Document:

Exhibit 10.1

 

AMENDMENT NO. 1 TO CREDIT AGREEMENT

 

This AMENDMENT NO. 1 TO CREDIT AGREEMENT (this “Amendment”), dated as of September 9, 2011, is executed by and between Ameriprise Financial, Inc. (the “Company”), the Lenders (as defined below), and Wells Fargo Bank, National Association, as administrative agent (the “Agent”).

 

BACKGROUND

 

A.    The Company, the lenders party thereto (“Lenders”), the Agent and the other named agents are party to that certain Credit Agreement dated as of September 30, 2010 (the “Credit Agreement”).

 

B.    The parties wish to amend the Credit Agreement as provided herein as of the date hereof.

 

C.    The Company, the Agent and the Lenders are willing to enter into this Amendment upon the terms and conditions set forth below.

 

NOW THEREFORE, in consideration of the matters set forth in the recitals and the covenants and provisions herein set forth, and other valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto agree as follows:

 

AGREEMENT

 

Section 1.       Definitions.  Capitalized terms used herein and not otherwise defined herein shall have the meanings ascribed thereto in the Credit Agreement.

 

Section 2.       Amendment to the Credit Agreement.  Section 1.1 of the Credit Agreement is amended by deleting the definition of “Revolving Loan Commitment Termination Date” in its entirety and replacing it with the following:

 

“Revolving Loan Commitment Termination Date” means November 30, 2011.

 

Section 3.       Representations and Warranties.  To induce the Agent and the undersigned Lenders to execute this Amendment, the Company hereby represents and warrants to the Agent and such Lenders as follows:

 

3.1.          the execution, delivery and performance of this Amendment have been duly authorized by all requisite action of the Company, and this Amendment constitutes the legal, valid and binding obligation of the Company, enforceable against the Company in accordance with its terms, subject to bankruptcy, insolvency, reorganization, fraudulent transfer, moratorium or similar laws relating to or limiting creditors’ rights generally or by equitable principles relating to enforceability;

 

3.2.          each of the representations and warranties in the Credit Agreement are true and correct in all material respects with the same effect as though made on and as of the date hereof (except, in each case, to the extent stated to relate to an earlier date, in

 

 

which case such representation or warranty shall have been true and correct on and as of such earlier date); provided that, if a representation or warranty is qualified as to materiality, the applicable materiality qualifier set forth above shall be disregarded with respect to such representation and warranty for purposes of this provision; and

 

3.3.          no Event of Default or Potential Event of Default exists under the Credit Agreement or would exist after giving effect to this Amendment.

 

Section 4.       Effectiveness.  This Amendment shall become effective upon the receipt by the Agent of counterparts hereof signed by the Agent, the Company and each of the Lenders.

 

Section 5.       Reference to and Effect Upon the Credit Agreement.

 

5.1.          Except as specifically provided herein, the Credit Agreement and the other Loan Documents shall remain in full force and effect and are hereby ratified and confirmed.

 

5.2.          Except as specifically set forth herein, the execution, delivery and effectiveness of this Amendment shall not operate as a waiver of any right, power or remedy of the Agent or the Lenders under the Credit Agreement or any other Loan Document, nor constitute an amendment or waiver of any provision of the Credit Agreement or any other Loan Document.  Upon the effectiveness of this Amendment, each reference to the Credit Agreement contained therein or in any other Loan Document shall mean and be a reference to the Credit Agreement as amended hereby.

 

Section 6.       APPLICABLE LAW.  THIS AMENDMENT AND THE RIGHTS AND OBLIGATIONS OF THE PARTIES HEREUNDER SHALL BE GOVERNED BY, AND SHALL BE CONSTRUED IN ACCORDANCE WITH, THE INTERNAL LAWS OF THE STATE OF NEW YORK (INCLUDING SECTION 5-1401 OF THE GENERAL OBLIGATIONS LAW OF THE STATE OF NEW YORK), WITHOUT REGARD TO CONFLICTS OF LAWS PRINCIPLES THAT WOULD REQUIRE APPLICATION OF ANOTHER LAW.

 

Section 7.       Enforceability and Severability.  Wherever possible, each provision in or obligation under this Amendment shall be interpreted in such manner as to be effective and valid under applicable law, but if any such provision or obligation shall be invalid, illegal or unenforceable in any jurisdiction, the validity, legality and enforceability of the remaining provisions or obligations, or of such provision or obligation in any other jurisdiction, shall not in any way be affected or impaired thereby.

 

Section 8.       Counterparts.  This Amendment may be executed in any number of counterparts and by different parties hereto in separate counterparts, each of which when so executed and delivered shall be deemed to be an original and all of which when taken together shall constitute one and the same instrument.  Delivery of a counterpart signature page by facsimile transmission or by e-mail transmission of an Adobe portable document format file

 

2

 

(also known as a “PDF” file) shall be effective as delivery of a manually executed counterpart signature page.

 

Section 9.       Costs and Expenses.  The Company hereby affirms its obligation under Section 10.2 of the Credit Agreement to reimburse the Agent for all reasonable and documented out-of-pocket costs and expenses incurred thereby in connection with the preparation, negotiation, execution and delivery of this Amendment, including but not limited to the attorneys’ fees and expenses for the Agent with respect thereto.

 

[signature page follows]

 

3

 

IN WITNESS WHEREOF, the parties hereto have executed this Amendment on the day and year first above written.

 

	
COMPANY:
    	
 
    
	
 
    	
 
    
	
 
    	
AMERIPRISE FINANCIAL, INC.
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   James Hamalainen
    
	
 
    	
Title:
    	
Senior   Vice President - Treasurer
    
	
 
    	
 
    
	
 
    	
 
    
	
LENDERS:
    	
 
    
	
 
    	
 
    
	
 
    	
WELLS FARGO BANK, NATIONAL ASSOCIATION,
    
	
 
    	
individually   and as Administrative Agent
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   Michael J. Giese
    
	
 
    	
Title:
    	
Managing   Director
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
BANK OF AMERICA, N.A., individually and as   Syndication Agent
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   Tiffany Burgess
    
	
 
    	
Title:
    	
Vice   President
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
JPMORGAN CHASE BANK, N.A.,
    
	
 
    	
as   a Lender
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   Melvin Jackson
    
	
 
    	
Title:
    	
Vice   President
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
CREDIT SUISSE AG, CAYMAN ISLANDS BRANCH,
    
	
 
    	
as   a Lender
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   Jay Chall
    
	
 
    	
Title:
    	
Director
    
	
 
    	
 
    	
 
    
	
 
    	
By:
    	
/s/   Philipp Nuter
    
	
 
    	
Title:
    	
Assistant   Vice President
    

 

[Signature Page to Amendment No. 1 to Credit Agreement]

 

 

	
 
    	
HSBC BANK USA, NATIONAL ASSOCIATION,
    
	
 
    	
as   a Lender
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   Lawrence Karp
    
	
 
    	
Title:
    	
Managing   Director
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
BARCLAYS BANK PLC,
    
	
 
    	
as   a Lender
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   Diane Rolfe
    
	
 
    	
Title:
    	
Director
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
GOLDMAN SACHS BANK USA,
    
	
 
    	
as   a Lender
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   Mark Walton
    
	
 
    	
Title:
    	
Authorized   Signatory
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
MORGAN STANLEY BANK, N.A.,
    
	
 
    	
as   a Lender
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   Sherrese Clark
    
	
 
    	
Title:
    	
Authorized   Signatory
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
U.S. BANK NATIONAL ASSOCIATION,
    
	
 
    	
as   a Lender
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   Inna Kotsubey
    
	
 
    	
Title:
    	
Vice   President
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
THE BANK OF NEW YORK MELLON,
    
	
 
    	
as   a Lender
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   Paulette J. Truman
    
	
 
    	
Title:
    	
Vice   President
    

 

[Signature Page to Amendment No. 1 to Credit Agreement]

 

 

	
 
    	
BNP PARIBAS,
    
	
 
    	
as   a Lender
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   Phil Truesdale
    
	
 
    	
Title:
    	
Managing   Director
    
	
 
    	
 
    	
 
    
	
 
    	
By:
    	
/s/   Riad Jafarov
    
	
 
    	
Title:
    	
Vice   President
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
SOCIETE GENERALE,
    
	
 
    	
as   a Lender
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   William Aishton
    
	
 
    	
Title:
    	
Director
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
UBS LOAN FINANCE LLC,
    
	
 
    	
as   a Lender
    
	
 
    	
 
    
	
 
    	
By:
    	
/s/   Irja R. Otsa
    
	
 
    	
Title:
    	
Associate   Director
    
	
 
    	
 
    	
 
    
	
 
    	
By:
    	
/s/   Mary E. Evans
    
	
 
    	
Title:
    	
Associate   Director
    

 

[Signature Page to Amendment No. 1 to Credit Agreement]Exhibit 4.1

 

	

    	
 

Industry Canada
    	
 

Industrie Canada
    

 

	
Certificate
    	
Certificat
    
	
of Amalgamation
    	
de fusion
    
	
 
    	
 
    
	
Canada Business
    	
Loi canadienne sur
    
	
Corporations Act
    	
les sociétés par actions
    

 

	
Franco-Nevada Corporation
    	
 
    	
445771-4
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
Name of corporation-Dénomination de la société
    	
 
    	
Corporation number-Numéro de la société
    
	
 
    	
 
    	
 
    
	
I hereby certify that the above-named corporation resulted from an   amalgamation, under section 185 of the Canada Business Corporations Act, of   the corporations set out in the attached articles of amalgamation.
    	
 
    	
Je certifie que la société susmentionnée est issue d’une fusion, en   vertu de l’article 185 de la Loi canadienne sur les sociétés par actions, des   sociétés dont les dénominations apparaissent dans les statuts de fusion   ci-joints.
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
January 1, 2008 / le   1 janvier 2008
    
	
 
    	
/s/ Richard G. Shaw
    	
 
    	
 
    
	
 
    	
Richard G. Shaw
    	
 
    	
Date of Amalgamation -   Date de fusion
    
	
 
    	
Director - Directeur
    	
 
    	
 
    

 

 

 

 

 

SCHEDULE 1

 

3                                         THE CLASSES AND ANY MAXIMUM NUMBER OF SHARES THAT THE CORPORATION IS AUTHORIZED TO ISSUE

 

The authorized capital of the Corporation shall consist of an unlimited number of Common Shares and an unlimited number of Preferred Shares, issuable in series. The rights, privileges, restrictions and conditions attaching to the Common Shares as a class and the Preferred Shares, issuable in series as a class, shall be as follows:

 

1.                                       Common Shares

 

1.1                                 Voting

 

The holders of the Common Shares shall be entitled to one vote for each Common Share held at all meetings of shareholders of the Corporation, other than meetings at which only the holders of another class or series of shares are entitled to vote separately as a class or series.

 

1.2                                 Dividends

 

Subject to the prior rights of the holders of the Preferred Shares, if any, and to any other shares ranking senior to the Common Shares with respect to priority in the payment of dividends, the holders of the Common Shares shall be entitled to receive dividends and the Corporation shall pay dividends thereon, if, as and when declared by the directors out of the moneys of the Corporation properly applicable to the payment of dividends, in such amount and in such form as the board of directors may from time to time determine, and all dividends which the directors may declare on the Common Shares shall be declared and paid in equal amounts per share on all Common Shares at the time outstanding.

 

1.3                                 Dissolution

 

In the event of the dissolution, liquidation or winding-up of the Corporation, whether voluntary or involuntary, or any other distribution of assets of the Corporation among its shareholders for the purpose of winding up its affairs, subject to the prior rights of the holders of the Preferred Shares and to any other shares ranking senior to the Common Shares with respect to priority in the distribution of assets upon dissolution, liquidation or winding-up, the holders of the Common Shares shall be entitled to receive the remaining property and assets of the Corporation.

 

2.                                       Preferred Shares Issuable in Series

 

The Preferred Shares may, at any time and from time to time, be issued in one or more series each series to consist of such number of shares as may, before the issue thereof, be fixed by the directors of the Corporation. The directors of the Corporation may, before issuance and subject as hereinafter provided, determine the designation, rights, privileges, restrictions and conditions attaching to the Preferred Shares of each series including, without limiting the generality of the foregoing:

 

 

(a)                                  the rate, amount or method of calculation of any dividends, whether cumulative, non-cumulative or partially cumulative, and whether such rate, amount or method of calculation shall be subject to change or adjustment in the future, the currency or currencies of payment, date or dates and place or places of payment thereof and the date or dates from which any such dividends shall accrue and any preference of such dividends;

 

(b)                                 any rights of redemption and/or purchase and the redemption or purchase prices and terms and conditions of any such rights;

 

(c)                                  any rights of retraction vested in the holders of Preferred Shares of such series and the prices and terms and conditions of any such rights and whether any other rights of retraction may be vested in such holders in the future;

 

(d)                                 any voting rights;

 

(e)                                  any conversion rights;

 

(f)                                    any rights to receive the remaining property of the Corporation upon dissolution, liquidation or winding-up and the amount and preference of any such rights;

 

(g)                                 any sinking fund or purchase fund; and

 

(h)                                 any other provisions attaching to any such series of the Preferred Shares.

 

2

 

SCHEDULE 2

 

7                                         OTHER PROVISIONS

 

(a)                                  The directors may appoint one or more directors, who shall hold office for a term expiring not later than the close of the next annual meeting of shareholders, but the total number of directors so appointed may not exceed one third of the number of directors elected at the previous annual meeting of shareholders.

 

(b)                                 The holders of any fractional shares issued by the Corporation shall be entitled to exercise voting rights and to receive dividends in respect of each such fractional share.

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00194-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00194-of-00352.parquet"}]]