Document:

exv4w01w1

 

Exhibit 4.01.1

OFFICERS’ CERTIFICATE

OF

TRINITY INDUSTRIES, INC.

     The undersigned, James Perry, does hereby certify that he is the Vice President and Treasurer
of Trinity Industries, Inc., a Delaware corporation (the “Company”), and the undersigned,
Chas Michel, does hereby certify that he is the Vice President, Controller and Chief Accounting
Officer of the Company, and pursuant to Section 12.2 of the Indenture (the “Indenture,”
with capitalized terms used in the Officers’ Certificate, as defined in the Indenture), between the
Company and Wells Fargo Bank, National Association, as Trustee (the “Trustee”), dated as of
June 7, 2006, relating to the Company’s 3 7/8% Convertible Subordinated Notes Due 2036 (the
“Notes”), do hereby certify that:

     1. On May 15, 2006 the Company declared a 3-for-2 stock split in the form of a stock dividend
(the “Stock Dividend”) to holders of record of the Company’s common stock (the “Common
Stock”) as of May 26, 2006. As a result of the Stock Dividend, each holder of two shares of
the Common Stock received one additional share of Common Stock as of the distribution date on June
9, 2006. The ex-dividend date for the Stock Dividend was June 12, 2006.

     2. The initial Conversion Rate was 12.7648 and the initial Conversion Price under the
Indenture was $78.34. Immediately after 9:00 a.m., New York City time, on June 13, 2006 (subject
to further adjustment as provided in the Indenture), the Conversion Rate is 19.1472 and the
Conversion Price is $52.23, calculated in accordance with Section 12.2(a) of the Indenture
(collectively, the “Conversion Rate Adjustment”).

     3. Such officers have read the provisions of the Indenture applicable to the Conversion Rate
Adjustment, including, without limitation, Section 12.2 thereof.

     4. The statements or opinions contained in this certificate are based on the undersigned’s
review of the Indenture and certain other corporate documents and records.

     5. We are of the opinion that we have made such examination or investigation as is necessary
to enable us to express an informed opinion that the Conversion Rate Adjustment is permitted by the
Indenture and whether or not the conditions precedent to Conversion Rate Adjustment have been
complied with.

     6. We are of the opinion that Conversion Rate Adjustment is permitted under the Indenture and
that upon mailing a notice thereof to the holders of the Notes in accordance with the Indenture,
all conditions precedent provided for in the Indenture relating to the Conversion Rate Adjustment
have been complied with.

*******

 

 

     IN WITNESS WHEREOF, the undersigned have executed this Officers’ Certificate as of this ___
day of June, 2006.

	 	 	 	 	 
	 

	 	/s/ James E. Perry	 	 
	 

	 	 	 	 
	 

	 	Name: James Perry	 	 
	 

	 	Title: Vice President and Treasurer	 	 
	 
	 	 	 	 
	 

	 	/s/ Chas Michel	 	 
	 

	 	 	 	 
	 

	 	Name: Chas Michel	 	 
	 

	 	Title: Vice President, Controller and Chief Accounting Officerexv4w2w5

 

Exhibit 4.2.5

AGREEMENT OF SUBSTITUTION AND AMENDMENT OF

COMMON SHARES RIGHTS AGREEMENT

     This Agreement of Substitution and Amendment is entered into as of March 6, 2006, by and
between Trinity Industries, Inc., a Delaware corporation (the “Company”) and American Stock
Transfer and Trust Company, a New York banking corporation (“AST”).

RECITALS

	A.	 	On or about March 11, 1999, the Company entered into a Common Shares Rights Agreement (the
“Rights Agreement”) with The Bank of New York, replaced effective January 1, 2003 by Wachovia
Bank, National Association (the “Predecessor Agent”) as rights agent.

	B.	 	The Company wishes to remove the Predecessor Agent and substitute AST as rights agent
pursuant to Section 21 of the Rights Agreement.

	C.	 	The Company has given the Predecessor Agent notice of removal of the Predecessor Agent as
rights agent.

AGREEMENT

     NOW THEREFORE, in consideration of the foregoing and of other consideration, the sufficiency
of which is hereby acknowledged, the parties agree as follows:

	1.	 	Section 21 of the Rights Agreement is hereby amended to provide that any successor rights
agent shall, at the time of its appointment as rights agent, have a combined capital and
surplus of at least $25 million.

	2.	 	The Company hereby appoints AST as rights agent pursuant to Section 21 of the Rights
Agreement, to serve in that capacity for the consideration and subject to all of the terms and
conditions of the Rights Agreement.

	3.	 	AST hereby accepts the appointment as rights agent pursuant to Section 21 of the Rights
Agreement and agrees to serve in that capacity for the consideration and subject to all of the
terms and conditions of the Rights Agreement.

	4.	 	From and after the effective date hereof, each and every reference in the Rights Agreement to
a “Rights Agent” shall be deemed to be a reference to AST.

 

 

	5.	 	Section 26 of the Rights Agreement is amended to provide that notices or demands shall be
addressed as follows (until another address is filed):

	 	 	 
	If to the Company:

	 	James E. Perry
	 

	 	Vice President and Treasurer
	 

	 	2525 Stemmons Freeway
	 

	 	Dallas, TX 75207
	 
	 	 
	with a copy to:

	 	Michael G. Fortado
	 

	 	Vice President and Secretary
	 

	 	2525 Stemmons Freeway
	 

	 	Dallas, TX 75207
	 
	 	 
	If to AST:

	 	American Stock Transfer & Trust Company
	 

	 	59 Maiden Lane
	 

	 	New York, NY 10038
	 

	 	Attention: Corporate Trust Department

	6.	 	Except as expressly modified herein, the Right Agreement shall remain in full force and
effect.

	7.	 	This Agreement of Substitution and Amendment may be executed in one or more counterparts,
each of which shall together constitute one and the same document.

     IN WITNESS WHEREOF, the parties have caused this Agreement to be duly executed as of the date
indicated above.

	 	 	 	 	 	 	 
	 	 	TRINITY INDUSTRIES, INC.	 	 
	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	 	 	 
	 	 	Name: James E. Perry	 	 
	 
	 	 	 	 	 	 
	 	 	AMERICAN STOCK TRANSFER & TRUST COMPANY	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	 	 	 
	 

	 	Name:exv4w2w6

 

EXHIBIT 4.2.6

					
	 	 	 	 	 
	 
	 	

TRINITY INDUSTRIES, INC.
	 	

CERTIFICATE OF ADJUSTMENT

OF

TRINITY INDUSTRIES, INC.

     Trinity Industries, Inc., a Delaware corporation (the “Company”), does hereby certify in
accordance with Section 12 of the Rights Agreement (defined below) that:

     1. The Company is a party to a Rights Agreement dated March 11, 1999, as amended (the “Rights
Agreement”).

     2. On May 15, 2006 the Company declared a 3-for-2 stock split in the form of a stock dividend
(the “Stock Dividend”) to holders of record of the Company’s common stock (the “Common Stock”) as
of May 26, 2006. As a result of the Stock Dividend, each holder of two shares of the Common Stock
received one additional share of Common Stock as of the distribution date on June 9, 2006.

     3. Before the Stock Dividend, the Rights Agreement provided for one right to purchase one
one-hundredth (1/100) of a share of Series A Preferred Stock, par value $1.00 (the “Series A
Preferred Stock”), at a purchase price of $200.00 per share, subject to adjustment, for each share
of Common Stock. Pursuant to Sections 11 (p) of the Rights Agreement, following the Stock Dividend,
each share of Common Stock outstanding shall have attached to it 2/3 (two- thirds) of a Right, and
each full Right will continue to entitle the holder to purchase 1/100 of a share of Series A
Preferred Stock at a purchase price of $200.00 (subject to possible future adjustment as provided
in the Rights Agreement).

     4. Initially capitalized terms used but not defined herein have the meanings set forth in the
Rights Agreement.

     IN WITNESS WHEREOF, the undersigned has executed this Certificate of Adjustment as of this
9th day of June, 2006.

	 	 	 	 	 
	 

	 	TRINITY INDUSTRIES, INC.	 	 
	 
	 	 	 	 
	 

	 	         /s/ Michael G. Fortado	 	 
	 

	 	 	 	 
	 

	 	Name Michael G. Fortado	 	 
	 

	 	Title: Vice President and Corporate Secretaryexv10w18w2

 

EXHIBIT 10.18.2

FIRST AMENDMENT TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT

     This First Amendment to Second Amended and Restated Credit Agreement (this “First
Amendment”) is executed effective as of June ___, 2006 (the “Effective Date”), by and
among Trinity Industries, Inc., a Delaware corporation (the “Borrower”), JPMorgan Chase
Bank, N.A., as the Administrative Agent (the “Administrative Agent”), and the financial
institutions parties hereto as Lenders (individually a “Lender” and collectively the
“Lenders”).

W I T N E S S E T H:

     WHEREAS, the Borrower, the Administrative Agent, the Syndication Agents, the Documentation
Agent and the Lenders are parties to that certain Second Amended and Restated Credit Agreement
dated as of April 20, 2005 (the “Credit Agreement”) (unless otherwise defined herein, all
terms used herein with their initial letter capitalized shall have the meaning given such terms in
the Credit Agreement); and

     WHEREAS, pursuant to the Credit Agreement, the Lenders have made Loans to the Borrower; and

     WHEREAS, the Borrower has requested that the Lenders amend certain terms of the Credit
Agreement in certain respects; and

     WHEREAS, subject to the terms and conditions herein contained, the Required Lenders have
agreed to the Borrower’s request.

     NOW THEREFORE, for and in consideration of the mutual covenants and agreements herein
contained and other good and valuable consideration, the receipt and sufficiency of which are
hereby acknowledged and confessed, the Borrower, the Administrative Agent and the Required Lender
hereby agree as follows:

     Section 1. Amendments. In reliance on the representations, warranties,
covenants and agreements contained in this First Amendment, and subject to the terms and conditions
contained herein, the Credit Agreement is hereby amended effective as of the Effective Date in the
manner provided in this Section 1.

          1.1 Additional Definition. Section 1.01 of the Credit Agreement is amended to add
thereto in alphabetical order the definition of “First Amendment” which shall read in full
as follows:

          “First Amendment” means that certain First Amendment to Second Amended and Restated
Credit Agreement dated as of June ___, 2006, among the Borrower, the Administrative Agent and the
Lenders.

          1.2 Amendment to Definition. The definition of “Loan Documents” set forth in
Section 1.01 of the Credit Agreement is amended to read in full as follows:

1

 

          “Loan Documents” means this Agreement, the First Amendment, the Notes, the Subsidiary
Guaranties, the Security Instruments, the Intercreditor Agreement, the Letters of Credit, any
Borrowing Request, any Interest Election Request, any Assignment and Acceptance, the Fee Letter,
and all other agreements (including Hedging Agreements) relating to this Agreement, the Loans, the
Lender Indebtedness or the Collateral entered into from time to time between or among the Borrower
(or any or all of its Subsidiaries) and the Administrative Agent or any Lender (or, with respect to
the Hedging Agreements, any Affiliates of any Lender), and any document delivered by the Borrower
or any of its Subsidiaries in connection with the foregoing, as such documents, instruments or
agreements may be amended, modified or supplemented from time to time.

          1.3 Amendment to Payment Restrictions Provisions. Section 7.11 of the Credit
Agreement is amended to delete subsection (c) thereof in its entirety.

     Section 2. Conditions Precedent to Effectiveness of Amendment. This First
Amendment shall be effective automatically and without the necessity of any further action by the
Administrative Agent, the Borrower or any Lender when counterparts hereof have been executed by the
Administrative Agent, the Borrower and the Required Lenders, and each of the following conditions
to the effectiveness hereof have been satisfied:

          (a) the representations and warranties contained herein and in all other Loan
Documents, as amended hereby, shall be true and correct in all material respects as of the
Effective Date as if made on the Effective Date, except for such representations and
warranties limited by their terms to a specific date;

          (b) after giving effect to this First Amendment, no Default or Event of Default shall
exist; and

          (c) all proceedings taken in connection with the transactions contemplated by this
First Amendment and all documentation and other legal matters incident thereto shall be
satisfactory to the Administrative Agent and its counsel.

     Section 3. Representations and Warranties of the Borrower. To induce the
Lenders and the Administrative Agent to enter into this First Amendment, the Borrower hereby
represents and warrants to the Administrative Agent and the Lenders as follows:

          3.1 Reaffirmation of Representations and Warranties. Each representation and warranty
of the Borrower contained in the Credit Agreement and the other Loan Documents is true and correct
on the date hereof after giving effect to the amendments set forth in Section 1 hereof.

          3.2 Due Authorization, No Conflicts. The execution, delivery and performance by the
Borrower of this First Amendment are within the Borrower’s corporate powers, have been duly
authorized by necessary action, require no action by or in respect of, or filing with, any
governmental body, agency or official and do not violate or constitute a default under any
provision of applicable law or any material agreement binding upon the Borrower or its
Subsidiaries, or result in the creation or imposition of any Lien upon any of the assets of the
Borrower or its Subsidiaries except for Permitted Encumbrances.

2

 

          3.3 Validity and Binding Effect. This First Amendment constitutes the valid and
binding obligations of the Borrower enforceable in accordance with its terms, except as (a) the
enforceability thereof may be limited by bankruptcy, insolvency or similar laws affecting
creditor’s rights generally, and (b) the availability of equitable remedies may be limited by
equitable principles of general application.

          3.4 No Defenses. The Borrower has no defenses to payment, counterclaim or rights of
set-off with respect to the indebtedness, obligations and liabilities of the Borrower under the
Loan Documents existing on the date hereof.

          3.5 Absence of Defaults. After giving effect to the amendments set forth in
Section 1 hereof, neither a Default nor an Event of Default has occurred which is
continuing.

     Section 4. Miscellaneous.

          4.1 Reaffirmation of Loan Documents. Any and all of the terms and provisions of the
Credit Agreement and the other Loan Documents shall, except as amended and modified hereby, remain
in full force and effect. The Borrower hereby agrees that the amendments and modifications herein
contained shall in no manner adversely affect or impair the indebtedness, obligations and
liabilities of the Borrower under the Loan Documents.

          4.2 Parties in Interest. All of the terms and provisions of this First Amendment
shall bind and inure to the benefit of the parties hereto and their respective successors and
assigns.

          4.3 Counterparts. This First Amendment may be executed in counterparts, and all
parties need not execute the same counterpart; however, no party shall be bound by this First
Amendment until counterparts hereof have been executed by the Borrower and the Required Lenders.
Facsimiles shall be effective as originals.

          4.4 Complete Agreement. THIS FIRST AMENDMENT, THE CREDIT AGREEMENT AND THE OTHER LOAN
DOCUMENTS REPRESENT THE FINAL AGREEMENT AMONG THE PARTIES WITH RESPECT TO THE SUBJECT MATTER HEREOF
AND THEREOF AND MAY NOT BE CONTRADICTED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS OR ORAL AGREEMENTS OF
THE PARTIES. THERE ARE NO UNWRITTEN ORAL AGREEMENTS BETWEEN OR AMONG THE PARTIES.

          4.5 Headings. The headings, captions and arrangements used in this First Amendment
are, unless specified otherwise, for convenience only and shall not be deemed to limit, amplify or
modify the terms of this First Amendment, nor affect the meaning thereof.

     IN WITNESS WHEREOF, the parties hereto have caused this First Amendment to be duly executed by
their respective Authorized Officers as of the Effective Date.

[Signature Pages Follow]

3

 

SIGNATURE PAGE

TO

FIRST AMENDMENT TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT

BY AND AMONG

TRINITY INDUSTRIES, INC.,

JPMORGAN CHASE BANK, N.A., AS ADMINISTRATIVE AGENT

AND THE FINANCIAL INSTITUTIONS PARTIES THERETO AS LENDERS

	 	 	 	 	 	 	 
	 	 	TRINITY INDUSTRIES, INC.	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	 	 
	 

	 	Name: 	 	 	 	 
	 

	 	 	 	 	 
	 

	 	Title:	 	 	 	 
	 

	 	 	 	 	 

[SIGNATURE PAGES]

 

 

SIGNATURE PAGE

TO

FIRST AMENDMENT TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT

BY AND AMONG

TRINITY INDUSTRIES, INC.,

JPMORGAN CHASE BANK, N.A., AS ADMINISTRATIVE AGENT

AND THE FINANCIAL INSTITUTIONS PARTIES THERETO AS LENDERS

	 	 	 	 	 	 	 
	 	 	JPMORGAN CHASE BANK, N.A., individually and as
Administrative Agent	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	 	 	 
	 

	 	Name:	 	 	 	 
	 

	 	 	 	 	 	 
	 

	 	Title:	 	 	 	 
	 

	 	 	 	 	 	 

[SIGNATURE PAGES]

 

 

SIGNATURE PAGE

TO

FIRST AMENDMENT TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT

BY AND AMONG

TRINITY INDUSTRIES, INC.,

JPMORGAN CHASE BANK, N.A., AS ADMINISTRATIVE AGENT

AND THE FINANCIAL INSTITUTIONS PARTIES THERETO AS LENDERS

	 	 	 	 	 	 	 
	 	 	 ,	 	 
	 	 	as a Lender	 	 
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	 	 	 
	 

	 	Name:	 	 	 	 
	 

	 	 	 	 	 	 
	 

	 	Title:	 	 	 	 
	 

	 	 	 	 	 	 

[SIGNATURE PAGES]

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