Document:

exv4w3

 

EXHIBIT 4.3

	 	 	 
	NUMBER

ZC

	 	SHARES

COMMON STOCK

CUSIP 98956P 10 2

SEE REVERSE FOR CERTAIN DEFINITIONS

THIS CERTIFICATE IS TRANSFERABLE

IN NEW YORK, NY

ZIMMER HOLDINGS, INC.

INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE

	 	 	 
	THIS CERTIFIES THAT

	 	SPECIMEN
	 
	 	 
	IS THE OWNER OF
	 	 

FULLY PAID AND NON-ASSESSABLE SHARES OF THE COMMON STOCK OF

Zimmer Holdings, Inc. (hereinafter called the “Corporation”), transferable on the books of said
Corporation by the holder hereof in person or by duly authorized attorney upon surrender of this
Certificate properly endorsed. This Certificate and the shares represented hereby are issued and
shall be held subject to all of the provisions of the Certificate of Incorporation of the
Corporation, to all of which the holder by acceptance hereof assents. This Certificate is not valid
until countersigned by the Transfer Agent and registered by the Registrar.

Witness the seal of said Corporation and the signatures of its duly authorized officers.

Dated

	 	 	 	 	 	 	 
	 
	 
	 
	 	 	J. Raymond Elliott	 	Chad F. Phipps
	PRESIDENT AND CHIEF EXECUTIVE OFFICER	 	SECRETARY
	 
	 	 	 	 	 	 
	 	 	Countersigned and Registered:	 	 
	 
	 	 	 	 	 	 
	 

	 	 	 	THE BANK OF NEW YORK	 	 
	 
	 	 	 	 	 	 
	 

	 	 	 	 	 	Transfer Agent

and Registrar
	 

	 	 	 	By:	 	 
	 

	 	 	 	 	 	Authorized Signature

 

 

ZIMMER HOLDINGS, INC.

          ZIMMER HOLDINGS, INC. WILL FURNISH WITHOUT CHARGE TO EACH STOCKHOLDER WHO SO REQUESTS A
STATEMENT OF THE DESIGNATIONS AND THE POWERS, PREFERENCES AND RIGHTS, AND THE QUALIFICATIONS,
LIMITATIONS OR RESTRICTIONS THEREOF, OF EACH CLASS OF STOCK OR SERIES THEREOF SET FORTH IN THE
CERTIFICATE OF INCORPORATION, WHICH THE CORPORATION IS AUTHORIZED TO ISSUE.

          The following abbreviations, when used in the inscription on the face of this certificate,
shall be construed as though they were written out in full according to applicable laws or
regulations:

	 	 	 	 	 	 
	TEN COM -

	 	as tenants in common
	 	UNIF GIFT MIN ACT —
	TEN ENT -

	 	as tenants by the entireties
	 	Custodian...........................
	JT TEN -

	 	as joint tenants with right of

survivorship and not as tenants

in common
	 	(Cust)              (Minor)

under Uniform Gifts to
Minors Act

	 

	 	 	 	 
	 

	 	 	 	 
	 

	 	 	 	(State)

          Additional abbreviations may also be used though not in the above list.

          FOR
VALUE RECEIVED, ____________ HEREBY SELL, ASSIGN AND TRANSFER UNTO

	 	 	 
	PLEASE PRINT OR TYPE NAME AND ADDRESS OF ASSIGNEE

	 	PLEASE INSERT TAXPAYER

IDENTIFYING NUMBER OF

ASSIGNEE
	Name
	 	 
	 
	 
	 	 
	 
	Street
	 	 
	 
	 	 
	 

	 	SHARES
	 
	City, State and Zip Code
	 	 
	 
	 
	 	 
	 
	 
	PLEASE PRINT OR TYPE NAME AND ADDRESS OF ASSIGNEE

	 	PLEASE INSERT TAXPAYER

IDENTIFYING NUMBER OF

ASSIGNEE
	Name
	 	 
	 
	 
	 	 
	 
	Street
	 	 
	 
	 	 
	 

	 	SHARES
	 
	City, State and Zip Code
	 	 
	 
	 
	 	 
	 

 

 

	 	 	 
	PLEASE PRINT OR TYPE NAME AND ADDRESS OF ASSIGNEE

	 	PLEASE INSERT TAXPAYER

IDENTIFYING NUMBER OF

ASSIGNEE
	Name
	 	 
	 
	 
	 	 
	 
	Street
	 	 
	 
	 	 
	 

	 	SHARES
	 
	City, State and Zip Code
	 	 
	 
	 
	 	 
	 

OF THE COMMON STOCK REPRESENTED BY THE WITHIN CERTIFICATE, AND DO HEREBY IRREVOCABLY CONSTITUTE AND
APPOINT ______________________________
ATTORNEY TO TRANSFER THE SAID STOCK ON THE BOOKS OF
THE WITHIN-NAMED CORPORATION WITH FULL POWER OF SUBSTITUTION IN THE PREMISES.

DATED, _____________________________

X____________________________________

NOTICE: THE SIGNATURE TO THIS ASSIGNMENT MUST
CORRESPOND WITH THE NAME AS WRITTEN UPON THE
FACE OF THE CERTIFICATE IN EVERY PARTICULAR,
WITHOUT ALTERNATION OR ENLARGEMENT OR ANY
CHANGE WHATEVER

SIGNATURE(S) GUARANTEED:

By______________________________________

THE SIGNATURE(S) MUST BE GUARANTEED BY AN
ELIGIBLE GUARANTOR INSTITUTION (BANKS,
STOCKBROKERS, SAVINGS AND LOAN ASSOCIATIONS
AND CREDIT UNIONS WITH MEMBERSHIP IN AN
APPROVED SIGNATURE GUARANTEE MEDALLION PROGRAM),
PURSUANT TO S.E.C. RULE 17Ad-15.exv10w1

 

Exhibit 10.1

American Commercial Lines, Inc.

2006 Non-Employee Director Compensation Summary Sheet

Annual Cash Retainer

     The Chairman of the Board, provided he is a non-employee director, shall receive an annual
retainer of $45,000, payable in quarterly installments at the beginning of each calendar quarter,
provided that such individual remains the Chairman of the Board.

     Each member of the Board, who is a non-employee director, shall receive an annual retainer of
$30,000, payable in quarterly installments at the beginning of each calendar quarter, provided that
such individual remains a non-employee director.

Annual Equity Compensation

     Pursuant to the 2005 Stock Incentive Plan, the Corporation shall award restricted stock units
of its Common Stock (“Restricted Stock Unit Awards”) and stock options to purchase shares of its
Common Stock (“Stock Options”) to the persons, in the amounts and on the terms specified below.

     That the persons to whom the Restricted Stock Unit Awards and Stock Options are awarded, and
the numbers of shares subject to such Restricted Stock Unit Awards and Stock Options awarded to
each person, are as follows:

	 	 	 	 	 	 	 	 	 
	 	 	Restricted Stock Unit	 	 
	Name:	 	Awards:	 	Stock Options:
	Clayton Yeutter
	 	 	900	 	 	 	6,450	 
	Eugene I. Davis
	 	 	600	 	 	 	4,300	 
	Richard L. Huber
	 	 	600	 	 	 	4,300	 
	Nils E. Larsen
	 	 	600	 	 	 	4,300	 
	Emanuel L. Rouvelas
	 	 	600	 	 	 	4,300	 
	R. Christopher Weber
	 	 	600	 	 	 	4,300	 

     That the Restricted Stock Unit Awards and Stock Options shall be awarded as of the Date of
Grant.

     That the exercise price for each of the Stock Options shall be $30.62 per share.

 

 

     Except as provided by the 2005 Stock Incentive Plan, each of the Restricted Stock Unit Awards
shall vest in three equal annual installments, commencing on the first anniversary of the Date of
Grant; provided that Restricted Stock Unit Awards shall vest only as to whole shares and, if the
number of shares subject to restriction is not evenly divisible by three, then the unvested
fractions of shares shall not vest until they total a whole share.

     Except as provided by the 2005 Stock Incentive Plan, each of the Stock Options shall vest in
full six months from the Date of Grant.

     Each of the Stock Options shall remain exercisable for 10 years or until it terminates in
accordance with the provisions of the 2005 Stock Incentive Plan.

Committee Cash Retainers

     The Corporation shall pay each chair of a committee of the Board an annual retainer of $5,000,
payable in quarterly installments at the beginning of each calendar quarter, provided that such
person remains a chair of a committee of the Board.

     The Corporation shall pay $1,250 to each member of a committee of the Board for attending (in
person or by telephone) any meeting of such committee.

     The Corporation shall reimburse each member of the Board for travel expenses incurred by such
member in attending meetings of the Board or committees of the Board.exv10w2

 

Exhibit 10.2

AMERICAN COMMERCIAL LINES INC.

RESTRICTED STOCK UNIT AWARD AGREEMENT

          THIS RESTRICTED STOCK UNIT AWARD AGREEMENT, including the accompanying Award Notice (the
“Award Notice”) issued to the Participant named therein (both of which together shall constitute
the “Agreement”), is made as of the Grant Date set forth in the Award Notice between American
Commercial Lines Inc., a Delaware corporation (the “Company”), and the Participant, pursuant to the
American Commercial Lines Inc. stock plan designated in the Award Notice (the “Plan”). This
Agreement and the award contained herein are subject to the terms and conditions set forth in the
Plan, which are incorporated by reference herein, and the following terms and conditions:

          1. Award of Restricted Stock Units. In consideration for the prior and continued
service of Participant with the Company, the Company hereby awards to Participant as of the Grant
Date restricted stock units (the “Restricted Stock Units”) with respect to the number of shares of
its common stock, $0.01 par value per share (the “Common Stock”), set forth in the Award Notice.

          2. Rights of Stockholder. Participant shall not be entitled to any privileges of
ownership with respect to the shares of Common Stock subject to the Restricted Stock Units unless
and until, and only to the extent, such Restricted Stock Units become vested pursuant to Section 3
hereof and the Participant becomes a stockholder of record with respect to such shares.

          3. Vesting of Restricted Stock Units and Forfeiture. Subject to Section 3(b) hereof,
the Restricted Stock Units shall vest in accordance with the terms of Section 3(a) hereof.

          (a) The Restricted Stock Units shall become vested in accordance with the vesting schedule and
the performance criteria, if any, set forth in the Award Notice.

          (b) Notwithstanding anything to the contrary in Section 3(a), in the event that prior to the
vesting of the Restricted Stock Units pursuant to Section 3(a), Participant’s relationship as a
Service Provider is terminated for any reason, Participant shall forfeit, on the date on which such
relationship is terminated, all of the Restricted Stock Units which shall not have vested prior to
such date.

 

 

          4. Delivery of Certificates. Except to the extent Participant makes an effective
deferral election pursuant to the terms of a deferral plan, if any, adopted by the Company and
offered to Participant, and subject to Section 7, as soon as practicable after the vesting of the
Restricted Stock Units, in whole or in part, the Company shall issue or deliver or cause to be
issued or delivered to the Participant shares of Common Stock representing the number of Restricted
Stock Units that become vested. The Company shall pay all original issue or transfer taxes and all
fees and expenses incident to such delivery, except as otherwise provided in Section 7.

          5. Transferability. Notwithstanding anything contained in this Agreement to the
contrary, Restricted Stock Units are not transferable or assignable by Participant.

          6. Adjustment Provisions. If, during the term of this Agreement, there shall be any
merger, reorganization, consolidation, recapitalization, stock dividend, stock split, rights
offering or extraordinary distribution with respect to the Common Stock, or other change in
corporate structure affecting the Common Stock, the Committee shall make or cause to be made an
appropriate and equitable substitution, adjustment or treatment with respect to the Restricted
Stock Units, including a substitution or adjustment in the aggregate number or kind of shares
subject to this Agreement. Any securities, awards or rights which become subject to this Agreement
pursuant to this Section 6 shall be subject to the same restrictions as the underlying Restricted
Stock Units to which they relate.

          7. Tax Withholding. As a condition precedent to the receipt of any shares upon or
following the vesting of the Restricted Stock Units, Participant shall pay to the Company, at such
times as the Company shall determine, such amounts as the Company shall deem necessary to satisfy
any withholding taxes due on income that Participant recognizes as a result of the vesting of the
Restricted Stock Units. The obligations of the Company under this Agreement and the Plan shall be
conditional on such payment or arrangements, and the Company, its Affiliates and Subsidiaries
shall, to the extent permitted by law, have the right to deduct any such taxes from any payment
otherwise due to Participant.

          8. Registration. This award of Restricted Stock Units is subject to the condition
that if at any time the Board or Compensation Committee shall determine, in its discretion, that
the listing of the shares of Common Stock subject hereto on any securities exchange, or the
registration or qualification of such shares under any federal or state law, or the consent or
approval of any regulatory body, shall be necessary or desirable as a condition of, or in
connection with, the grant, receipt or delivery of shares hereunder, such grant, receipt or
delivery will not be effected unless and until such listing, registration, qualification, consent
or approval shall have been effected or obtained free of any conditions not acceptable to the Board
or Compensation Committee. The Company agrees to make every reasonable effort to effect or obtain
any such listing, registration, qualification, consent or approval.

          9. Rights of Participant. In no event shall this award of Restricted Stock Units or
the other provisions hereof or the acceptance by Participant of this award of Restricted Stock
Units interfere with or limit in any way the right of the Company, any of its Affiliates or
Subsidiaries to terminate Participant’s relationship as Service Provider at any time, nor confer

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upon Participant any right to continue as Service Provider for any period of time or to continue
his or her present or any other rate of compensation.

          10. Construction.

          (a) Successors. This Agreement and all the terms and provisions hereof shall be
binding upon and shall inure to the benefit of the parties hereto and their respective legal
representatives, heirs and successors, except as expressly herein otherwise provided.

          (b) Entire Agreement; Modification. This Agreement contains the entire understanding
between the parties with respect to the matters referred to herein. Subject to Section 16(a) of
the Plan, this Agreement may be amended by the Board or Compensation Committee at any time.

          (c) Capitalized Terms; Headings; Pronouns; Governing Law. Capitalized terms used and
not otherwise defined herein are deemed to have the same meanings as in the Plan. The descriptive
headings of the respective sections and subsections of this Agreement are inserted for convenience
of reference only and shall not be deemed to modify or construe the provisions which follow them.
Any use of any masculine pronoun shall include the feminine and vice-versa and any use of a
singular, the plural and vice-versa, as the context and facts may require. The construction and
interpretation of this Agreement shall be governed in all respects by the laws of the State of
Delaware.

          (d) Notices. Except as otherwise prescribed by the Company or its authorized
representative, each notice relating to this Agreement shall be in writing and shall be
sufficiently given if delivered by registered or certified mail, or by a nationally recognized
overnight delivery service, with postage or charges prepaid, to the address hereinafter provided in
this Section 10. Any such notice or communication given by first-class mail shall be deemed to
have been given two business days after the date so mailed, and such notice or communication given
by overnight delivery service shall be deemed to have been given one business day after the date so
sent, provided such notice or communication arrives at its destination. Each notice to the Company
shall be addressed to it at its offices at 1701 East Market Street, Jeffersonville, Indiana 47130
(attention: Senior Vice President, Law and Administration), with a copy to the Chairman of the
Compensation Committee of the Company or to such other designee of the Company. Each notice to
Participant shall be addressed to Participant’s address last known to the Company.

          (e) Severability. Whenever possible, each provision of this Agreement shall be
interpreted in such manner as to be effective and valid under applicable law, but if any provision
of this Agreement or the application thereof to any party or circumstance shall be prohibited by or
invalid under applicable law, such provision shall be ineffective to the minimal extent of such
provision or the remaining provisions of this Agreement or the application of such provision to
other parties or circumstances.

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