property held or collected by the Trustee, in its capacity as Trustee, except money or property held in trust to pay principal of, and interest on particular Notes. 

(d) The payment obligations of the Company and the Guarantors pursuant to this Section 7.07 shall survive the resignation or removal
of the Trustee and any discharge of this Indenture including any discharge under any Bankruptcy Law. When the Trustee incurs expenses after the occurrence of a Default specified in Section 6.01(7) or 6.01(8), the expenses are intended to
constitute expenses of administration under the Bankruptcy Law. 
 Section 7.08. Replacement of Trustee.
(a) (1) The Trustee may resign at any time by written notice to the Company. 
 (2) The Holders of
a majority in principal amount of the outstanding Notes may remove the Trustee by thirty (30) days written notice to the Trustee. 
 (3) If the Trustee is no longer eligible under Section 7.10 or in the circumstances described in Trust Indenture Act Section 310(b), any Holder that satisfies the requirements of Trust Indenture
Act Section 310(b) may petition any court of competent jurisdiction for the removal of the Trustee and the appointment of a successor Trustee. 
 (4) The Company may remove the Trustee if: (i) the Trustee is no longer eligible under Section 7.10; (ii) the Trustee is adjudged a bankrupt or an insolvent; (iii) a receiver or other
public officer takes charge of the Trustee or its property; or (iv) the Trustee becomes incapable of acting. 
 (b) If the
Trustee has been removed by the Holders, Holders of a majority in principal amount of the Notes may appoint a successor Trustee with the consent of the Company. Otherwise, if the Trustee resigns or is removed, or if a vacancy exists in the office of
Trustee for any reason, the Company will promptly appoint a successor Trustee. If the successor Trustee does not deliver its written acceptance within 30 days after the retiring Trustee resigns or is removed, the retiring Trustee, the Company or the
Holders of a majority in principal amount of the outstanding Notes may petition any court of competent jurisdiction for the appointment of a successor Trustee. 

  
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 (c) Upon delivery by the successor Trustee of a written acceptance of its appointment to the
retiring Trustee and to the Company, (i) the retiring Trustee will transfer all property held by it as Trustee to the successor Trustee, subject to the lien provided for in Section 7.07, (ii) the resignation or removal of the retiring
Trustee will become effective, and (iii) the successor Trustee will have all the rights, powers and duties of the Trustee under this Indenture. Upon request of any successor Trustee, the Company will execute any and all instruments for fully
and vesting in and confirming to the successor Trustee all such rights, powers and trusts. The Company will give notice of any resignation and any removal of the Trustee and each appointment of a successor Trustee to all Holders, and include in the
notice the name of the successor Trustee and the address of its Corporate Trust Office. 
 (d) Notwithstanding replacement of
the Trustee pursuant to this Section, the Company’s obligations under Section 7.07 will continue for the benefit of the retiring Trustee. 
 (e) The Trustee agrees to give the notices provided for in, and otherwise comply with, Trust Indenture Act Section 310(b). 
 Section 7.09. Successor Trustee by Merger. If the Trustee consolidates with, merges or converts into, or transfers all or substantially all of its corporate trust business to, another
corporation or national banking association, the resulting, surviving or transferee corporation or national banking association without any further act will be the successor Trustee with the same effect as if the successor Trustee had been named as
the Trustee in this Indenture. 
 Section 7.10. Eligibility. This Indenture must always have a Trustee that
satisfies the requirements of Trust Indenture Act Section 310(a) and has a combined capital and surplus of at least $25,000,000 as set forth in its most recent published annual report of condition. 

Section 7.11. Money Held in Trust. The Trustee will not be liable for interest on any money received by it except as it may
agree with the Company. Money held in trust by the Trustee need not be segregated from other funds except to the extent required by law and except for money held in trust under Article 8. 

ARTICLE 8 

DEFEASANCE AND DISCHARGE 

Section 8.01. Discharge of Company’s Obligations. (a) Subject to paragraph (b), the Company’s obligations
under the Notes and this Indenture, and each Guarantor’s obligations under its Note Guaranty, will terminate if: 
 (1) all Notes previously authenticated and delivered (other than (i) destroyed, lost or stolen Notes that have been replaced or (ii) Notes that are paid pursuant to Section 4.01 or
(iii) Notes for whose payment money or U.S. Government Obligations have been held in trust and then repaid to the Company pursuant to Section 8.05) have been delivered to the Trustee for cancellation and the Company has paid all sums
payable by it hereunder; or 

  
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 (2) (A) the Notes mature within sixty days, or all of them are to be
called for redemption within sixty days under arrangements satisfactory to the Trustee for giving the notice of redemption, 
 (B) the Company irrevocably deposits in trust with the Trustee, as trust funds solely for the benefit of the Holders, money or U.S. Government Obligations or a combination thereof sufficient without
consideration of any reinvestment, to pay principal of and interest on the Notes to maturity or redemption, as the case may be, and to pay all other sums payable by it hereunder, 

(C) no Default has occurred and is continuing on the date of the deposit, 

(D) the deposit will not result in a breach or violation of, or constitute a default under, this Indenture or any other
agreement or instrument to which the Company is a party or by which it is bound, and 
 (E) the Company delivers
to the Trustee an Officers’ Certificate and an Opinion of Counsel, in each case stating that all conditions precedent provided for herein relating to the satisfaction and discharge of this Indenture have been complied with. 

(b) After satisfying the conditions in clause (1), only the Company’s obligations under Section 7.07 will survive. After
satisfying the conditions in clause (2), only the Company’s obligations in Article 2 and Sections 4.01, 4.02, 7.07, 7.08, 8.05 and 8.06 will survive. In either case, the Trustee, upon written request and in reliance upon the
Officer’s Certificate and Opinion of Counsel reference above, will acknowledge in writing the discharge of the Company’s obligations under the Notes and this Indenture other than the surviving obligations. 

Section 8.02. Legal Defeasance. The Company will be deemed to have paid and will be discharged from its obligations in
respect of the Notes and this Indenture, other than its obligations in Article 2 and Sections 4.01, 4.02, 7.07, 7.08, 8.05 and 8.06, and each Guarantor’s obligations under its Note Guaranty will terminate, provided the
following conditions have been satisfied: 
 (1) The Company has irrevocably deposited in trust with the Trustee,
as trust funds solely for the benefit of the Holders, money or U.S. Government Obligations or a combination thereof sufficient, in the opinion of a nationally recognized firm of independent public accountants expressed in a written certificate
thereof delivered to the Trustee, without consideration of any reinvestment, to pay principal of and interest on the Notes to maturity or redemption, as the case may be, provided that any redemption before maturity has been irrevocably
provided for under arrangements satisfactory to the Trustee. 

  
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 (2) The deposit will not result in a breach or violation of, or constitute a
default under, this Indenture or any other agreement or instrument to which the Company is a party or by which it is bound. 
 (3) The Company has delivered to the Trustee 
 (A) either
(x) a ruling received from the Internal Revenue Service to the effect that the Holders will not recognize income, gain or loss for federal income tax purposes as a result of the defeasance and will be subject to federal income tax on the same
amount and in the same manner and at the same times as would otherwise have been the case or (y) an Opinion of Counsel, based on a change in law after the date of this Indenture, to the same effect as the ruling described in clause (x), and

 (B) an Opinion of Counsel to the effect that (i) the creation of the defeasance trust does not violate
the Investment Company Act of 1940, (ii) the Holders have a valid first priority Note interest in the trust funds (subject to customary exceptions), and (iii) after the passage of 123 days following the deposit, the trust funds will not be
subject to the effect of Section 547 of the United States Bankruptcy Code or Section 15 of the New York Debtor and Creditor Law. 
 (4) If the Notes are listed on a national securities exchange, the Company has delivered to the Trustee an Opinion of Counsel to the effect that the deposit and defeasance will not cause the Notes to be
delisted. 
 (5) The Company has delivered to the Trustee an Officers’ Certificate and an Opinion of
Counsel, in each case stating that all conditions precedent provided for herein relating to the defeasance have been complied with. 

  
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 Section 8.03. Covenant Defeasance. The Company’s obligations set forth in
Sections 4.06 through 4.17, inclusive and clauses (3) and (4) of Section 5.01(a), and each Guarantor’s obligations under its Note Guaranty, will terminate, and clauses (3), (4), (5), (6) and (9) of
Section 6.01 will no longer constitute Events of Default, provided the following conditions have been satisfied: 
 (1) The Company has complied with clauses (1), (2), (3)(B), (4) and (5) of Section 8.02; and 
 (2) the Company has delivered to the Trustee an Opinion of Counsel to the effect that the Holders will not recognize income, gain or loss for federal income tax purposes as a result of the defeasance and
will be subject to federal income tax on the same amount and in the same manner and at the same times as would otherwise have been the case. 
 Except as specifically stated above, none of the Company’s obligations under this Indenture will be discharged. 
 Section 8.04. Application of Trust Money. Subject to Section 8.05, the Trustee will hold in trust the money or U.S. Government Obligations deposited with it pursuant to Section 8.01,
8.02 or 8.03, and apply the deposited money and the proceeds from deposited U.S. Government Obligations to the payment of principal of and interest on the Notes in accordance with the Notes and this Indenture. Such money and U.S. Government
Obligations need not be segregated from other funds except to the extent required by law. 
 Section 8.05. Repayment to
Company. Subject to Sections 7.07, 8.01, 8.02 and 8.03, the Trustee will promptly pay to the Company upon written request any excess money held by the Trustee at any time and thereupon be relieved from all liability with respect to such
money. The Trustee will pay to the Company upon written request any money held for payment with respect to the Notes that remains unclaimed for two years, provided that before making such payment the Trustee may at the expense of the Company
publish once in a newspaper of general circulation in New York City, or send to each Holder entitled to such money, notice that the money remains unclaimed and that after a date specified in the notice (at least 30 days after the date of the
publication or notice) any remaining unclaimed balance of money will be repaid to the Company. After payment to the Company, Holders entitled to such money must look solely to the Company for payment, unless applicable law designates another Person,
and all liability of the Trustee with respect to such money will cease. 

  
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 Section 8.06. Reinstatement. If and for so long as the Trustee is unable to
apply any money or U.S. Government Obligations held in trust pursuant to Section 8.01, 8.02 or 8.03 by reason of any legal proceeding or by reason of any order or judgment of any court or governmental authority enjoining, restraining or
otherwise prohibiting such application, the Company’s obligations under this Indenture and the Notes will be reinstated as though no such deposit in trust had been made. If the Company makes any payment of principal of or interest on any Notes
because of the reinstatement of its obligations, it will be subrogated to the rights of the Holders of such Notes to receive such payment from the money or U.S. Government Obligations held in trust. 

ARTICLE 9 

AMENDMENTS, SUPPLEMENTS AND WAIVERS 

Section 9.01. Amendments Without Consent of Holders. The Company and the Trustee may amend or supplement this Indenture or
the Notes without notice to or the consent of any Noteholder 
 (1) to cure or reform any ambiguity, defect,
mistake, manifest error, omission or inconsistency in this Indenture or the Notes; 
 (2) to comply with
Article 5; 
 (3) to comply with any requirements of the SEC in connection with the qualification of this
Indenture under the Trust Indenture Act or otherwise; 
 (4) to evidence and provide for the acceptance of an
appointment hereunder by a successor Trustee; 
 (5) to provide for uncertificated Notes in addition to or in
place of certificated Notes, provided that the uncertificated Notes are issued in registered form for purposes of Section 163(f) of the Code, or in a manner such that the uncertificated Notes are described in Section 163(f)(2)(B) of
the Code; 
 (6) to provide for any Guarantee of the Notes, to secure the Notes or to confirm and evidence the
release, termination or discharge of any Guarantee of or Lien securing the Notes when such release, termination or discharge is permitted by this Indenture; 
 (7) to provide for or confirm the issuance of Additional Notes; 

  
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 (8) to add to the covenants of the Company for the benefit of the
Noteholders or to surrender any right or power conferred upon the Company; 
 (9) to provide additional rights or
benefits to the Holders or to make any other change that does not materially and adversely affect the rights of any Holder; or 
 (10) to conform the text of this Indenture or the Notes to any provision of the “Description of Notes” section of the Prospectus Supplement. 

Section 9.02. Amendments With Consent of Holders. (a) Except as otherwise provided in Sections 6.02, 6.04 and 6.07
or paragraph (b), the Company and the Trustee may amend or supplement this Indenture and/or the Notes with the written consent of the Holders of a majority in principal amount of the outstanding Notes, and the Holders of a majority in principal
amount of the outstanding Notes by written notice to the Trustee may waive future compliance by the Company with any provision of this Indenture or the Notes. 
 (b) Notwithstanding the provisions of paragraph (a), without the consent of each Holder affected, an amendment or waiver may not 

(1) reduce the principal amount of or change the Stated Maturity of any installment of principal of any Note, 

(2) reduce the rate of or change the Stated Maturity of any interest payment on any Note, 

(3) reduce the amount payable upon the redemption of any Note or change the time of any mandatory redemption or, in
respect of an optional redemption, the times at which any Note may be redeemed or, once notice of redemption has been given, the time at which it must thereupon be redeemed, 

(4) after the time an Offer to Purchase is required to have been made, reduce the purchase amount or purchase price, or
extend the latest expiration date or purchase date thereunder, 
 (5) make any Note payable in money other than
that stated in the Note, 
 (6) impair the right of any Holder of Notes to receive any principal payment or
interest payment on such Holder’s Notes, on or after the Stated Maturity thereof, or to institute suit for the enforcement of any such payment, 

  
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 (7) make any change in the percentage of the principal amount of the Notes
required for amendments or waivers, or 
 (8) modify or change any provision of this Indenture affecting the
ranking of the Notes or any Note Guaranty in a manner adverse to the Holders of the Notes. 
 (c) It is not necessary for
Noteholders to approve the particular form of any proposed amendment, supplement or waiver, but is sufficient if their consent approves the substance thereof. 
 (d) An amendment, supplement or waiver under this Section will become effective on receipt by the Trustee of written consents from the Holders of the requisite percentage in principal amount of the
outstanding Notes or an Officer’s Certificate certifying that such consents have been obtained. After an amendment, supplement or waiver under this Section becomes effective, the Company will send to the Holders affected thereby a notice
briefly describing the amendment, supplement or waiver. The Company will send supplemental indentures to Holders upon request. Any failure of the Company to send such notice, or any defect therein, will not, however, in any way impair or affect the
validity of any such supplemental indenture or waiver. 
 Section 9.03. Effect of Consent. (a) After an
amendment, supplement or waiver becomes effective, it will bind every Holder unless it is of the type requiring the consent of each Holder affected. If the amendment, supplement or waiver is of the type requiring the consent of each Holder affected,
the amendment, supplement or waiver will bind each Holder that has consented to it and every subsequent Holder of a Note that evidences the same debt as the Note of the consenting Holder. 

(b) If an amendment, supplement or waiver changes the terms of a Note, the Trustee may require the Holder to deliver it to the Trustee so
that the Trustee may place an appropriate notation of the changed terms on the Note and return it to the Holder, or exchange it for a new Note that reflects the changed terms. The Trustee may also place an appropriate notation on any Note thereafter
authenticated. However, the effectiveness of the amendment, supplement or waiver is not affected by any failure to annotate or exchange Notes in this fashion. 
 Section 9.04. Trustee’s Rights and Obligations. The Trustee is entitled to receive, and will be fully protected in relying upon, an Opinion of Counsel stating that the execution of any
amendment, supplement or waiver authorized pursuant 

  
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to this Article is authorized or permitted by this Indenture. If the Trustee has received such an Opinion of Counsel, it shall sign the amendment, supplement or waiver so long as the same does
not adversely affect the rights of the Trustee. The Trustee may, but is not obligated to, execute any amendment, supplement or waiver that affects the Trustee’s own rights, duties or immunities under this Indenture. 

Section 9.05. Conformity With Trust Indenture Act. Every supplemental indenture executed pursuant to this Article shall
conform to the requirements of the Trust Indenture Act. 
 Section 9.06. Payments for Consents. Neither the Company
nor any of its Subsidiaries or Affiliates may, directly or indirectly, pay or cause to be paid any consideration, whether by way of interest, fee or otherwise, to any Holder for or as an inducement to any consent, waiver or amendment of any of the
terms or provisions of this Indenture or the Notes unless such consideration is offered to be paid or agreed to be paid to all Holders of the Notes that consent, waive or agree to amend such term or provision within the time period set forth in the
solicitation documents relating to the consent, waiver or amendment. 
 ARTICLE 10 

GUARANTIES 
 Section 10.01. The Guaranties. Subject to the provisions of this Article, each Guarantor hereby irrevocably and unconditionally guarantees, jointly and severally, on an unsecured
unsubordinated basis, the full and punctual payment (whether at Stated Maturity, upon redemption, purchase pursuant to an Offer to Purchase or acceleration, or otherwise) of the principal of, premium, if any, and interest on, and all other amounts
payable under, each Note, and the full and punctual payment of all other amounts payable by the Company under this Indenture. Upon failure by the Company to pay punctually any such amount, each Guarantor shall forthwith on demand pay the amount not
so paid at the place and in the manner specified in this Indenture. 
 Section 10.02. Guaranty Unconditional. The
obligations of each Guarantor hereunder are unconditional and absolute and, without limiting the generality of the foregoing, will not be released, discharged or otherwise affected by 

(1) any extension, renewal, settlement, compromise, waiver or release in respect of any obligation of the Company under
this Indenture or any Note, by operation of law or otherwise; 

  
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 (2) any modification or amendment of or supplement to this Indenture or any
Note; 
 (3) any change in the corporate existence, structure or ownership of the Company, or any insolvency,
bankruptcy, reorganization or other similar proceeding affecting the Company or its assets or any resulting release or discharge of any obligation of the Company contained in this Indenture or any Note; 

(4) the existence of any claim, set-off or other rights which the Guarantor may have at any time against the Company, the
Trustee or any other Person, whether in connection with this Indenture or any unrelated transactions, provided that nothing herein prevents the assertion of any such claim by separate suit or compulsory counterclaim; 

(5) any invalidity or unenforceability relating to or against the Company for any reason of this Indenture or any Note, or
any provision of applicable law or regulation purporting to prohibit the payment by the Company of the principal of or interest on any Note or any other amount payable by the Company under this Indenture; or 

(6) any other act or omission to act or delay of any kind by the Company, the Trustee or any other Person or any other
circumstance whatsoever which might, but for the provisions of this paragraph, constitute a legal or equitable discharge of or defense to such Guarantor’s obligations hereunder. 

Section 10.03. Discharge; Reinstatement. Each Guarantor’s obligations hereunder will remain in full force and effect
until the principal of, premium, if any, and interest on the Notes and all other amounts payable by the Company under this Indenture have been paid in full. If at any time any payment of the principal of, premium, if any, or interest on any Note or
any other amount payable by the Company under this Indenture is rescinded or must be otherwise restored or returned upon the insolvency, bankruptcy or reorganization of the Company or otherwise, each Guarantor’s obligations hereunder with
respect to such payment will be reinstated as though such payment had been due but not made at such time. 
 Section 10.04.
Waiver by the Guarantors. Each Guarantor irrevocably waives acceptance hereof, presentment, demand, protest and any notice not provided for herein, as well as any requirement that at any time any action be taken by any Person against the
Company or any other Person. 

  
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 Section 10.05. Subrogation and Contribution. Upon making any payment with
respect to any obligation of the Company under this Article, the Guarantor making such payment will be subrogated to the rights of the payee against the Company with respect to such obligation, provided that the Guarantor may not enforce
either any right of subrogation, or any right to receive payment in the nature of contribution, or otherwise, from any other Guarantor, with respect to such payment so long as any amount payable by the Company hereunder or under the Notes remains
unpaid. 
 Section 10.06. Stay of Acceleration. If acceleration of the time for payment of any amount payable by the
Company under this Indenture or the Notes is stayed upon the insolvency, bankruptcy or reorganization of the Company, all such amounts otherwise subject to acceleration under the terms of this Indenture are nonetheless payable by the Guarantors
hereunder forthwith on demand by the Trustee or the Holders. 
 Section 10.07. Limitation on Amount of Guaranty.
Notwithstanding anything to the contrary in this Article, each Guarantor, and by its acceptance of Notes, each Holder, hereby confirms that it is the intention of all such parties that the Note Guaranty of such Guarantor not constitute a
fraudulent conveyance under applicable fraudulent conveyance provisions of the United States Bankruptcy Code or any comparable provision of state law. To effectuate that intention, the Trustee, the Holders and the Guarantors hereby irrevocably agree
that the obligations of each Guarantor under its Note Guaranty are limited to the maximum amount that would not render the Guarantor’s obligations subject to avoidance under applicable fraudulent conveyance provisions of the United States
Bankruptcy Code or any comparable provision of state law. 
 Section 10.08. Execution and Delivery of Guaranty. The
execution by each Guarantor of this Indenture (or a supplemental indenture in the form of Exhibit B) evidences the Note Guaranty of such Guarantor, whether or not the person signing as an officer of the Guarantor still holds that office at the
time of authentication of any Note. The delivery of any Note by the Trustee after authentication constitutes due delivery of the Note Guaranty set forth in this Indenture on behalf of each Guarantor. 

Section 10.09. Release of Guaranty. The Note Guaranty of a Guarantor will terminate and be discharged and of no further force
and effect and the applicable Guarantor will be automatically and unconditionally released from all its obligations thereunder: 
 (1) concurrently with any direct or indirect sale or other disposition (including by way of consolidation, merger or otherwise) of the Capital Stock of a Guarantor by the Company or any of its Restricted

  
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Subsidiaries to a person that is not a Restricted Subsidiary and as a result of such sale or disposition the applicable Guarantor is no longer a Restricted Subsidiary or any disposition
(including by way of consolidation, merger or otherwise) of all or substantially all the assets of the Guarantor (other than to the Company or a Domestic Restricted Subsidiary) otherwise permitted by this Indenture, 

(2) upon the designation in accordance with this Indenture of the Guarantor as an Unrestricted Subsidiary, 

(3) at any time that such Guarantor is released from all of its obligations (other than contingent indemnification
obligations that may survive such release) under all of its Guaranties of all Debt of the Company under the Credit Facilities except a discharge by or as a result of payment under such guarantee (it being understood that a release subject to
contingent reinstatement is still a release, and that if any such Guarantee is so reinstated, such Guarantee shall also be reinstated), 
 (4) upon the merger or consolidation of any Guarantor with and into the Company or another Guarantor that is the surviving Person in such merger or consolidation, or upon the liquidation of such Guarantor
following or contemporaneously with the transfer of all of its assets to the Company or another Guarantor, 
 (5)
defeasance or discharge of the Notes, as provided in Article 8 or upon satisfaction and discharge of this Indenture, or 
 (6) upon the prior consent of the Holders of at least a majority in aggregate principal amount of the Notes then outstanding. 
 Upon delivery by the Company to the Trustee of an Officers’ Certificate and an Opinion of Counsel to the foregoing effect, the Trustee will execute any documents reasonably required in order to
evidence the release of the Guarantor from its obligations under its Note Guaranty. 
 ARTICLE 11 

MISCELLANEOUS 
 Section 11.01. Trust Indenture Act of 1939. This Indenture shall incorporate and be governed by the provisions of the Trust Indenture Act that are required to be part of and to govern
indentures qualified under the Trust Indenture Act. 
 Section 11.02. Noteholder Communications; Noteholder Actions.
(a) The rights of Holders to communicate with other Holders with respect to this 

  
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Indenture or the Notes are as provided by the Trust Indenture Act, and the Company and the Trustee shall comply with the requirements of Trust Indenture Act Sections 312(a) and 312(b). Neither
the Company nor the Trustee will be held accountable by reason of any disclosure of information as to names and addresses of Holders made pursuant to the Trust Indenture Act. 
 (b) (1) Any request, demand, authorization, direction, notice, consent to amendment, supplement or waiver or other action provided by this Indenture to be given or taken by a Holder (an
“act”) may be evidenced by an instrument signed by the Holder delivered to the Trustee. The fact and date of the execution of the instrument, or the authority of the person executing it, may be proved in any manner that the Trustee
deems sufficient. 
 (2) The Trustee may make reasonable rules for action by or at a meeting of Holders, which
will be binding on all the Holders. 
 (c) Any act by the Holder of any Note binds that Holder and every subsequent Holder of a
Note that evidences the same debt as the Note of the acting Holder, even if no notation thereof appears on the Note. Subject to paragraph (d), a Holder may revoke an act as to its Notes, but only if the Trustee receives written notice of revocation
before the date the amendment or waiver or other consequence of the act becomes effective. 
 (d) The Company may, but is not
obligated to, fix a record date (which need not be within the time limits otherwise prescribed by Trust Indenture Act Section 316(c)) for the purpose of determining the Holders entitled to act with respect to any amendment or waiver or in any
other regard, except that during the continuance of an Event of Default, only the Trustee may set a record date as to notices of default, any declaration or acceleration or any other remedies or other consequences of the Event of Default. If a
record date is fixed, those Persons that were Holders at such record date and only those Persons will be entitled to act, or to revoke any previous act, whether or not those Persons continue to be Holders after the record date. No act will be valid
or effective for more than 90 days after the record date. 

  
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 Section 11.03. Notices. (a) Any notice or communication to the Company will
be deemed given if in writing (i) when delivered in person or (ii) five days after mailing when mailed by first class mail, or (iii) when sent by facsimile transmission, with transmission confirmed. Notices or communications to a
Guarantor will be deemed given if given to the Company. Any notice to the Trustee will be effective only upon receipt in writing. In each case the notice or communication should be addressed as follows: 

if to the Company: 
 Lender Processing Services, Inc. 
 601 Riverside Avenue, 

Jacksonville, Florida 32204 
 Facsimile: 904-357-1036 
 if to the Trustee: 

U.S. Bank National Association 
 Global Corporate Trust Services 
 Attention: Jack Ellerin 

EX-GA-ATPT 
 1349
W. Peachtree Street, Suite 1050 
 Atlanta, GA 30309 
 Facsimile: 404-898-2467 
 The Company or the Trustee by notice to the other may designate
additional or different addresses for subsequent notices or communications. 
 (b) Except as otherwise expressly provided with
respect to published notices, any notice or communication to a Holder will be deemed given when mailed to the Holder at its address as it appears on the Register by first class mail or, as to any Global Note registered in the name of DTC or its
nominee, as agreed by the Company, the Trustee and DTC. Copies of any notice or communication to a Holder, if given by the Company, will be mailed to the Trustee at the same time. Defect in mailing a notice or communication to any particular Holder
will not affect its sufficiency with respect to other Holders. 
 (c) Where this Indenture provides for notice, the notice may
be waived in writing by the Person entitled to receive such notice, either before or after the event, and the waiver will be the equivalent of the notice. Waivers of notice by Holders must be filed with the Trustee in writing, but such filing is not
a condition precedent to the validity of any action taken in reliance upon such waivers. 
 Section 11.04. Certificate
and Opinion as to Conditions Precedent. Upon any request or application by the Company to the Trustee to take any action under this Indenture, the Company will furnish to the Trustee: 

(1) an Officers’ Certificate stating that, in the opinion of the signers, all conditions precedent, if any, provided
for in this Indenture relating to the proposed action have been complied with; and 
 (2) an Opinion of Counsel
stating that all such conditions precedent have been complied with. 

  
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 Section 11.05. Statements Required in Certificate or Opinion. Each certificate
or opinion with respect to compliance with a condition or covenant provided for in this Indenture must include: 

(1) a statement that each person signing the certificate or opinion has read the covenant or condition and the related
definitions; 
 (2) a brief statement as to the nature and scope of the examination or investigation upon which
the statement or opinion contained in the certificate or opinion is based; 
 (3) a statement that, in the
opinion of each such person, that person has made such examination or investigation as is necessary to enable the person to express an informed opinion as to whether or not such covenant or condition has been complied with; and 

(4) a statement as to whether or not, in the opinion of each such person, such condition or covenant has been complied
with, provided that an Opinion of Counsel may rely on an Officers’ Certificate or certificates of public officials with respect to matters of fact. 
 Section 11.06. Payment Date Other Than a Business Day. If any payment with respect to a payment of any principal of, premium, if any, or interest on any Note (including any payment to be made
on any date fixed for redemption or purchase of any Note) is due on a day which is not a Business Day, then the payment need not be made on such date, but may be made on the next Business Day with the same force and effect as if made on such date,
and no interest will accrue for the intervening period. 
 Section 11.07. Governing Law. This Indenture, including
any Note Guaranties, and the Notes shall be governed by, and construed in accordance with, the laws of the State of New York. 

Section 11.08. No Adverse Interpretation of Other Agreements. This Indenture may not be used to interpret another Indenture
or loan or debt agreement of the Company or any Subsidiary of the Company, and no such Indenture or loan or debt agreement may be used to interpret this Indenture. 
 Section 11.09. Successors. All agreements of the Company or any Guarantor in this Indenture and the Notes will bind its successors. All agreements of the Trustee in this Indenture will bind
its successor. 

  
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 Section 11.10. Duplicate Originals. The parties may sign any number of copies of
this Indenture. Each signed copy shall be an original, but all of them together represent the same agreement. 

Section 11.11. Separability. In case any provision in this Indenture or in the Notes is invalid, illegal or unenforceable,
the validity, legality and enforceability of the remaining provisions will not in any way be affected or impaired thereby. 

Section 11.12. Table of Contents and Headings. The Table of Contents, Cross-Reference Table and headings of the
Articles 1and Sections of this Indenture have been inserted for convenience of reference only, are not to be considered a part of this Indenture and in no way modify or restrict any of the terms and provisions of this Indenture. 

Section 11.13. No Liability of Directors, Officers, Employees, Incorporators, Members and Stockholders. No director, officer,
employee, incorporator, member or stockholder of the Company or any Guarantor, as such, will have any liability for any obligations of the Company or such Guarantor under the Notes, any Note Guaranty or this Indenture or for any claim based on, in
respect of, or by reason of, such obligations. Each Holder of Notes by accepting a Note waives and releases all such liability. The waiver and release are part of the consideration for issuance of the Notes. 

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

 

					
	 Lender Processing Services, Inc.
 as Issuer

		
	By:	 	 /s/ Thomas L. Schilling

		 	Name:	 	Thomas L. Schilling
		 	Title:	 	Executive Vice President and Chief Executive Officer

  
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	DOCX, LLC
	Espiel, Inc.
	Lender Processing Services, LLC
	Lender’s Service Title Agency, Inc.
	LPS Agency Sales and Posting, Inc.
	LPS Applied Analytics, LLC
	LPS Asset Management Solutions, Inc.
	LPS Default Management, LLC
	LPS Default Solutions, Inc.
	LPS Field Services, Inc.
	LPS IP Holding Company, LLC
	LPS Management, LLC
	LPS Mortgage Processing Solutions, Inc.
	LPS National Flood, LLC
	LPS National TaxNet, Inc.
	LPS Origination Technology, Inc.
	LPS Portfolio Solutions, LLC
	LPS Real Estate Data Solutions, Inc.
	LPS Real Estate Group, Inc.
	LPS Valuation Solutions, LLC
	LRT Record Services, Inc.
	LSI Alabama, LLC
	LSI Appraisal, LLC
	LSI Title Agency, Inc.
	LSI Title Agency of Arkansas, LLC
	LSI Title Company
	LSI Title Company of Oregon, LLC
	LSI Title Insurance Agency of Utah, Inc.
	McDash Analytics, LLC
	OnePointCity, LLC
	RealEC Technologies, Inc.
	
	as Guarantors
		
	By:	 	 /s/ Thomas L. Schilling

	Name:	 	Thomas L. Schilling
	Title:	 	Executive Vice President, Chief Financial Officer and Chief Accounting Officer

  
 100

 
					
	 U.S. Bank National Association
 as Trustee

		
	By:	 	 /s/ Jack Ellerin

		 	Name:	 	Jack Ellerin
		 	Title:	 	Vice President

  
 101

 EXHIBIT A 
 [FACE OF NOTE] 
 Lender Processing Services, Inc. 

5.75% Senior Note Due 2023 
  

					
		  	[CUSIP] [ISIN]	  	
			
	No.	  	$	  	

 Lender Processing Services, Inc., a Delaware corporation (the “Company”, which term
includes any successor under the Indenture hereinafter referred to), for value received, promises to pay to                     , or its registered
assigns, the principal sum of              DOLLARS ($        ) or such other amount as indicated on the Schedule of Exchange of Notes attached hereto
on April 15, 2023. 
 Interest Rate: 5.75% per annum. 

Interest Payment Dates: April 15 and October 15, commencing April 15, 2023. 

Regular Record Dates: April 1 and October 1. 
 Reference is hereby made to the further provisions of this Note set forth on the reverse hereof, which will for all purposes have the same effect as if set forth at this place. 

  
 A-1

 IN WITNESS WHEREOF, the Company has caused this Note to be signed manually or by facsimile
by its duly authorized officers. 
  

							
	Date:	 		 	Lender Processing Services, Inc.
				
		 		 	By:	 	  

		 		 		 	Name:
		 		 		 	Title:

  
 A-2

 (Form of Trustee’s Certificate of Authentication) 

This is one of the 5.75% Senior Notes Due 2023 described in the Indenture referred to in this Note. 

 

			
	 U.S. Bank National Association,

      as Trustee

		
	By:	 	  

		 	Authorized Signatory

  
 A-3

 [REVERSE SIDE OF NOTE] 

Lender Processing Services, Inc. 

5.75% Senior Note Due 2023 
  

	1.	Principal and Interest. 

The Company promises to pay the principal of this Note on April 15, 2023. 

The Company promises to pay interest on the principal amount of this Note on each interest payment date, as set forth on the face of this
Note, at the rate of 5.75% per annum (subject to adjustment as provided below). 
 Interest will be payable semiannually
(to the holders of record of the Notes at the close of business on the April 1 or October 1 immediately preceding the interest payment date) on each interest payment date, commencing April 15, 2013. 

Interest on this Note will accrue from the most recent date to which interest has been paid on this Note or the Note surrendered in
exchange for this Note (or, if there is no existing default in the payment of interest and if this Note is authenticated between a regular record date and the next interest payment date, from such interest payment date) or, if no interest has been
paid, from the Issue Date. Interest will be computed in the basis of a 360-day year of twelve 30-day months. 
 The Company will
pay interest on overdue principal, premium, if any, and interest at a rate per annum that is 1% in excess of 5.75%. Interest not paid when due and any interest on principal, premium or interest not paid when due will be paid to the Persons that are
Holders on a special record date, which will be the 15th day preceding the date fixed by the Company for the payment of such interest, whether or not such day is a Business Day. At least 15 days before a special record date, the Company will send to
each Holder and to the Trustee a notice that sets forth the special record date, the payment date and the amount of interest to be paid. 
  

	2.	Indentures; Note Guaranty. 

This is one of the Notes issued under an Indenture dated as of October 12, 2012 (as amended from time to time, the
“Indenture”), among the Company, the Guarantors party thereto and U.S. Bank National Association as Trustee. Capitalized terms used herein are used as defined in the Indenture unless otherwise indicated. The terms of the Notes
include those stated in the Indenture 

  
 A-4

 
and those made part of the Indenture by reference to the Trust Indenture Act. The Notes are subject to all such terms, and Holders are referred to the Indenture and the Trust Indenture Act for a
statement of all such terms. To the extent permitted by applicable law, in the event of any inconsistency between the terms of this Note and the terms of the Indenture, the terms of the Indenture will control. 

The Notes are general unsecured obligations of the Company. The Indenture limits the original aggregate principal amount of the Notes to
$600,000,000, but Additional Notes may be issued pursuant to the Indenture, and the originally issued Notes and all such Additional Notes vote together for all purposes as a single class. This Note is guarantied, as set forth in Article 10 of the
Indenture. 
  

	3.	Redemption and Repurchase; Discharge Prior to Redemption or Maturity. 

 This Note is subject to optional redemption, and may be the subject of an Offer to Purchase, as further described in the Indenture. There is no sinking fund or mandatory redemption applicable to this
Note. 
 If the Company deposits with the Trustee money or U.S. Government Obligations sufficient to pay the then outstanding
principal of, premium, if any, and accrued interest on the Notes to redemption or maturity, the Company may in certain circumstances be discharged from the Indenture and the Notes or may be discharged from certain of its obligations under certain
provisions of the Indenture. 
  

	4.	Registered Form; Denominations; Transfer; Exchange. 

 The Notes are in registered form without coupons in denominations of $2,000 principal amount and any multiple of $1,000 in excess thereof. A Holder may register the transfer or exchange of Notes in
accordance with the Indenture. The Trustee may require a Holder to furnish appropriate endorsements and transfer documents and to pay any taxes and fees required by law or permitted by the Indenture. Pursuant to the Indenture, there are certain
periods during which the Trustee will not be required to issue, register the transfer of or exchange any Note or certain portions of a Note. 
  

	5.	Defaults and Remedies. 

If an Event of Default, as defined in the Indenture, occurs and is continuing, the Trustee or the Holders of at least 25% in principal
amount of the Notes may declare all the Notes to be due and payable. If a bankruptcy or insolvency default with respect to the Company occurs and is continuing, the Notes automatically become due and payable. Holders may not enforce the

  
 A-5

 
Indenture or the Notes except as provided in the Indenture. The Trustee may require indemnity satisfactory to it before it enforces the Indenture or the Notes. Subject to certain limitations,
Holders of a majority in principal amount of the Notes then outstanding may direct the Trustee in its exercise of remedies. 
  

	6.	Amendment and Waiver. 

Subject to certain exceptions, the Indenture and the Notes may be amended, or default may be waived, with the consent of the Holders of a
majority in principal amount of the outstanding Notes. Without notice to or the consent of any Holder, the Company and the Trustee may amend or supplement the Indenture or the Notes to, among other things, cure any ambiguity, defect or inconsistency
if such amendment or supplement does not adversely affect the interests of the Holders in any material respect. 
  

	7.	Authentication. 

 This
Note is not valid until the Trustee (or Authenticating Agent) signs the certificate of authentication on the other side of this Note. 
  

	8.	Governing Law. 

 This Note
shall be governed by, and construed in accordance with, the laws of the State of New York. 
  

	9.	Abbreviations. 

 Customary
abbreviations may be used in the name of a Holder or an assignee, such as: TEN COM (= tenants in common), TEN ENT (= tenants by the entireties), JT TEN (= joint tenants with right of survivorship and not as tenants in common), CUST (= Custodian) and
U/G/M/A/ (= Uniform Gifts to Minors Act). 
 The Company will furnish a copy of the Indenture to any Holder upon written request
and without charge. 

  
 A-6

 [FORM OF TRANSFER NOTICE] 

FOR VALUE RECEIVED the undersigned registered holder hereby sell(s), assign(s) and transfer(s) unto 

Insert Taxpayer Identification No. 
  

 
  

 
 Please print or typewrite name and
address including zip code of assignee 
  
  

the within Note and all rights thereunder, hereby irrevocably constituting and appointing 

 
  
 attorney to transfer said Note on the books of the Company with full power of substitution in the premises. 

  
 A-7

					
	Signature Guarantee:5	 	  

			
		 	By	 	  

		 	To be executed by an executive officer

  

	5 	Signatures must be guaranteed by an “eligible guarantor institution” meeting the requirements of the Registrar, which requirements include membership
or participation in the Securities Transfer Association Medallion Program (“STAMP”) or such other “signature guarantee program” as may be determined by the Registrar in addition to, or in substitution for, STAMP,
all in accordance with the Securities Exchange Act of 1934, as amended. 

  
 A-8

 OPTION OF HOLDER TO ELECT PURCHASE 

If you wish to have all of this Note purchased by the Company pursuant to Section 4.12) or 4.13 of the Indenture, check the
box: 9 
 If you wish to have a portion of this Note purchased by the Company pursuant to Section 4.12 or 4.13 of the
Indenture, state the amount (in original principal amount) below: 
 $        .

 Date:                     

 

			
	Your Signature:	 	  

 (Sign exactly as your name appears on the other side of this Note) 

 

			
	Signature Guarantee:1	 	  

  
  

	1 	Signatures must be guaranteed by an “eligible guarantor institution” meeting the requirements of the Trustee, which requirements include membership or
participation in the Securities Transfer Association Medallion Program (“STAMP”) or such other “signature guarantee program” as may be determined by the Trustee in addition to, or in substitution for, STAMP, all in
accordance with the Securities Exchange Act of 1934, as amended. 

  
 A-9

 SCHEDULE OF EXCHANGES OF NOTES1 

The following exchanges of a part of this Global Note for Physical Notes or a part of another Global Note have been made: 

 

									
	 Date of Exchange
	  	 Amount of decrease

in principal amount
 of this Global Note
	  	 Amount of increase

in principal amount
 of this Global Note
	  	 Principal amount of

this Global Note
 following such
 decrease (or

increase)
	  	 Signature of

authorized officer of
 Trustee

		  		  		  		  	
		  		  		  		  	

  

	1 	For Global Notes 

  
 A-10

 EXHIBIT B 
 SUPPLEMENTAL INDENTURE 
 dated as of
            ,          

among 
 Lender
Processing Services, Inc., 
 The Guarantor(s) Party Hereto 

and 
 U.S. Bank
National Association, 
 as Trustee 
  

 
 5.75%

 Senior Notes due 
 2023 

 THIS SUPPLEMENTAL INDENTURE (this “Supplemental Indenture”), entered into
as of             ,         , among Lender Processing Services, Inc., a Delaware corporation (the “Company”), [insert each Guarantor
executing this Supplemental Indenture and its jurisdiction of incorporation] (each an “Undersigned”) and U.S. Bank National Association, as trustee (the “Trustee”). 

RECITALS 

WHEREAS, the Company, the Guarantors party thereto and the Trustee entered into the Indenture, dated as of October 12, 2012 (the
“Indenture”), relating to the Company’s 5.75% Senior Notes due 2023 (the “Notes”); 

WHEREAS, as a condition to the Trustee entering into the Indenture and the purchase of the Notes by the Holders, the Company agreed
pursuant to the Indenture to cause Restricted Subsidiaries to provide Guaranties in certain circumstances. 
 AGREEMENT

 NOW, THEREFORE, in consideration of the premises and mutual covenants herein contained and intending to be legally bound,
the parties to this Supplemental Indenture hereby agree as follows: 
 Section 1.01. Capitalized terms used herein and not
otherwise defined herein are used as defined in the Indenture. 
 Section 2.01. Each Undersigned, by its execution of this
Supplemental Indenture, agrees to be a Guarantor under the Indenture and to be bound by the terms of the Indenture applicable to Guarantors, including, but not limited to, Article 10 thereof. 

Section 3.01. This Supplemental Indenture shall be governed by and construed in accordance with the laws of the State of New York.

 Section 4.01. This Supplemental Indenture may be signed in various counterparts which together will constitute one and
the same instrument. 
 Section 5.01. This Supplemental Indenture is an amendment supplemental to the Indenture and the
Indenture and this Supplemental Indenture will henceforth be read together. 

  
 B-1

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

			
	Lender Processing Services, Inc., as Issuer
		
	By:	 	  

		 	Name:
		 	Title:
	
	[GUARANTOR]
		
	By:	 	  

		 	Name:
		 	Title:
	
	U.S. Bank National Association, as Trustee
		
	By:	 	  

		 	Name:
		 	Title:

  
 B-2

 EXHIBIT C 
 DTC LEGEND 
 UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE
OF THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (“DTC”), TO THE COMPANY OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH
OTHER NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC (AND ANY PAYMENT IS MADE TO CEDE & CO. OR TO SUCH OTHER ENTITY AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC), ANY TRANSFER, PLEDGE OR OTHER USE HEREOF FOR VALUE OR
OTHERWISE BY OR TO ANY PERSON IS WRONGFUL INASMUCH AS THE REGISTERED OWNER HEREOF, CEDE & CO., HAS A BENEFICIAL INTEREST HEREIN. 
 TRANSFERS OF THIS GLOBAL NOTE ARE LIMITED TO TRANSFERS IN WHOLE, BUT NOT IN PART, TO NOMINEES OF CEDE & CO. OR TO A SUCCESSOR THEREOF OR SUCH SUCCESSOR’S NOMINEE AND TRANSFERS OF PORTIONS OF
THIS GLOBAL NOTE ARE LIMITED TO TRANSFERS MADE IN ACCORDANCE WITH THE TRANSFER PROVISIONS OF THE INDENTURE. 

  
 C-1

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