agreement and plan of merger

7/25/2019 Agreement and Plan of Merger

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AGREEMENT AND PLAN OF MERGER

by and between

MERRILL LYNCH & CO., INC.

and

BANK OF AMERICA CORPORATION

DATED AS OF SEPTEMBER !, "##$

TABLE OF CONTENTS

ARTICLE I THE MERGER

. T%e Me'e

." E(e)t*+e T*e

.- E(e)t /0 t%e Me'e


2/109

.1 C/n+e*/n /0 St/)2

.! St/)2 O3t*/n and Ot%e St/)24Baed Awad5 ESPP

.6 Cet*7)ate /0 In)/3/at*/n and By8aw /0 t%e S9+*+*n'

.: D*e)t/ and O;)e

.$ Ta< C/ne=9en)e

ARTICLE II DELI>ERY OF MERGER CONSIDERATION

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-. C/3/ate O'an*@at*/n

-." Ca3*ta8*@at*/n

-.- A9t%/*ty5 N/ >*/8at*/n

-.1 C/nent and A33/+a8

-.! Re3/t5 Re'98at/y Matte

-.6 F*nan)*a8 Stateent

-.: B/2e Fee

-.$ Aben)e /0 Ceta*n C%an'e / E+ent

-. Le'a8 P/)eed*n'

-.# Ta


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-.6 P/3ety

-.: Inte88e)t9a8 P/3ety

-.$ En+*/nenta8 L*ab*8*ty

-. B/2e4Dea8e and In+etent Ad+*/y Matte

-."# Se)9*t*@at*/n Matte

-." State Ta2e/+e Law

-."" Inteeted Paty Tana)t*/n

-."- Re/'an*@at*/n

-."1 O3*n*/n

-."! C/3any In0/at*/n

*

TABLE OF CONTENTS

)/nt*n9ed


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ARTICLE I> REPRESENTATIONS AND ?ARRANTIES OF PARENT

1. C/3/ate O'an*@at*/n

1." Ca3*ta8*@at*/n

1.- A9t%/*ty5 N/ >*/8at*/n

1.1 C/nent and A33/+a8

1.! Re3/t5 Re'98at/y Matte

1.6 F*nan)*a8 Stateent

1.: B/2e Fee

1.$ Aben)e /0 Ceta*n C%an'e / E+ent

1. Le'a8 P/)eed*n'

1.# Ta


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1." Re/'an*@at*/n5 A33/+a8

1.- O3*n*/n

1.1 Ceta*n C/nta)t

1.! R*2 Mana'eent Int9ent

1.6 Inte88e)t9a8 P/3ety

1.: Paent In0/at*/n

ARTICLE > CO>ENANTS RELATING TO CONDCT OF BSINESS

!. C/nd9)t /0 B9*nee P*/ t/ t%e E(e)t*+e T*e

!." C/3any F/beaan)e

!.- Paent F/beaan)e

ARTICLE >I ADDITIONAL AGREEMENTS


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6. Re'98at/y Matte

6." A))e t/ In0/at*/n

6.- St/)2%/8de A33/+a8

6.1 NYSE L*t*n'

6.! E38/yee Matte

6.6 Inden*7)at*/n5 D*e)t/ and O;)e In9an)e

6.: Add*t*/na8 A'eeent

6.$ Ad+*)e /0 C%an'e

6. E


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:. C/nd*t*/n t/ Ea)% Paty Ob8*'at*/n t/ E(e)t t%e Me'

:." C/nd*t*/n t/ Ob8*'at*/n /0 Paent

**

TABLE OF CONTENTS

)/nt*n9ed

:.- C/nd*t*/n t/ Ob8*'at*/n /0 C/3any

ARTICLE >III TERMINATION AND AMENDMENT

$. Te*nat*/n

$." E(e)t /0 Te*nat*/n


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$.- Fee and E


10/109

. P9b8*)*ty

.# A*'nent5 T%*d Paty Bene7)*a*e

E


11/109

Ban293t)y and E=9*ty E


12/109

C/3any

C/3any Bene7t P8an

C/3any By8aw

C/3any Ca3 P8an

C/3any Ca3 n*t

C/3any Ca3*ta8*@at*/n Date

C/3any Cet*7)ate

C/3any C//n St/)2

C/3any C/nta)t

C/3any De0eed E=9*ty n*t

C/3any De0eed E=9*ty n*t P8an

C/3any D*)8/9e S)%ed98e

C/3any ESPP

C/3any IP

C/3any O3t*/n


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C/3any Pe0eed St/)2

C/3any Re'98at/y A'eeent

C/3any Re=9**te Re'98at/y A33/+a8

C/3any Ret*)ted S%ae

C/3any RS

*+

C/3any SEC Re3/t

C/3any Se)9*t*@at*/n D/)9ent

C/3any Se)9*t*@at*/n Inteet

C/3any Se)9*t*@at*/n T9t

C/3any S3/n/ed Aet Se)9*t*@at*/n Tana)t*/n

C/3any St/)2 P8an


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C/n7dent*a8*ty A'eeent

C/n+et*b8e N/te A'eeent

C/n+et*b8e Se*e

C/nt/88ed G/93 L*ab*8*ty

C/3y*'%t

C/+eed E38/yee

De*+at*+e Tana)t*/n

DGCL

DPC C//n S%ae

E(e)t*+e T*e

E38/yee

En+*/nenta8 Law

ERISA

ERISA A;8*ate

E


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E


16/109

Inden*7ed Pat*e

In9an)e A/9nt

Inte88e)t9a8 P/3ety

In+etent Ad+*/y A'eeent

IRS

/*nt P/


17/109

L*en

L/an

Mate*a8 Ad+ee E(e)t

Me'e

Me'e C/n*deat*/n

Me'e S9b

N/n=9a8*7ed De0eed C/3enat*/n P8an

N/n4S3/n/ed F9nd

NYSE

Owned C/3any IP

OTS

Owned Paent IP

Owned P/3et*e

Pe*tted En)9ban)e

Paent


18/109

Paent By8aw

Paent Ca3 n*t

Paent Ca3*ta8*@at*/n Date

Paent Cet*7)ate

Paent C//n St/)2

Paent C/nta)t

Paent De0eed E=9*ty n*t

Paent D*)8/9e S)%ed98e

Paent IP

Paent Pe0eed St/)2

Paent Re'98at/y A'eeent

Paent Re=9**te Re'98at/y A33/+a8

Paent Ret*)ted S%ae

Paent RS

Paent SEC Re3/t


19/109

Paent St/)2 P8an

Patent

Rea8 P/3ety

Re'98at/y A'en)*e

Re'98at/y A33/+a8

Reta*ned Inteet

Sabane4O


20/109

+*

St/)2 O3t*/n A'eeent

S9b*d*ay

S93e*/ P/3/a8

S9+*+*n' C/3any

Ta2e/+e Stat9te

Ta/t*n' Debt


21/109

+**

AGREEMENT AND PLAN OF MERGER

AGREEMENT AND PLAN OF MERGER, dated a /0 Se3tebe !,"##$ t%* JA'eeent, by and between Me*88 Lyn)% & C/., In)., aDe8awae )/3/at*/n JC/3any, and Ban2 /0 Ae*)a C/3/at*/n,a De8awae )/3/at*/n JPaent.

? I T N E S S E T H

?HEREAS, 3/3t8y 0/88/w*n' t%e e


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NO?, THEREFORE, *n )/n*deat*/n /0 t%e 9t9a8 )/+enant,e3eentat*/n, waant*e and a'eeent )/nta*ned *n t%*A'eeent, and /t%e '//d and +a89ab8e )/n*deat*/n, t%e e)e*3tand 9;)*en)y /0 w%*)% ae %eeby a)2n/w8ed'ed, and *ntend*n' t/ be8e'a88y b/9nd %eeby, t%e 3at*e a'ee a 0/88/w

ARTICLE I

THE MERGER

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23/109

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Paent /t%e t%an %ae /0 C/3any C//n St/)2 %e8d *n t9ta))/9nt, ana'ed a))/9nt, 9t9a8 09nd and t%e 8*2e, / /t%ew*e%e8d *n a 7d9)*ay / a'en)y )a3a)*ty, t%at ae bene7)*a88y /wned byt%*d 3at*e any 9)% %ae, JT9t A))/9nt C//n S%ae and/t%e t%an %ae /0 C/3any C//n St/)2 %e8d, d*e)t8y /*nd*e)t8y, by C/3any / Paent *n e3e)t /0 a debt 3e+*/98y)/nta)ted any 9)% %ae, JDPC C//n S%ae %a88 be)an)e88ed and %a88 )eae t/ e


24/109

C/n*deat*/n.

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and %a88 )eae t/ e


25/109

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27/109

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28/109

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' C/3any %a88, 3*/ t/ t%e E(e)t*+e T*e, ta2e a88 a)t*/n

ne)eay t/ te*nate t%e $6 E38/yee St/)2 P9)%ae P8an t%eJC/3any ESPP e(e)t*+e a /0 t%e E(e)t*+e T*e and a88 /9ttand*n'*'%t t%ee9nde at t%e E(e)t*+e T*e. T%e /(e*n' 3e*/d *n e(e)t a/0 *ed*ate8y 3*/ t/ t%e E(e)t*+e T*e %a88 end and ea)%3at*)*3ant *n t%e C/3any ESPP w*88 be )ed*ted w*t% t%e n9be /0%ae /0 C/3any C//n St/)2

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anyt%*n' t/ t%e )/ntay, 0/88/w*n' t%e E(e)t*+e T*e, n/ e+*)e3/+*de /0 t%e C/3any and *t S9b*d*a*e %a88 %a+e any *'%t t/a)=9*e any e)9*t*e /0 t%e C/3any, t%e S9+*+*n' C/3any / anyS9b*d*ay t%ee/0 / t/ e)e*+e any 3ayent, *'%t / bene7t w*t%e3e)t t/ any awad 3e+*/98y 'anted 9nde t%e C/3any St/)2P8an w%et%e %ee9nde, 9nde any C/3any St/)2 P8an / *nd*+*d9a8awad a'eeent / /t%ew*e e


29/109

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.: D*e)t/ and O;)e. T%e d*e)t/ /0 C/3any and *t

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ARTICLE II

DELI>ERY OF MERGER CONSIDERATION

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30/109

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31/109

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' Any 3/t*/n /0 t%e E


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36/109

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64/109

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a'eeent and ea)% /t%e ate*a8 a'eeent e8ated t/ any 9)%e)9*ty and ea)% 9338eent, te / 3*)*n' a'eeent / /t%ea'eeent e8at*n' t/ t%e 0/e'/*n' and ea)% d/)9ent e=9*ed t/ bede8*+eed *n )/nne)t*/n t%eew*t%.

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t%e )ae ay be.

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A'eeent, %a+e 3e+*/98y been ade a+a*8ab8e t/ C/3any.

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a33/+ed by t%e B/ad /0 D*e)t/ /0 Paent, and w*88 be / a33/+ed*n t%e )ae /0 Me'e S9b. T%e B/ad /0 D*e)t/ /0 Paent %adete*ned t%at t%* A'eeent and t%e tana)t*/n )/nte38ated%eeby ae *n t%e bet *nteet /0 Paent and *t t/)2%/8de and %ad*e)ted t%at t%e *9an)e /0 Paent C//n St/)2 *n )/nne)t*/n w*t%

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any 3/)eed*n', en0/)eent a)t*/n /, t/ t%e 2n/w8ed'e /0 Paent,*n+et*'at*/n *nt/ t%e b9*ne, d*)8/9e / /3eat*/n /0 Paent /any /0 *t S9b*d*a*e. S*n)e an9ay , "##6, n/ Re'98at/y A'en)y //t%e G/+enenta8 Ent*ty %a e/8+ed any 3/)eed*n', en0/)eenta)t*/n /, t/ t%e 2n/w8ed'e /0 Paent, *n+et*'at*/n *nt/ t%e b9*ne,

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t*e 78ed, 09n*%ed / )/9n*)ated and, *n t%e )ae /0 e'*tat*/ntateent and 3/


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3/)eed*n', )8a*, a)t*/n / '/+enenta8 / e'98at/y*n+et*'at*/n /0 any nat9e a'a*nt Paent / any /0 *t S9b*d*a*e /t/ w%*)% any /0 t%e* aet ae 9be)t.

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7nan)*a88y e3/n*b8e and ab8e t/ 9ndetand e*t%e a8/ne / *n)/n98tat*/n w*t% t%e* ad+*e and t/ bea t%e *2 /0 9)%De*+at*+e Tana)t*/n. A88 /0 9)% De*+at*+e Tana)t*/n ae +a8*dand b*nd*n' /b8*'at*/n /0 Paent / /ne /0 *t S9b*d*a*e en0/)eab8ea'a*nt *t *n a))/dan)e w*t% t%e* te 9be)t t/ t%e Ban293t)y

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88/109

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89/109

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93/109

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d*)9*/n e'ad*n' an A8tenat*+e P/3/a8 w*t%*n t%e " /nt%3*/ t/ t%e date %ee/0 3/3t8y t/ et9n / det/y 9)% *n0/at*/n.

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C/3any a'ee n/t t/, and t/ )a9e *t S9b*d*a*e n/t t/, e8eaeany t%*d 3aty 0/ t%e )/n7dent*a8*ty and tandt*88 3/+**/n /0 anya'eeent t/ w%*)% C/3any / *t S9b*d*a*e * / ay be)/e a3aty, and %a88 *ed*ate8y ta2e a88 te3 ne)eay t/ te*nate anya33/+a8 t%at ay %a+e been %eet/0/e '*+en 9nde any 9)%3/+**/n a9t%/*@*n' any 3e/n t/ a2e an A8tenat*+e P/3/a8.Ne*t%e C/3any n/ t%e B/ad /0 D*e)t/ /0 C/3any %a88 a33/+e

/ ta2e any a)t*/n t/ ende *na338*)ab8e t/ any A8tenat*+e P/3/a8 /A8tenat*+e Tana)t*/n Se)t*/n "#- /0 t%e DGCL / any **8aTa2e/+e Stat9te.

d E


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C%an'e /0 Re)/endat*/n, w%*)% n/t*)e %a88 tate e


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ban2e, 7nan)*a8 ad+*/, att/ney, a))/9ntant / /t%ee3eentat*+e /0 C/3any / *t S9b*d*a*e ae awae /0 t%eet*)t*/n de)*bed *n t%* Se)t*/n 6.# a ea/nab8y ne)eay t/a+/*d +*/8at*/n t%ee/0. It * 9ndet//d t%at any +*/8at*/n /0 t%eet*)t*/n et 0/t% *n t%* Se)t*/n 6.# by any /;)e, d*e)t/,

e38/yee, a'ent / e3eentat*+e *n)89d*n' any *n+etent ban2e,7nan)*a8 ad+*/, att/ney, a))/9ntant / /t%e e3eentat*+e /0C/3any / *t S9b*d*a*e %a88 be deeed t/ be a bea)% /0 t%*Se)t*/n 6.# by C/3any.

0 N/t%*n' )/nta*ned *n t%* Se)t*/n 6.# %a88 3/%*b*t C/3any/ *t S9b*d*a*e 0/ ta2*n' and d*)8/*n' t/ *t t/)2%/8de a3/*t*/n e=9*ed by R98e 1e4"a / R98e 1d4 3/98'ated 9ndet%e EII

CONDITIONS PRECEDENT


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:. C/nd*t*/n t/ Ea)% Paty Ob8*'at*/n t/ E(e)t t%e Me'e.T%e e3e)t*+e /b8*'at*/n /0 t%e 3at*e t/ e(e)t t%e Me'e %a88 be9be)t t/ t%e at*0a)t*/n at / 3*/ t/ t%e E(e)t*+e T*e /0 t%e0/88/w*n' )/nd*t*/n

a St/)2%/8de A33/+a8. * T%* A'eeent, /n 9btant*a88yt%e te and )/nd*t*/n et 0/t% *n t%* A'eeent, %a88 %a+e beenad/3ted by t%e e=9**te a;at*+e +/te /0 t%e %/8de /0 C/3anyC//n St/)2 ent*t8ed t/ +/te t%ee/n, and ** t%e *9an)e /0 PaentC//n St/)2 *n t%e Me'e, /n 9btant*a88y t%e te and)/nd*t*/n et 0/t% *n t%* A'eeent, %a88 %a+e been a33/+ed byt%e e=9**te a;at*+e +/te /0 t%e %/8de /0 Paent C//n St/)2ent*t8ed t/ +/te t%ee/n.

b NYSE L*t*n'. T%e %ae /0 Paent C//n St/)2 t/ be*9ed t/ t%e %/8de /0 C/3any C//n St/)2 93/n )/n9at*/n

/0 t%e Me'e %a88 %a+e been a9t%/*@ed 0/ 8*t*n' /n t%e NYSE,9be)t t/ /;)*a8 n/t*)e /0 *9an)e.

) F/ S41. T%e F/ S41 %a88 %a+e be)/e e(e)t*+e 9ndet%e Se)9*t*e A)t and n/ t/3 /de 93end*n' t%e e(e)t*+ene /0t%e F/ S41 %a88 %a+e been *9ed and n/ 3/)eed*n' 0/ t%at393/e %a88 %a+e been *n*t*ated / t%eatened by t%e SEC.

d N/ In9n)t*/n / Reta*nt5 I88e'a8*ty. N/ /de, *n9n)t*/n /de)ee *9ed by any )/9t / a'en)y /0 )/3etent 9*d*)t*/n //t%e 8aw 3e+ent*n' / a2*n' *88e'a8 t%e )/n9at*/n /0 t%e Me'e

/ any /0 t%e /t%e tana)t*/n )/nte38ated by t%* A'eeent %a88be *n e(e)t.

:." C/nd*t*/n t/ Ob8*'at*/n /0 Paent. T%e /b8*'at*/n /0 Paentand Me'e S9b t/ e(e)t t%e Me'e * a8/ 9be)t t/ t%e at*0a)t*/n,/ wa*+e by Paent, at / 3*/ t/ t%e E(e)t*+e T*e, /0 t%e 0/88/w*n')/nd*t*/n

a Re3eentat*/n and ?aant*e. S9be)t t/ t%e tandad et0/t% *n Se)t*/n .", t%e e3eentat*/n and waant*e /0 C/3anyet 0/t% *n t%* A'eeent %a88 be t9e and )/e)t a /0 t%e date /0

t%* A'eeent and a /0 t%e E(e)t*+e T*e a t%/9'% ade /n and a/0 t%e E(e)t*+e T*e e


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b Pe0/an)e /0 Ob8*'at*/n /0 C/3any. C/3any %a88 %a+e3e0/ed *n a88 ate*a8 e3e)t a88 /b8*'at*/n e=9*ed t/ be3e0/ed by *t 9nde t%* A'eeent at / 3*/ t/ t%e E(e)t*+e T*e5and Paent %a88 %a+e e)e*+ed a )et*7)ate *'ned /n be%a80 /0C/3any by t%e C%*e0 E


99/109

%a88 %a+e e)e*+ed a )et*7)ate *'ned /n be%a80 /0 Paent by t%e C%*e0E


100/109

*nt9ent a9t%/*@ed by t%e B/ad /0 D*e)t/ /0 C/3any andPaent5

b by e*t%e C/3any / Paent, *0 any G/+enenta8 Ent*ty t%at9t 'ant a Paent Re=9**te Re'98at/y A33/+a8 / a C/3any

Re=9**te Re'98at/y A33/+a8 %a den*ed a33/+a8 /0 t%e Me'e and9)% den*a8 %a be)/e 7na8 and n/na33ea8ab8e / any G/+enenta8Ent*ty /0 )/3etent 9*d*)t*/n %a88 %a+e *9ed a 7na8 andn/na33ea8ab8e /de, *n9n)t*/n / de)ee 3eanent8y en/*n*n' //t%ew*e 3/%*b*t*n' / a2*n' *88e'a8 t%e )/n9at*/n /0 t%etana)t*/n )/nte38ated by t%* A'eeent5

) by e*t%e C/3any / Paent, *0 t%e Me'e %a88 n/t %a+ebeen )/n9ated /n / be0/e t%e 7t ann*+eay /0 t%e date /0t%* A'eeent 9n8e t%e 0a*89e /0 t%e C8/*n' t/ /))9 by 9)% date%a88 be d9e t/ t%e 0a*89e /0 t%e 3aty ee2*n' t/ te*nate t%*

A'eeent t/ 3e0/ / /be+e t%e )/+enant and a'eeent /09)% 3aty et 0/t% *n t%* A'eeent5

d by e*t%e C/3any / Paent 3/+*ded t%at t%e te*nat*n'3aty * n/t t%en *n ate*a8 bea)% /0 any e3eentat*/n, waanty,)/+enant / /t%e a'eeent )/nta*ned %ee*n, *0 t%ee %a88 %a+ebeen a bea)% /0 any /0 t%e )/+enant / a'eeent / any /0 t%ee3eentat*/n / waant*e et 0/t% *n t%* A'eeent /n t%e 3at /0C/3any, *n t%e )ae /0 a te*nat*/n by Paent, / Paent / Me'eS9b, *n t%e )ae /0 a te*nat*/n by C/3any, w%*)% bea)%, e*t%e*nd*+*d9a88y / *n t%e a''e'ate, w/98d e98t *n, *0 /))9*n' /

)/nt*n9*n' /n t%e C8/*n' Date, t%e 0a*89e /0 t%e )/nd*t*/n et 0/t% *nSe)t*/n :." / :.-, a t%e )ae ay be, and w%*)% * n/t )9ed w*t%*n-# day 0/88/w*n' w*tten n/t*)e t/ t%e 3aty )/*tt*n' 9)% bea)%/ by *t nat9e / t**n' )ann/t be )9ed w*t%*n 9)% t*e 3e*/d5

e by Paent, *0 * t%e B/ad /0 D*e)t/ /0 C/3any %a88 %a+eA 0a*8ed t/ e)/end *n t%e /*nt P/


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' by e*t%e C/3any / Paent, *0 t%e a33/+a8 /0 C/3anyt/)2%/8de e=9*ed by Se)t*/n :.a %a88 n/t %a+e been /bta*ned ata eet*n' /0 C/3any t/)2%/8de )/n+ened 0/ 393/e /0a33/+*n' and ad/3t*n' t%* A'eeent5 /

!!

% by e*t%e C/3any / Paent, *0 t%e a33/+a8 /0 Paentt/)2%/8de e=9*ed by Se)t*/n :.a %a88 n/t %a+e been /bta*ned ata eet*n' /0 Paent t/)2%/8de )/n+ened 0/ 393/e /0 a33/+*n't%e *9an)e /0 Paent C//n St/)2 *n t%e Me'e.

T%e 3aty de**n' t/ te*nate t%* A'eeent 399ant t/)8a9e b, ), d, e, 0, ' / % /0 t%* Se)t*/n $. %a88 '*+ew*tten n/t*)e /0 9)% te*nat*/n t/ t%e /t%e 3aty *n a))/dan)e w*t%Se)t*/n .1, 3e)*0y*n' t%e 3/+**/n / 3/+**/n %ee/0 399ant t/w%*)% 9)% te*nat*/n * e(e)ted.

$." E(e)t /0 Te*nat*/n. In t%e e+ent /0 te*nat*/n /0 t%*A'eeent by e*t%e C/3any / Paent a 3/+*ded *n Se)t*/n $.,t%* A'eeent %a88 0/t%w*t% be)/e +/*d and %a+e n/ e(e)t, andn/ne /0 C/3any, Paent, any /0 t%e* e3e)t*+e S9b*d*a*e / any /0t%e /;)e / d*e)t/ /0 any /0 t%e %a88 %a+e any 8*ab*8*ty /0 any

nat9e w%at/e+e 9nde t%* A'eeent, / *n )/nne)t*/n w*t% t%etana)t*/n )/nte38ated by t%* A'eeent, e


102/109

$.1 Aendent. T%* A'eeent ay be aended by t%e3at*e, by a)t*/n ta2en / a9t%/*@ed by t%e* e3e)t*+e B/ad /0D*e)t/, at any t*e be0/e / a0te a33/+a8 /0 t%e atte3eented *n )/nne)t*/n w*t% Me'e by t%e e3e)t*+e t/)2%/8de /0C/3any and Paent5 3/+*ded, %/we+e, t%at a0te any a33/+a8 /0 t%e

tana)t*/n )/nte38ated by t%* A'eeent by t%e t/)2%/8de /0C/3any / Paent, t%ee ay n/t be, w*t%/9t 09t%e a33/+a8 /0 9)%t/)2%/8de, any aendent /0 t%* A'eeent t%at e=9*e 09t%ea33/+a8 9nde a338*)ab8e 8aw. T%* A'eeent ay n/t be aendedeII /t%e t%an t%/e )/nd*t*/nt%at by t%e* nat9e ae t/ be at*7ed / wa*+ed at t%e C8/*n', 9n8eeII ae at*7ed / wa*+ed d9*n' t%etw/ wee2 *ed*ate8y 3*/ t/ t%e end /0 a 7)a8 =9ate /0 Paent,


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t%en Paent ay 3/t3/ne t%e C8/*n' 9nt*8 t%e 7t 0988 wee2 a0te t%eend /0 t%at 7)a8 =9ate.

." Standad. N/ e3eentat*/n / waanty /0 C/3any)/nta*ned *n At*)8e III / /0 Paent )/nta*ned *n At*)8e I> %a88 be

deeed 9nt9e, *na))9ate / *n)/e)t 0/ any 393/e 9nde t%*A'eeent, and n/ 3aty %eet/ %a88 be deeed t/ %a+e bea)%ed ae3eentat*/n / waanty 0/ any 393/e 9nde t%* A'eeent, *nany )ae a a )/ne=9en)e /0 t%e e


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!:

Me*88 Lyn)% & C/., In).

1 ?/8d F*nan)*a8 Cente

"!# >eey Steet

New Y/2, NY ##$#

Attent*/n R/eay T. Be2ey

>*)e C%a*an and Genea8 C/9ne8

Fa)**8e "" 114--6

w*t% a )/3y t/

S%eaan & Ste8*n' LLP

! Le


105/109

Attent*/n T*/t%y . May/3/98/,

E*)e Pe*dent and Genea8 C/9ne8

Fa)**8e :#1 -:#4-!!

w*t% a )/3y t/

?a)%te88, L*3t/n, R/en & Kat@

! ?et !"nd Steet

New Y/2, NY ##

Attent*/n Edwad D. He8*%y

Lawen)e S. Ma2/w

N*)%/8a G. De/

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/e )/9nte3at, a88 /0 w%*)% %a88 be )/n*deed /ne and t%e aea'eeent and %a88 be)/e e(e)t*+e w%en )/9nte3at %a+e been*'ned by ea)% /0 t%e 3at*e and de8*+eed t/ t%e /t%e 3aty, *t be*n'9ndet//d t%at ea)% 3aty need n/t *'n t%e ae )/9nte3at.

.: Ent*e A'eeent. T%* A'eeent *n)89d*n' t%e d/)9entand t%e *nt9ent e0eed t/ *n t%* A'eeent, t/'et%e w*t% t%eC/n7dent*a8*ty A'eeent and t%e St/)2 O3t*/n A'eeent,)/nt*t9te t%e ent*e a'eeent and 93eede a88 3*/ a'eeentand 9ndetand*n', b/t% w*tten and /a8, between t%e 3at*e w*t%e3e)t t/ t%e 9be)t atte /0 t%* A'eeent, /t%e t%an t%eC/n7dent*a8*ty A'eeent and t%e St/)2 O3t*/n A'eeent.

.$ G/+en*n' Law5 9*d*)t*/n. T%* A'eeent %a88 be'/+ened and )/nt9ed *n a))/dan)e w*t% t%e *ntena8 8aw /0 t%eState /0 De8awae a338*)ab8e t/ )/nta)t ade and w%/88y43e0/ed

w*t%*n 9)% tate, w*t%/9t e'ad t/ any a338*)ab8e )/n*)t /0 8aw3*n)*38e. T%e 3at*e %eet/ a'ee t%at any 9*t, a)t*/n / 3/)eed*n'b/9'%t by e*t%e 3aty t/ en0/)e any 3/+**/n /0, / baed /n anyatte a**n' /9t /0 / *n )/nne)t*/n w*t%, t%* A'eeent / t%etana)t*/n )/nte38ated %eeby %a88 be b/9'%t *n any 0edea8 /tate )/9t 8/)ated *n t%e State /0 De8awae. Ea)% /0 t%e 3at*e %eet/9b*t t/ t%e 9*d*)t*/n /0 any 9)% )/9t *n any 9*t, a)t*/n /3/)eed*n' ee2*n' t/ en0/)e any 3/+**/n /0, / baed /n any attea**n' /9t /0, / *n )/nne)t*/n w*t%, t%* A'eeent / t%e tana)t*/n)/nte38ated %eeby and %eeby *e+/)ab8y wa*+e t%e bene7t /09*d*)t*/n de*+ed 0/ 3eent / 09t9e d/*)*8e / /t%ew*e *n

9)% a)t*/n / 3/)eed*n'. Ea)% 3aty %eet/ *e+/)ab8y wa*+e, t/ t%e0988et e


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e8eae / /t%e 39b8*) ann/9n)eent t/ t%e e


108/109

T

BANK O

By

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109/109

E/t*n'Mandat/y C/n+et*b8e N/n4C998at*+e Pe0eed St/)2, Se*e " andSe)t*/n ! /0 t%e Cet*7)ate /0 De*'nat*/n /0 t%e .## N/n4>/t*n'Mandat/y C/n+et*b8e N/n4C998at*+e Pe0eed St/)2, Se*e - %a88ea)% be aended t/ 3/+*de t%at a ea)% %ae /0 9)% e*e /0C/3any Pe0eed St/)2 %a88 +/te t/'et%e a a *n'8e )8a w*t% t%e%ae /0 C/3any C//n St/)2 /n a88 atte 3eented 0/ a +/te

/0 t%e %/8de /0 C/3any C//n St/)2, and b ea)% 9)% %ae%a88 be ent*t8ed t/ 6## +/te.

At t%e E(e)t*+e T*e, t%e C/3any Cet*7)ate %a88 be aended a0/88/w

Se)t*/n "B.b /0 At*)8e I> /0 t%e C/3any Cet*7)ate %a88 beaended t/ 3/+*de t%at, e(e)t*+e a /0 t%e E(e)t*+e T*e, ea)%%/8de /0 C/3any C//n St/)2 %a88 be ent*t8ed t/ "!#,### +/te0/ ea)% %ae t%ee/0 %e8d by 9)% %/8de.

" Se)t*/n /0 At*)8e I /0 t%e C/3any Cet*7)ate %a88 be aendedt/ 3/+*de t%at, e(e)t*+e a /0 t%e E(e)t*+e T*e, %/8de /0 C/3anyC//n St/)2 ay ta2e a)t*/n w*t%/9t a eet*n' by w*tten )/nent/0 t%e %/8de /0 $# /0 t%e %ae /0 C/3any C//n St/)2/9ttand*n' and ent*t8ed t/ +/te.

agreement and plan of merger

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