Document:

a153740_02012010.htm - Generated by SEC Publisher for SEC Filing

 

				
	6. IMPORTANT INFORMATION AND STATE REQUIRED NOTICES 	 	 
	To help the government fight the funding for terrorism and money-laundering activities, federal law requires all financial institutions 
	to obtain, verify, and record information that identifies each person who opens an account. What this means for you — when you 
	apply for an annuity, we will ask for your name, address, date of birth, and other information that will allow us to identify you. 
	We may also ask to see your driver’s license or other identifying documents. If you wish to have a more detailed explanation of 
	our 	 	 	 
	information practices, please write to: Customer Service Center, ING Annuities, 909 Locust Street, Des Moines, IA 50309- 	 
	2899. 	 	 	 
	Pursuant to federal law (the Defense of Marriage Act of 1996), certain favorable federal tax treatment available to 
	opposite-sex spouses is not available to same-sex spouses. For instance, federal tax law allows a surviving spouse who is 
	designated the beneficiary under an annuity to continue the annuity when the owner dies. This alternative death benefit option 
	is not available to a same-sex spouse beneficiary. If you are a same-sex spouse, we suggest that you consult with a tax 
	advisor prior to purchasing an annuity contract, such as this one, which provides spousal benefits. 	 	 
	Below are notices that apply only in certain states. Please read the following carefully to see if any apply in your state. 
	Arkansas, Louisiana, Maine, New Mexico, Ohio, Oklahoma, Tennessee, Washington, West Virginia: Any person who 
	knowingly and with intent to injure, defraud or deceive any insurance company, submits an application for insurance containing 
	any materially false, incomplete, or misleading information, or conceals for the purpose of misleading, any material fact, is guilty 
	of insurance fraud, which is a crime and in certain states, a felony. Penalties may include imprisonment, fine, denial of benefits, 
	or civil damages. 	 	 	 
	Arizona: On receiving your written request, we will provide you with information regarding the benefits and provisions 
	of the annuity contract for which you have applied. If you are not satisfied, you may cancel your contract by returning 
	it within 20 days, or within 30 days if you are 65 years of age or older on the date of the application for the annuity, 
	after the date you receive it. Any premium paid for the returned contract will be refunded without interest. 	 
	California Reg. 789.8: The sale or liquidation of any asset in order to buy insurance, either life insurance or an annuity 
	contract, may have tax consequences. Terminating any life insurance policy or annuity contract may have early withdrawal 
	penalties or other costs or penalties, as well as tax consequences. You may wish to consult independent legal or financial 
	advice before the sale or liquidation of any asset and before the purchase of any life insurance or annuity contract. 	 
	Colorado: It is unlawful to knowingly provide false, incomplete, or misleading facts or information to an insurance company for 
	the purpose of defrauding or attempting to defraud the company. Penalties may include imprisonment, fines, denial of 
	insurance, and civil damages. Any insurance company or agent of an insurance company who knowingly provides false, 
	incomplete, or misleading facts or information to a policy holder or claimant for the purpose of defrauding or attempting to 
	defraud the policy holder or claimant with regard to a settlement or award payable from insurance proceeds shall be 
	reported to the Colorado Division of Insurance within the Department of Regulatory Agencies. 	 	 
	District of Columbia: WARNING: It is a crime to provide false or misleading information to an insurer for the purpose of 	 
	defrauding 	 	 	 
	the insurer or any other person. Penalties include imprisonment and/or fines. In addition, an insurer may deny insurance benefits, 
	if 	 	 	 
	false information materially related to a claim was provided by the applicant. 	 	 
	Florida: ANY PERSON WHO KNOWINGLY AND WITH INTENT TO INJURE, DEFRAUD, OR DECEIVE ANY INSURER FILES A 
	STATEMENT 	 	 	 
	OF CLAIM OR AN APPLICATION CONTAINING ANY FALSE, INCOMPLETE, OR MISLEADING INFORMATION IS GUILTY 
	OF A FELONY 	 	 	 
	OF THE THIRD DEGREE. 	 	 	 
	Kentucky: Any person who knowingly and with intent to defraud any insurance company or other person files an application for 
	insurance containing any materially false information or conceals, for the purpose of misleading, information concerning any 
	fact 	 	 	 
	material thereto commits a fraudulent insurance act, which is a crime. 	 	 
	Maryland: Any person who knowingly and willfully presents a false or fraudulent claim for payment of a loss or benefit or who knowingly and 
	willfully presents false information in an application for insurance is guilty of a crime and may be subject to fines and confinement in 
	prison. New Jersey: Any person who includes any false or misleading information on an application for an insurance policy 
	is subject to criminal and civil penalties. 	 	 	 
	Pennsylvania: Any person who knowingly and with intent to defraud any insurance company or other person files an application for 
	insurance or statement of claim containing any materially false information or conceals for the purpose of misleading, information concerning 
	any fact material thereto commits a fraudulent insurance act, which is a crime and subjects such person to criminal and civil penalties. 
	Virginia: Any person who, with the intent to defraud or knowing that he is facilitating a fraud against an insurer, submits an 
	application or files a claim containing a false or deceptive statement may have violated the state law. 	 	 
	7. ACKNOWLEDGEMENTS AND SIGNATURES (Please read carefully.) 	 	 
	SIGNATURE REQUIRED BELOW! THIS ENTIRE SECTION MUST BE COMPLETED FOR YOUR APPLICATION TO BE PROCESSED IN “GOOD 
	ORDER.” 	 	 	 
	 
	REPLACEMENT 	 	 	 
	If either question below is answered “Yes,” you must complete any state-required replacement forms, as applicable, and 
	submit them with this application. 	 	 	 
	1. Do you currently have any existing individual life insurance policies or annuity contracts? (If “Yes,” complete the 	 	 
	     state-required replacement form(s) and provide details below.) 	c Yes 	c No 
	2. Will this contract replace any existing individual life insurance policies or annuity contracts? (If “Yes,” complete 	 	 
	     the state-required replacement form(s) and provide details below.) 	c Yes 	c No 
	 
	Company _________________________________	Policy/Contract #  _______________________________________________________
	 
	Company _________________________________	Policy/Contract #  _______________________________________________________

			
	 153740(09/09) 	 Page 3 of 5 - Incomplete without all pages. 	 Order #153740 02/01/2010 
	  	  	 LifeCAD/R 

	
	 7. ACKNOWLEDGEMENTS AND SIGNATURES (CONTINUED) (Please read carefully.) 
	 SPECIAL REMARKS 
	  
	  
	  
	  
	 By signing below, I acknowledge receipt of the prospectus. My signature also serves as a representation that: (a) all statements 
	 and 
	 answers in this form are complete and true to the best of my knowledge and belief and may be relied upon in determining whether 
	 to issue the applied for annuity; and (b) the owner has an insurable interest, as defined above and in more detail in the 
	 prospectus, 
	 in the life of the annuitant. Only the owner and the Company have the authority to modify this form. After reviewing my financial 
	 information, I believe this contract is suitable and will meet my financial goals and objectives. 
	  
	 Contracts and policies and underlying Series shares or securities which fund contracts and policies are not insured by the 
	 FDIC or any other agency. They are not deposits or other obligations of any bank and are not bank guaranteed. Also, they 
	 are subject to market fluctuation, investment risk and possible loss of principal invested. 
	  
	 I understand that any amount allocated to a guarantee period may be subject to a market value adjustment, which may cause 
	 the values to increase or decrease, prior to a specified date or dates as specified in the contract. 
	  
	 I understand that Individual Retirement Accounts (IRAs) already provide tax deferral like that provided by the contract. For an 
	 additional cost, this contract provides additional features and benefits, including death benefits and the ability to receive a 
	 lifetime income. I understand that I should purchase an annuity contract only if I have taken into account the cost of these 
	 features and benefits. 
	  
	 Additional information about the contract can be found in the prospectus. 
	  
	 TAXPAYER CERTIFICATION 
	 Under penalties of perjury, my/our signature(s) certifies/certify that: 
	 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me). 
	 2. I am not subject to backup withholding because (a) I have not been notified by the Internal Revenue Service (IRS) that I 
	        am subject to backup withholding as a result of a failure to report all interest or dividends, or (b) the IRS has notified me that 
	        am 
	        no longer subject to backup withholding. 
	 3. I am a U.S. citizen or U.S. resident alien. 
	 The IRS does not require your consent to any provision of this document other than the certifications required to avoid 
	 backup withholding. 

	8. PRODUCER INFORMATION 
	CHECK THE BOXES BELOW ONLY IF THEY APPLY: 
	 ¬ c Check here to confirm that the owner(s) has an insurable interest in the life of the annuitant. As defined in 
	  more detail in the prospectus, an insurable interest means the owner has a lawful and substantial 
	                         economic interest in the continued life of the annuitant. 
	¬ c Check here if the applicant is on active duty with the U.S. Armed Forces or is a dependent of any 
	                         active duty service member of the U.S. Armed Forces. Complete the Military Personnel Financial Services 
	                         Disclosure Regarding Insurance Products and return it with this application. 

		
	If any questions below or in the Replacement section are answered “Yes,” the applicant must complete and submit any 
	state-required replacement forms/sales material, as applicable, with this application. 	 
	Does the applicant have any existing individual life insurance policies or annuity contracts? 	c Yes c 
	No 	 
	Do you have reason to believe that the contract applied for will replace any existing annuity or life insurance coverage? 	c Yes c 
	No 	 
	If your state has adopted replacement regulations, did you remember to do the following? 	 
	Q Provide required replacement notice to the applicant and offer to read it aloud. 	 
	Q Complete required, state-specific paperwork. 	 
	 
	Compensation Alternative 	 
	c A 	 
	 
	Compensation will be split equally if no percentage is indicated. Partial percentages will be rounded up. Percentages 
	must 	 
	total 100%. The primary producer will be given the highest percentage in the case of unequal percentages and will receive 
	all 	 
	correspondence regarding the contract. 	 
	By signing below you certify that: 1) replacement questions were answered; 2) any sales material was shown to the applicant 
	and 	 
	a copy was left with the applicant; 3) you used only insurer-approved sales material; 4) you have not made statements that 
	differ 	 
	from the sales material; and 5) no promises were made about the future value of any contract elements that are not 
	guaranteed. 	 
	(This includes any expected future index gains that may apply to this contract.) 	 
	SIGNATURE REQUIRED BELOW! THIS ENTIRE SECTION MUST BE COMPLETED FOR YOUR APPLICATION TO BE PROCESSED IN “GOOD 
	ORDER.” 	 

			
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	  	  	 LifeCAD/Rexhibit-20100406.htm

Exhibit 10.1

 

	 	 	 	 	 
	 	 	 	 
	 	 	 	 

 

 

 

April 6, 2010

 

 

Glencore

Baarermattstrasse 3

CH-6341 Baar, Switzerland

Attn:  Head of Aluminum Department

 

 

Gentlemen:

 

This letter constitutes the agreement (the "Agreement") between Century Aluminum Company (the "Company"), on the one hand, and Glencore AG ("Glencore") and each of the other Persons (as defined below) set forth on the signature pages hereto (the "Glencore Affiliates"), on the other hand, with respect to the matters set forth below.  Glencore, the Glencore Affiliates and the affiliates (as defined below) of each of the foregoing are collectively referred to as the "Glencore Group."

 

	
1.  

	
The Company and the Glencore Group agree that the nominees of the Board of Directors of the Company (the "Board") to stand for election at the Company's 2010 Annual Meeting of Stockholders, any Special Meeting of Stockholders held in lieu thereof and any postponement, adjournment or delay thereof (the "2010 Annual Meeting") shall be Ivan Glasenberg, Andrew Michelmore, John O’Brien and Peter Jones, who shall each be nominated as Class II directors with a term expiring at the Company's 2013 Annual Meeting, and  John Fontaine, who shall be nominated as a Class I director with a term expiring at the Company’s 2012 Annual Meeting, (the nominees referenced in this sentence, collectively, the "2010 Nominees").  The Company shall take all actions necessary to increase the size of its Board prior to the election of directors at the 2010 Annual Meeting to permit the election of the 2010 Nominees.

 

	
2.  

	
The Company hereby represents, acknowledges and agrees that the Board has concluded its review in accordance with the Company's written policies and practices (as the same exist as of the date of this Agreement) of the qualifications of Ivan Glasenberg and Andrew Michelmore to each serve as a member of the Board, has determined that Ivan Glasenberg and Andrew Michelmore are each qualified to serve as a member of the Board and has determined to, and shall, nominate each of Ivan Glasenberg and Andrew Michelmore to stand for election at the 2010 Annual Meeting as a Class II director with a term expiring at the Company's 2013 Annual Meeting. The Glencore Group represents and warrants that as of the date hereof it is not aware of any reason that either Ivan Glasenberg or Andrew Michelmore would not be able to serve as a member of the Board upon election at the 2010 Annual Meeting.

 

	
3.  

	
If (i) at any time at or prior to the 2010 Annual Meeting Ivan Glasenberg (the "Glencore Designee") shall have ceased for any reason to be a nominee of the Board to stand for election at the 2010 Annual Meeting as a Class II director with a term expiring at the Company's 2013 Annual Meeting or (ii) having been elected to the Board at the 2010 Annual Meeting, the Glencore Designee shall cease to be a member of the Board for any reason at any time prior to the date of the Company's 2013 Annual Meeting of Stockholders, then the Glencore Group shall be entitled to designate in writing a substitute (the "Glencore Successor Designee") to replace the Glencore Designee as a nominee of the Board or as a director (as the case may be), in each case for the same term and as part of the same Board class, who is reasonably acceptable to the Company. The Company shall make any such determination regarding the acceptability of a proposed Glencore Successor Designee in good faith and reasonably promptly. The Board shall nominate or appoint to the Board (as the case may be) the Glencore Successor Designee no later than one business day after the Company's determination that such Glencore Successor Designee is reasonably acceptable. Upon becoming a nominee of the Board or a member of the Board pursuant to this Section 3, a Glencore Successor Designee shall become the Glencore Designee for all purposes under this Agreement.  The Company and the Glencore Group shall take all actions necessary to give effect to the provisions of this Section 3.

 

 

	 	Century Aluminum Company
	 	 2511 Garden Road
	 	 Building A, Suite 200
	 	 Monterey, CA 93940
	 	 	 
	 	 831 642-9300	Phone
	 	 831 642-9399	Fax

 

 

 

 

 

  

  

  

	
4.  

	
In order to avoid an election contest at the 2010 Annual Meeting, the parties agree that: (i) the members of the Glencore Group, but only for so long as both of Ivan Glasenberg (or any Glencore Successor Designee substituted for Ivan Glasenberg pursuant to Section 3) and, so long as he shall have continued to consent to serve as a director and have not become physically or mentally disabled or died, Andrew Michelmore are nominees of the Board to stand for election at the 2010 Annual Meeting as Class II directors with a term expiring at the Company's 2013 Annual Meeting, and the Company will publicly support and recommend that the Company's stockholders vote for the election of each of the 2010 Nominees at the 2010 Annual Meeting (and, if a Glencore Successor Designee has been nominated, such designee), and (ii) for so long as both of Ivan Glasenberg (or any Glencore Successor Designee substituted for Ivan Glasenberg pursuant to Section 3) and, so long as he shall have continued to consent to serve as a director and have not become physically or mentally disabled or died, Andrew Michelmore are nominees of the Board to stand for election at the 2010 Annual Meeting as Class II directors with a term expiring at the Company's 2013 Annual Meeting , each member of the Glencore Group will cause all Voting Securities (as defined below) that it is entitled to vote at the 2010 Annual Meeting (whether held of record or beneficially) to be present for quorum purposes and to be voted at the 2010 Annual Meeting in favor of the election of each of the 2010 Nominees (and, if a Glencore Successor Designee has been nominated, such designee).

 

	
5.  

	
Each of the Company, on the one hand, and the members of the Glencore Group, on the other hand, acknowledges and agrees that money damages would not be a sufficient remedy for any breach (or threatened breach) of this Agreement by it and that, in the event of any breach or threatened breach hereof, the non-breaching party will be entitled to injunctive and other equitable relief, without proof of actual damages, that the breaching party will not plead in defense thereto that there would be an adequate remedy at law, and that the breaching party agrees to waive any applicable right or requirement that a bond be posted by the non-breaching party. Such remedies will not be the exclusive remedies for a breach of this Agreement, but will be in addition to all other remedies available at law or in equity.

 

	
6.  

	
All notices, consents, requests, instructions, approvals and other communications provided for herein and all legal process in regard hereto will be in writing and will be deemed validly given, made or served if (a) given by fax, when such fax is transmitted to the fax number set forth below and the appropriate confirmation is received, or (b) if given by any other means, when delivered in person, by overnight courier or two business days after being sent by registered or certified mail (postage prepaid, return receipt requested) as follows:

 

If to the Company:

 

	Century Aluminum Company
	2511 Garden Road, A200
	Attn:	General Counsel
	Phone:	+831-642-9300
	Fax:	+831-642-9328

 

If to the Glencore Group:

 

	Glencore AG
	Baarermattstrasse 3
	CH-6341 Baar, Switzerland
	Attn:	Head of Aluminum Department
	Phone:	+41-41-709-2000
	Fax:	+41-41-709-3000

 

With a copy (which shall not constitute notice) to:

 

	Glencore AG
	Baarermattstrasse 3
	CH-6341 Baar, Switzerland
	Attn:	Richard Marshall
	Phone:	+41-41-709-2000
	Fax:	+41-41-709-2621

 

With a copy (which shall not constitute notice) to:

 

	Skadden, Arps, Slate, Meagher & Flom LLP
	Four Times Square
	New York, NY 10036
	Attn:	Peter Allan Atkin
	 	Neil P. Stronski
	Phone:	(212) 735-3000
	Fax:	(212) 735-2000

 

 

  

  

  

	
7.  

	
As used in this Agreement, (a) the term "Person" shall be interpreted broadly to include, among others, any individual, general or limited partnership, corporation, limited liability or unlimited liability company, joint venture, estate, trust, group, association or other entity of any kind or structure; (b) the term "affiliate" shall have the meaning set forth in Rule 12b-2 under the Exchange Act and shall include Persons who become affiliates of any Person subsequent to the date of this Agreement; (c) the term "Voting Securities" shall mean the shares of the Company's common stock and any other securities of the Company entitled to vote generally in the election of directors; and (d) the term "business day" shall mean any day other than a Saturday, Sunday or a day on which banks in New York, New York are authorized or obligated by applicable law or executive order to close or are otherwise generally closed.

 

	
8.  

	
This Agreement may be executed by the parties hereto in separate counterparts (including by fax and .pdf), each of which when so executed shall be an original, but all such counterparts shall together constitute one and the same instrument.

 

	
9.  

	
This Agreement shall be governed by and construed in accordance with the laws of the State of Delaware, without regard to any of its conflict of laws principles that would require otherwise. Each of the members of the Glencore Group and the Company (a) irrevocably and unconditionally consents to the personal jurisdiction and venue of the federal or state courts located in Wilmington, Delaware; (b) agrees that it shall not attempt to deny or defeat such personal jurisdiction by motion or other request for leave from any such court; (c) agrees that it shall not bring any action relating to this Agreement or otherwise in any court other than the federal or state courts located in Wilmington, Delaware; and (d) irrevocably waives the right to trial by jury.

 

	
10.  

	
This Agreement shall be binding upon and inure to the benefit of the parties hereto and their respective successors and permitted assigns. No party hereto may assign or otherwise transfer either this Agreement or any of its rights, interests, or obligations hereunder without the prior written consent of the other parties hereto. Any purported transfer without such consent shall be void. No amendment, modification, supplement or waiver of any provision of this Agreement shall be effective unless it is in writing and signed by the party or parties hereto affected thereby, and then only in the specific instance and for the specific purpose stated therein. Any waiver by any party hereto of a breach of any provision of this Agreement shall not operate as or be construed to be a waiver of any other breach of such provision or of any breach of any other provision of this Agreement. The failure of a party hereto to insist upon strict adherence to any term of this Agreement on one or more occasions shall not be considered a waiver or deprive that party of the right thereafter to insist upon strict adherence to that term or any other term of this Agreement.

 

	
11.  

	
If any provision of this Agreement is held invalid or unenforceable by any court of competent jurisdiction, the other provisions of this Agreement shall remain in full force and effect. Any provision of this Agreement held invalid or unenforceable only in part or degree shall remain in full force and effect to the extent not held invalid or unenforceable. The parties hereto further agree to replace such invalid or unenforceable provision of this Agreement with a valid and enforceable provision that will achieve, to the extent possible, the purposes of such invalid or unenforceable provision.

 

	
12.  

	
This Agreement is solely for the benefit of the parties hereto and is not enforceable by any other Persons.

 

	
13.  

	
Each party hereto hereby represents and warrants that this Agreement has been duly and properly authorized and approved by all necessary corporate, similar and other actions (including, without limitation, by action of the Board).

 

 

[Execution page follows.]

 

  

  

  

 

If the terms of this Agreement are in accordance with your understanding, please sign below, whereupon this Agreement shall constitute a binding agreement among us.

 

Very truly yours,

 

	 CENTURY ALUMINUM COMPANY
	 	 
	 By:	 /s/ William J. Leatherberry
	 	Name:	 William J. Leatherberry
	 	Title:	 Executive Vice President, General Counsel and Secretary
	 	 

 

 

 

Acknowledged and agreed to as of

the date first written above:

 

	 GLENCORE AG
	 	 
	 By:	 /s/ Barbara Bodmer   	 /s/ Andreas Hubmann
	 	 Name:	Barbara Bodmer	Andreas Hubmann
	 	 Title:	Officer	Director
	 	 

 

	 GLENCORE INTERNATIONAL AG
	 	 
	 By:	 /s/ Barbara Bodmer 	 /s/ Andreas Hubmann
	 	Name:    Barbara Bodmer	Andreas Hubmann
	 	Title:      Officers	 
	 	 

 

	 GLENCORE HOLDING AG
	 	 
	 By:	 /s/ Ivan Glasenberg	 /s/ Andreas Hubmann
	 	Name:    Ivan Glasenberg	 Andreas Hubmann
	 	Title:      Directors	 
	 	 

 

 

 

 

[Signature Pages to Letter Agreement]

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