Case 2:19-cv-08927-ES-CLW Document 49 Filed 06/20/19 Page 1 of 2 PageID: 380 Gavin J. Rooney LOWENSTEIN SANDLER LLP One Lowenstein Drive Roseland, NJ 07068 973.597.2500 Maeve L. O’Connor (admitted pro hac vice) DEBEVOISE & PLIMPTON LLP 919 Third Avenue New York, NY 10022 212.909.6000 Attorneys for Defendant Elyse Douglas UNITED STATES DISTRICT COURT DISTRICT OF NEW JERSEY THE HERTZ CORPORATION and HERTZ GLOBAL HOLDINGS, INC., Plaintiffs, v. Civil Action No. 2:19-cv-08927 NOTICE OF DEFENDANT ELYSE DOUGLAS’ MOTION TO DISMISS PLAINTIFFS’ COMPLAINT Return Date: August 19, 2019 MARK FRISSORA, ELYSE DOUGLAS, and JOHN JEFFREY ZIMMERMAN, ORAL ARGUMENT REQUESTED Defendants. TO Douglas E. Motzenbecker GORDON & REES LLP 18 Columbia Turnpike – Suite 220 Florham Park, New Jersey 07932 973.549.2500 Herbert Biegel LAW OFFICES OF HERBERT BEIGEL 5641 N. Chieftan Trail Tucson, Arizona 85750 520.825.1995 PLEASE TAKE NOTICE that at 9:00 a.m. on August 19, 2019, or such other time and date set by the Court, Defendant Elyse Douglas, by and through her undersigned attorneys, will Case 2:19-cv-08927-ES-CLW Document 49 Filed 06/20/19 Page 2 of 2 PageID: 381 move before the Honorable Esther Salas, U.S.D.J., United States District Court for the District of New Jersey, Martin Luther King Jr. Federal Bldg. and U.S. Courthouse, Room 2060, 50 Walnut Street, Newark NJ 07101, for entry of an Order granting Defendant Elyse Douglas’ Motion to Dismiss Plaintiff’s Complaint, pursuant to Federal Rule of Civil Procedure 12(b)(6) and 9(g). PLEASE TAKE FURTHER NOTICE that Defendant Elyse Douglas will rely upon the accompanying brief and Declaration of Maeve O’Connor in support of her motion to dismiss. PLEASE TAKE FURTHER NOTICE that Defendant Elyse Douglas respectfully requests oral argument on this motion. PLEASE TAKE FURTHER NOTICE that a proposed form of Order is submitted herewith. Dated: June 20, 2019 Respectfully submitted, LOWENSTEIN SANDLER LLP /s/ Gavin J. Rooney Gavin J. Rooney One Lowenstein Drive Roseland, NJ 07068 973.597.2500 Attorneys for Defendant Elyse Douglas Maeve L. O’Connor (admitted pro hac vice) DEBEVOISE & PLIMPTON LLP 919 Third Avenue New York, NY 10022 212.909.6000 Attorneys for Defendant Elyse Douglas 2 Case 2:19-cv-08927-ES-CLW Document 49-1 Filed 06/20/19 Page 1 of 5 PageID: 382 UNITED STATES DISTRICT COURT DISTRICT OF NEW JERSEY ------------------------------------------------------------------------ x : THE HERTZ CORPORATION and : HERTZ GLOBAL HOLDINGS, INC., : : Plaintiffs, : : No. 2:19-cv-08927-ES-CLW v. : : MARK FRISSORA, ELYSE DOUGLAS, : and JOHN JEFFREY ZIMMERMAN, : : Defendants. : : ------------------------------------------------------------------------ x MEMORANDUM OF LAW IN SUPPORT OF ELYSE DOUGLAS’S MOTION TO DISMISS THE COMPLAINT Gavin J. Rooney LOWENSTEIN SANDLER LLP One Lowenstein Drive Roseland, New Jersey 07068 (973) 597-2472 Maeve O’Connor DEBEVOISE & PLIMPTON LLP 919 Third Avenue New York, New York 10022 (212) 909-6000 Attorneys for Elyse Douglas Case 2:19-cv-08927-ES-CLW Document 49-1 Filed 06/20/19 Page 2 of 5 PageID: 383 Defendant Elyse Douglas respectfully submits this memorandum in support of her motion to dismiss the claims asserted against her in Counts I, II and III of the Complaint filed by The Hertz Corporation and Hertz Global Holdings, Inc. (collectively, “Plaintiffs” or “Hertz”). PRELIMINARY STATEMENT Plaintiffs fail to state a claim for breach of contract under the 2010 Compensation Recovery Policy (the “2010 Policy”) or the 2014 Compensation Recovery Policy (the “2014 Policy) (collectively, the “Policies”) because Plaintiffs do not identify any contract with Ms. Douglas that incorporated the Policies. Thus, although Plaintiffs assert that the Policies require Ms. Douglas to return incentive compensation paid to them, they fail to adequately plead that the Policies are enforceable against Ms. Douglas. Indeed, Hertz’s SEC filings suggest the Policies were never incorporated in the Company’s Standards of Business Conduct as planned.1 ARGUMENT Plaintiffs seek to recover incentive compensation from Ms. Douglas in Counts I through III of the Complaint, each of which is entitled “Breach of Contract: Enforcement of [] ClawBack Policy.” In support of those claims, Plaintiffs quote at length from the Policies. Plaintiffs fail to state a claim for breach of contract, however, because they do not adequately allege “a contract between the parties” that incorporates the Policies or “a breach of that contract.” Frederico v. Home Depot, 507 F.3d 188, 203 (3d Cir. 2007). With respect to Count I, which seeks to claw back incentive compensation paid in 2011, 2012 and 2013 pursuant to the 2010 Policy, Plaintiffs fail even to identify the specific contracts at issue, much less identify any specific provision of those contracts that incorporates the 2010 Policy. (Compl. ¶¶ 79-88.) Plaintiffs’ assertion that 1 The Court may consider SEC filings and other materials integral to the complaint even if they are not explicitly incorporated by reference therein. Oran v. Stafford, 226 F. 3d 275, 289 (3d Cir. 2000). Copies of such relevant documents are attached as exhibits to the accompanying Declaration of Maeve O’Connor (“O’Connor Decl.”). Case 2:19-cv-08927-ES-CLW Document 49-1 Filed 06/20/19 Page 3 of 5 PageID: 384 the return of compensation is “required” under the Policies is nothing more than a bare legal conclusion. (Compl. ¶ 65.) Courts consistently dismiss breach of contract claims on this basis. See, e.g., Swift v. Pandey, 2013 WL 6054853, at *11 (D.N.J. Nov. 13, 2013) (dismissing breach of contract claim where “the Amended Complaint neither alleges the precise terms of the contract nor which provisions Defendants breached”); Faistl v. Energy Plus Holdings, LLC, 2012 WL 3835815, at *7-8 (D.N.J. Sept. 4, 2012) (dismissing breach of contract claim where plaintiff failed to alleged “which particular provision of the parties’ Agreement was breached” and there was ambiguity as to “which particular agreement even forms the basis of [the] claim”); Iwanicki v. Bay State Milling Co., 2011 WL 6131956, at *4 (D.N.J. Dec. 7, 2011) (dismissing breach of contract claim where plaintiff “has not identified the contract that was allegedly breached or the provisions of the contract that were allegedly breached”). Dismissal of Counts II and III, which seek to claw back amounts paid to Douglas pursuant to her September 23, 2011 separation agreement (the “Separation Agreement”), is also appropriate because Plaintiffs again fail to identify any provision of the Separation Agreement that incorporates the Policies. Plaintiffs offer only the legal conclusion that Douglas “breached her obligations” under the 2010 Policy by not agreeing to return the compensation she received pursuant to her Separation Agreement. (Compl. ¶¶ 98, 106.) Notably, the Separation Agreement includes references to a “2008 Omnibus Incentive Plan,” which, in turn, refers to the “Compensation Recovery Policy under the Company’s Standards of Business Conduct.” (O’Connor Decl. Ex. A at A-28.) The “Standards of Business Conduct,” however, did not include any “Compensation Recovery Policy.” (O’Connor Decl. Ex. B.) Indeed, it appears that, although the Hertz Boards proposed in November 2009 to amend the 2 Case 2:19-cv-08927-ES-CLW Document 49-1 Filed 06/20/19 Page 4 of 5 PageID: 385 Standards of Business Conduct to include a claw-back policy, that particular amendment never occurred. (O’Connor Decl. Ex. C.) On November 17, 2011, Hertz approved and adopted revised Standards of Business Conduct, which still do not mention the 2010 Policy – or any other claw-back policy. (O’Connor Decl. Ex. B.) Nor does the current version of the Standards of Business Conduct include a Compensation Recovery Policy. (O’Connor Decl. Ex. D.) Plaintiffs’ allegations are vague, confusing and conclusory. By choosing not to identify the contractual provisions at issue – or to provide any basis for their assertion that the Policies are incorporated in any contract to which Ms. Douglas is a party – Plaintiffs fail to meet the notice requirements of Rule 8(a) and fail to plausibly allege a breach of contract.2 CONCLUSION For the foregoing reasons, the Court should dismiss Counts I, II and III as against Elyse Douglas. 2 In Count V, Plaintiffs sought a declaratory judgment denying advance of expenses, including legal fees. (Compl. ¶¶ 120-130.) Subsequently, the Delaware Court of Chancery addressed Defendants’ petitions for advancement and indemnification and issued an order granting advancement of expenses in connection with this action. (O’Connor Decl. Ex. E.) Plaintiffs have represented that they will abide by the Court of Chancery’s ruling on advancement. ( Dkt. No. 36) 3 Case 2:19-cv-08927-ES-CLW Document 49-1 Filed 06/20/19 Page 5 of 5 PageID: 386 Dated: New York, New York June 20, 2019 LOWENSTEIN SANDLER LLP By : /s/ Gavin J. Rooney_________________ Gavin J. Rooney (grooney@lowenstein.com) One Lowenstein Drive Roseland, New Jersey 07068 Tel: (973) 597-2500 Maeve O’Connor (moconnor@debevoise.com) DEBEVOISE & PLIMPTON LLP 919 Third Avenue New York, New York 10022 Tel: (212) 909-6000 Attorneys for Elyse Douglas 4 Case 2:19-cv-08927-ES-CLW Document 49-2 Filed 06/20/19 Page 1 of 2 PageID: 387 UNITED STATES DISTRICT COURT DISTRICT OF NEW JERSEY THE HERTZ CORPORATION and HERTZ GLOBAL HOLDINGS, INC., Civil Action No. 2: 19-cv-08927 Plaintiffs, v. MARK FRISSORA, ELYSE DOUGLAS, and JOHN JEFFREY ZIMMERMAN, CERTIFICATION OF MAEVE O'CONNOR IN SUPPORT OF DEFENDANT ELYSE DOUGLAS'S MOTION TO DISMISS Defendants. I, MAE VE O'CONNOR, certify, under penalty of perjury, as follows: 1. I am a partner at Debevoise & Plimpton LLP, attorney for Defendant Elyse Douglas. I am admitted to practice pro hac vice before the United States District Court of New Jersey in this matter. I submit this Certification in support of Defendant Elyse Douglas's Motion to Dismiss. 2. Attached hereto as Exhibit A is a true and correct copy of Hertz Holdings Inc.'s Schedule 14A, filed with the SEC on April 9, 2010. 3. Attached hereto as Exhibit B is a true and correct copy of Hertz Global Holdings, Inc.'s November 22, 2011 Form 8-K filed with the SEC. 4. Attached hereto as Exhibit C is a true and correct copy of Hertz Global Holdings, Inc. and The Hertz Corporation Joint Board of Directors, Agenda Item and Proposed Joint Board Resolutions, November 12, 2009. 5. Attached hereto as Exhibit Dis a true and correct copy of the Hertz Standards of Business Conduct, available at http://ir.hertz.com/download/Standards+of+Business+ Conduct+0S.22.2017.pdf. Case 2:19-cv-08927-ES-CLW Document 49-2 Filed 06/20/19 Page 2 of 2 PageID: 388 6. Attached hereto as Exhibit Eis a true and correct copy of the Delaware Court of Chancery's Order Granting Plaintiffs' Motion for Partial Summary Judgment, Douglas v. Hertz Global Holdings, Inc., C.A. No. 2019-0243-KSJM (May 23, 2019). I certify that the foregoing statements made by me are true. I understand that if the foregoing statements made by me are willfully false, I am subject to punishment. Dated: June 20, 2019 JfX::'"~ Maeve O'Connor (admitted pro hac vice) DEBEVOISE & PLIMPTON LLP 919 Third A venue New York, NY 10036 212.909.6000 Gavin J. Rooney One Lowenstein Drive Roseland, NJ 07068 973.597.2500 Attorneys for Defendant Elyse Douglas 2 Case Document 49-3 Filed 06/20/19 Page 1 of 122 PageID: 389 EXHIBIT A Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 2 of 122 PageID: 390 ! " # Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 3 of 122 PageID: 391 ! " ! 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A H 1///1/// ( & " ( 2 ( 2 1 3 1 ( 3 ( ( & 0 1 3 " 1 1 2 ( 1 3 3 ( ( & < !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 24 of 122 PageID: 412 ) <%= ' > % : : " ( ( 1 3 " ( (F (F & (F ( 3 2 ( 4. 3 ( ( 3 1 3 ( ( ( * B B 3 3 B ( B ( ( B B B ( B 2 B B B L B B B F 1 ( 1 ( ( 1 1 8 B 2 B 3 B B 3B 3 3 ( B B 3 B 3 B 1 B B ( B 2 B B B 1 ( (F 3 1 1 1 F & (F " ( ( 3 ( 3 ( 1 ( & 5 (F > > 9 " " E " >9"" > 1 A 3 ! 1 3 1 3 1 1 1 & E " 1 3 (F 3 ( > ( > 4. ( 3 3 2 > ( > 4. & 5 3 3 " & " 3 1 1 1 2 " & ! " # $%%& !' ( C !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 25 of 122 PageID: 413 5 5 ! D: 55 ; ! 8 1 ! 2 ! ! ; 2 5! @ , 1 ./ /1 1 : + 7 8 9 ( 7 1 0 & ! : >: > 1 (F & 5 : 3 ( A ( A & 5 : + : ( ( A : 2 ( 4. & " : ( 3& 5 $ : ( : & 5 2 ( : 1 3 " : ( & %3 "/ *(0 # % %' & %?% -% $% # " B/ (% $%$ " : 3 3 : A !@ 2 ( ( 4. & " ( 31 : ( 3 : & 5 8 ( & ' ./ /1 : 3 3 : A !@ ! 0 >!0 > ( > + " K" 0 K./ / " 0 &> 0 1 : 2 ( ( 4. & 4. 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( 1 ( (F 7 8 ) " % " 1 7 8 ) " ! 7 8 !2 ) ( 1 3 A >: E , >& 5 : E , 3 ( 3 3 1 L 3 3 & 5 : E , ( & 0 1 3 1 .//# !0 3 3 + !@ !@ 1 >0 , > F !0 3 ( & 5 0 , 1 < !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 54 of 122 PageID: 442 !@A 3 : A 3 !@& " 3 ( 3 >7 8A , .//#>1 >: E , .//#> >0 , .//#> & " ( ./ /1 3 !@ 1 : 3 !@& 5 ( 1 5 "3 3 ( ( 1 ( ( 3 ( !@1 '@ 9 1 & 5 ( 3* Target Award X orporate Performance Modifier Business Unit Individual Modifier X X (75% to 125%) Performance Modifier Annual ; Incentive Payout (0% to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'3' # ' ?%' 3% % 5 ) 3 & - %' -, & 5'%( -( 5& $ %' + * 0 *,0 ' #C1.<$ .C1C# K <1 4 .1C6. K 1#C< . #1 6. 14$ 41./. K K .641#C6 + K C1 + " K 2 >1 2 & ) ( , & 5 & 4/ !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 67 of 122 PageID: 455 5 H61.C$1< 6 , & % 3 1 3 , & % 3 A ( !) !) 001 H$1C$<1! " K@ % ! @ K " 3 ; )& % 3 &> 6 0 H.1///1/// ( , & ' 3 3 ( ( H.6/1///& 4 " , & 5 ( E& & . &66#/ .//#1 &C6<4 .//C .&//64#C .//<& < + .//< .//C , & D ( .//#& C , & % 3 A 2 H 14. 1 + J " K " 3 ; )& % 3 &> (+& )(% '%%(% C ' 8' ' ? 3 , & ' 3 ( !@1 7 81 ; .//41 3 3 + ( .//C& 5 3 , & ' ( H#6/1/// ( //M ( & 0 , & ' 3 3 5 0 &1 , & ' H 1///1///1 ( 3 2 & 6/M 3 + ( $ 1 .//4 6/M + ( $ 1 .//<& 0 1 , & ' ( 2 3 & !% %' '%%(% C @ %+ C " ( >! 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" K@ % ! @ K " > & " + ( .//C1 " & 5 H$1C$<1 + " K" 0 >& . 3 .//C @ ( 1 3 , & % 3 1 3 + ( .1 .//#& .6M 3 3 7 8A & 0 ( ( 1 .6M 3 3 6/M 3 3 & 0 1 3 ( & 5 .//C @ ( ( > + J " K 5 !2 0 &> $ ) 1 '" : " 5 < C1 3 .//C @ ( & " & > : > .//# " ) ' / I1 1 & : & ' @ !0 1 3 3 ( (F & "3 !0 & 5 !0 ( > + J " K" 0 &> 2..C < % 3 .//C @ ( 1 3 , & % 3 1 3 + ( .1 .//#& .6M 3 3 7 8A & 0 ( ( 1 .6M 3 3 6/M 3 3 & 0 1 3 ( & 5 .//C @ ( ( > + J " K 5 !2 0 &> 4. !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 69 of 122 Page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ase 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 70 of 122 PageID: 458 > 1 3 3 A & 4$ !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 71 of 122 Page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ase 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 72 of 122 Page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ase 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 73 of 122 Page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ase 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 74 of 122 Page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( "3 & > ) > 1 ( 1 3 1 ( 1 ( 3 3 ( ( 1 ' ( & > ) > ( ( ( 1 3 ( 3 1 (F ( ( 3 " G0 & > ) > A ( 1 ( 1 2 ' , G ( ' , G 2 ( 1 ( ( 1 3 ( 3 1 (F ( ( 3 " G0 & > ) > A 3 1 ( ( 1 ( ( 1 3 ( 3 1 (F " !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 90 of 122 PageID: 478 ( ( 3 " G0 & > ) /* , > 4&<& > ( ) > & & > > 7 8 9 ( 7 1 0 & .//C @ ( 0 1 ( ( L ( & > > 7 8 9 ( 7 1 0 & 0 7 8 9 ( 7 1 0 & + 0 & >5 : > "3 ( 2 ( 3 ( 2 & >5 > ( ( ( 1 3 ( 3 & >5 > A ( 1 ( 1 2 ' , G ( ' , G 2 ( 1 ( ( 1 3 ( 3 & >5 /* , > <&4& >5 > 3 1 E E 1 ( "3 ( (F (F ( ( 3 3 4&. 1 3 ) ) E 1 ) "3 " "3 1 3 + E 3 ) 3 C& 1 ) & >5 : > 4&4 & >5 5 : > 4&4 ( & >5 > 1 3 "3 " 1 A 3 ( 461 66 1 1 / ( & > : > "3 <&C & > : 5 > 1 3 1 L 2 1 1 ' , G ( ( 1 ( ! ( & " 6 !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 91 of 122 PageID: 479 > % > 3 3 1 1 6/M ( 3 1 ( 8 1 1 3 1 1 6/M ( 2 8 & > + > 3 1 E 1 E 1 ) ) E 1 ( ) 1 3 @ " ) 1 "3 ( ( 3 "3 " "3 & >B ) > 6&6& >B ) > 6&6& .&. 6 % ! 3 3 ( 1 3 1 1 & ! 5 8 $& @ % ( ! ( & $&. @ % ( ) : 5 1 (F 1 ! 3 "3 ( 1 "3 ( "3 1 ( 1 ( (F "3 1 3 "3 ( 1 ( "3 " & 5 ( "3 1 "3 1 "3 1 3 & $&$ : 5 ( ( & " "3 ( ( (F 1 3 1 & 5 ( 1 1 ( 1 ( & " 1 1 ( 1 1 ( 31 ( 3 ( ( 1 ( ( 3 & 5 1 1 1 ( 3 & 5 A ( ( ( 3 1 ( 1 "3 1 3 & 5 ( 31 ( ( ( "3 & " 4 !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 92 of 122 PageID: 480 $& + % 5 1 (F 1 1 ( ( : 3 3 3 ! @ B ' 1 ( (F 6< + 3 9 3 & @ 1 1 1 "3 3 ! @ & % 3 1 3 "3 2 > ( > 4. 1 3 > > 3 4. 1 3 3 2 ) 4( $ ! " 1 3 > > 3 ) 1 1 1 : & $&6 * < 0 3 3 3 ( 1 "3 E 1 ( ( 3 ( ( ( 3 1 3 ( ( 1 3 3 1 3 ( ( B 1 3 1 ( &$1 ( ( ( 1 & B ) 4( $ ! " "3 2 4. & (F 1 1 1 ( 1 ( 1 ( & ! ; 9 2@ 5! & 6 % (F " 0G1 ( ( "3 <1 > 3 .. >& < > >6 < > 1 3 0 @ & 5 @ 3 ( 3 @ 3 ( & ! @ ( ( "3 " @ 1 1 @ 1 ( 3 @ 1 " C !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 94 of 122 PageID: 482 1 1 3 3 3 & % @ ( 0 @ ( "3 " @ 1 3 3 2 .. & ( @ ! @ ( B ' 1 ) "3 1 ( ' , G @ & @ % ! @ 3 ( ( ( 1 1 1 & % @ ( ( & ! 3 1 ( "3 " ( 1 ( ( @ ( 1 @ 1 1 ( 3 1 ( 3 3 ( & 5 ( @ 1 3 2 3 ( ( 3 ( ( 2 1 ( 1 ! 1 ( 1 1 ( 1 ( ( (F @ ( ' , G 2 1 3 1 3 ( & 6&. : 5 " ) ( ( ( & " ) ( 3 @ 3 1 3 ( 1 ( @ ( 1 ( 1 @ & 5 " ) 3 ( 3 " ) 3 ( & % " ) ( ( & " ) ( 3 1 3 "3 " @ 1 1 3 " ) "3 " 3 " ) 1 1 1 1 3 3 3 & ( @ " ) 3 ( ( ( 1 1 1 & " ) 3 @ ( @ 2 ( 1 ( 3 3 @ ( & " # !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 95 of 122 Page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ase 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 96 of 122 PageID: 484 @ " ) & E 1 @ " ) ( ( & 0 1 ( 1 @ " ) 1 3 ( 1 ( & , 0 A 3 ( 1 @ " ) 3 3 ( ( & B 0 A 3 ( ( 3 1 @ " ) ( #/ 3 1 1 #/ 3 ( 3 @ " ) 1 ! @ " ) 1 @ " ) ( A ( & : < 5 E 3 ( 1 A ( 6&$ 1 ( 1 1 @ " ) ( $/ 3 1 1 $/ 3 ( 3 @ " ) 1 ! @ " ) & " @ " ) ( A ( & 6& + % 3 " G1 1 1 3 ( @ " ) 1 @ " ) ( 3 A (F : 1 ( ( 1 @ " ) & 6&6 , ) E 3 ( 1 3 1 1 3 A 3 ( 1 A > ' > 1 3 3 1 1 3 1 1 F 1 1 1 1 1 1 1 1 3 3 ( ( 3 3 F 3 ( 1 3 ( ( 3 3 A >* > 1 3 A 3 : 1 A : /M " !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 97 of 122 PageID: 485 A 1 A 3 .M : B ( 1 1 3 3 " 3 3 3 3 ( 3 " A 3 ( 3 1 A B 1 " ( 1 ( ( >B ) > 1 @ " ) 1 1 ( 3 ? 1 A 1 @ L ") ' 9 8 @ " ) 3 3 A ( 1 >B ) > & ' 6&61 >< :5 , > 2 1 ? 1 & 3 @ 1 : ! ' , G ' , G @ 1 * 1 ( ( (F "3 3 1 && 3 " ) 1 : ' , G 1 * 1 ( ( (F " ) & E 3 ( 1 "3 " @ L " ) A 8 ( ( ( 3 6&6& 5 A ( 6&6& 5 A ( 6&6 ( ( ( 1 "3 " 1 1 1 3 1 A : 1 3 ( & 6&4 , 5 " "3 " 1 1 3 1 ( ( 1 3 1 1 1 2 3 * @ " ) ( 1 ( ( @ " ) 1 ( 1 ( 3 ( 1 @ ( ( 3 ' , G 2 ( 1 " . !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 98 of 122 PageID: 486 8 (F @ " ) ( ( 3 3 ( 1 @ ( 2 ( & ! ; 5 8 9 5 8 9 5 8 4& 1 E E ( ( ( & 5 1 E E 3 ( 3 1 E E 3 ( & 1 E E ( ( "3 " ( 1 ( E 1 E 1 ( 1 3 "3 1 ) 1 1 1 1 3 3 3 & % 3 ( "3 E E 1 ( 2 "3 & 4&. & 1 E E ( (F ) 1 3 (F 1 1 1 & 5 ( (F 3 ) 1 3 1 "3 2 > ( > 4. 1 ( ( #/ ( ( ( 2 4. & ( ) <%= ' 5 (F 1 E 1 E "3 2 > ( > 4. 3 ( ( 3 1 ( * B B 3 3 B ( B ( ( B B B ( B 2 B B B L B B B F 1 ( 1 ( ( 1 1 8 B 2 B 3 B B 3B 3 3 ( B B 3 B 3 B 1 B B ( B 2 B B B 1 " $ !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 99 of 122 Page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ase 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 100 of 122 Page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ase 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 101 of 122 PageID: 489 1 E ( 3 "3 & ) ) E 3 1 ( ( ) 3 E ( 1 E E ( 1 1 2 ' , G ( ' , G 2 & 5 ( ( 3 /#" 1 ( 1 ( 3 ( E & E E 3 ) 1 ( 1 1 1 3 3 ( 3 1 "3 " 3 (F & 4&6 : ' 5 ) 5 ( ) % ! 3 4&4 1 E ( 1 1 1 1 3 & " ( 1 1 1 1 1 1 3 E ( & ( ) ) E 3 1 ( ( ) 3 E ( 1 2 "3 1 1 ( 1 3 ' , G 2 "3 1 ( ' , G 2 "3 & 5 ( ( 3 /#" 1 ( 1 ( 3 ( E & E E 3 ) 1 ( 1 1 1 3 3 ( 3 1 "3 " 3 (F & 4&4 ( ) @ + + % E 3 ( 1 A ( A + ( 1 1 ( 1 A 1 1 E E 2 ( "3 ( 1 3 ( ( 1 3 ( >5 : > 1 "3 ( & 5 ) ) "3 ( ( (F & ) "3 " 4 !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 102 of 122 PageID: 490 ( 4& 4&6 ( ( & ( 5 E 3 ( 1 A ) 1 1 E E 3 ( B ' 1 8 1 ( ( ( 1 3 1 1 1 1 E E 2 ( "3 ( 1 3 ( ( ) 1 3 ( >5 5 : > 1 "3 ( ) B 1 1 3 "3 2 > ( > 4. ( 3 "3 2 > ( > 4. & (F A 3 1 1 ( (F 1 ) ) ) "3 ( ) ) "3 & 0 1 ( 1 1 E E 3 ( & : < 5 E 3 ( 1 A ( 4&4 ( 1 1 E E ( & 4&< , ) E 3 ( 1 3 1 1 1 1 3 3 1 ? 1 1 E E 1 3 ) ( 3 ? 1 A 1 : ' 9 8 1 E E G + 3 ? & ' 4&<1 > ) /* , > 2 1 G + ? 1 & : ' , G G + "3 * ' , G 1 ( && ( (F "3 3 & E 3 ( 1 "3 " 1 E E A 8 ( ( " < !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 103 of 122 PageID: 491 ( 3 4&<& 5 A ( 4&<& 5 A ( 4&< ( ( ( 1 "3 " 1 1 1 3 1 A : 1 3 ( & 4&C , 5 " "3 " 1 1 3 1 ( ( 1 3 1 1 1 2 3 * 1 E E ( 1 ( ( ( 1 E E 1 ( 1 3 ( 1 8 ( 1 E E 3 3 ( & ! ; 9 9 = <& ) ) E ( ( ( & 5 ) ) E 3 ( 3 ) ) E 3 ( & ) ) E ( ( "3 " ( 3 ) ) E 1 ( 1 3 "3 ( ( 1 ) 1 1 1 3 3 3 & % 3 ( "3 ) E ( 2 "3 & " C !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 104 of 122 PageID: 492 <&. ) ) E ( (F ) 1 3 1 1 1 1 & 5 ) ) ) E A ( "3 B ' 1 ) B ' ) 1 "3 ) ) E ( 6M ( ( ) 3 A ( "3 B ' ) ) "3 3 ( ) "3 ( 1 ) "3 ( ( ( & <&$ : ' 5 5 5 ( ) % E 3 ( 1 ) ( 1 1 1 1 3 ) & 5 1 ) ( 1 1 1 3 3 ( 3 1 "3 " 1 3 ) (F & 5 2 ) ( ( ) 1 1 ) 1 3 1 ( 1 ( "3 & " ( 1 1 1 1 1 1 3 ) 3 3 1 <&$1 ( & ( A ! (F "3 ) ( ) ( 4&$ ( & 5 E 3 ( 1 ) ( ( "3 B ' 1 1 ( 1 ( (F ) ) 3 3 3 1 3 "3 3 (F ) & <& : ' 5 5 5 ( ) % % ) E ( 1 1 1 1 3 & " ( 1 1 1 1 1 1 3 ) E 3 3 1 <& 1 ( & ( 5 5 3 3 + !2 3 ( 1 3 ( 1 "3 " # !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 105 of 122 PageID: 493 ) E & E 3 ( 1 ( A ( ( ) E ( ( 2 3 ( 3 ( ( ( : ( ( * ' , G 1 ) E ( (F ( ) E 3 3 ( 3 ( 1 ( 1 ( (F ) ) E 3 3 3 & E "3 ) E 1 3 ( 1 ) E ( 3 "3 & ) 5 E 3 1 ( ( ) 3 ) E 1 ) E ) E ( 1 1 2 ' , G ( ' , G 2 & 5 ( ( 3 /#" 1 ( 1 ( 3 ( ) E & E 3 ) 1 ( 1 1 1 3 3 ( 31 "3 " 3 (F & <&6 ( ) @ + + % E 3 ( 1 A ( A + ( 1 1 ( 1 A 1 ) ) E 2 ( "3 ( 1 3 ( ( ) 1 3 ( ) >5 5 : > 1 "3 ( & 5 ) ) ) "3 A & ) ) "3 ( <&$ <& ( & ( : < 5 E 3 ( 1 A ) ( <&6 1 ) ) E 3 ) ( & <&4 , ) E 3 ( 1 3 1 1 " ./ !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 106 of 122 PageID: 494 1 3 3 1 ? 1 ) ) E 1 3 ) 1 ( 3 ? 1 A 1 ) : ' 9 8 ) ) E G + 3 ? 1 : ' 9 8 "3 3 ? & ' <&41 >5 /* , > 2 1 G + ? 1 & : ' , G G + * ' , G 1 ( && ( (F "3 3 & ' <&41 > /* , > 2 1 ? 1 & : ' , G "3 * ' , G 1 ( && ( (F "3 3 & E 3 ( 1 "3 " ) L ) E A 8 ( ( ( 3 <&4& 5 A ( <&4& 5 A ( <&4 ( ( ( 1 "3 " 1 1 1 3 1 A : 1 3 ( & <&< , 5 " "3 " 1 1 3 1 ( ( 1 3 1 1 1 2 3 * ) ) E ( 1 ( ( ( "3 L ) ) E 1 ( 1 3 ( 1 8 ( "3 L ) ) E 3 3 ( & <&C : "3 ( ( ( & "3 ( ( " . !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 107 of 122 Page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ase 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 108 of 122 PageID: 496 A 3 ( 1 1 ( 1 ( #/ 1 3 ( ( 3 /#" : ( 2 ( ( 3 & E 3 1 A 3 ( 1 3 + E + !2 1 3 ) & (F " 0R " R01 C& 1 3 1 A + E + !2 A ( 1 ( #/ 1 3 A ( ( 3 ( 2 ( ( 3 & 5 "3 " ( "3 + E 1 + E 1 ' , G + E 1 ( ' , G 2 & C&6 , + ) @ 5 ( ( 3 /#" 1 ( 1 ( + E "3 & ! ! #& : & E 3 #&.1 1 @ " ) ( ( 1 ) ) 1 ) E + E "3 ) E + E ( "3 B ' 1 1 1 @ 1 " ) 1 ) E L + E ( 2 : & @ " ) 1 1 1 "3 1 && "3 1 ( * ( ( "3 B 1 1 3 > > /#" 1 ( 1 ( 1 "3 (F /#" ( ( "3 ( ) & % 3 1 1 1 @ " ) @ " ) 3 ( @ " .$ !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 109 of 122 PageID: 497 " ) ( 2 @ " ) & ( ) ) ) 1 E 1 E + E ( "3 " 1 E 1 E + E & ( ) 3 #& ( 1 ( 1 % 3 ! 2 ( ( 1 ( ( 1 ( $/ 1 3 (F #& & ' 1 % 3 ! ( ( 1 & #&. : ' : % 3 #& 1 1 1 ( 1 ) 3 "3 3 1 E 1 E + E 1 ( 1 1 "3 ( 1 3 ( 1 ( "3 ( >: ' : > ( % 3 ! 1 1 " "3 * ( ( ( E& & ( ( B 3 ( 2 ( 1 ( "3 1 1 ( 1 ( ( 2 3 "3 B ( 2 "3 B 3 3 3 3 3 1 A 1 ( ( 1 "3 ( ( 3 1 ( B 2 /#" & ! 88 ; 8 8 5! 5 3 ( : ' ( .C1 .//C1 ( A , 61 .//C& 5 (F ./ / " . !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 110 of 122 PageID: 498 & 5 1 " R1 3 ( : ( 1 0/ 1 3 3 & 5 : 1 B ' 1 3 ( F 3 2 F ( 1 ( 1 3 & 1 ( (F "3 &$1 &6 ' 2 & % 1 1 "3 1 3 & % 3 1 : "3 3 1 ( 3& % A ( & (F ( 1 "3 "3 ( 3 "3 & ! 3 ( : 1 A ( 3 3 "3 & @ 1 1 ( & ' 3 1 ( 3 "3 ( ( ( (F /#" 3 /#" 3 3 & ! !! 5 ; & 6 ) % ) : % "3 ( ( ( ( 3 3 ( B 1 : 1 3 1 ( "3 A 1 1 1 1 1 1 1 1 ( 1 1 31 31 31 31 31 ( 31 31 1 A 1 3 ( 1 3 1 3 3 1 8 2 ( 8 3 6/ $ 1 1 > ( ) > & ! 2 ( 31 "3 ( (F 1 ( ( & " 3 "3 ( ( A ( 1 ( 1 5 & 5 5 ( 5 1 3 ( (F ( ( ( 3 & " .6 !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 111 of 122 PageID: 499 &. * ) + ! 1 1 ( ( 3 ( 3 ( ( ( 3 ( & ! 3 ( 1 ( ( ( 1 3 ( 3 ( 3 3 & 0 ( 1 ( A ( ( A 1 1 3 ( & &$ 6 ) @ % "3 " 3 3 ( A 1 ( 3 "3 B . "3 B L $ A & % ! ( 1 1 ( 1 "3 & & ( B 5 3 3 3 2 1 3 1 ( 2 ( 3 ( 3 3 3 "3 & 0 "3 1 ( ( 3 ( ( 3 "3 & 5 2 & ? 1 1 1 (F ( 1 1 ( "3 1 3 1 2 ( 3 ( 2 3 ( & &6 A @ 5 5 1 "3 1 ( 1 ( (F ( 3 1 1 1 ( ( 2 1 3 & 5 1 1 1 "3 1 "3 1 3 ( 1 2 2 31 2 3 3 ( 3 1 & 5 ( ( ( 8 "3 3 3 1 1 "3 "3 & % ( ( 3 "3 ( ( & &4 & ) 5 ( 3 ( A 0 L : 3 1 3 ( ( " .4 !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 112 of 122 PageID: 500 : ( ( 1 1 ( ( ( ( 3 1 1 3 ( 3 ( ( ( 1 3 A 1 ( F 1 1 1 3 1 ( 3 ( & 5 ( ( 3 ( A 0 : 3 1 ( 1 31 3 & &< 6 A % ( ( 1 1 3 8 & &C + ) 5 "3 1 "3 ( ( ' 3 "3 0 @ 2 ( ( 3& &# D.3: 5 ( 3 2 1 3 ( 1 /#" & ? ( ( ( 1 ( /#"& % 3 1 ( /#" "3 2 ( & "3 2 /#" 3 /#" 1 ( > > 3 /#" & % 3 1 A 1 > > ( 1 ( "3 2 /#" 3 /#" 1 3 ( A 1 "3 3 ( ( A 1 ( ( A & & / ' A 5 ( 3 ( 3 + 3 1 3 3 3 3 2 3 F 1 3 + 3 & & ' % E * 0 ( ( 1 ( 1 1 ( ( ( & 0 1 F ( 1 1 3 ( & " .< !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 113 of 122 PageID: 501 & . 6 & < * ) ! 3 ( ( 1 1 ( "3 ( A 1 & % ( "3 "3 ( A 1 1 3 & & $ 6 : % ( 1 3 A 3 F 1 1 8 ( 1 1 1 2 1 1 ( 3 1 ( 3 ( & & $ 5 1 ( 1 ( & & 6 6 ( , % "3 ( ( 3 & 5 2 "3 1 ( & & 4 , % ( "3 1 3 1 ( 1 3 ( 1 3 & & < C1!%" @ 5 1 " ( A 1 ) "3 "3 (F C$ A C$ ( & " 3 C$ ( 3 3 & & C 6 <% @ : E 6 5 6 ) @ + 5 "3 @ " ) 3 ( "3 & 5 1 " ( 3 "3 "3 " & & # 5 <)) % 3 1 ( ( 3 /#" 1 ( 1 A 1 ( 3 " & &./ 5 ' ? 1 "3 ; 1 ./ / ( (F ) A : 1 & &. , & ) " 3 3 ( 2 ( ( 2 ( 1 ( 3 ( ( ( + ( & " .C !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 114 of 122 PageID: 502 /00+1 1 ! 2 ! ! ; 2 5! ! ; 1 ./ / & 5 7 8 9 ( 7 1 0 & ! : > > ( ( ( ( ( ( & .& + ) 5 3 8 3 * >: > ( & > > 3 ( * 3 ( A 3 A 3 ( 3 ( 1 3 F ( 1 ( 1 ' ( ( 1 ( 1 F 1 A F ( 1 ' ( ' 3 & " > > ( 3 A 1 1 3 & > > 0 ) #C4 1 & > > : ( : 1 3 > > 3 4. & > > 7 8 9 ( 7 1 0 &1 + 3 1 & >!:05+"> 1 1 ( 1 8 B 1 3 1 !:05+" > > E& & ( 1 3 1 3 1 1 1 1 A 1 A A A 3 E& & ! ! 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C•ntrll TIMo, 1.111,Q ~ !l!!£.!!J!!!i l'tll, l!>lrk~,,t,n""1 "11 J n'1>ov,r,., llli$ _ , _ !'ti!ase d>J S"'11lod 00"8-..d ...csi',e Vole by telephone ""° • Cal ,:,1 l.fn(l.&M:-vmE [8&!3) • t!*i the~ \JS l!ffi:I:rie3 &.Cara:la anyh111 al::tlchta 3l'l'fO'l'Olo!1le 3ffleflC!°"" .aorl rem'.em&ntattll6 Hlll12 illll:al Hclllong,, Inc, 20M OmnbJ, 'flol!rl119 "1.!!n, DD 03 - Rci:enF. End + "9*151 Al>sbln ODD 3. The_,,,,aloflhe HY!z ~ DOD H'"'1g,, Inc. Salb E':l'.l!l:u"""B:nlsf'lan. DOD rnb'lmo!11le sale<:'loo~~~maCocpffl UP.,, !ht Colpa,a,!on', lnllopr,nk ••~rod pulilo """""~filnirc,2111~. •. 'Tl,e D Na:n-Voti~g ~ems Ir l!'l l·Mb-Fle~r;ri'ny,:u-o:,bl,bW. MHli'l>!J AttlTI""1CI Mao!ithobax:clhe ~ .. f_ h·_'?l!_·_of_Md _ ,._.._- _Pl&m _ -_ ~;,r. _._'l'O_.._ne_w _:,j_ign O'iPdf .. """"'I') ew,a,s l1&1ec<. Jml.....,.ra f",n•7-7flj'fle_ • Dale and Sjgn Below fihoold eadl !ilJ'>.1"""1 !OJIII~,.. •::zoneJ """"'1llf, ll0 _,.___.I C 1234567890 II 111111111111111111111111111111 43DV J NT 0251231 rJmlB Cl rmman rJ,a,a i,ye 2- Ploa;ekeep,Jgnarure-1hebo,_ WIU, SA.i.u; (1f-m AAFi1i 1!:11FT lJl TO 4COOl&ICG\T~ 1t;I C~Ftil~A!JN?l..fA.\D liRA ~ENO UJ\.ABAMfU: NI) WU,IMIPU:IHJ W'-1.t,B..,..._ENO IJki\l,.i,illu NIJ !MA&Nili'-.E:00 ""'ilil.wPI.ENCJ + !" # $ $%&'( ) * $' & ( + Case 2:19-cv-08927-ES-CLW Document 49-3 Filed 06/20/19 Page 121 of 122 PageID: 509 3 ' ( * - < ) = < 7 3 3 . . : 5 1 D C C * . $ - - ' ( ; ( 3 D 3 ( 8 $ 1 - H - - ) - - ' ( * - - < ) = < 7 ( 3 D 3 J * - - - 7- 8 9 : . - < . . ' . : 8 = 2 , 8 9 : 3 - < ) = < 7 3 > 9 7 8 9 : # - < ) = < 7 * . 8 9 : " - ! ? ? ! @ - - 3 7 ) - /7 0 + < ) = < 7 3 ' ( ' , 3 ' ( - < ) = < 7 * , ( 3 D 3 #A $ , , : ( # . . : 5 1 D C C - $ A , ' : K : 7$ = ( ' : : 79 , , A = * 5 / 0 D 3 8 = ' - ( $ 8 8 - - . . , : ( >4 - # . . 8 : 9 ( 5 2010 Annual Meeting Admission Ticket 8 : 9 ( 5 B I * 9 , < A , = * 5 D 3 - 2 B 9 : K ! 7, B , A = 2 . 2 5 1 : > 2 8 : > 2 C 3 - * . = 4 * , = * /5 0 D 3 - 8 :9( * , ', 5 2 B 9 : K 5 A B * , " ' = * , - L* : 6 : M 8 - * : 8 - /* ' 0 * % : - /= ' 0 - . . ( . . , : ( N 8 : 9 ( ? ' = ' : $ 7' ' : 7 9 : , A , = ! , 6. . ( J $ 6E 7 2 = 2 . 8 - 5 B ! 8 : 9 ( 2010 Al'l11~a t M"ting of He~ Global Ho!dings, lne. Stoek~oldel'$ Thu rsday, May 271h, 2010, 10:30 3.m. EDT K 55 2 * ,!< $ B ' 7: 9 : , A , % 2 = ! 8 - ? = ' 8 : 9 ( 5 * , 2 5 = ? ' 5 $ I : % A ! , 45 , 76E / 0 ! 2 /763 > D 0 , H 6 . 2 . 78 B9 <'% 59, %9, $ %7' ,< 75, :5 , 9: , ? <95 89?$ '?95= ,< :89:',795 $ ,'!< '5$ : , :5 ,< .9,,9( 9:,795 75 ,< 5!?9* $ 5% ?9 5 B * , 5 " ' 8 - 5 B O P Th~ Park Ridge Marriott 300 Brao Bou lovard Parlt Ridge, New J&rsey 07666 Upon arrival, pl&aS& pres.lint lb Is admlss Ion IICik&t ancl photo id&nlifiC3tion at th.e re91isttation desk. ThePARl(RJOGEMARRIOTT: isea:es-,ia lt eGara<11 Sla~Paikway(iltftll) loExil 112.Nm1,•xil'""l' lumriilhl ooloGram-tof~lralficig makll orig ooloMer-i.s Dm-c. . - 6:i er.<1 and li.11l righl ~"" 6:i lt.llfoc igt:, b..m lll!t Mill Bt.lc &:./11'.m!rd. 1'hO l'ill1< Ri:lgo ~ 11, apj:toooi'l'!arety 1111 n'ilC ~ 'f(l<,I IOfl al :lOO·Btac BoolO¥ard. FROM NEW JERSEY & SOOlH: Tekll GMlen Slate Park>wly t-lorfl lo E>it t 72. ilen fol:lw ~lxwe dimam\-..y. Tote llte Garden S!B~ ~ tl-'Olf)>l lo E)J1 2 1 : * 2' : K ' 7: 9 : , , A 5 1 , 5 : > 2 8 : > 2 C 3 - * . = 4 * , = * /5 0 D 3 - 8 : 9 ( 5 172 tteo folow abwo aitecdcN ebJvo PDad. Folow rough~1igh:(SunmilAVU\ue), road booome-s SpmgVl!leyRood, rolow 1tuocg sa:-Ol'dig~t (Grood A'IS'tll!)l.ofouth rghLBllle<Jieliard. Moo, ri~t on1o erae :&,.leoaid. Toe :Pat1< Aiage ~lwtlolt Is aR)'())llllli.el; ½ ~ i., Ille nsl>1 hafli1 i4A. """"'' di:a'liorls 'rom 1/p~a~ t-:ew Yc.k. -200 :Bricge 'r'l'esl, ... F YOU IIAVE NOT VOJED W, ThlE INTERNET QR n ~rPHONE, fOlD .-uJNG THE PERl'CIRATIOII, DETAQI AND RfflJIIN THE BOTTOM PORIIO~' II THE ENCLOSfll EHl/£LOPE. ... Hertz® Proxy- Hertz Global Holdings, Inc. 2010 Annual 'Meeting of Stockholders Hertz Global Holdings, 1nc. 225 Brae iBoule-vard Park Riidg e, NJ 076 56 Proxy Solicited by Board of Di rectors fo r Annua l Meeting - May 2.7, 2010 Mark P. fMss«a, ~se Douglas and J. Jeffrey Zimmemian, or any ol lhei11, eaoh with lite polffl' ol svbstil111ion, are hereby aulhorize-d lo represent and vole lhe silare, of the uooerngned, ,,.,.u, 111e powers v.tiii:h 111e IDl!ersigned wcdd pos.ses, if peisonally presen~ al Ille AnlJIJill Mee1ing of Slockholders ol HetlZ f 1he amendment and restatement e>f the Hera Global He>ldi11gs, rnc. 20~8 Omnibus Incentive Plan, FOR Proposal 3, the approval e>f the Hertz Global Hoklings, ln c. Senior :Executin Bonus Pllln and FOR Proposal 4, ratifying Prie&waterhouseCoo"ts l LP as the C<,rpor~io~'$ imde"nclent tegiste~d p~bl°ic aoeo~nting firm for t~e year 2010. In 1heir discretion, ttte Proxfas ant a111horimd lo vol.e upon such other b~sin ess as may properly come before the mlNlling. tltem~ to be VOled appear on reverse site.), %@50 ! @' "%%E" ,!!50%9 @' 5@ I7@ +!) @' 7!)5D 9 @:" 7@ +0%9 1 0% & 5 : + '@) X & 0, @)5"%5 0%'@),"50@% ":@E5 "%%E" ,!!50%9 "%+ )@R= )@ !+E)! )@ @ " * ! ! 50@% @' +0)! 5@) )@ @ " .* 57! " )@G" @' 57! 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"#"$%&' ( "& % ' ) Case 2:19-cv-08927-ES-CLW Document 49-4 Filed 06/20/19 Page 8 of 21 PageID: 518 / ) 4 ) - 4 5 6 3 ' & ' 7 ' 1 2 4 % 7 ' " # & ' 6 7 " Table of Contents • We Trwt Each othars and Mertz Rl9ht • we TtHt Eacti Oll'li!'f Witt. Re~ct , w, Er,:111rt Mn4tll and S.ltty 11n Cur Workpl.-C-11' 1 A Message F'rom Milrk P. Frlssora u 11 1 lntroducHoo: Underst•ndln9 Our Code wtv, Co Wtl Jollftll • Code?' WhO fS EX~ledl lo roUO'IJI' It'll COM? Wl\lil RnpoM•IIUIUti. Do W. M.w Un,d1rl111tCt>N? Ca!.t:lt19th1 RigN ShMtow: Db- Ma:n&l:J•n. ~av• Adtitd RH$10:1'15lbllli.s7 WMl L.h'!i Mu~ WI Know .!lftlll fOIIO'#? Ar, U'!IC COt'lff'qUt,nc:n cf Code Violation~? , 1 J Askln9 Questions and Makln9 Reports wtie-rc- Oo ~ Goio M,kc- Reports or See-k Advice? A~ We- Sare from Ret.all!M.loti WMn Mallirl9 a Rei,o,t? Dor~ Ht1U: 1.QQk Into Reporb? we Pmtf,et Each Otllen Priv-11tt- 1n1orm1Uon W. Act In, Our Comp,111·,'('s Bui Inter.ill. We, do n.ot a.low Olfbl Ind e nlrtttlnm.,nt to fmproPI'~ lnll11e11c.- our JUC19mtnt Wtdo note.flow P'.-Wn,11 rtl1tion.\.tllip,s to rmprope,rlv lnfluenc .. ~r Jud,Qeme,nt W't oo not elow oi.,tlo11Jt •mpkl,ymitnt to lmpropcirf'( lntiueric,r our jllfqemirnt We- do not lab c:o,pora le oppo,tun.1tln lorou!'"Mlh'H We do n,ol almir hnanc:lal invirslments to rmproJM-rtv lnflueM• OYr Ji.,11-qemtnl W. ~. Our Campen~ Au1ti enll ~,,.t 3 % 5 & 17 We E09aqe In Proper &sine.IS Practices .-net Pratect th• l!n'llranrntnt n we Campiy 'llllll:tl Cl6b.11 .. . ,htl > > > : : : = ? ? @ A B ' * 1 3 " ' * 1 3 % " ' 1 80'(WI\$ 9'11d $.iinr;l:iori; 3 ' ' - 1 3 0 - ' / 3 0 ' % We Su~, l Fair Employ meat Prectieea Prole-ct Our Envtronrn,nl Wt! E~•'ilir 111 Ethic.al Pl;l,llti(al 911d Charitlblt Acbllity we . ' % . ' % . ' ' % . ' 6 3 0 / / ' ) - 6 11 I ndax of Mot.line N umbara ., = ' % $ % < - # ' ) / " ' ( * ' % 3 9 @ ' Acknowlecl9ment and ca,Uf1c:at lOl'li 1 - - - 1 ' % < # / $ % ' 4 % * $ % ' & ( - 6 ' 4 1 ' - 3 l nlattn6tiOI\ Aii,pttll]tl6~tr 1 ' 1 1 # / > 2 1>11 W. Mak• ~ r UM! ol Comp.ny ( # > > / % B B > : : : : C Comput.r SyiU,m5 s We TrNt our cu.stomtl"$ ,1nd Bu,slnns Partners Right '!I w.- Provldl' E:«::tpChml-l Cvtl0m•r S.rvh;1 6 Our ~,u.atu:f Matk.ftinl) Eflorts Are Wotttst 111d Ao:ura~ • Wf!' ComJ)t't. Eth fcll lY' and l .a wfull)' 1 We- Saro~1.1•"1 Third•F',111rty l~ormt1tion 1 ~• follow Proc•d11rM rorWOrklftQ w.itt\Gove,runetit CU1.tGlftet1 = = ? @ @ B B > > 1s We Comply w Rh tha Laws Govom l09 Public com,.nle:1 W-t Maintain Hone-s.t and Acc:uro1te Bookl u W• Ne""'r Tr,de Ol'l Inside l,irormatu;;in 11, W-t Communk6~ wltr.One \bk:t ! "#"$%&' ( "& % ' ) Case 2:19-cv-08927-ES-CLW Document 49-4 Filed 06/20/19 Page 9 of 21 PageID: 519 > ' 1 2 4 % 7 ' * ! ! % 2 ! ! # ! D • T,ra,in o1Mr ·~•111...- on thh C111dt IIIMI r•IIIYIIIIII: Introduction: Understanding Our Code What Responslbllltles Do We Have Under the Code? % ' & ' Me-rt:z p-ol lclu 1M pr,r,uduru; 7 ! # ! • ,:tnpond to tfl• 4' 0;.dt •li'liM to o-ur jobs, II i1 • i,:,.p.., tYt oul for ,aq,:OMu<-t, t"11111•r .-.. ,:u:i;ln,;i % % 3 E ,.,,, yont'1-t•nPoniibi1ityl111: M llfllllt,111U11 0 wlol11tl 111 M ,=,111'1,:t Codt 1H ll'lt , __ / % ! • r111I re .. eu, C111dl•. C111 t¥1f!IHY f>Clliot1n atid ' jl,JflC.dw•i.. arwl lhe I - at ,1U lll'IIIH-elfffl 11 $0nlfOM .a, ~ . i t rour 4;10111 to modtl Mffl:z's Yllllffl .i: •II E ! # ! ! Vt, l,o do •tl'IHwb,t; limn Hdlo p,rorw,,ol,t 11191lll'H, tU!lclll wor lr.,iew. ! ! ! & • tliDIIGf-4111.ll•PrilKIPIHHI tOflh i nowrCoo11, I' .,,oth,...- o1mc,loyH· ffl>'Mchts yo u -.ith, • QOnu,.,. % % # 5 6 ..,d Corn1111nyfflicit-1 end~o~,.,,,., in •U ..,o you• • ti.,ew,d'o: OUidMe• r.- 111 1111 r(llllf fflM.l,Qtr 1M' 1111611'1,r fffi!tt.llN un:i.ur• of how lo 1.U•n:i u,. i nu•, :;.,t•k 3 F* G F " 2 # ! % G F8 • U~nfHU•t\1111\.t 11!1•,- itl"lllltlttu:111,il"lduiliiftQ ! wltl'lll"IMitrlz . 2 % ) 1.,,u!ll'lll'IC. lllr ..,.,,ff'f'611• tit• It. doll'IQ 11;•• rM 0 ! % Mll~llloN1lllly•rul'ltll'lk•lly; .,,dl • S p,t• 1111 I"!_ ol Ollf Cod, 11,,,.. •r IVlp,t~•t.. otli.:.r, andl dit.e.tor t , I n • :1t11ttino11olrll . TM polleiH edl111111e,..._,,.., .Mldi!IM.,w11,irl'lllyai1:1MdlMlt:l.llpellitu,~•lll: '- re-h-r11Me-d ll'lr01111hoW'I lt'tl1, C-.cie ~u,ln•u p•tlM rs-. cOMultMls- Md llun W-H/ dlll:llile-d lniormK4on on th• .-.r.,otnced 1'*-Ject1-. ll )Wt ,..,,.,...,, ,;.., 9..,;IN', II 11',,;uq .,.., ti,wto m,k, . C ~ ",ci:Ji,ns.. lrM"Ht to yo,;,,r - ~ olt 1,/,t,rlz.. Vfll .,, ltQ,:i,,.,r~1 DtP•l""tn/;, 1111d1Jttt.u:!. kllow .....,.,.,,.. ,Lh&,.jd.-fk !tit lutlh•t IM'J'111HIOfrnforM1tt t 1. 011 brMII arul rtpul.tlOf'I In lllt ~,,._c•. ! ! $% & D..·111.NH). # # ! % * # . lut h- do ••lrlo• lffl.lll is. t.t:Hctfil of 1ia? Our $C...cl-4'"°'5(1of 61,11l,!.,.,in,C.,-.,;l,;icl~1,Weoci,-1s.,1oK ~-ovi6" mor• 1,p15 ancll rt Qlllla!kins 9p,l)!:,o to ywr worlr., tlNIHlt wil t't # L..• 0.Nrtm""t• Of tht # 4 1-tu,m,n. % ! o~d•11e•. o... Cod• points us I"' 0!1• riot.I dlr"tdl°"'IJlt tlh lul lllrullon . A.i; ~ m.iw~1,1r ••r tl'l'9'1wb U11i 1, ikn;;i,mtnl, ~ in m i nd ll',t Y..-i0111- c.mmiltntnl, l;ti,.I; ~t= tin ' " # & ' 6 7 3 •lli111Kt,dl11s,¥1,...., ..,n,I.. J.1,...,,nHni\ort11tll••1-.,in!follllH li on s.., d _,,;t...di,..11!,,....,.tion, # . v,;,ici n9w.nwr,...; % ! 2 % ! % " % 5 & ) / " # 7 ' ! # / ! 2 F5 $ # 2 G F- # G ! "#"$%&' ( "& % ' ) Case 2:19-cv-08927-ES-CLW Document 49-4 Filed 06/20/19 Page 10 of 21 PageID: 520 C : / ' 4 " ' ) / " 7 J % ! % ) + , ! # # % % Asking Questions and Making Reports ! % * % 2 ! ! ! % Where Do We Go to Make Reports or Seek Advice? Are We Safe From Reta Ila tlon When Making A Repor t ? % & $ " 7 J ! % # 2 ! K ! / % II 11 lra,oottaf'II llwlll n th of 1n lffluomf•rtabtt- fn Yf'l, Ir, Otdff to '"' COfl,fid,nt ....,.,, m.,1110 1 riood-- # * % ! mMfl'Uil • N'PIN'I 1M" .U:1"9 ll""°lthm• •ff1,11! •IMI I, UIIKl,lill •f 1,11. lfyc;,1,1 IH-11,.-, 'f'l'V hot.,,, •ilnnw,d' % # fi,ith r'fllO•l. ii i 1 impi,rl~t th1t ....- .i1> .. 'H Fffr 6 ! % # / % f•lillll ... idol'l , W. .... "9•t•p,41tlil"I.-Qe.lldt11tl'l•Mu1'lt 2 # # / % # ,ttu.i 06 p0Uil!il,hlltt:on.duel_, OJ' if ~Ou ti • ..,,• 11'!,i,I you ~6,Jil~ .. I 1.h• lt1 I.Wffl111llllft jll111 lloiY1, # 1 ( J 1 ' & ' < ) " 4,...UIOf'I abovl lhlt Co1h,, C:.Omp,.,,v poller ot I>.• 1-, / 7 •111 t ~ ..-.u Nli•n you r•p•rt t111 IN INt K:trlz # # % 2 # % re..::lli out to MY or ttie toll owl~ rneun::n : ffl'10Urlll.Qt'Sllllto[Offlf'f.-.. .c1wltll,,011rRl!ICt'rlU,. # ! # • Yourm1n.o•r .,.d ,,.iu f"IOI ICll'•r•t• '""' act or ,.i.tii, Uon ~al nil 111 ! % ! % 5 F J F* • Th, Law D,u,1m'11t, P'•k INo9• • Th, ~9411 .AHtin. 0..Hrt1111..,t. 11:ffb fgr 4,loiru;i H , l"-' -..m, '"p1in tv lhoH· ""' 'llf wh.o $ % & ! " F* $ / & ! 1 $ F * " - ,i,.rlltlpat1l11lt'l•i~l.it,dle.<1ol1t1p!!ltt F * L 9 H # Eutop,U,,,it,d # I L 3 5D • Tt., MR l!lu,l111rtt Pererw, or •IIOl'lll·~ lor It VDIJI ,.... 1111111 vou Of IMlhiW Nttll tmll-lD'fff Ml D . H6 ! - " * I * yew country •J:Pl'rlenct'CI rottal lalillM'II, 1.lt-f'III. 1111 . Mttlt m11y t11ii1 # > C ! % ! % # cb,c>plln•r .,;ti,,.., ., lo and lrte;h1.clln., turi~i,on, • Th• C"omnllAn«- N41:IIIM • Yle l.-l~~""r,imt,i,"11, ~ JIIIH re liJIC'llQl'I bt 1,~d •I'""' fl'I~., "'""ii, ,..,,-w,, wh,;,~Q.,.iH l n r..«ellal,;,.-y ,,;h / # ! % # % 8 ! % ! # * ! Ui,C•~••"" Pl the -,aifl.tl •IWflh•t fllt rn,.,ifl4 • ~,Hailti rap<1tt ot • # % - # $ % ~ Mu U W, tr.-i•l) :11iup..-dH .-161 liliefl Mu1z •• s,>(U.S,, PIH ! 5 ' > B ! 1 1 3 / ; ) " ; 5 ) % 0 / & # 0 Th, ~mpli11"''" M~ll"" 11-.-aiilff t• tlt.r UH .z,a "'9Wl"J • d.',• .....,_ .;...,:1 • ..... m11,, h •n:ii1tori. , .. .,i1.w., ...V•dloo,11-II, 11 t..., m~l,r hw<:il u ; 111111u~uu ... % ! # ) ! 7 / 5 J ) c,Ule.1r or I dir,etor, -or eol.lld 11-(11:w.llall y W'l.-01<11 .,....., % % # # ) 0 ! % 111 •II 1..,,ou,or1 lb•I lbrlz ~lo1N11P••~ - $1 ndlllort, LM A11dlt Corvnltl.ttwlll llot n,ot, foH. ' 0 # 1 ) 0 % Ane11y111eut ''"°rtl114 •• Hal111W., wti1r1 ~t,rr11i1t1a- Tn""' will 111111 d 111clions IIMY u,nslor llli!roori-1111 by 1-. Kuo In IWl o. fl-•¥tr. ll'lal aMf'!ym•111 lo ll'lnltl'fal• •11y 'fio-l• li0f11 r•portll'Cf •• ltwrn. If ! ) # ! % # r•p,wb m•v "' m - dHfh;uU h" lh·rt.i: lo lnv,~i-9•1• ""llHM'"'i', -.orr.-;;Clv, ~~l,;,11 will !J• 19'•f1, V,, lc n lhor,;,u9Mr. Thfftr,;,r,. """ .,, fll'-"'WIIIII'" I, Hw Upa1 l f" m.,.!1, •IIOinvmou;.lv. vi111,1 will 1,t,o,1¥• pro-l'id , n m1>1;:h infounaUon •.:. IIN:a.Jbl, •"'"' f•.-db•d; Of'I 11>1• ,,.altc.,1111•. mMl"'f'il•••Potl. All'f -l¥1H a I t lttl CNt for NI UtC\lll¥t .i,1c... - Pt.- 114;1'ftb.n tarll'lt La• c._11ttmu11. LA4111 dltt;4oria.y1Hirnlld•onl )'ltl'f'lh,A11dl1 Corn mlUHod Aff•l'"' 0,p.,1-.i,ot, •nd th• I-IA llll'lilntn P-.-nff lhl- ~ltlf .,,Swill M 1.1r11m111Uy -di1-!i4Gtff 1111olli 1!19"'1t'i' lc,r Y911r ffllll!Ct't 1,- 1vllilnlt lhfllW9" lbr s~ cu N'l'SI; ,,..n 11 rflilllolirul Cold Pt,9,1- trod U•• 1.41• Q.o.,1 .......,l"l lnlr.,..tl -.ii:• P'-er l11rtl!ltr lril'oNtn•tlM.. rtltrCMit! W Z-29, !ff¥,r~1111nt MM1 t.q-u.r Oppo,,.tu..,irr. ! "#"$%&' ( "& % ' ) Case 2:19-cv-08927-ES-CLW Document 49-4 Filed 06/20/19 Page 11 of 21 PageID: 521 ? = ! # 0 ! 9 - - 3 A, erul•, ••114. . -,1- hQ<'>11r 9,11r c:11m rnlh •fflll. ) % # We Treat Our Customers and Business Partners Right "'• c:wnm ....,ir..i4' c:IH•lr ,nd t m""Nfi,,1111y ~o # el11'ii"'l'l'll:t,:ul'l11ibt!IMdl"'Of. . ! # 4 ! 5 @ = = ! % ) " G 'B = 1 " ! " 1 - 6 ! & ! " M r.r luft!'tH rmo-r mallol'I. ,,1.,11,n: lY t , 15, 1 2 G @ = A ! G / 6 B A 1 > > ! " G ( N B A ! ",....,.,.., 1111d Appr~,1 "' Ai1n11,,h:i'~ 1111d G ' ? A ! % 3 8 M 3 ' 4 Pr~Jo,i11Au' H•n-1 nl l,c:tJ.ili o•d,r to,g l!i nt1 c,c,1Ttp,91a;,...,ci,;,1&ri•....,.m•ut. ! "#"$%&' ( "& % ' ) Case 2:19-cv-08927-ES-CLW Document 49-4 Filed 06/20/19 Page 12 of 21 PageID: 522 A @ $ % & ! " $ / & ! 1 $ ! % $ % & / m,t,ti•h -1nd tr1d"11..-k.1. Wr n..,.... • u1-519ri&lbillty cvn-..rutiOr'l90<:ll;,,,,.....,11ht•l'fl'l'P9rltMincidl-nl % 2 * ! to 1;1,, L,• P,n,..-t....,nt, P.,k lltiOC,, .. ,or tt,,, L,9•1 AUllliff. D•l!lilllft!l•ftt, N,rt2 Ea.it~/,•• ~'11"'1 a 1.1Pl!"1 ,mt,alr>T ,,, ht-I !t-D,.., ,~ .,,:,1,il,"'Q ~_,, to -un th.f JP ti,1c,r,.,,ir,9 ~ ott,,,11- •f"wtc:Cl...tlr ~ % . # ! ! ! ! ! ! ,l b,d le-.,_,, o1 fl"l,lJf(:f # e11l'f' i11.eeMdill1W:,wil.h-ll'litd-t1111f1y1114,o..,,..,.h.. ""~<>ralr ,.-n1,.r cad,,.cL Tr.11 c-onlroo,l % # % % 9 % T11b ffl flll lll',."" pMl, Ula! - wou/dr~ll-,b c"C,JI hcrlC.1Pm'55.ipfcsr,urnbt-r1 ""d ,:-:,11~,orr c..,,,., rt1.-m ,,.,,c.,,,.,,,..__ Otita'lrntnl. •brh dcr ,;./ her tNm. h.-,3 INOrt>c-011'1.H.IP & ! % # ,lin,1it;r,;,,ll..,,.,cgoipi,tilionl_ii;.,.•con111la;11-,,;1 c:onti'"'4!11y ,.....1.,in111 , n.,r,111<,, ii is. n11,c:i,Uy IMo,11rt,t1tf11tU1oo~•f u.t.tio:!:•Jet.1.i11v11lw pnl:i,ru1, 't'l•ld, ll•ft -k,~lon, ,lrpo,I eori«:u.10111',. 11dVfflhl P1 Q, m.,kftl11111, HIH •r p,..-c.hHl no I• b• 2 E ,:., ... ,vor,tor ,1 p,..u.-.,ilo;:,t-lht-r .tb1dfor tl'I~ E qr IT i~l,;,n1 m""IA: t•h g~ Co IIM ltilrd·~l' "~p111'1• tpJJJ. AnJ,t,11,it-c,ut /hJJ... ~aJJ iomc,:,nc he ~"o•,_.,, 1hr f,:, c-o:nprl1lor"11 ,.,.,.,. _,,s..:, % % # Htn!"l"C>,'~<:I. ht- otters m,t.ri,el141ppr11pri-i,ly, # % % % % % ! !o pr•1-11r,w thrm ! f'oirlurlh.,-lnlorffl•Lion,,.r•Mr,1111:r. W1·46,f'l!'vae~ r.N tc, sut,mr< /ht-,r bod. Hc,w 5hC>u/O AnJoN ' ,,_,,~nd? .Poi1ry; W 1•715,, Prolect1o,, a/ .An.NJ 1111'!d-Cont11fe1'Nl4' # f•mlliN willl lM HP,1ical>l,t ant il,rus.l .,,., C'"'1pNltloPI I••• !heil .-..1.i. 4o 111...- -wt,;, Vro1.i.ioos. ,r tM~ 1,., ~ ~ r y " " ' ' ' Q;onHQ11,1..,C:.rioncf\14ir,'i'I erll'lliti•I o-•11-it1u. atMI 1¥t,• firia-t - ~ lh• it'o!livi4.ollt h1~olwd lllftd 01JirC-omp1111y. I f ~ h - 4',Jnt=on.1 Off'IHtli'w"IJ'iotfquld,1t1Ct,y,9U511NdConli11Cltllot LM.lf Clopwtm,,., •hltit! can ctlr,ct A:A,- ,,1, 1',c•.I~ te tr.,- c, ,N41r.,l111rs.: W 1 •1U. ,lic<1ulsf-t1'cw, .nlll DFK.loS4.1.-. ol Ru~•·I :i t-o do•,.~ .. • % ! $ % & # Col;llf'l.1N1JrJnlll"ffl•ri01t. I~•..-,., ,1,n,, ! 5 ' : ! / & ; 5 / . It-,:,, .. ; ·. ti·• vo ·- • c• i, prcJ .,cl\ • ,·c,I ~~· (O""~·•l""•l ~,-1.,·1~·- A,·11 ~~ % We F'ollow Procedures for Working with Government Customers :-•o.,J. 1h,:,_l,J • 11:, . , .,.1,.,, ll1e1• ~·,", ,~ •• i·:o J;·c:-•· 1. ,.,J % # % . * % # 0 # # " # ! # ! # . ' / . # ! % 0 vou to 1,111lnlno 1n~ramii; ....i i,Q.lc.ti111notlll,r111c1Wrn 4 "1ffl:a: IMi ntolns v111ho1NI• nllli on~1 ~ti'! • liorllly u,.i. upl•r,-in # # % / . 7 / 5 / . " # Ut-1.!H, f l l"6'J -ll'!Ulot1t•r 6ut t,111.iriHt. f!lilltlf'l •t l."' qj 911Vunrnm ~IIQl"ll•rs. , C-11.-""n111N1t -.vntr,,i;b lflJ orwpp1, .,,·~-fitlfl'IINllll11f11fl"!latle111llv-ouqP'lll'I• ..-• rvwm!ll.-111;.-d ..-.- wbjnt t,;, r,i;,m.,qo,11- 1:uJlic:in. ! % # % % # pl,li n lon91H~·Ch.o r•lt"~ •~H, # ! # / . 2 co,.,,..ti'"! wllll IM.-orlt~ also ffllfillM w• onfr ;alll« lnf o,ra 1llon •boutlt •ur comptt:ltors In,..,. tll'lkilll ,_,.Moff. It: 11 HS.ltr l o ffKll Ollf bvdntH 99o1111- .-fl•n - ... , ,w ..., oi wti.! 11iwr ~111,f;11Jtil'"11- ..-, dllin111 in th.o ~rl.lt1d41w , II"_,..,,. it iii;n,.,,, 111p,rc,p,nl• to l tlfn ltlis inform•lion tl'lrMqP'I ll'lfft, mi:i;rnv,Motll'l~n o.• doKfll'licin. w, o,ln .,,.,.,. p,·,nur, our fl " # ! f.lllt• tti tM11.1l• lhillt ,c.ontroel,. -,o-u """' • Ol.ltvto lihl:lw.,.11 .e-.plvwitll- * - 3 % % IP'I• tltllct contrKt rtq_'lllro-t.'1 . lh!ert ""'otlilll:ln• ! % 0 # 0 ir,cludi<>-9 n,oo,·di;(jlo,s;uri, 41~ . . m,nh, w:hi,;.ti r,..;au ir·. - wltll •r m•llno any YIH ta, •11vtmm1N tf'llltv, ! ! ! # ! ut 111 IJllolod IPlitll·111111ty if'll«MlllliMI. qr lf4'l"i.tl n1f ITTMTI cllnlrKI •Ht..CHiutlon11.. ygi,;i mll,J~ # ! 0 # ! ! % 2 # ou, c.1111.tornns.• ponOf'lllly kltnllfi.i,t. dal• $1-1ys print•. S1.JCllcti111:11 l,ul lKIH ou -, 0 ~ '"4 lho 4-,,,..,.i.C'l',,...nl, 1 ! "W• •rt eq,;iaUy comnlilttd to prot•ttlnq tll• % -& Sb.t,,i i,c. Pto ,:ir-t. D:iti,tl.ot f11r u , , ,,1111111 u 111, % 1 2 3 < ; 5 intfllot<~IHI o,-.,riv OP) of o,;ir b111N'11n 1Portn,n,. w.an-ott ol c-ri111.-.t Piroqrlllltl'l1 fo..r t!Ql,li l!l-t O # % # O ! # QIRomi,q end &yP Pl ito:s , IIP " ' " ' lo l1'ilil"lly· u,ntlll, 111 ... 11.111\, L6I o.,..,tmfftl. Pl••u P"lll'I' % 2 4 lllm lo- fMttr IIMl ! 5 ' > > B ! 1 1 3 ciinnll't' ' 1 iPHAbl•. 3 ' % * ! % # l;n&ufl119 • UPt •tldi tt.ell,V, •or~&:,IIICt ft<,ui,-~ 0,,., C,ol'rlpany d;H(I. U1it. r" fl•fl , .. ,. PIUMG4ll"lql • % ' drkJ 1Hllt,,. &f t111111\'61triff'IIMll.,e.11. M,rtz lft•U11 1111 dHt ]ullOffltllt Mt! 1111.,.lt'IUI, •l'lldl df\10:l tM lffllpl11yraH1l d•,dtian s bM.td Clft m,rlt, •11d IWYK alcah•lc1111l,-,,lllr . flelflCl11ridarlh, i llflufflc:,ai I.hit 1Nd1, of I Dff"IOfl'I tin, ,;t,IDr, r11!9Jo11,, # Oft HL ...., t- llhff v,h lrt- 11t _,k 1a11n •H•ct ..,,.... ..,,ri,~ ,.,,t:y. ,., 1 % . ! % % % 0 4 ! % n.tlM.,orioi1t.n;i:v81orl1nl1tion.l!fllKllrill1~lty. ll'IDD fHHnt. _.. fflll\l nol !POSW'H. ili~"b11h •r II• m..ill...- or d0,m1i.tlc 11•lintr:ih lo ct.t111, V't'Ctr., or ""~" u11 milfla.,-v ,1.tu:J, q•r-tlc irllorM.athm, or 11111' = ! 3 / " G ' C ! ' * 1 e, tt,,u .i-wc:h in tlvouqh tilde:dar-ul itkh.1r+s er 1I Ir,~)' hK .... 1,1;,; .......... t,.,•~•nl 11. oPr.ndn lllld ••" 1>11t b• lo.1,r ...•d .C 3 " worl.1119 la, Mtrl:r etf•s.ll11. II yei, I.,.. IJwHttrwtl wtlitt" 11 _,k, ,iotlty yo w, m11r11Qff Ril14\lfCH , 1, ro11 W llftYOl'III tiR l, Of lf!.IIINII In l mm,dhil t- dt~t"t". C-llll lh• loc:ai Mt-.orillH b~v,.. tti:i"°'i "'ii th• ,no;:td,..nlll'lr,ouQhr,o.(m-~tlVH'III' , Mall! . for hrlh .., lrtlarffl llit e", rtft"r1111Ct-: W 1 · 90 , M'fft: IJ YIN! n11.,.i tn,ce ff bacom, - • • ot Ml' Kt or di.1crlraf\11tiGflo -or "•HMTltflt, rov M'V4' 111 &11-, l"' r,11cirl ,I imm,di•l'l )'i ~tfflUft'ti1r th-4 y,;,u w,U s...r11r,, Pn,q,•.m; 1·2;5, Oea.ip,tfo,..i S.ltlY"a'>d .J.luttl't A.c't RHDl°l'ffll'ilftt£ Wl•"L Brudlfr of$K....,,rr, n.....,- ,,:,i,riMc. ,tt,n,1lc,r, Por m..,_nq,• r,po.-1 ol ffli:111!:tll'lll!l ull!tii.,ol!N!ldflil:l'l.. r., f1ITTP'l'1' lnloi,m1tion. r11ttft111c• : W 2-2:9, !,,,pro,,m1nr ..-,11 f'tWrtr Ope,o,timiir. ! "#"$%&' ( "& % ' ) Case 2:19-cv-08927-ES-CLW Document 49-4 Filed 06/20/19 Page 14 of 21 PageID: 524 > ' - 1 3 0 - 3 % % % # 0 We Protect Eac h Other's Private Information Oft.- Wllf•• sh- rHp.t<.I le Mir ta.Utql.lH k tty We Ac t I n Our Co mpany's Best Interests A1 Mffli tmplortn, otflet,1 Md diredoni, •• lloew • •1 i•nt¥ tr oi>i.1y~o Kc.t"lll •'fil'I iAc•1-h or rw lldditlont11l,,1!ornM1:l•11, ,.,.,.net: & ? •SO, % ! % ot.... tquiv.. 1'flh, inch,11:lin,qi qifl ,c:..-tilii..l" Cu"'°"'"''" t.O')'.tfy Tfln~ !.&•01', ltf•n•11er1 Ct.sh ffln,t; * ! or tilt utd:t llwl """" bt u~td to 111.1reh .. 11 W 1 · 10, P.,i,,,oc,,IPl'tO;l,.nt d Bc,P'n,•r;s l.lf"t.,.RJI. # ! % ,n11.rinQH1cholMf"s1Mrsonal lnrorr11 atienrffTl.!n1 • p.,-w,n .. 1tekot In n.!nci Mir COl'llfleny 11,1«ttll. I 11ro.ltctef at •I Limn _ Durln,i;i tr,, <4Vn• 1,11 ow h im...-rt11nt to 11, tlMt - -or,. Wf IM'oridt. v.-i.tr in1o,.,,.iion.to our ~ (:Offlp,.,,,. Hniiti¥, P"'KI~· Thi, ir,"ud•s -Ith 1rt In -wr Como...,.,. lio•5-I i nt..-t5"11 oll .. Ii"'" 1.-.d '""'If ffnf1id1- of i nt,..-,..t , '"Con~, o-1 inl.,t~" o,;:c,... at..., our p..,.u.,,..i in1t1rme,.on, Q.....,l'll'IHM i d,,tllic6li111"'11Ulfl'lbtr:1Md i nt.rHII il'llu1.rt will'I ou, •bitity to M ...t D~iW' PffSONI corti1d l11o lorm11tlo11. rri ad d;1~n, tnMt er deelslon, fo.- Mt"!- E11tl"I lf 011, <-Offlllotllto,1 • • 111 -ullll llh ktpt cOB!l•nti.i u,,,rn lntotl'fta!Jon dolnci It, tr It 11 IIH~nedl en acc.,tillllt bvtllntn m•n1•,o In tlM workp,la(;rSliKfl H p«fwmHK-t r,,rKtic.t" In• 11lv'" i;;ountry, • • - ~ ffOlll conflic1 rtvitw1- •nd 1el•ry hiJhHy, If yollf ;o1i, 'fS't.i11- hw,i~ of i nttrHI Ml1o1eUOflro, even I"'• IDO>t1r1~ lllP % E % • HG qru, , _ Of 1arm of tfll•"•'"m'"1 r to.1¥,d -shHhl npoH ow Comr,,11ny ..- inctlW~, •!thin we do not allow ~t'Sonal re/a tlonstdps ro lmproperty fnt/uen-ce otJt j uf:19m enl . # ! # 2 our C~Ml' loi> """"'' rq.vtel.oo'ltl ii1-, lf rntdt p"l;dic:o, to ot,yiic:tlh,UTC ,...,:1 In oi>rcle, lo ..-oid tlw HM.,tl>Ct of l•-.,ori Ii Sl1'\, • t tnliPIO)'l'l\t'nt ,~~ ""•Y AOt WPt"flU or ,,,,1c, . # 3 % % % # % ! % • Gilb ¥tli•-d Ill e - us $250 ., iii •01,11Hlttlt fflU:!il uul11t wrlltffl IIIICIEO¥tl lrom u,, rNl,ltnl'1 lmffltll l11l t su1Hnl1or :tit6ort they •boul a ,_ily tl'ltftlbtr, TM tm~IOyfflHlt OP , ,t.ali'IH 4 ! 5 ' : ! / & 11 •IIO n,e;I •o-d II 1ucti tmpl,e;r,ntfll -1.<1 II: • Create a sJt11tlle11 where , ne , .. ,atl.,., tolllcl >G : > " - 4 G > : @ ! - " ' / 3 0 / ! ! % 11ftdl U1• -.rk ot hk w Ml rt11tlv. In •• K«filttll. % 0 # enoll'!trll'll'Qllie n: + , % % # # . ¥tlu h•'*II e rH,OIN'l:lli~lil;lo 1,e,-,qu..-dit •nd enl.,- 11.u It to th• ,:.:t,rt IMCHyt"\I le ci,a,to,m IM dullH ~tflOfttiil'liQ 'fa.,_n...,RKO>kdl, 1 ! # # iMP•el M tll• -rk Ptf'l-•t'C.• at WDfkil'IO • They•• 111-•d unditt 1J1• 11•lleles ot tht 111'Mr6nffll'nt ol tltlwor • r'ff•llw-er •notlltr ! % E / % # . % MJmfffllf0'11hUto1111>rt; , Forlur'll'ltrlft!Mm11tlot1,,rtltre1K•: W1-1U, • Mt1>"1" o,, 1191..,ti .. 'cir UYJift'i'I ,., ed-..rff .wthoriad to v1-11 ,nc1 hew-• b1nlMn. """ te 11:n- it, ..,,OW'f tnoU'1•r ~ e9w or .i,o • • N"1lftlll 1u.n6tvrn ~ 9ilts end ..-.i,,t..-,mtnl rr111r btl'l'ltdt ~ IM'f',,.tf:t11eftt,• ~ o l l r \ d i l l -: Mttl! ,u,,d our but il'IHI !lltrtn«LOPlHI, lh.t-!lt <.tlM'ltsln Mt ¥111'•P'"l•t•. MowotVtr, • u-n•lc t ot i nt1Htlll mty ...-1..,.. i, ltltH cou.tffin 11111X1Hl ttllt f.-6Watilt lru,llm"1l .-,n H"1iJlit. by, rffflYt'd frlilm or~" 11, i~iYic:ko .. :s ,, or,..,;uli"":s t~ <1, bu:t.i.-.u Dt i.. . k lo do bu.till.t u witlri flttU . Our tiush""u dteh i o11.1 sheutd 1H' un.bl111ed. •rid rnu.tt be tt114t betd en lht bt$1 ll'l t•rnl1 •• O'llr COff'IIMY. rw tMt rH1on, Oott1 the Qhln"II and nctl!K ot ciltb •n4 tfltt'rt.t lnml' nt nwil M m9'dtrltt"IYKtl1'4•00 ii nht'11Wnt, T... y MUM •lw bt d' t'.,l'f il'lt ... ~cl ~ 1,-:illl-,.I• <;illad.ill iti - b1,1t.l,uurtf.tfflr1411iiof. .-id flOlt611',lh.tMC.th•-·.,d•l•PMll cllllll.,ll'-ol 1111~"""· r«~ltnl'1 or,,.,1z111.lo1',; •l'Tl11loyt1; or ' # ! $ % & ' % • Th..,-. ot sultidtntly limit til 11 .. w , ,.,.I "lll11tn • M.vt- Ille 1144..,1te1 to 1lfMI ._11dnn1 J1141QIMflts . r~ut.tr to I rKi,>1,nt,w, Ml -9iv1n t'>infl11tlK4' of, ptrl~er Ne. ,1 Wsi"t'n. 1114 lh.t or lo com11«1miu tlw confidtfilit11ily ot f;,1;1Ji"t'ninPorm,IOOJ'I , _,d # % # % # 3 ! % ! # % il'I • lor .. 111,1 •iJI tiol bt il'l'lpt ~_,,., tor'lltrutd • # ! J.n,y el lhH• 1il u.1IJoM WtNJld ... COl'lsidtrtdl a t bf IN or !lll'fDfP; # # % 3 # # • Th..,.«• •ccoul'lltd t.r 11r&ptrfy ln fltrlr'I ._ooks c,e;11P1lt::t af lnternt, bdl lMrt Is r,o rn trldlOfl 1;oaln1t # ! # # # 4 ! md rN..-111-; llncl • Cil1, ot cnt, Incl ..... 11 NlliVtltfih • • rl'lttlYH wo,r.,ln111 l09elhtr IPnon .. ol l:tlt •0¥,•ll1holl # # * # % # ..... y:spro,l,il~it,d, % # 8 % r6t R•""'"'"f;i'"' lhat,ailt•iol9041nttrt1ir1""1nt~ 90-0-.,,·11m1nl -offi;itifJ. .,-, htld to I mu,tl'I J.trict•• tddiliOl'lt1 iti'ci rtMlion. ufN'tr1ct; W,?:-lB, % 5 F' H E~Clf,l"l'Pl'M! o1 RttM/wJ. ! I! # 2 % # G ; 5 O P " t.ltt1dMdtllo-.the.1•1tf:o..,t ;nthi.tud lo111. fotfflflt• O P # 0 ! # 0 % ' lntorm1M'°nrt-0Md il"I QO,,lt1t,e;lft.de,,terttl1V11tnt 7 / 5 ' # 0 of QOYKn,..,,t olfide11- or ffTIPt"l'tn, reler lo lllot % # O P foOowinqi H"«io,i1- of ltll1 Codt: " % • -w.. fellow ProwW••1-1'9,Worki~, ' wllh ! O P % " # # ! # ! O P KHO th .. '91k,Vl'tfflj lrinciplt•in mi M to, ...-Gid. «n,tic:I of int,rnl •htn rn'lle A = % 0 utNlt usu A ! 1 " ! "#"$%&' ( "& % ' ) Case 2:19-cv-08927-ES-CLW Document 49-4 Filed 06/20/19 Page 15 of 21 PageID: 525 C : ' % . 0 # % % % # wo de, nol (tlfO ouhid• •1'11.PIO'#ffl Onl m.,- c.u::., • c.enllid, or•• c.orul"'•tfrio do ffl ,a o!llh,i:t-ei..11\t lot\l.Uon le MllfflM AatGUfttl A, ,.~ ,:,1 e u1k~r ~11ra1 ,ofon,rnr, e-11- ~flc.- uc.. ,;,1 COfflP"'1Y l,ttml>I01y to ,r11utt" lt...t il i-J uttd . ~-4-:: , .,wr...,.slh • riil;rhl to m9nll,o r y,i,,ur % % nee ••~ .,.,,,,y ,.,,.,. nntnr, ~i,., o1 e•/.fl':t1r,,, ~.nd ! ilifH:IIDt-1.-flllt)' P6t llulll"l• U ~U""8ut . IP:up ot, fflit11t, intDt!in,ctlDn-Wilhl•OiliMM.•bu!.tMISr,ot"t:1&:!:• l , ! " 4 ! 5 ' yo!M' ol!lli o• ljot1 lo orot•c.t thh, lnlo, iaMh1n c.onl~1.1.-. Additionallr,•• .... e:,:pe-cte,Uo ,..~ u,,, 1rit.r1N I > ! G > > C ! 1 / in ., tlt,lul fflMMI.. .-.d rio.t !Gr r.cr•atlen.11, Han •l'l•r yow tfflploym,ent flld'I- 4 < ' ' 11n .....1tiorl1•,:t i... Qal ., lmmar a l IPll~w-,. ar % % % for lurlhl'r lrit,;irn\,tion,, r•lar~ ; 'W1-lU, lllt'•nlot"l'ftltf1 ~,n.,1·._,1ooh1 f,;f"llt'f"tOJVSI ra N.11,1 , ~n·r ,e nr.:1 ,n,:rou,n'1prnno1:d\l,...o .1ny111,no1t, tn lo d1,1wnlv.d .,,,., 1.olHlily "M.1"•1-llu9r # ! % A,;: wirlllvn ~ PiKilowrt qi """"'P•"Y~~.m..iron: •(l;llicit ....... ,1 4 2 ! % % # % Wl-41 . !!lf'uol!'.IH:t e#Secuti"l)'! "W 1 -7S, .Plll!at.!i.St.11 ti,/ A:-. ~. w. ,-,~.- • -~,u,,,·,,1, ,,iv:,r: ~,,-:.,, •· As.HU Md COl'lf,t/MJ}aJ M11tHf11f:1 . a:_,, ! % ~v••• ~• •·-~ t r1 • ;-,••.! ~.,,J 'u' I \•J "">' IMI.HQIH -" l.' "1 ;uoon.:f ,1,: fGr eddiUon,.i l~or1JM1llon,. rtffflNln':: tl'i.t. ..-. ~ ! # O;t,,oi11llawB,;J11'a/,.,.o:r.,y o.,fhoJ,fl"""' /r-t.il.-.nlJJf-,nlllr.•r.;IO'er ,..11-, t o 1n 1'har h11""td1Alal')'_ c-~i,:,; s..,wu;n,: 2·2-4, Emi:,lo,,,n S..-wu19 n Ado1lto1~or·Co,•ucA.!..,l.1 to !P'l•ffdffM eo..,.,~,u.,,, rH\llts. G&0treth1<,1 da~ 9'\c:I lnfor"".i"°" r.-;r..-dlPl;r H- ,wt-. i:IKklG-C1:s, IM1tiln ,rd othofC' •"''""..-.1 ri•,;:ni.,er-y f.,.,-.,,...11 ' # wllhou-1 yo,w t•l"II!, l-NM a.,d tr...-,hdd,rs lo nP.,,a,urcl # 3 ! ! % # ! % t.llr.t.• ~C.•I J.&;ain.,t th,ll, dM'l'la-Q•.lo-t:11and ml:111.d•. Wa al:l&fflusl an ,:11,-,l,.,al ei.11 eu.ffs rrlaf'.1111 l'Ml'n' • llonlfic.anl linMltlal ll"lllarHJ In..,., us•d appr-•rl•l•IV andff'II¥ IOf la-Qllllllal• a,oM lzatlDfl lt'lat doff (t,r ll'llllfflds la 11,&J 111.1!.1.nns. b"'l~tH,-WQ'llo-._ . # at• % # / ! % 2 ! rih ow Co,mp--,, cir k ! ! ! % 2 2 In tomP• ~lion wilh Nltfh, / ! % ! # % % II mey atll.t' • oolmlHII ,.r a («1Plkl of 4nttrt1-l "lht a~r.,-.,;• of 1-vcl'I, co.-.11~ w, m11&-t 1 2 lrll:,rnal ,;,,;,...,,,.,..,1~1ion .s - 11 c ;r,:,ori.Car-y % # ! % " # ! ....,rtw.a1• pro.1,1,...,:11 • • al=-o -,.u-11, lhal d,,o uld bf # # 4 ! 5 ' B C ! - # ! 1 ) 1 •YoidrnNlln1j1dtdlioni1h-:m&;ihtb• Onflu,.-.u,d 11,a1atta4.W'a~ffil.c.&p yriQl\lMdtr.ctafflatll 6 G ' : ! / & br, 1ur.1'!1 a ,.fjif1ua.1p. F.wnlly m•111ihr1 IMIYil• l:t'lls lnt.ir«IIMI prep,t:tty (IP). W• alu ut11111.wllll It 141a,;;w-s, do 111Ht: I( i,,.utners. G c;onildN1tial IMormatiori ! ! E # 8 ! # li bl in Q..., in•r.A ,no: 1nv,rw llviRG In, yow hDIIHMld itnd/,c,r Konon'lr,c.,ei)' 941l'f'nol..... l 11po.n YGV , 4 ! 5 ' : ! / w,cvre. W• .. IO "'-• 011r Comp,p,(1- ,;o,nlid•nllal & G ' C ! G ' @ = ! - / ln111rmalion-lnic.h:odin.<1ma,l... il'l1,1_.t._Nn..-wi,1 ) ' ) - 6 3 % ! ! . # * # % # ' H # I ! ! "#"$%&' ( "& % ' ) Case 2:19-cv-08927-ES-CLW Document 49-4 Filed 06/20/19 Page 16 of 21 PageID: 526 ? = ' ) / " / # ! # ! # # 1 % # We Comply with the Laws Governing Public Companies # 0 ! % ! ! ' # % ! % % / ! . % ' # % " " ) - ! % % ! % ! ' % $ % < - # 4 ! % # 2 ! ! ! % 4 - ' ! % ! ! % ! 4 ! 5 ' > ! 1 2 4 " - G ' A : ! / " / G ' ? ! " " ) - ' ( * 3 / ! % # % ! # # # % % % # 1 2 5 F & . % # G F 6 G F G F • Un...,nO\lfle.-dl1t1lfo,.nor•-e~"'l1illOt1s; - G F ( # * + • Slo11lllc:11N:(ll.aot11lr.unl,wm.,..qr1111tnt; , ! # # % # # We Malntaln Mo nest an d Accurate Books and Records A.1 • publicly·tredNI ;~9(1.y, 011r lharf'hoklitr1 ttly on 111, lo mtinlfqn KC\11"-I rf'«Sd; ,nd to .,,;brllliil !,A. r.-ir.lil"l'l•l'f' iMKI utid~ndolbl• lill.a'ltiel diul<1>1.uru Fre,. Uffl• t;11 Um•. - bHln. fvf'fy trlln'liHtlo,-tt'iltl - r•cord In 01Jr d.l t)' b'ill ll"l tu cenlfibliilH to thit .v1n111Nc.iw1 of Hetl:i's finMAIi! lttllin, '41 ii i, cruciei tl'ial • • •rt KCIM'oltt PDll&Wiflt, Cetl'IPM~ P ~ l and ~,11utt.. ,u, ~ ......... H lht I • - end uQlill 911,ons; th.a: Qowrn o.ir llnand,1 r«Ofift Ari' IMl(UHfY lot' .,, lrilt-mAI ., tlltffnel # # # F'1J1ln1r 411"4 ,;,;,,fi11511•.:, 'Wff m.,.J,t llff>"ff'" ~H ~ O'f, tiltlf alt,..,. I& -ta'ltHI #1¥ t•t.W-oih ifl , A1.-dJf Rt-pwls ffl.OC"Ol'rtctl w AcltOi1Jr; W1•06,. ffl4 Mrlll.-;ltfflffl Prot,ir11m. thin o Ind.tit hwl1H'fllet.l11n lo d•r.lct... "!NlMr t11 IM.ly Co.1'1'111-•r .,,,d ii, 11,,.li. Th•t•ror,. eo,,ly ,b1,i 9flthd 0 4 4 3 or u11 • stock Is k!!to- H ·11uldfftr11di1NJ " ed Is spo,l,;upatteftS. .,, 111Jihorlud ID :1p.,.k ,,.,, b•lwlf of ; 5 3 ! % % 0 " & ! # # lrrocl u".-011mtnto••ml.i0f n•wDfoclvctor lir,,o-ibuPnnS..: 1 % 111th4t!Mrm.-yb.F'l,filfi114111'1c;iotly, IPy11...,.,,¥, to It!• PUDliic: ,liffiltn ei..111111ml'nt. lllCIWl'in h11m •nrQl.lfl.UOl!I tboLJl .tlalt..rth.f iniO<',a,,li011.,o-u ,.n,..~h5"i,114d~r,ftr••4!,4h4'hwnloo pou.•ul111t.11rtriollo,,111or.publle.,ct'onotlrM•cin. 11'.-ltlio,"'* o..,.,trunt , * # 3 0 % ! % 3 % 3 ! % 0 # 7 ttwl lt1 PfllfmAl: lffl. ln~MCI, :1Nfl. quldanu lrom tlll / 5 3 2 ! ! Gt11trrll C-..nul. 1M conuq1;1t-nc:n fN vi•l ..inQ Fwlurtllt-rl11lor,nr1llon.r•H-r•111C•: W1·11J, ln1,lffr lr11-cinq 1.-. •• Acqrilsfr.ion And Ol'K.lof•l,H ofCOffll)Mlo' Mltt'l'llllti°"'; # 1 3 % H"Vff,.., 9f!dpllnii,tinMrit ! 3 ! ! ml'I' induff flr'!H 4111'1d im 11 ri...-,mt-ftL H -11 ., 'fl 1• 15 , R.¥i •"' •n4 .Atlp1"1W11( Q/ A..r.-t-rtisln9 .-rl terfflintolio,r.o,lenq:,lo,yfflf!'lt, P,wr,~~.t Aniv,f'ff, # 4 ! 5 ' > ! * - ' % 3 9 # * ! # ! # ! # / & # " & 4 ! 5 ' : ! / & G ' = ! " % / / - / ! "#"$%&' ( "& % ' ) Case 2:19-cv-08927-ES-CLW Document 49-4 Filed 06/20/19 Page 17 of 21 PageID: 527 A @ ' 1 - - 1 ' % < # / $% / % ! 6 4 - / 6 8 # / We Engage In Proper Business Practices and Protect the Environment > ! # # # % 4 ! % ! ! # # # ! +< , ! % # * # !+# # , E ! E 0 . 1,w:i. f,,,- lli,rt"'9,1uloda11ie., ton=-ult W@ Comply wl th Global Antl·Corr uptlon Laws wit"' tM U• * 6 8 # / # # + , + , H DtPMllnlont.. In .ulcllt Oft.. toltJcatlo n.11J m11terl.is I 2 ! ,ln,1l·rwQr,,i(ltlM l I q, l nQlllilifli, 011t U.$ , fQffh~11 Corrwt PrKtkil1-Acf .,,i, ,..,_ UllC tribtry Ad of 111•1'111!,i,lnq, to -L ·<•ruptlen 1...,,. •• anlJMlt "' % 5 # # ' # % ll\t t.. DtJ11arlmtnl"lln-!raN'11kt. # % % " # ! 0 Z010, p,o'hlbil ,,.. P•V"*•"" ol b•~•~ •cund 1hr _,11. For tnls ,_Ol"l,II It Chld•I LIi.ii: w• do-not olw er 1tNml.H ur forl'IIII er br111-t or i..lckllac!,n l'fin., 1 b,riti• .,,,.. "l.dllt.alin9 Moo- (Provtot'd In .,,,.. Wt¥'"fflCllldilnQ ftftl,lllly•to II nc,11,• % ! % % E •.-;ir•~•" P•,~•111 rntd• to• iO Ytr....,,,.,,: olflci.i (N U.S. dllltn kiuttd otl!Mr 111, lht UN,IHI S411tH or # E 6 6 O~O:!.ld to .a 11•Yffl.,nt I.O • OO>'Nftt!IMl aQl"M:~ l,n •noC.....,$0..nl"l. Eur,ortr19'11latic,n1, 0l't..-ml.,. 1 2 % # 2 uct11n411klra1e11tl,w,4:1e111mmer11 .. ,n,..10..111i.1 lu111! n111•11Hm ll . 11Nt11'1Maslra,pl111Dllcy; ••4D wh..ttth•r •Pl'lll'-"cli or t..C:hllfilt1t9)'m"Ybtt1111<11tt4, Tl'lh.dti,Hld:a. lHllftt .,.,..,•o! 11,.11.,.., t.h, t61;1ntrv * ! ! 6 # ! 2 8 or tln!in11tl"" tnd lh t ll'MI us• n4CIK4bt. oOI' t11d u=.e,. 111, !o!lfflll 2 % c.a1t1, 11•111 V.S. ,00¥t rnm 11ftl llo111u; 11H trlldt . In ollwr \ll't c.tnnot tU,un~ to b'!IPIIU- M'lll"C'CQ lb el!POl"I p,lwll•~:t. II c-D B ' & ( - 6 6 6 # % ! % % # l;,c;,ycott s- •• fillt,n r,,;,I oilvl,:,,;,1,, Such. -.1111n1:J. rn,y we Do Not Participate In Unapproved Boycotts and Sanctions UMltt U.S.. wl•bo)'UCI ln-s, - ~ I""• boyuU. t« u .. '""''· r•~uuh to kl.-,illly l/111 ~ 111, U.$, 'il~l'lntf'l'II , JI -.lil,-(:1),11 "" Olod &I &0111"111 111Wir•M1t-nllll anti s.wlolalnablt- •r•c:tictt. Wt ,;;9'Tlplln # % % % ! J ,..,-oi,11-r11Ue111 onltitllffllrenm11"tb.,-ffTlpfoyl"" OIM'l•lil- our loc1t:ioM b,t I k¥11»11 •0 d1wl,d bt hPVrlK fc, Uw c...,..,..,j Cg1M11-tll , # 6 We Engaqe In Ethlclal Political and Charitable Activity ~ C~P.,,¥ p,o1i,c:in, t....:I 111~1,1t,t$ w, cernt'IIU11lty, ¥0111.nWNr, pa!ltluf er c:h•hablt «1l...Ctl" # # # % ! # Jn coi,nectlonwltll Hllft1'1-r1tm• or vsWl r,i C ~INIY # 4 2 ! fHO LlfCH,. willto\111 lht or1or tllSlfO¥aJ ot IMCotHHI• ! # # # # Afttii,... ..,4 Conomt.ml,.. t.iol'IS (lffi.,tm~ , V""' 1-h,wld < $ % ! 6 # % % # # r1ot 111,tp,..._..,_.,.,de,, IMO l•dtoti,li11Hthot1yeur 2 # # ! 1DHIIJ&ftlllM11tl?(ereluitic.-11tl1.1lore,.d\'afttff.l'l•nt) $ % & - " ' 4 1 ' # 11 rt,1.ttd fr,, 1111._- ..-ay to v-r s up.port o l cll.arltablt % % % ' % # # % % # * % % d',,ow IMII' tn D•d lot lh• .-,iviror,,rn11r.1 e, W64'1.;n" lo % # % II 'f04,I rtc,iv. I UQWHI to ..,,tlclpatt In, ,an lu.- o.. tt~ou, ._..11 iw,,., 111911 «141 dtii;.i otolloetlo.r, to ,,i,,wt It lfil tti, e~,,,1 Ctn,,ns-~. V1,1i,, m1y r,,;,I ,om11tr ir,ir,,;,rt 1,1,1,i;I, rnufflrth.,I c,;,;,r,;., 111 it,;;lio-,q.,,,t w!GdHII ,lld j ttlll•II tr'.at,d it, llMo ll:Jltit.wayal II ~oi,titd•0t••cl 1o j t. flt4'1JHlt to p,wt.l d~, In We Support Fair Employment Practices w, 1lriv• t11 IHo 11 ,-o,a1.... p,ir-1111C1111'11.n, 4 mfl'llml:i:. .,.,y t l"rl'WM1atonlll ~r..rc11.. W• .ii.o • ·«1. t• c:onsiH,.... Hell prottc.t 1111turtlrHe.Mrcts,.11r11d to nlllf"l94jt-Ollr"'111'"1111.eljl•- ! 5 > : A ! 4 $ # lluh:l1111S1gfC1t, .. ...,oo""'....,cti01"1:srn~91,1"'l"11'1- / B : A H' $ % I ' 3 1 •'""• thl1. 11. c:us;IClm•f, W•.,. •11C:gu1q11d1Co # ,olv• 6111' D+fi.flol'llll llm, Mel fondlLl& t-., DOfl IN # ' % # cemmU11ltl11:1 wtliHt-•• _,k_ Wt IDII- ,..,.1Ju1t lt- c•uftdlat.• • et eur d,olu . Phw.i• 110111 tlwl - l llbw Inn-end IH'«nOIII 1'111-.n rl,(Jhl-s Whilh'fff ot.Hl"dM- Qoe-d JuG omlflt In OIK Nrtlc HIIOII In IIMM 11,h,:iuld % ! % ' % l'G'IPblot. Thii1- fflHM u.... 1.,.., ft # % ' % Ml llnvalnr,il.,- 1~~11- of .c:tivitits IMMI Mvumllli:t •S1trorMI oollllcal ! " 5 ' ! 1 ccmlribvlion fo,r lht 111,11"c,W.t ot obol...,1"'9 lilf N-1..,.lnq - ' 1 1 - # / ' % # bi,:t.il"lf'», "' *•c:11rinq ; - . c:o,•,.,n,,,c:i,iil.il .. tnt," % % % ! % * % 611 bthlll f et Ma,t1 • .Ao11 r11. - unn&I t.1u c .. ~.,..., ! ! # % 0 HMUrC'U Of lh• MK1i ,..'". l'Of ! C'Gl'lllrl~~Ofl:I to 0, % / & J l "YOl'ffffllill In palilklll ecll'litl H wlttlovl 1111rml1.1ron # # H I lrc,m IMCotD«II• i.flalN-end Co/affllMWr;atJon1 % # % ' 0,-1..... nt, - % 2 . At llll'I~. ""• ,.,.,. 11a 1rn .. 1.11.-.a In l&.bfl.¥lfl0. # # # ! '"'LOeb'l'III~ COVt« m . . rlVp,tt c,j dlr•c:I Of' h1tlrt-d # / ! % c:cornmwnkatlon1 wltll 9DYtrrffltnl •ltlcl .. s . Such # % / commwnlc.tlon 11 m••nt le- N voca,t• a,id rf'lihH-rto:e p111i,rn,;,r .~gn.. tr,, P•nl g,:l 1:1o;,111,lnotn by • qo-nrnn1.9nlllil .,iutv or Iii• olfi'ti al _.._at• & / ! % # # # +$ # # , % ! % # # ,01!1 .... UH'll.ffll&llitlM , # # ! # 9 ! / " 5 ' > ? ! # # G htert "'Cl•4iflfil l"lobllo}inq , ~owrnu1t obtlllr1 ' A C ! $ % ! $ # # - ; 5 < % •OPf'COVII """" Ille S.W.lor \l'k, PrHldffll. Coto•r•t. $ % # J.tt.lt'\ end' C9"1fflvril'-lliv~. % # < % % ! # % # # ! % A".,r ....-ne• t.! 'W1·2~ Ci»ht•.!11• Cl!ll'lo!r~Ufltlu: % ' 7 / 5 < % % ( WM 1•94, t-*•11•'· Loo~rJN ~ , S.Wel!lttM! Pt,ml'~l- / ! 0 ! 6 " / ! A = @ B > A @ > / % # # > C ! % 6 " / % % 6 " / # ) % # % / 6 " / ! < 1 & > : @ > = C @ ! "#"$%&' ( "& % ' ) Case 2:19-cv-08927-ES-CLW Document 49-4 Filed 06/20/19 Page 19 of 21 PageID: 529 > > > 2 ( # 6 ! - " * * 5 A ? ? ? > : C @ B 3 5 5D% % % D . * 5 A B A > @ = A @ > : : > > = = O A @ > : : > > = = " # A A > @ C Q A @ > : : > > = = A C B B ? 6 8 A B = = @ / 5 A @ > : : > > = = # % ! % H+ ,I # % % % % 0 % % ! % ! ! ! ! # ! % # # 4 ! % ! & 5R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R 1 ( H - I R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R 1 ( # R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R R 1 / % Index of Motline Numbers United States, Puerto Rico and St . Thomas Republlc of I re land 1 eoo,u 740 T•l•of'l"'1•: Mll66-623·l47' o,.&r,,: hltr:,1:// w -.uunp&t,n,;,-h,,i r,,N,.. «1ffl/1.t,rt; ,j1p Slngapor• Sr Sao:ll'!il'IOW-.. I l l d i ~ 4 N I I t lwlv• rK• l Yad-l'lt<, ~r•tthe M•tU Sl..,,..,lh tilt B..nlnoau Cbl'Hlud("C6e."). I un4trstMWI th« l.,,. ,.,u-1111• fief lMwlno and teU•l'MO 019 IW"'dlN'ff 11111l"'" of,u,r~lo Mfil'll""'"41t•rtt01Kc:t f"'~dl.i.-,1-,, 08009 15 1511 Japan 010 100 72" Z:255 All other employees: ooi,oo 72J:J ~55 ··~------ ! "#"$%&' ( "& % ' ) Case 2:19-cv-08927-ES-CLW Document 49-4 Filed 06/20/19 Page 20 of 21 PageID: 530 > C > : ! "#"$%&' ( "& % ' ) Case 2:19-cv-08927-ES-CLW Document 49-4 Filed 06/20/19 Page 21 of 21 PageID: 531 > = S " 6 - 3 T > ! Hertz ! "#"$%&' ( "& % ' ) Case Document 49-5 Filed 06/20/19 Page 1 of 5 PageID: 532 EXHIBIT Case 2:19-cv-08927-ES-CLW Document 49-5 Filed 06/20/19 Page 2 of 5 PageID: 533 Hertz Global Holdings, Inc. and The Hertz Corporation Joint Board of Directors Meeting November 12, 2009 Agenda Item: Adoption of a “Claw Back” Policy for Executive Compensation Action Sought: Approval of an Amendment to Hertz Global Holdings, Inc.’s (“Hertz Holdings”) Standards of Business Conduct to include a “claw back” policy Background: The Sarbanes-Oxley Act of 2002 requires the CEO and CFO of public companies to return bonus compensation and other compensation from long-term awards received during a period covered by restatement due to fraud or wrongdoing. To date, the Boards of Directors (the “Boards”) of Hertz Holdings and The Hertz Corporation (individually, the “Company”) have only elected to enlarge upon that statutory scheme with respect to certain equity compensation (restricted stock units and performance stock units) paid to our executives. However, there is now a growing trend among Fortune 500 companies to adopt a comprehensive “claw back” policy. Current market data indicates that 65% of Fortune 100 companies have a “claw back” policy compared with only 18% in 2006. 33% of the company's peers have a claw back policy. Management recommends that the Boards adopt a “claw back” policy for all annual incentive, long-term incentive, equity-based awards and other performance-based compensation arrangements, effective January 1, 2010, that reflects the following key design aspects: Attachments: -- Repayment obligation is triggered by an award of compensation based on achievement of financial results that were the subject of a restatement; -- The Compensation Committee of the Company (the “Compensation Committee”) must determine that the executive officer's gross negligence, fraud or misconduct caused or contributed to the need for the restatement; -- Applies, on a prospective basis, to the CEO, all elected Vice Presidents and the Treasurer; -- Compensation Committee will retain discretion as to whether or not to enforce the “claw back”; and -- 3-year time limit on payment recovery. Proposed Joint Board Resolutions Proposed Amendment to the Standards of Business Conduct –Hertz Procedure W 1-22 Case 2:19-cv-08927-ES-CLW Document 49-5 Filed 06/20/19 Page 3 of 5 PageID: 534 Hertz Global Holdings, Inc. and The Hertz Corporation Proposed Joint Board Resolutions WHEREAS, Hertz Global Holdings, Inc. (“Hertz Holdings”) or The Hertz Corporation (individually, the “Company”) sponsors and maintains certain annual incentive, equity-based awards and other performance-based compensation arrangements for the benefit of its executives; WHEREAS, the Board of Directors of each Company (the “Board”) has determined that it is in the best interests of each Company and its stockholders to adopt a policy that requires certain executive officers to repay or forfeit compensation where the payment, granting or vesting of such compensation is based on certain restated financial statements; and WHEREAS, the Board has determined that it is in the best interests of each Company and its stockholders to have the policy incorporated into the Hertz Holdings’ Standards of Business Conduct and that beginning on January 1, 2010, all future award agreements or other documents setting forth the terms and conditions of any annual incentive, long-term incentive, equitybased award or other performance-based award granted to executive officers, adhere to and comply with such policy; NOW, THEREFORE, BE IT: RESOLVED, that effective as of January 1, 2010, the Hertz Holdings’ Standards of Business Conduct (the “Standards of Business Conduct”) be amended and restated to include the compensation recovery policy attached hereto as Exhibit A (the “Compensation Recovery Policy”); and, it is further RESOLVED, that the Senior Vice President, Chief Human Resource Officer and Senior Vice President, General Counsel and Secretary of Hertz Holdings may make other non-material amendments to the Standards of Business Conduct in order for the Compensation Recovery Policy to be properly incorporated into the Standards of Business Conduct; and, it is further RESOLVED, that the Senior Vice President, Chief Human Resource Officer, be, and she hereby is, authorized and instructed, in the name of and on behalf of each Company, to take or cause to be taken any and all actions that she deems necessary, appropriate and advisable to effectuate and carry out the purposes of the foregoing resolutions, including, but not limited to, securing the written agreement of each executive officer to such policy. Case 2:19-cv-08927-ES-CLW Document 49-5 Filed 06/20/19 Page 4 of 5 PageID: 535 Exhibit A Compensation Recovery Policy The Boards of Directors of Hertz Global Holdings, Inc. and The Hertz Corporation (individually, the “Company”) have adopted a policy requiring its “executive officers” to return bonus compensation and other compensation from long-term awards received during a period covered by financial restatement due to fraud or wrongdoing (the “Compensation Recovery Policy”). Accordingly, effective with respect to any annual incentive, long-term incentive, equity-based award or other performance-based award granted by either Company on or after January 1, 2010: Any individual who is an “executive officer” of either Company at the time of grant or payment of any annual incentive, long-term incentive, equity-based award or other performance-based award (collectively, “Covered Incentive Compensation”) shall repay or forfeit, as directed by the Compensation Committee of the Company (the “Compensation Committee”), to the extent permitted by law, any Covered Incentive Compensation received by him or her if: -- the payment, grant or vesting of such Covered Incentive Compensation was based on the achievement of financial results that were the subject of a restatement of the Company's financial statements, as filed with the Securities and Exchange Commission; -- the need for the restatement was identified within 3 years after the date of the first public issuance or filing of the financial results that were subsequently restated; -- the Compensation Committee determines in its sole discretion, exercised in good faith, that the executive officer's gross negligence, fraud or misconduct caused or contributed to the need for the restatement; and -- the Compensation Committee determines in its sole discretion that it is in the best interests of the Company and its stockholders for the executive officer to repay or forfeit all or any portion of the Covered Incentive Compensation. In addition, if the Compensation Committee determines that the Compensation Recovery Policy applies to an individual who was an “executive officer” of the Company at the time of grant or payment of such Covered Incentive Compensation, then in addition to the above provisions, the “executive officer” shall, as directed by the Compensation Committee, to the extent permitted by law: (i) forfeit any outstanding equity-based awards granted during the period following the publication of the financials that were subsequently restated; and (ii) repay the amount received upon the settlement, or any gains realized upon the exercise, of any equity-based awards or other awards. Case 2:19-cv-08927-ES-CLW Document 49-5 Filed 06/20/19 Page 5 of 5 PageID: 536 The Company may, to the extent permitted by law, enforce an executive officer’s repayment obligation under this policy by reducing any amounts that may be owing from time-to-time by the Company or an affiliate to the executive officer, whether as wages, severance, vacation pay or in the form of any other benefit or for any other reason. The Compensation Committee shall have full and final authority to make all determinations under this Compensation Recovery Policy, including without limitation whether this Compensation Recovery Policy applies and if so, the amount and type of compensation to be repaid or forfeited by the executive officer. All determinations and decisions made by the Compensation Committee pursuant to the provisions of this Compensation Recovery Policy shall be final, conclusive and binding on all persons, including the Company, its affiliates, its stockholders and employees. From and after January 1, 2010, each award agreement or other document setting forth the terms and conditions of any Covered Incentive Compensation granted to an executive officer shall include a provision incorporating the requirements of this Compensation Recovery Policy with respect to such award. The remedy specified in this policy shall not be exclusive and shall be in addition to every other right or remedy at law or in equity that may be available to the Company. Case Document 49-6 Filed 06/20/19 Page 1 of 39 PageID: 537 EXHIBIT Case 2:19-cv-08927-ES-CLW Document 49-6 Filed 06/20/19 Page 2 of 39 PageID: 538 HERTZ STANDARDS OF BUSINESS CONDUCT Case 2:19-cv-08927-ES-CLW Document 49-6 Filed 06/20/19 Page 3 of 39 PageID: 539 A MESSAGE FROM OUR CEO Dear colleagues, At Hertz, we’re committed to offering the best products and services to our customers. It’s a goal we all share, and we take it very seriously. But that isn’t the only commitment we share. We also have a shared responsibility to act with integrity and make ethical decisions at all times. We do business the right way, every day, in all our locations. This isn’t just about following the law—it’s about doing the right thing. It’s not always easy to know how to handle every tricky situation we might run into. Fortunately, we can refer to our Standards of Business Conduct (or “Code”) when we need help. 2ur Code applies to Hertz’s employees, of¿cers and directors. It lays out the principles that should guide all of our actions—integrity, respect and responsibility—as well as information about the laws we need to follow. Our Code can’t anticipate every problem you might encounter. Fortunately, there are many other resources you can turn to with Tuestions and concerns.