ATHIRA PHARMA，INC。

信托契约

截至20

[__________]

受托人

目录

ATHIRA PHARMA，INC。

1939年信托契约法与日期为 , 20的契约之间的协调和联系

注：本协议和栓之间的调和和衔接，在任何情况下都不应被视为本协议的一部分。

日期为20年，由特拉药业公司（一家根据特拉药业公司（特拉药业公司）组建的特拉药业公司）公司 [__________]美国一家根据美国法律成立的国家银行协会，作为受托人（受托人）受托人”).

各方同意为对方的利益和证券持有人在本债券契约下发行的证券的平等和收益而遵守以下规定。

第一条
定义和引用

第1.1节 定义.

“（包括因收购要約中票券出售引起的利益所得税，如果有的話）的扣税相关的应计利息的附加数额（"“”表示公司根据本协议或任何安防条款，在本协议或安防条款中指定的情况下，需要向指定的持有人支付的额外金额，以支付适用于该持有人并且应付给该持有人的特定税款。

“附属公司“特定人士”的"指特定人士直接或间接控制、受其直接或间接控制或与其共同控制的任何其他人。" 对于本定义的目的，“控制”（包括与之相关的含义，“受其控制”和“与其共同控制”这些术语），就任何人而言，应表示直接或间接拥有指导或引导该人员的管理或政策方向的权力，无论是通过持有表决权证券或协议或其他方式。

“第五章 定义和引用 第5.1节 定义 第1.1节中所指的术语包括其单数形式以及复数形式，其相对应的意思当然依然是如此。“登记处”，指任何登记用的代理人、支付代理人或通知代理人。

“董事会“董事会”，指公司的董事会或者依照公司董事会授权的委员会。

“第八章 默认、代表和特权 第8.1节 默认 如果公司未在有关保证金期限内付款或违反与任何债券相关的其他任何条款，在持有人组成表决权后代理人有权行使讨薪的任何权利。“”表示由公司秘书或助理秘书经认证，已经董事会通过或根据董事会授权，并在证书日期当日生效，并交付给受托人的决议副本。

“第十章 转让证券 第10.1节 交易 如果发行受托人证明，债券持有人可以交换并迅速交付发行受托人这样的证明，无论是有欠款未偿还，还是实质性周转的时候，都可以在世界范围范围内经由源和债券市场交易。“”指的是除周六、周日或纽约市的法定假日之外的任何一天（或与任何支付有关的地方支付），当天银行机构被法律、法规或行政命令授权或要求关闭。

“第十二章 定义和交换 第12.1节 证券 “证券”是指本协议除头寸、参与比例、权利或其他等效项之外的任何和所有公司股票的份额、利益、参与和权利。“”表示任何和所有（无论如何指定的）公司股份、权益、参与权、权益或其他等同物。

“普通股“”表示公司每股普通股，每股面值为$0.0001。

“公司“”指的是上述所述的一方，直到有接替者取而代之为止，之后表示继任者。

“公司订单“” 意指由公司的高级职员签署的书面订单。

“公司托管办公室是指在该托管证券相关的企业信托业务由此规定在任何时间核心管理的受托人的办事处。“信托受托人的主要办公地点，即任何时间本契约应被管理的地点，截至本印记之日的该地点位于第10.2节规定的地址。关于转让或兑换、转换或本息支付的展示，该地址应位于第10.2节规定的地址，或者受托人可能指定的其他地址

持有人和公司可以不时以书面通知方式，或任何继任受托人的主要公司信托办事处（或任何继任受托人不时以书面通知方式指定的其他地址）的地址。

“违约'"事件"指任何事件，如果经过通知或经过一段时间或两者结合后，将成为违约事件。

““托管人”是指对于任何系列证券发行的全部或部分采用一种或多种全局证券的证券，由公司指定为该系列的托管人的人，该托管人应为登记于交易所法案下的清算机构；如在任何时候有不止一个这样的人，“托管人”用于该系列证券则应指该系列证券的托管人。”表示与以一个或多个全球证券形式全部或部分发行的任何系列的证券有关，由公司指定为该系列的存托人，该存托人应为根据证券交易法注册的清算机构；如果存在多个该类人员，“存托人”指与任何系列证券相关的存托人。

“贴现债券“” 意指当根据第6.2节宣布加速到期的债券安防提供少于其规定本金金额的金额到期支付。

“美元”和“$表示美利坚合众国的货币。

“使拥有公司注册证券类别10%以上股权的官员、董事或实际股东代表签署人递交表格3、4和5（包括修正版及有关联合递交协议）,符合证券交易法案第16(a)条及其下属规则规定的要求；“证券交易法”，指经过修改的1934年证券交易法。

“外币“货币”指美国政府以外的任何政府发行的货币或货币单位。

“外国政府债权“”指的是任何以外币计价的某一系列证券，即由发行或导致该货币发行的政府直接担保的债务，用于支付该债务的全力信用，并且不可由发行人选择性地兑付或赎回。

“GAAP”是指美国注册会计师协会的会计原则委员会、财务会计准则委员会的声明及声明、有这些声明为基础的其他实体的声明，这些声明已获得会计行业的大部分认可，并在确定日期时生效的美国通行的会计原则。 指美国注册会计师协会会计准则委员会的意见和声明以及财务会计准则委员会的声明和发言或其他已获会计专业的主要部分批准的其他实体的声明所规定的美国公认会计原则，该原则自确定日期起生效。

““全球证券”是指任何证券发行的全部或部分采用一种或多种全局证券的证券。“”或“”全球货币证券“”是指根据2.2节设立的证券或证券，证明所有或部分证券系列，发行给该系列的托管人或其被提名人，并以该托管人或被提名人的名义登记。

“持有人“”或“”证券持有人“”指的是在注册处的登记簿上以其名字注册有安防-半导体的人。

“契约“”表示本债券契约，随时以修订或补充的形式存在，并包括根据本协议所设立的特定证券系列的形式和条款。

“利息“关于任何到期后才开始支付利息的折扣证券，该术语指到期后应付的利息。”

“到期日”对于任何安防-半导体，指其本金应偿付日期，无论到期日还是加速宣告、看涨赎回或其他方式。

“高管”指公司的首席执行官、总裁、首席财务官、财务主管或副主管、秘书或助理秘书，以及公司的任何副总裁。

“董事会证书“”表示由符合10.5节要求的任何官员签发的证书。

“律师意见“”指的是受受托人认可的法律顾问的书面意见。该意见可能包含惯常的限制、保留意见、条件和例外。该顾问可能是公司的雇员或顾问。

“人员。“”指任何个人、法人、合伙企业、合营企业、协会、有限责任公司、股份有限公司、信托、非法人组织或政府或其任何机构或政治分支机构。

“本金安防-半导体的“安防”是指对于安防-半导体的本金，以及必要时的溢价（如果有的话），以及安防-半导体的任何额外金额。

“责任主任“”指的是承诺人公司信托办公室的任何主管，直接负责本债券契约的管理，并且也指在特定企业信托事项上，由于他或她对特定主题的知识和熟悉程度，而将任何企业信托事项提交的其他官员。

“SEC“证券交易委员会”指证券交易委员会。

“证券“”指的是在本债券契约项下认证和交付的公司任何系列的债券、票据或其他债务工具。

“系列“”或“”证券系列“” 表示根据本协议第2.1和2.2条款所创建的公司债券、票据或其他债务工具的每个系列。

“到期日“”在任何安防-半导体方面的使用中，指的是在该安全性中指定的日期，即该安全性的本金或利息到期并应支付的固定日期。

““财政部条例”是指根据《税收法典》颁布的所有拟议、临时和最终条例，这些条例可能会不时修订（包括后续条例的相应规定）。“任何指定个人”指任何公司、协会或其他业务实体，其股权总投票权超过50％，有权投票选举公司董事、经理或受托人，不考虑任何情况的发生的股份控制，直接或间接地归属于该人或该人的一个或多个其他子公司或两者结合。

“信托工业法(TIA)“"在本债券契约签署之日起指1939年的信托契约法（美国法典第77aaa-77bbbb节）， 在每种情况下，该B类股东和/或该B类股东的家庭成员需独立控制在此类帐户、计划或信托中持有的B类普通股实时；, 公司对于以下情况，不应承担责任：根据第10（b）部分书面信息可靠地提供。在信托契约法于该日期之后被修改的情况下，“TIA”根据所做的任何修订，在必要的范围内指修订后的信托契约法。

“受托人“受托人”在本工具书第一段中指定的那个人，直至根据本信托书的相关条款产生其后继任受托人，此后“受托人”应指或包括任何时候在此任职的受托人，如果在任何时候有不止一人，那么“受托人”相对于任何系列证券而言应指该系列证券的受托人。

“美国政府债务“US国债”指的是直接由美利坚合众国广峪或担保，且承诺全部信用支付的有价证券，不得由其发行人选择赎回，也应包括由银行或信托公司作为托管人发行的存托凭证，就任何此类美国政府债务或存托人持有的任何此类美国政府债务的利息或本金特定支付而言，该托管人代表存托人的账户。 在每种情况下，该B类股东和/或该B类股东的家庭成员需独立控制在此类帐户、计划或信托中持有的B类普通股实时； 该托管人未经法律要求除外，未被授权从托管人收到的与存托证明所证明的美国政府债券相关的任何金额中扣除支付给此类存托证明持有人的金额。

第1.2节其他定义.

第1.3节 信托契约法可引用附录.

每当本契约提及TIA的条款时，该条款被引用并成为本契约的一部分。本契约中使用的以下TIA术语具有以下含义：

“委员会:“SEC”指美国证券交易委员会。

“契约证券“证券”指债券。

“契约证券持有人“半导体”，表示安防-半导体。

“资历认证书 表示这份契约。

“契约受托人“”或“”机构受托人”表示受托人。

“债务人” 在债券协议中表示公司以及任何对债券承继义务的继任债务人。

本契约中使用的全部其他术语均按TIA的定义、TIA参考其他法规的定义或根据TIA下SEC规则定义，除此之外无其他定义。

1.4节 建造规则.

除非上下文另有要求：

(a) 术语具有特定的含义;

(b) 未经其他定义的会计术语，其含义应按照通用会计准则中分配的含义理解；

(c) “或者（d）单数词包括复数，而复数词包括单数;

(d) 单数词包括复数形式，复数形式包括单数形式；和

(e)条款适用于连续发生的事件和交易。

第二条
证券

第2.1节可分别发行.

根据此债券契约，可认证并交付的债券本金数额不受限制。债券可分为一个或多个系列发行。每个系列的债券应该是相同的，除非有董事会决议、补充契约或官方证书规定或决定了相关内容，详细说明通过董事会决议授权采纳条款的情况。在随时发行的一系列债券的情况下，董事会决议、官方证书或补充契约可以详细说明根据董事会决议授权的情况采纳条款的方法，其中可规定要确定的特定条款（如利率、到期日、登记日或开始计息日）的方法。债券在任何事项上可在系列之间有所不同，只要所有债券系列均享有此债券契约的权益且按比例分配。

第2.2节 建立证券系列条款.

在任何系列证券发行之前或之前，应当由董事会决议设立以下内容（就整个系列而言，在第2.2.1小节的情况下，并就该系列的证券或整个系列的情况分别根据第2.2.2至2.2.21小节的情况）或依据董事会决议、本补充保证书或官方证书中提供的方式设置或确定：

2.2.1. 该系列证券的标题（应区分该特定系列的证券与任何其他系列的证券）和排名（包括任何次级条款的条款）；

2.2.2. 该系列证券将发行的价格或价格（以其本金金额的百分比表示）；

2.2.3. 本信托契约项下可经认证并交付的系列证券的总本金限额（除了根据第2.7、2.8、2.11、3.6或9.6条款办理的转让登记、或者交换、或者替代其他系列证券而认证和交付的证券）。

2.2.4.证券系列本金应付日期；

2.2.5.每年利率或利率（可以是固定的或变动的），或者确定这种利率的方法（包括但不限于任何商品、商品指数、股票交易所指数或金融指数），债券系列的证券将承担利息的利率或利率（如果有的话），利息开始计算的日期或日期，利息开始计算并支付的日期或日期，以及任何定期记录日，用于在任何付息日期支付的利息。

2.2.6. 如有的话，延期付息的权利以及任何此类延期期限的最长时间；

2.2.7.该系列证券的本金和利息（如果有的话）可支付的地点或地点，可以在其中投降该系列证券以进行转让注册或交换，并可以向公司递交有关该系列证券和本信托的通知和要求的地点，以及如何支付，如果是通过电汇，邮寄或其他方式；

2.2.8.如适用，公司有权在整个或部分赎回本系列证券的期间、价格以及条款和条件

2.2.9.公司根据沉没基金或类似条款的任何义务，或权利人选择的情况下，将回购该系列证券的义务，以及系列证券根据此类义务将在何时、以何价格、以及何种条件下被全部或部分赎回或购回的期限或期限。

2.2.10. 如果证券的发行面额不是1000美元或其整数倍，将以何种面额发行该系列证券；

2.2.11.关于将该系列证券转换或交换为公司普通股或其他证券的规定，以及该等证券可转换或可交换的条件，包括转换或交换价格，按情况确定的转换或交换价格，以及任何调整，任何强制或选择性（根据公司或某一系列证券持有人的选择）转换或交换规定，适用的转换或兑换期限以及任何此类转换或兑换的结算方式；

2.2.12. 该系列证券的形式以及证券是否可作为全球货币发行;

2.2.13.如果根据第6.2节对该序列证券的到期加速进行宣布，则除该序列证券的本金金额外，应支付的本金金额部分。

2.2.14 货币的指定，证券系列的本金和利息（如有）支付以及支付的货币或货币单位，如果不是或不是以这些证券计价的货币，将确定与此类支付有关的汇率方式;

2.2.15.证券系列的本金、溢价或利息支付金额的确定方式，如果该金额可能根据货币或货币组合的指数、商品、商品指数、股票交易所指数或金融指数进行确定。

2.2.16. 关于该系列证券提供的任何安防-半导体的相关条款（如果有的话）；

2.2.17. 对适用于该系列任何证券的第四条或第五条或违约事件中规定的契约的任何增补、删除或更改，以及受托人或该等证券的必要持有人根据第6.2条宣布其应付本金金额到期的任何变更。

任何与该系列证券有关的托管机构、利率计算代理、汇率计算代理、兑换代理或其他代理，如果不是此处指定的代理。

2.2.19.证券系列的货币面额，可以是美元或任何外币，如果这种货币的面额是复合货币，则负责监督这种复合货币的机构或组织；

2.2.20. 任何其他系列的条款（可能补充、修改或删除本契约的任何条款，就适用于该系列的条款而言），包括根据适用法律或法规可能要求的任何条款，或在与该系列证券的营销有关时建议适当的条款；和

公司的任何直接或间接子公司是否会担保该系列证券，包括担保的次序条款（如果有）。

任何一系列的所有证券均无需同时发行，且可以根据本信托契约的条款从时间到时间进行发行，如董事会决议，本附录或上述执行官证明书规定。 除非受托人书面同意，否则任何董事会决议、本附录或上述执行官证明书均不得影响受托人根据本信托契约或其他任何证券系列的权利、职责或豁免。

业务板块2.3执行和认证.

第6.1节.违约事件。

如果签名在证券上的军官不再担任该职位，该证券在认证时仍然有效。

安防-半导体未经受托人或权威代理人的手工签名认证之前不得有效。该签名将是证明在本信托书下对安防-半导体进行了认证的确凿证据。

受托人应随时根据董事会决议书、本补充证券契约或行政官员的证明就公司订单所规定的本金金额出具证券。每张证券应按其出具日期确定。

任何系列的债券在任何时候的总本金金额不得超过董事会决议、此附录的补充契约或根据第2.2节交付的官方证书中规定的该系列的最高本金金额限制，除非第2.8节另有规定。

在发行任何系列证券之前，受托人应已收到并（根据第7.2节的规定）在于依靠以下文件的情况下应受到充分保护：（a）董事会决议、本文件的补充契约或设立该系列证券或该证券系列内部证券形式的官方证明书

及该系列证券或该系列证券内的证券条款，(b) 符合第10.4条的主管证明书，(c) 符合第10.4条的律师意见书和 (d) 律师意见书（可能是前述子条款 (c) 中提到的同一律师意见书），即这些证券在依照信托契约条款已经得到妥善执行、发行和认证，并根据该律师意见书中描述的情况交付相应支付后，将成为公司的合法有效和具有约束力的义务，依照其条款对公司具有可执行性。

受托人有权拒绝认证和交付该系列证券：(a) 如果受托人在律师的建议下判断可能无法合法进行该行动；或(b) 如果受托人诚信判断该行动将使受托人对任何当时未偿还的证券系列的持有人承担个人责任。

受托人可以任命一家受公司认可的鉴证代理来对证券进行认证。鉴证代理可以在受托人可以进行认证的任何时候对证券进行认证。本债券中对受托人认证的任何提及都包括由该代理进行的认证。鉴证代理与代理人具有相同的权利，可与公司或公司的关联方交易。

第2.4节 登记机构和付款代理。.

就每个证券系列而言，公司应在根据第2.2节规定的地点或针对该系列规定的地点保持一个办事处或机构，可以向其呈交或解除的该系列证券（“】支付代理人可以向其解除用于注册转让或交换的该系列证券（“”注册代理人公司应要求每个支付代理（托管行除外）书面同意该支付代理将受托人或任何证券系列持有人的所有为支付该等证券系列本金或利息而持有的钱款，保持信任，并书面通知受托人公司未能偿还任何此类款项的不履行义务。在此类违约仍在继续期间，受托人可以要求支付代理向其支付其持有的全部款项。公司可以随时要求支付代理向受托人支付其持有的全部款项。支付代理（非公司或其子公司）支付给受托人后，对该款项不再承担任何责任。如果公司或其子公司担任支付代理，它应将其作为支付代理持有的所有款项分开托管并保持为受任何系列证券持有人的利益。如果公司发生破产，重组或类似程序，则受托人将担任证券的支付代理。为了避免疑虑，支付代理和受托人应在确认收到足以进行相关付款的资金之前，对款项或支付（包括向持有人支付）不承担责任。代理持有的任何款项均无需分开托管，除非法律规定。通知代理人注册机构应网持有关每个证券系列及其转让和交换的登记册。公司将及时书面通知受托人每个注册机构、支付代理人或通知代理人的名称和地址，以及名称或地址的任何变更。若公司在任何时候未能维护任何所需的注册机构、支付代理人或通知代理人，或未能向受托人提供其名称和地址，上述递交、放弃、通知和要求可在受托人的公司信托办公室进行，公司特此任命受托人为其代理人，接收所有这类递交、放弃、通知和要求； 在每种情况下，该B类股东和/或该B类股东的家庭成员需独立控制在此类帐户、计划或信托中持有的B类普通股实时；, 公司对于以下情况，不应承担责任：根据第10（b）部分书面信息可靠地提供。, 任命受托人为通知代理的任何任命都应排除任命受托人或受托人的任何职务作为公司接收法律文书的代理。

公司可能会不时指定一个或多个辅助登记处、额外付款代理或额外通知代理，并可能不时废止这些指定； 在每种情况下，该B类股东和/或该B类股东的家庭成员需独立控制在此类帐户、计划或信托中持有的B类普通股实时；, 公司对于以下情况，不应承担责任：根据第10（b）部分书面信息可靠地提供。这样的指定或废止不得以任何方式解除公司根据第2.2条对任何系列证券所规定的对于在每个指定地点保持登记处、付款代理和通知代理的义务。公司将及时书面通知受托人任何这样的指定或废止以及任何辅助登记处、额外付款代理或额外通知代理的名称或地址的变更。术语“注册代理人每个持有人通过收到和持有证券，同意与公司和受托人：不论来源如何，都不可因根据《信托工具法》第312条披露持有人的名称和地址等信息而受到追问，也不可因向该条款下的请求邮寄任何材料而对受托人负责；支付代理人第2.7节。转让和交换。通知代理人“包括任何其他的通知代理人。公司或其任何关联公司可能担任注册处或支付代理。

(i) 是针对公司提出的非自愿破产案的救济，

第2.5节付款代理持有资金信托.

公司应要求除受托人外的每位支付代理均书面同意，支付代理将信托保管，以受证券任何系列的持有人或受托人受益的用于偿付该系列证券本金或利息的款项，并书面通知受托人公司若拖欠任何此类款项支付。在此类拖欠持续期间，受托人可要求支付代理向受托人支付其持有的所有款项。公司可随时要求支付代理向受托人支付其持有的所有款项。支付给受托人后，支付代理（非公司或公司的子公司）对该款项不再承担进一步责任。若公司或公司的子公司充当支付代理，应将其作为支付代理所持有的所有款项分开并置于专用信托基金中，以受证券任何系列的持有人受益。在公司进行任何破产、重组或类似程序期间，受托人应作为证券的支付代理。

第2.6节安全持有人名单.

受托人应尽力保留其可获得的关于每一系列证券的持有人姓名和地址的最新名单，并且应遵守TIA § 312(a)。如果受托人不是注册处，公司应在每个付息日至少提前十天向受托人提供名单，并根据受托人书面要求的其他时间，以受托人合理要求的形式和日期为准提供每一系列证券的持有人姓名和地址。

2.7节 转让和交换.

将某一系列的证券与请求注册转让或将其交换为同一系列的证券的等额本金金额一同提交给注册机构或联合注册机构时，只要满足此类交易的要求，注册机构就应当注册转让或进行交换。 为了便于进行转让和交换登记，受托人应根据注册机构的请求对证券进行认证。 对于任何转让或交换登记，不得收取任何服务费（除非在本文件明确许可的情况下），但公司可以要求支付足以支付与此类交易有关的任何转让税或类似政府收费的金额（否则，任何在2.11、3.6或9.6条款下进行的交易登记都应支付任何此类转让税或类似政府收费）。

At any time after such a declaration of acceleration with respect to any Series has been made and before a judgment or decree for payment of the money due has been obtained by the Trustee as hereinafter in this Article provided, the Holders of a majority in principal amount of the outstanding Securities of that Series, by written notice to the Company and the Trustee, may rescind and annul such declaration and its consequences if all Events of Default with respect to Securities of that Series, other than the non-payment of the principal and interest, if any, of Securities of that Series which have become due solely by such declaration of acceleration, have been cured or waived as provided in Section 6.13.

第2.8节 残缺不全、毁损、丢失和被盗证券.

如果任何破损的安防-半导体被交付给受托人，公司应执行，受托人应认证并交付一份同一系列、相同票面金额和轴承号不同时存在的新安防-半导体作为交换。

如果向公司和受托人提供了以下证据(1)他们满意的安防-半导体的被破坏、丢失或被盗以及(2)每个都要求提供的安全或保证金，以使其和其任何代理免受损害，那么在没有通知公司或受托人该安防-半导体已被善意购买者获得的情况下，公司应执行并

在收到公司订单后，受托人应验证并提供交付，代替任何被销毁、丢失或被盗的证券，提供同一系列、类似金额和轴承数量不同时存在的新证券。

如果任何这样的残缺、毁坏、丢失或被盗证券已经或即将到期应付款项，公司可以自行决定，而不是发行新证券，支付这样的证券。

根据本节规定发布任何新的安防-半导体时，公司可能会要求支付足以支付任何可能征收的税收或其他政府费用以及与之相关的任何其他费用（包括受托人的费用和支出）的金额。

根据本节规定发行的任何系列的新安防-半导体在代替任何被毁、丢失或盗窃的安全证券时都构成公司的一项新的额外合同义务，无论被毁、丢失或盗窃的证券是否在任何时候都可被任何人强制执行，并且将与本次发行的该系列所有其他证券平等和按比例地享受此担保债券的所有权利。

本条款的规定是排他性的，应排除其他任何因替换或支付损坏、毁坏、丢失或被盗证券而享有的权利和救济措施（在法律允许的范围内）。

第2.9节 优秀证券.

任何时候未偿还的证券是指由受托人认证的所有证券，但不包括被受托人取消的、被送交受托人者用于注销的、受托人根据本协议规定所减少的全球证券利息以及本节所述不在未偿还状态的证券。

如果按照2.8节替换了某个安防-半导体，它不再优先，直到受托人收到令其满意的证明，证明替换的安防-半导体是由真正的购买者持有。

如果支付代理人（除公司，公司子公司或公司联营公司外的代理人）在一系列证券成熟日持有足以支付该等证券的资金，则该系列证券自该日起不再持续，并且利息停止计算。

无论通过公开市场购买、协商交易还是其他方式，公司均可购买或以其他方式获得该证券。公司或公司的关联方持有该证券并不意味着该证券已注销（但请参阅下面的第2.10节）。

在确定持有未偿还证券的额定本金数量的持有人是否已根据本协议提出任何请求、要求、授权、指示、通知、同意或豁免时，为此目的而视为未偿还的折扣证券的额定本金数量应为折扣证券的本金在根据6.2节加速到期宣布的日期应当到期支付的数量。

第2.10节 国库证券.

在确定系列证券持有人是否在任何请求、要求、授权、指示、通知、同意或弃权方面达成一致意见时，应忽略公司或公司任何关联公司拥有的系列证券，但目的是为了

确定托管人是否可以受保护，只有托管人的负责人实际知道拥有某个系列证券的情况，根据任何此类请求、要求、授权、指示、通知、同意或放弃，只有该信托的一系列证券将被忽略。

第2.11节 暂时证券.

在确定性证券准备就绪交付之前，公司可以准备，受托人应根据公司的指令验证临时证券。 临时证券应基本上与确定性证券形式相同，但可能具有公司认为适用于临时证券的变化。 公司应尽快准备，并在收到公司订单后，受托人应根据公司订单验证具有相同系列和到期日的确定性证券，以换取临时证券。 在进行交换之前，临时证券应在本契约下享有与确定性证券相同的权利。

第2.12节取消.

公司随时可以向受托人交付证券以进行注销。 注册处和支付代理应当将转交、交换或支付所交付的任何证券转交给受托人。 受托人应当根据其惯例程序取消所有为了转让、交换、支付、替换或注销而交付的证券（但需符合证券交易所法案和受托人保留记录的要求），并在公司书面请求时向公司交付此类注销证明。 公司不得发行新证券以替换其已支付或交付给受托人以进行注销的证券。

第2.13节 拖欠利息.

如果公司违约未支付某一系列证券的利息，应支付逾期利息，并根据法律规定，支付可能产生的逾期利息，支付给该系列证券的持有人在随后的特别登记日。公司应确定登记日和支付日。特别登记日之前至少10天，公司应向受托人和该系列证券的每位持有人发送一份通知，其中说明特别登记日、支付日期及应支付的利息金额。公司可以以其他合法方式支付逾期利息。

第2.14节 全球货币证券.

2.14.1. 债券条款董事会决议、本补充证券或官方证明应确定发行某一系列证券全部还是部分以一项或多项全球证券形式，并且全球证券的托管机构。

2.14.2. 转让和交换尽管《契约》第2.7条的其他规定，任何全球证券根据《契约》第2.7条有权交换为除了该证券的托管人或其指定人以外的持有人登记的证券，只有在以下情况下才可交换：（i）托管人通知公司，其不愿或无法继续担任该全球证券的托管人，或管理交易所法案下的交易所不再是清算机构，则公司未能在此事件后90天内指定一个按管理交易所法案登记的清算机构作为继任托管人;或（ii）该公司执行并交付给受托人一个官方证书，以说明该全球证券应予以交换。任何根据上述句子规定有权交换的全球证券均可按照托管人书面指示交换为与该全球证券相同的面值和条件的登记于该托管人名下的证券。

No Holder of any Security of any Series shall have any right to institute any proceeding, judicial or otherwise, with respect to this Indenture, or for the appointment of a receiver or trustee, or for any other remedy hereunder, unless

受托人或任何代理人均无需对托管人所采取或未采取的任何行动负责。

2.14.3. 法律声明任何在此发行的全球货币安防-半导体应带有下列实质性形式的题词：

“这个安防-半导体属于全球货币。在下文所指的契约下，它以托管人或托管人的代理人的名义注册。此安全性仅在契约中所述的有限情况下可交换为以与托管人或其代理人不同的个人的名义注册的证券，并且可能不会完全转让，除非托管人将其作为全部交付给托管人的代理人，由托管人的代理人交付给托管人或另一个托管人的代理人，或由托管人或这样的代理人转让给后继托管人或后继托管人的代理人。”

此外，只要存管信托公司（"Depository Trust Company”，简称"DTC”）是托管人，每张以DTC或其提名人名义登记的全球票据将载有实质上以下形式的说明：

“除非全球货币持有人代表存托公司（一家名为纽约州合法信托公司（“DTC”）的公司）向公司或其代理人申请过户、交换或支付，并且任何发行的全球货币登记在CEDE & CO.或根据DTC授权代表要求的其他名称（并且任何支付付给CEDE & CO.或根据DTC授权代表要求的其他实体），否则任何转让、抵押或其他用途均为非法。因为本全球货币的登记所有者CEDE & CO.在此具有利益。”

2.14.4. 持有人行为作为持有人，托管人可以任命代理并授权参与者进行任何请求、要求、授权、指示、通知、同意、放弃或其他在信托契约下持有人有权提出或采取的行动。

(a) 本信托要求、要求、授权、指示、通知、同意、放弃或者其他由持有人执行的行动可以通过一个或多个实质相似的文件体现，并由持有人本人或经书面委托的代理人签署；除非在本处另有明确规定，此类行动将在该文件或这些文件交付给受托人时生效，并按照本文件要求交付给公司。该文件或文件（以及其中包含的和证明的行动）有时在本处被称为持有人签署该文件或文件的“行动”。任何此类文件的执行或任何委托任何代理人的书面文件的证明，如果按照本条款规定的方式进行，将对本信托人和公司产生充分作用，并有利于受托人和公司。

(b) 任何人执行此类文件或书写的事实和日期，可由见证人关于该执行的宣誓书或公证员或其他法定授权接受契据确认的官员的证书证明。如果签署此类文件或书写的人以非本人容身分行事，则该证书或宣誓书也构成足够证明该签署人的授权。该类文件或书写的执行事实及日期，或执行同一文件的人的授权，亦可由受托人认为足够的任何其他方式来证明。

(c)所有全球货币或以纸质形式发行的证券的所有权都应由注册机构证明。

(d)任何对任何安防持有人的请求、要求、授权、指令、通知、同意、豁免或其他安防持有人的行为，将约束同一安防的所有未来持有者以及在此基础上或由此登记的每一安防的持有者或在此基础上或在此基础上或因此做出的、遗漏的或被允许做的之事项，无论受托人或公司是否依赖该等行为，并无论是否在该安防上对该等行为作出记录。

(e) 如果公司向持有人征求任何请求、要求、授权、指示、通知、同意、豁免或其他行为，公司可以自行选择，通过或根据董事会决议提前确定持有人的股权登记日，以确定有权提出该等请求、要求、授权、指示、通知、同意、豁免或其他行为的持有人，但公司无义务这样做。如果确定了这样的登记日，则可以在该登记日之前或之后提出该等请求、要求、授权、指示、通知、同意、豁免或其他行为，但只有在该登记日的营业结束时登记的持有人将被视为持有人，用于确定是否已经授权或同意或同意了所述请求、要求、授权、指示、通知、同意、豁免或其他行为的所需比例的未偿债券的持有人，并且为此目的，未偿债券应在该登记日计算；但前提是，除非根据本契约的规定在登记日后不迟于六个月内生效，否则持有人在该登记日的任何授权、同意或同意不得被视为有效。

2.14.5. 付款尽管本合同的其他规定，除非根据2.2节的规定另有规定，否则应将任何全球安防-半导体的本金和利息支付给持有人。

2.14.6. 同意书、声明和指引公司、受托人和任何代理人应当将一个人视为拥有该系列全球货币代表的未偿还债券的本金金额，该本金金额应当在托管机构的书面声明或关于该全球货币的适用程序中指明，以便获得根据本契约要求由持有人提供的任何同意、声明、豁免或指示。

第2.15节CUSIP编号.

发行证券的公司可能使用“CUSIP”编号（如果当时通常使用），如有使用，则受托人应在赎回通知中使用“CUSIP”编号作为便利措施。 在每种情况下，该B类股东和/或该B类股东的家庭成员需独立控制在此类帐户、计划或信托中持有的B类普通股实时； 任何此类通知均可声明，无论证券上打印的这些编号的正确性，还是赎回通知中包含的任何编号的正确性，都不作任何陈述，仅可依赖证券上打印的其他识别元素，任何此类赎回均不因这些编号的缺陷或遗漏而受影响。公司应及时通知受托人公司所知的CUSIP编号的任何变更。

第三章
赎回

第3.1节通知受托人.

就任何一类证券而言，公司可能保留赎回并支付该类证券的权利，也可能契约赎回并支付该类证券或其任何部分，以及在规定的到期日之前以规定证券中所规定的时间和条件赎回和支付该类证券。如果某一类证券可以赎回并且公司希望或有义务根据该类证券的条款在规定的到期日之前赎回该类证券的全部或一部分，则必须书面通知受托人有关赎回日期和待赎回证券的本金金额。公司应在通知发送给持有人之前至少提前5天进行通知，除非较短的期限令受托人满意。

第3.2节选择要赎回的证券.

除非有董事会决议、附属证券托管协议或官方证明书特别指示某一系列，否则，若要赎回不是某一系列的所有证券，将选择要赎回的系列证券如下：(a) 若证券为全球证券形式，将根据托管机构的程序进行选择；(b) 若证券在任何国家证券交易所上市，则将遵守所列证券上市的主要国家证券交易所的要求，若有的话；(c) 若未在条款(a)或(b)中另有规定，则托管人将以托管人认为公平合适的方式进行选择，包括按比例，按抽签或其他方法，除非法律或适用证券交易所的要求另有规定，在全球证券的情况下，受托机构的适用规则和程序约束。将选择要赎回的证券来自以往尚未申请赎回的系列证券。可以选择大于$1,000的面额的系列证券的本金的部分进行赎回。要赎回的系列证券和这些部分的金额将为$1,000或$1,000的整数倍或者关于根据第2.2.10条规定发行其他面额的任何系列的证券，每一系列的最低本金面额及其授权的整数倍。适用于要求赎回的系列证券的本协议条款也适用于要求赎回的该系列证券的部分。 按比例， 或者其他方法，除非法律或适用证券交易所要求另有规定，在全球证券的情况下，则受到托管机构的适用规则和程序约束。要赎回的证券将从以前尚未申请赎回的系列证券中进行选择。系列证券的本金如果大于$1,000可能被选中进行赎回。将要赎回的系列证券和这些选中进行赎回的部分金额将是$1,000或$1,000的整数倍，或者关于根据第2.2.10条发行的其他面额的某一系列证券，每个系列的最低本金面额及其授权的整数倍。适用于要求赎回的系列证券的本协议条款也适用于要求赎回的该系列证券的部分。

第3.3节赎回通知书.

除非董事会决议、补充契约附属文件或官方证明另有规定，公司将在至少15天但不超过60天的赎回日期前，通过一等邮件或按照托管机构的程序以电子方式发送通知赎回每个持有人的债券。

该通知应标识拟赎回的证券系列的证券，并说明：

根据公司的要求，受托人应以公司名义并由公司支付费用发出赎回通知，但前提是，公司在通知日期至少5天前（除非受托人可接受缩短的时间）向受托人交付一份官员证明书，要求受托人发出此类通知，并列明应在通知中陈述的信息。

第3.4节 赎回通知的影响.

一旦按照第3.3节的规定发送了赎回通知，被赎回的系列证券将在赎回日期以及赎回价格上到期并支付。除非在补充协议、董事会决议或证明书中另有规定，否则赎回通知不得有条件。在向付款代理交还后，这些证券将以赎回价格加上截至赎回日期的应计利息支付。

第3.5节存入赎回价格.

在赎回日上午11:00之前纽约时间，公司应无条件将足额（由公司确定）资金存入支付代理处，以支付当天应赎回的所有证券的赎回价格和应计利息（如有）。

第3.6节部分赎回证券.

在部分赎回的安防-半导体上缴后，受托人应为持有人验证一张新的同一系列和同一到期日的安防-半导体，其本金金额等于已上缴的安防-半导体未赎回的部分。

授予奖项
条款

第4.1节偿还本金和利息.

公司就每一系列证券的受益人承诺并同意，按照该等证券以及本契据的条款，准确及及时地支付该系列证券的本金和利息（如有）。在适用支付日期的纽约市时间上午11:00之前，公司应存入足够的资金给付款代理，以便按照该等证券以及本契据的条款支付每个系列证券的本金和利息（如有）。

第4.2节SEC报告.

在某一系列证券尚未偿付的情况下，公司应在向证券交易委员会提交后的15天内，向受托人交付年度报告的副本，以及公司根据《交易所法》第13条或第15(d)条的规定需要向证券交易委员会提交的信息、文件和其他报告的副本（或该等文件的部分，根据证监会的规章制度规定）。 公司还应遵守《信托工业协会法》第314(a)条的其他规定。 通过EDGAR系统（或任何继任系统）向证券交易委员会提交的报告、信息和文件将被视为在提交当时通过EDGAR向受托人交付，目的是根据本第4.2条的规定，应理解为受托人无需判断是否已进行此类提交，并且受托人不应被视为已了解其中包含的信息。

第7.2节 受托人的权利。

第4.3节合规证明书.

(b) 在受托人行动或不行动之前，其可能要求获得一份行政人员证明书或法律顾问意见书或二者兼得。 受托人不会因依赖这种行政人员证明书或法律顾问意见书而采取或不采取的任何善意行动而承担任何责任。

第4.4节停留，延期和高利贷法律.

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第五章
继任者

第5.1节公司何时可以合并等.

公司不得与任何人进行合并或兼并，或转让、转移或出租其全部或实质性的财产和资产（以下简称“继任人相应的大多数未调整的所有其他普通股票系列将以相同的比例和方式进行股票调整；并且

如果公司不是存续公司，公司应在拟议交易完成之前向受托人交付一份上述效果的官方证书和律师意见书，确认拟议交易和任何补充契约符合本契约。

尽管如上所述，公司的任何子公司可以与公司合并或将全部或部分财产转让给公司。在此过程中，无需提交任何管理人员的证明书或法律顾问的意见。

第5.2节 替换后继的公司.

根据第5.1条的规定，如果发生任何合并、合并、或任何出售、租赁、转让或其他处置公司的所有或几乎所有资产的情况，由该合并或与公司合并或进行销售、租赁、转让或其他处置的继任公司应继任公司，在本契约项下行使与公司同等效力的每一个权利和权力，就像该继任人已被列为公司内部人员一样； 在每种情况下，该B类股东和/或该B类股东的家庭成员需独立控制在此类帐户、计划或信托中持有的B类普通股实时；, 公司对于以下情况，不应承担责任：根据第10（b）部分书面信息可靠地提供。在出售、转让或其他处置（租赁除外）的情况下，根据本契约和证券的规定，前任公司将被解除所有本契约和证券下的义务和承诺。

第六章
拖欠和救济措施

第6.1节不履行责任的事件.

“违约事件在涉及任何系列证券的情况下，“”表示以下任一事件，除非在设立董事会决议、补充信托契约或官员证书中规定该系列不得享有上述违约事件的待遇：

术语“given”破产法“”代表美国法典第11章，或任何类似的美国联邦或州法，用于减轻债务人书的术语。“保管人“破产法”是指任何法律或文件，其中包含，基于或反对，刚性或任何类似法的原则，并且现在或将来存在，根据该执行程序，在指定时间或在发生某些事件后，宣布任何人的破产，财产抵押或管理。

公司在发现任何违约或违约事件后的30天内，将向受托人提供书面通知，该通知将合理详细地描述该违约或违约事件的进展情况以及公司在该方面采取或拟采取的措施。

第6.2节加速到期；撤销和废止.

如果任何系列证券的尚未偿付的证券存在且持续发生违约事件（除6.1(d)或(e)款所述的违约事件外），则在每种情况下，受托人或持有该系列尚未偿付证券本金金额不低于总额25%的持有人可以通过书面通知向公司（以及如果由持有人发出，则向受托人）声明即将到期的本金金额（或如该等证券条款中指定的贴现证券的本金金额的部分）以及该系列所有证券的应计及未付利息（如有）为立即到期且应付款项，且任何此类声明后，该本金金额（或指定金额）以及应计及未付利息（如有）将立即到期且应付款项。如果

Event of Default specified in Section 6.1(d) or (e) shall occur, the principal amount (or specified amount) of and accrued and unpaid interest, if any, on all outstanding Securities shall ipso facto become and be immediately due and payable without any declaration or other act on the part of the Trustee or any Holder.

At any time after such a declaration of acceleration with respect to any Series has been made and before a judgment or decree for payment of the money due has been obtained by the Trustee as hereinafter in this Article provided, the Holders of a majority in principal amount of the outstanding Securities of that Series, by written notice to the Company and the Trustee, may rescind and annul such declaration and its consequences if all Events of Default with respect to Securities of that Series, other than the non-payment of the principal and interest, if any, of Securities of that Series which have become due solely by such declaration of acceleration, have been cured or waived as provided in Section 6.13.

No such rescission shall affect any subsequent Default or impair any right consequent thereon.

Section 6.3 Collection of Indebtedness and Suits for Enforcement by Trustee.

The Company covenants that if

then, the Company will, upon demand of the Trustee, pay to it, for the benefit of the Holders of such Securities, the whole amount then due and payable on such Securities for principal and interest and, to the extent that payment of such interest shall be legally enforceable, interest on any overdue principal and any overdue interest at the rate or rates prescribed therefor in such Securities, and, in addition thereto, such further amount as shall be sufficient to cover the costs and expenses of collection, including the compensation, reasonable expenses, disbursements and advances of the Trustee, its agents and counsel.

If the Company fails to pay such amounts forthwith upon such demand, the Trustee, in its own name and as trustee of an express trust, may institute a judicial proceeding for the collection of the sums so due and unpaid, may prosecute such proceeding to judgment or final decree and may enforce the same against the Company or any other obligor upon such Securities and collect the moneys adjudged or deemed to be payable in the manner provided by law out of the property of the Company or any other obligor upon such Securities, wherever situated.

If an Event of Default with respect to any Securities of any Series occurs and is continuing, the Trustee may in its discretion proceed to protect and enforce its rights and the rights of the Holders of Securities of such Series by such appropriate judicial proceedings as the Trustee shall deem most effectual to protect and enforce any such rights, whether for the specific enforcement of any covenant or agreement in this Indenture or in aid of the exercise of any power granted herein, or to enforce any other proper remedy.

Section 6.4 Trustee May File Proofs of Claim.

In case of the pendency of any receivership, insolvency, liquidation, bankruptcy, reorganization, arrangement, adjustment, composition or other judicial proceeding relative to the Company or any other obligor upon the Securities or the property of the Company or of such other obligor or their creditors, the Trustee (irrespective of whether the principal of the Securities shall then be due and payable as therein expressed or by declaration or otherwise and irrespective of whether the Trustee shall have made any demand on the Company for the payment of overdue principal or interest) shall be entitled and empowered, by intervention in such proceeding or otherwise,

Nothing herein contained shall be deemed to authorize 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 Securities 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 6.5 Trustee May Enforce Claims Without Possession of Securities.

All rights of action and claims under this Indenture or the Securities may be prosecuted and enforced by the Trustee without the possession of any of the Securities or the production thereof in any proceeding relating thereto, and any such proceeding instituted by the Trustee shall be brought in its own name as trustee of an express trust, and any recovery of judgment shall, after provision for the payment of the compensation, reasonable expenses, disbursements and advances of the Trustee, its agents and counsel, be for the ratable benefit of the Holders of the Securities in respect of which such judgment has been recovered.

Section 6.6 Application of Money Collected.

Any money or property collected by the Trustee pursuant to this Article shall be applied in the following order, at the date or dates fixed by the Trustee and, in case of the distribution of such money or property on account of principal or interest, upon presentation of the Securities and the notation thereon of the payment if only partially paid and upon surrender thereof if fully paid:

First: To the payment of all amounts due the Trustee under Section 7.7; and

Second: To the payment of the amounts then due and unpaid for principal of and interest on the Securities in respect of which or for the benefit of which such money has been collected, ratably, without preference or priority of any kind, according to the amounts due and payable on such Securities for principal and interest, respectively; and Third: To the Company.

Section 6.7 Limitation on Suits.

No Holder of any Security of any Series shall have any right to institute any proceeding, judicial or otherwise, with respect to this Indenture, or for the appointment of a receiver or trustee, or for any other remedy hereunder, unless

it being understood, intended and expressly covenanted by the Holder of every Security with every other Holder and the Trustee that no one or more of such Holders shall have any right in any manner whatever by virtue of, or by availing of, any provision of this Indenture to affect, disturb or prejudice the rights of any other of such Holders, or to obtain or to seek to obtain priority or preference over any other of such Holders or to enforce any right under this Indenture, except in the manner herein provided and for the equal and ratable benefit of all such Holders of the applicable Series.

Section 6.8 Unconditional Right of Holders to Receive Principal and Interest.

Notwithstanding any other provision in this Indenture, the Holder of any Security shall have the right, which is absolute and unconditional, to receive payment of the principal of and interest, if any, on such Security on the Maturity of such Security, including the Stated Maturity expressed in such Security (or, in the case of redemption, on the redemption date) and to institute suit for the enforcement of any such payment, and such rights shall not be impaired without the consent of such Holder.

Section 6.9 Restoration of Rights and Remedies.

If the Trustee or any Holder has instituted any proceeding to enforce any right or remedy under this Indenture and such proceeding has been discontinued or abandoned for any reason, or has been determined adversely to the Trustee or to such Holder, then and in every such case, subject to any determination in such proceeding, the Company, the Trustee and the Holders shall be restored severally and respectively to their former positions hereunder and thereafter all rights and remedies of the Trustee and the Holders shall continue as though no such proceeding had been instituted.

Section 6.10 Rights and Remedies Cumulative.

Except as otherwise provided with respect to the replacement or payment of mutilated, destroyed, lost or stolen Securities in Section 2.8, no right or remedy herein conferred upon or reserved to the Trustee or to the Holders is intended to be exclusive of any other right or remedy, and every right and remedy shall, to the extent permitted by law, be cumulative and in addition to every other right and remedy given hereunder or now or hereafter existing at law or in equity or otherwise. The assertion or employment of any right or remedy hereunder, or otherwise, shall not, to the extent permitted by law, prevent the concurrent assertion or employment of any other appropriate right or remedy.

Section 6.11 Delay or Omission Not Waiver.

No delay or omission of the Trustee or of any Holder of any Securities to exercise any right or remedy accruing upon any Event of Default shall 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 6.12 Control by Holders.

The Holders of a majority in principal amount of the outstanding Securities of any Series shall have the right to 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, with respect to the Securities of such Series, provided that

Section 6.13 Waiver of Past Defaults.

The Holders of not less than a majority in principal amount of the outstanding Securities of any Series may on behalf of the Holders of all the Securities of such Series, by written notice to the Trustee and the Company, waive any past Default hereunder with respect to such Series and its consequences, except a Default in the payment of the principal of or interest on any Security of such Series (provided, however, that the Holders of a majority in principal amount of the outstanding Securities of any Series may rescind an acceleration and its consequences, including any related payment default that resulted from such acceleration). Upon any such waiver, such Default shall cease to exist, and any Event of Default arising therefrom shall be deemed to have been cured, for every purpose of this Indenture; but no such waiver shall extend to any subsequent or other Default or impair any right consequent thereon.

Section 6.14 Undertaking for Costs.

All parties to this Indenture agree, and each Holder of any Security by his acceptance thereof shall be deemed to have agreed, that any court may in its discretion require, 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, suffered or omitted by it as Trustee, the filing by any party litigant in such suit of an undertaking to pay the costs of such suit, and that such court may in its discretion assess reasonable costs, including reasonable attorneys’ fees, against any party litigant in such suit, having due regard to the merits and good faith of the claims or defenses made by such party litigant; but the provisions of this Section shall not apply to any suit instituted by the Company, to any suit instituted by the Trustee, to any suit instituted by any Holder, or group of Holders, holding in the aggregate more than 10% in principal amount of the outstanding Securities of any Series, or to any suit instituted by any Holder for the enforcement of the payment of the principal of or interest on any Security on or after the Maturity of such Security, including the Stated Maturity expressed in such Security (or, in the case of redemption, on the redemption date).

ARTICLE VII
TRUSTEE

Section 7.1 Duties of Trustee.

Section 7.2 Rights of Trustee.

Section 7.3 Individual Rights of Trustee.

The Trustee in its individual or any other capacity may become the owner or pledgee of Securities and may otherwise deal with the Company or an Affiliate of the Company with the same rights it would have if it were not Trustee. Any Agent may do the same with like rights. The Trustee is also subject to Sections 7.10 and 7.11.

Section 7.4 Trustee’s Disclaimer.

The Trustee shall not be responsible for and makes no representation as to the validity or adequacy of this Indenture or the Securities, it shall not be accountable for the Company’s use of the proceeds from the Securities, or any money paid to the Company or upon the Company’s direction under any provision of this Indenture, it shall not be responsible for the use or application of any money received by any Paying Agent other than the Trustee, and it shall not be responsible for any statement herein or in the Securities or any other document in connection with the sale of the Securities other than its authentication. The recitals contained herein and in the Securities, except the Trustee’s certificates of authentication, shall be taken as the statements of the Company, and the Trustee or any Authenticating Agent assumes no responsibility for their correctness.

Section 7.5 Notice of Defaults.

If a Default or Event of Default occurs and is continuing with respect to the Securities of any Series and if it is actually known to a Responsible Officer of the Trustee, the Trustee shall send to each Securityholder of the Securities of that Series notice of a Default or Event of Default within 90 days after it occurs or, if later, after a Responsible Officer of the Trustee has knowledge of such Default or Event of Default. Except in the case of a Default or Event of Default in payment of principal of or interest on any Security of any Series, the Trustee may withhold the notice if and so long as it in good faith determines that withholding the notice is in the interests of Securityholders of that Series.

Section 7.6 Reports by Trustee to Holders.

Within 60 days after each , commencing , 20 , the Trustee shall transmit by mail to all Securityholders, as their names and addresses appear on the register kept by the Registrar, a brief report dated as of such anniversary date, in accordance with, and to the extent required under, TIA § 313.

A copy of each report at the time of its sending to Securityholders of any Series shall be filed with the SEC and each national securities exchange on which the Securities of that Series are listed. The Company shall promptly notify the Trustee in writing when Securities of any Series are listed on any national securities exchange or delisted from any national securities exchange.

Section 7.7 Compensation and Indemnity.

The Company shall pay to the Trustee from time to time compensation for its services as the Company and the Trustee shall from time to time agree upon in writing. The Trustee’s compensation shall not be limited by any law on compensation of a trustee of an express trust. The Company shall reimburse the Trustee upon request for all reasonable out of pocket expenses incurred by it. Such expenses shall include the reasonable compensation and expenses of the Trustee’s agents and counsel.

The Company shall indemnify each of the Trustee and any predecessor Trustee (including for the cost of defending itself) against any cost, damages, losses, expense or liability, including taxes (other than taxes based upon, measured by or determined by the income of the Trustee) incurred by it except as set forth in the next paragraph in the performance of its duties under this Indenture or in connection with its acceptance of its obligations hereunder, as Trustee or Agent. The Trustee shall notify the Company promptly of any claim for which it may seek indemnity. Failure by the Trustee to so notify the Company shall not relieve the Company of its obligations hereunder, unless and to the extent that the Company is materially prejudiced thereby. The Company shall defend the claim and the Trustee shall cooperate in the defense. The Trustee may have separate counsel and the Company shall pay the reasonable fees and expenses of such counsel. The Company need not pay for any settlement made without its consent, which consent will not be unreasonably

withheld. This indemnification shall apply to officers, directors, employees, shareholders and agents of the Trustee.

The Company need not reimburse any expense or indemnify against any loss or liability incurred by the Trustee or by any officer, director, employee, shareholder or agent of the Trustee through willful misconduct or negligence, as finally adjudicated by a court of competent jurisdiction.

To secure the Company’s payment obligations in this Section, the Trustee shall have a lien prior to the Securities of any Series on all money or property held or collected by the Trustee, except that held in trust to pay principal of and interest on particular Securities of that Series.

When the Trustee incurs expenses or renders services after an Event of Default specified in Section 6.1(d) or (e) occurs, the expenses and the compensation for the services are intended to constitute expenses of administration under any Bankruptcy Law.

The provisions of this Section shall survive the termination of this Indenture or the resignation or removal of the Trustee.

Section 7.8 Replacement of Trustee.

A resignation or removal of the Trustee and appointment of a successor Trustee shall become effective only upon the successor Trustee’s acceptance of appointment as provided in this Section.

The Trustee may resign with respect to the Securities of one or more Series by so notifying the Company at least 30 days prior to the date of the proposed resignation. The Holders of a majority in principal amount of the Securities of any Series may remove the Trustee with respect to that Series by so notifying the Trustee and the Company in writing at least 30 days prior to such removal. The Company may remove the Trustee with respect to Securities of one or more Series with at least 30 days written notice if:

If the Trustee resigns or is removed or if a vacancy exists in the office of Trustee for any reason, the Company shall promptly appoint a successor Trustee. Within one year after the successor Trustee takes office, the Holders of a majority in principal amount of the then-outstanding Securities may appoint a successor Trustee to replace the successor Trustee appointed by the Company.

If a successor Trustee with respect to the Securities of any one or more Series does not take office within 60 days after the retiring Trustee resigns or is removed, the retiring Trustee, the Company or the Holders of at least a majority in principal amount of the Securities of the applicable Series may petition any court of competent jurisdiction for the appointment of a successor Trustee.

A successor Trustee shall deliver a written acceptance of its appointment to the retiring Trustee and to the Company. Promptly after that, the retiring Trustee shall transfer all property held by it as Trustee to the successor Trustee subject to the lien provided for in Section 7.7, the resignation or removal of the retiring Trustee shall become effective, and the successor Trustee shall have all the rights, powers and duties of the Trustee with respect to each Series of Securities for which it is acting as Trustee under this Indenture. A successor Trustee shall send a notice of its succession to each Securityholder of each such Series. Notwithstanding replacement of the Trustee pursuant to this Section 7.8, the Company’s obligations under Section 7.7 hereof shall continue for the benefit of the retiring Trustee with respect to expenses and liabilities incurred by it for actions taken or omitted to be taken in accordance with its rights, powers and duties under this Indenture prior to such replacement.

Section 7.9 Successor Trustee by Merger, Etc.

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 successor corporation or national banking association without any further act shall be the successor Trustee, subject to Section 7.10.

Section 7.10 Eligibility; Disqualification.

This Indenture shall always have a Trustee who satisfies the requirements of TIA § 310(a)(1), (2) and (5). The Trustee shall always have a combined capital and surplus of at least $50,000,000 as set forth in its most recent published annual report of condition. The Trustee shall comply with TIA § 310(b).

Section 7.11 Preferential Collection of Claims Against Company.

The Trustee is subject to TIA § 311(a), excluding any creditor relationship listed in TIA § 311(b). A Trustee who has resigned or been removed shall be subject to TIA § 311(a) to the extent indicated.

ARTICLE VIII
SATISFACTION AND DISCHARGE; DEFEASANCE

Section 8.1 Satisfaction and Discharge of Indenture.

This Indenture shall upon Company Order be discharged with respect to the Securities of any Series and cease to be of further effect as to all Securities of such Series (except as hereinafter provided in this Section 8.1), and the Trustee, at the expense of the Company, shall execute instruments acknowledging satisfaction and discharge of this Indenture, when

and the Company, in the case of (1), (2) or (3) above, shall have irrevocably deposited or caused to be deposited with the Trustee as trust funds in trust an amount of money or U.S. Government Obligations, which amount shall be sufficient (as determined by the Company) for the purpose of paying and discharging each installment of principal (including mandatory sinking fund or analogous payments) of and interest on all the Securities of such Series on the dates such installments of principal or interest are due;

Notwithstanding the satisfaction and discharge of this Indenture, the obligations of the Company to the Trustee under Section 7.7, and, if money shall have been deposited with the Trustee pursuant to clause (a) of this Section, the provisions of Sections 2.4, 2.7, 2.8, 8.2 and 8.5 shall survive.

Section 8.2 Application of Trust Funds; Indemnification.

Section 8.3 Legal Defeasance of Securities of any Series.

Unless this Section 8.3 is otherwise specified, pursuant to Section 2.2, to be inapplicable to Securities of any Series, the Company shall be deemed to have paid and discharged the entire indebtedness on all the outstanding Securities of any Series on the 91st day after the date of the deposit referred to in subparagraph (d) hereof, and the provisions of this Indenture, as it relates to such outstanding Securities of such Series, shall no longer be in effect (and the Trustee, at the expense of the Company, shall, upon receipt of a Company Order, execute instruments acknowledging the same), except as to:

provided that, the following conditions shall have been satisfied:

Section 8.4 Covenant Defeasance.

Unless this Section 8.4 is otherwise specified pursuant to Section 2.2 to be inapplicable to Securities of any Series, the Company may omit to comply with respect to the Securities of any Series with any term, provision or condition set forth under Sections 4.2, 4.3, 4.4 and 5.1 and, unless otherwise specified therein, any additional covenants specified in a supplemental indenture for such Series of Securities or a Board Resolution or an Officer’s Certificate delivered pursuant to Section 2.2 (and the failure to comply with any such covenants shall not constitute a Default or Event of Default with respect to such Series under Section 6.1) and the occurrence of any event specified in a supplemental indenture for such Series of Securities or a Board Resolution or an Officer’s Certificate delivered pursuant to Section 2.2.18 and designated as an Event of Default shall not constitute a Default or Event of Default hereunder, with respect to the Securities of such Series, but, except as specified above, the remainder of this Indenture and such Securities will be unaffected thereby; provided that the following conditions shall have been satisfied:

Section 8.5 Repayment to Company.

Subject to applicable abandoned property law, the Trustee and the Paying Agent shall pay to the Company upon request any money held by them for the payment of principal and interest that remains unclaimed for two years. After that, Securityholders entitled to the money must look to the Company for payment as general creditors unless an applicable abandoned property law designates another person, and the Trustee shall have no further liability with respect to such money.

Section 8.6 Reinstatement.

If the Trustee or the Paying Agent is unable to apply any money deposited with respect to Securities of any Series in accordance with Section 8.1 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 obligations of the Company under this Indenture with respect to the Securities of such Series and under the Securities of such Series shall be revived and reinstated as though no deposit had occurred pursuant to Section 8.1 until such time as the Trustee or the Paying Agent is permitted to apply all such money in accordance with Section 8.1; provided, however, that if the Company has made any payment of principal of or interest on or any Additional Amounts with respect to any Securities because of the reinstatement of its obligations, the Company shall be subrogated to the rights of the Holders of such Securities to receive such payment from the money or U.S. Government Obligations held by the Trustee or Paying Agent after payment in full to the Holders.

ARTICLE IX
AMENDMENTS AND WAIVERS

Section 9.1 Without Consent of Holders.

The Company and the Trustee may amend or supplement this Indenture or the Securities of one or more Series without the consent of any Securityholder:

Section 9.2 With Consent of Holders.

The Company and the Trustee may enter into a supplemental indenture with the written consent of the Holders of at least a majority in aggregate principal amount of the outstanding Securities of each Series affected by such supplemental indenture (including consents obtained in connection with a tender offer or exchange offer for the Securities of such Series), for the purpose of adding any provisions to or changing in any manner or eliminating any of the provisions of this Indenture or of any supplemental indenture or of modifying in any manner the rights of the Securityholders of each such Series. Except as provided in Section 6.13, the Holders of at least a majority in aggregate principal amount of the outstanding Securities of any Series by notice to the Trustee (including consents obtained in connection with a tender offer or exchange offer for the Securities of such Series) may waive compliance by the Company with any provision of this Indenture or the Securities with respect to such Series.

It shall not be necessary for the consent of the Holders of Securities under this Section 9.2 to approve the particular form of any proposed supplemental indenture or waiver, but it shall be sufficient if such consent approves the substance thereof. After a supplemental indenture or waiver under this section becomes effective, the Company shall send to the Holders of Securities affected thereby, a notice briefly describing the supplemental indenture or waiver. Any failure by the Company to send such notice, or any defect therein, shall not, however, in any way impair or affect the validity of any such supplemental indenture or waiver.

Section 9.3 Limitations.

Without the consent of each Securityholder affected, an amendment or waiver may not:

Section 9.4 Compliance with Trust Indenture Act.

Every amendment to this Indenture or the Securities of one or more Series shall be set forth in a supplemental indenture hereto that complies with the TIA as then in effect.

Section 9.5 Revocation and Effect of Consents.

Until an amendment is set forth in a supplemental indenture or a waiver becomes effective, a consent to it by a Holder of a Security is a continuing consent by the Holder and every subsequent Holder of a Security or portion of a Security that evidences the same debt as the consenting Holder’s Security, even if notation of the consent is not made on any Security. However, any such Holder or subsequent Holder may revoke the consent as to his Security or portion of a Security if the Trustee receives the notice of revocation before the date of the supplemental indenture or the date the waiver becomes effective.

Any amendment or waiver once effective shall bind every Securityholder of each Series affected by such amendment or waiver unless it is of the type described in any of clauses (a) through (h) of Section 9.3. In that case, the amendment or waiver shall bind each Holder of a Security who has consented to it and every subsequent Holder of a Security or portion of a Security that evidences the same debt as the consenting Holder’s Security.

The Company may, but shall not be obligated to, fix a record date for the purpose of determining the Holders entitled to give their consent or take any other action described above or required or permitted to be taken pursuant to this Indenture. If a record date is fixed, then notwithstanding the second immediately preceding paragraph, those Persons who were Holders at such record date (or their duly designated proxies), and only those persons, shall be entitled to give such consent or to revoke any consent previously given or take any such action, whether or not such Persons continue to be Holders after such record date. No such consent shall be valid or effective for more than 120 days after such record date.

Section 9.6 Notation on or Exchange of Securities.

The Company or the Trustee may place an appropriate notation about an amendment or waiver on any Security of any Series thereafter authenticated. The Company in exchange for Securities of that Series may issue and the Trustee shall authenticate upon receipt of a Company Order in accordance with Section 2.3 new Securities of that Series that reflect the amendment or waiver.

Section 9.7 Trustee Protected.

In executing, or accepting the additional trusts created by, any supplemental indenture permitted by this Article or the modifications thereby of the trusts created by this Indenture, the Trustee shall be entitled to receive, and (subject to Section 7.1) shall be fully protected in relying upon, an Officer’s Certificate or an Opinion of Counsel or both complying with Section 10.4 and stating that the supplemental indenture is authorized or permitted by this Indenture and constitutes a legal valid and binding obligation of the Company, enforceable against it in accordance with its terms. The Trustee shall sign all supplemental indentures upon delivery of such an Officer’s Certificate or Opinion of Counsel or both, except that the Trustee need not sign any supplemental indenture that adversely affects its rights, duties, liabilities or immunities under this Indenture.

ARTICLE X
MISCELLANEOUS

Section 10.1 Trust Indenture Act Controls.

If any provision of this Indenture limits, qualifies, or conflicts with another provision which is required or deemed to be included in this Indenture by the TIA, such required or deemed provision shall control.

Section 10.2 Notices.

Any notice or communication by the Company or the Trustee to the other, or by a Holder to the Company or the Trustee, is duly given if in writing and delivered in person or mailed by first-class mail (registered or certified, return receipt requested), facsimile transmission, email or overnight air courier guaranteeing next day delivery, to the others’ address:

if to the Company:

Athira Pharma, Inc.

18706 North Creek Parkway, Suite 104

Bothell, Washington 98011

Attention: General Counsel

with a copy to:
 

Wilson Sonsini Goodrich & Rosati, Professional Corporation

701 Fifth Avenue

Suite 5100

Seattle, WA 98104-7036

Attention: Michael Nordtvedt

if to the Trustee:

[__________]

[__________]

Attention: [__________]

The Company or the Trustee by notice to the other may designate additional or different addresses for subsequent notices or communications. Any notice or communication delivered to the Trustee shall be deemed effective upon actual receipt thereof.

Any notice or communication to a Securityholder shall be sent electronically or by first-class mail to his address shown on the register kept by the Registrar, in accordance with the procedures of the Depositary. Failure to send a notice or communication to a Securityholder of any Series or any defect in it shall not affect its sufficiency with respect to other Securityholders of that or any other Series.

If a notice or communication is sent or published in the manner provided above, within the time prescribed, it is duly given, whether or not the Securityholder receives it.

If the Company sends a notice or communication to Securityholders, it shall send a copy to the Trustee and each Agent at the same time.

Notwithstanding any other provision of this Indenture or any Security, where this Indenture or any Security provides for notice of any event (including any notice of redemption) to a Holder of a Global Security (whether by mail or otherwise), such notice shall be sufficiently given to the Depositary for such Security (or its designee) pursuant to the customary procedures of such Depositary.

Section 10.3 Communication by Holders with Other Holders.

Securityholders of any Series may communicate pursuant to TIA § 312(b) with other Securityholders of that Series or any other Series with respect to their rights under this Indenture or the Securities of that Series or all Series. The Company, the Trustee, the Registrar and anyone else shall have the protection of TIA § 312(c).

Section 10.4 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 shall furnish to the Trustee:

Section 10.5 Statements Required in Certificate or Opinion.

Each certificate or opinion with respect to compliance with a condition or covenant provided for in this Indenture (other than a certificate provided pursuant to TIA § 314(a)(4)) shall comply with the provisions of TIA § 314(e) and shall include:

Section 10.6 Rules by Trustee and Agents.

The Trustee may make reasonable rules for action by or a meeting of Securityholders of one or more Series. Any Agent may make reasonable rules and set reasonable requirements for its functions.

Section 10.7 Legal Holidays.

A “Legal Holiday” is any day that is not a Business Day. If a payment date is a Legal Holiday at a place of payment, payment may be made at that place on the next succeeding day that is not a Legal Holiday, and no interest shall accrue for the intervening period.

Section 10.8 No Recourse Against Others.

A director, officer, employee or stockholder (past or present), as such, of the Company shall not have any liability for any obligations of the Company under the Securities or the Indenture or for any claim based on, in respect of or by reason of such obligations or their creation. Each Securityholder by accepting a Security waives and releases all such liability. The waiver and release are part of the consideration for the issue of the Securities.

Section 10.9 Counterparts.

This Indenture may be executed in any number of counterparts and by the parties hereto in separate counterparts, each of which when so executed shall be deemed to be an original and all of which taken together shall constitute one and the same agreement. The exchange of copies of this Indenture and of signature pages by facsimile or PDF transmission shall constitute effective execution and delivery of this Indenture as to the parties hereto and may be used in lieu of the original Indenture for all purposes. Signatures of the parties hereto transmitted by facsimile or PDF shall be deemed to be their original signatures for all purposes.

Section 10.10 Governing Law; Waiver of Jury Trial; Consent to Jurisdiction.

THIS INDENTURE AND THE SECURITIES, INCLUDING ANY CLAIM OR CONTROVERSY ARISING OUT OF OR RELATING TO THE INDENTURE OR THE SECURITIES, SHALL BE GOVERNED BY THE LAWS OF THE STATE OF NEW YORK. THE COMPANY, THE TRUSTEE AND THE HOLDERS (BY THEIR ACCEPTANCE OF THE SECURITIES) EACH HEREBY IRREVOCABLY WAIVE, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY AND ALL RIGHT TO TRIAL BY JURY IN ANY LEGAL PROCEEDING ARISING OUT OF OR RELATING TO THIS INDENTURE, THE SECURITIES OR THE TRANSACTIONS CONTEMPLATED HEREBY OR THEREBY.

Any legal suit, action or proceeding arising out of or based upon this Indenture or the transactions contemplated hereby may be instituted in the federal courts of the United States of America located in the City of New York or the courts of the State of New York in each case located in the City of New York (collectively, the “Specified Courts”), and each party irrevocably submits to the nonexclusive jurisdiction of such courts in any such suit, action or proceeding. Service of any process, summons, notice or document by mail (to the extent allowed under any applicable statute or rule of court) to such party’s address set forth above shall be effective service of process for any suit, action or other proceeding brought in any such court. The Company, the Trustee and the Holders (by their acceptance of the Securities) each hereby irrevocably and unconditionally waive any objection to the laying of venue of any suit, action or other proceeding in the Specified Courts and irrevocably and unconditionally waive and agree not to plead or claim any such suit, action or other proceeding has been brought in an inconvenient forum.

Section 10.11 No Adverse Interpretation of Other Agreements.

This Indenture may not be used to interpret another indenture, loan or debt agreement of the Company or a Subsidiary of the Company. Any such indenture, loan or debt agreement may not be used to interpret this Indenture.

Section 10.12 Successors.

All agreements of the Company in this Indenture and the Securities shall bind its successor. All agreements of the Trustee in this Indenture shall bind its successor.

Section 10.13 Severability.

In case any provision in this Indenture or in the Securities shall be invalid, illegal or unenforceable, the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired thereby.

Section 10.14 Table of Contents, Headings, Etc.

The Table of Contents, Cross Reference Table, and headings of the Articles and Sections of this Indenture have been inserted for convenience of reference only, are not to be considered a part hereof, and shall in no way modify or restrict any of the terms or provisions hereof.

Section 10.15 Securities in a Foreign Currency.

Unless otherwise specified in a Board Resolution, a supplemental indenture hereto or an Officer’s Certificate delivered pursuant to Section 2.2 of this Indenture with respect to a particular Series of Securities, whenever for purposes of this Indenture any action may be taken by the Holders of a specified percentage in aggregate principal amount of Securities of all Series or all Series affected by a particular action at the time outstanding and, at such time, there are outstanding Securities of any Series which are denominated in more than one currency, then the principal amount of Securities of such Series which shall be deemed to be outstanding for the purpose of taking such action shall be determined by converting any such other currency into a currency that is designated upon issuance of any particular Series of Securities. Unless otherwise specified in a Board Resolution, a supplemental indenture hereto or an Officer’s Certificate delivered pursuant to Section 2.2 of this Indenture with respect to a particular Series of Securities, such conversion shall be at the spot rate for the purchase of the designated currency as published in The Financial Times in the “Currency Rates” section (or, if The Financial Times is no longer published, or if such information is no longer available in The Financial Times, such source as may be selected in good faith by the Company) on any date of determination. The provisions of this paragraph shall apply in determining the equivalent principal amount in respect of Securities of a Series denominated in currency other than Dollars in connection with any action taken by Holders of Securities pursuant to the terms of this Indenture.

All decisions and determinations provided for in the preceding paragraph shall, in the absence of manifest error, to the extent permitted by law, be conclusive for all purposes and irrevocably binding upon the Trustee and all Holders.

Section 10.16 Judgment Currency.

The Company agrees, to the fullest extent that it may effectively do so under applicable law, that (a) if for the purpose of obtaining judgment in any court it is necessary to convert the sum due in respect of

the principal of or interest or other amount on the Securities of any Series (the “Required Currency”) into a currency in which a judgment will be rendered (the “Judgment Currency”), the rate of exchange used shall be the rate at which in accordance with normal banking procedures the Trustee could purchase in The City of New York the Required Currency with the Judgment Currency on the day on which final unappealable judgment is entered, unless such day is not a New York Banking Day, then the rate of exchange used shall be the rate at which in accordance with normal banking procedures the Trustee could purchase in The City of New York the Required Currency with the Judgment Currency on the New York Banking Day preceding the day on which final unappealable judgment is entered and (b) its obligations under this Indenture to make payments in the Required Currency (i) shall not be discharged or satisfied by any tender, any recovery pursuant to any judgment (whether or not entered in accordance with subsection (a)), in any currency other than the Required Currency, except to the extent that such tender or recovery shall result in the actual receipt, by the payee, of the full amount of the Required Currency expressed to be payable in respect of such payments, (ii) shall be enforceable as an alternative or additional cause of action for the purpose of recovering in the Required Currency the amount, if any, by which such actual receipt shall fall short of the full amount of the Required Currency so expressed to be payable, and (iii) shall not be affected by judgment being obtained for any other sum due under this Indenture. For purposes of the foregoing, “New York Banking Day” means any day except a Saturday, Sunday or a Legal Holiday in The City of New York on which banking institutions are authorized or required by law, regulation or executive order to close.

Section 10.17 Force Majeure.

In no event shall the Trustee be responsible or liable for any failure or delay in the performance of its obligations hereunder arising out of or caused by, directly or indirectly, forces beyond its control, including, without limitation, strikes, work stoppages, accidents, acts of war or terrorism, civil or military disturbances, nuclear or natural catastrophes or acts of God, and interruptions, loss or malfunctions of utilities, communications or computer (software and hardware) services, it being understood that the Trustee shall use reasonable best efforts which are consistent with accepted practices in the banking industry to resume performance as soon as practicable under the circumstances.

Section 10.18 U.S.A. Patriot Act.

The parties hereto acknowledge that in accordance with Section 326 of the U.S.A. Patriot Act, the Trustee is required to obtain, verify, and record information that identifies each person or legal entity that establishes a relationship or opens an account with the Trustee. The parties to this Indenture agree that they will provide the Trustee with such information as it may request in order for the Trustee to satisfy the requirements of the U.S.A. Patriot Act.

ARTICLE XI
SINKING FUNDS

Section 11.1 Applicability of Article.

The provisions of this Article shall be applicable to any sinking fund for the retirement of the Securities of a Series if so provided by the terms of such Securities pursuant to Section 2.2 and except as otherwise permitted or required by any form of Security of such Series issued pursuant to this Indenture.

The minimum amount of any sinking fund payment provided for by the terms of the Securities of any Series is herein referred to as a “mandatory sinking fund payment” and any other amount provided for by the terms of Securities of such Series is herein referred to as an “optional sinking fund payment.” If provided for by the terms of Securities of any Series, the cash amount of any sinking fund payment may be subject to

reduction as provided in Section 11.2. Each sinking fund payment shall be applied to the redemption of Securities of any Series as provided for by the terms of the Securities of such Series.

Section 11.2 Satisfaction of Sinking Fund Payments with Securities.

The Company may, in satisfaction of all or any part of any sinking fund payment with respect to the Securities of any Series to be made pursuant to the terms of such Securities (1) deliver outstanding Securities of such Series to which such sinking fund payment is applicable (other than any of such Securities previously called for mandatory sinking fund redemption) and (2) apply as credit Securities of such Series to which such sinking fund payment is applicable and which have been repurchased by the Company or redeemed either at the election of the Company pursuant to the terms of such Series of Securities (except pursuant to any mandatory sinking fund) or through the application of permitted optional sinking fund payments or other optional redemptions pursuant to the terms of such Securities, provided that such Securities have not been previously so credited. Such Securities shall be received by the Trustee, together with an Officer’s Certificate with respect thereto, not later than 15 days prior to the date on which the Trustee begins the process of selecting Securities for redemption, and shall be credited for such purpose by the Trustee at the price specified in such Securities for redemption through operation of the sinking fund and the amount of such sinking fund payment shall be reduced accordingly. If as a result of the delivery or credit of Securities in lieu of cash payments pursuant to this Section 11.2, the principal amount of Securities of such Series to be redeemed in order to exhaust the aforesaid cash payment shall be less than $100,000, the Trustee need not call Securities of such Series for redemption, except upon receipt of a Company Order that such action be taken, and such cash payment shall be held by the Trustee or a Paying Agent and applied to the next succeeding sinking fund payment, provided, however, that the Trustee or such Paying Agent shall from time to time upon receipt of a Company Order pay over and deliver to the Company any cash payment so being held by the Trustee or such Paying Agent upon delivery by the Company to the Trustee of Securities of that Series purchased by the Company having an unpaid principal amount equal to the cash payment required to be released to the Company.

Section 11.3 Redemption of Securities for Sinking Fund.

Not less than 45 days (unless otherwise indicated in the Board Resolution, supplemental indenture hereto or Officer’s Certificate in respect of a particular Series of Securities) prior to each sinking fund payment date for any Series of Securities, the Company will deliver to the Trustee an Officer’s Certificate specifying the amount of the next ensuing mandatory sinking fund payment for that Series pursuant to the terms of that Series, the portion thereof, if any, which is to be satisfied by payment of cash and the portion thereof, if any, which is to be satisfied by delivering and crediting of Securities of that Series pursuant to Section 11.2, and the optional amount, if any, to be added in cash to the next ensuing mandatory sinking fund payment, and the Company shall thereupon be obligated to pay the amount therein specified. Not less than 30 days (unless otherwise indicated in the Board Resolution, Officer’s Certificate or supplemental indenture in respect of a particular Series of Securities) before each such sinking fund payment date the Securities to be redeemed upon such sinking fund payment date will be selected in the manner specified in Section 3.2 and the Company shall send or cause to be sent a notice of the redemption thereof to be given in the name of and at the expense of the Company in the manner provided in and in accordance with Section 3.3. Such notice having been duly given, the redemption of such Securities shall be made upon the terms and in the manner stated in Sections 3.4, 3.5 and 3.6.

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