Document:

Form of Common Share Certificate

 Exhibit 4(a) 

 

 

 COMMON SHARES 

PAR VALUE $0.125 

COMMON SHARES 

THIS CERTIFICATE IS TRANSFERABLE IN CANTON, MA AND NEW YORK, NY 

CLIFFS NATURAL RESOURCES INC. 

INCORPORATED UNDER THE LAWS OF THE STATE OF OHIO 

THIS CERTIFIES THAT 

** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David
Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample MR. **** Mr. Alexander SAMPLE David Sample **** Mr. Alexander David &Sample MRS. **** Mr. Alexander David SAMPLE Sample **** Mr. Alexander
David & Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David
Sample **** Mr. Alexander MR. David Sample SAMPLE **** Mr. Alexander David Sample & **** Mr. Alexander MRS. David Sample **** SAMPLE Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander
David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr.
Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Sample **** Mr. Sample 

**600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares***
 *600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****
600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****6
00620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****60 * * * SIX HUNDRED THOUSAND
0620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600
620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares***600620**Shares****600620**Shares****60062
0**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620
**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620*
*Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620** SIX HUNDRED AND TWENTY* * *
Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**S
hares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Sh 

CUSIP 18683K 10 1 

SEE REVERSE FOR CERTAIN DEFINITIONS 

Shares 

* * 6 0 0 6 2 0 * * * * * * 

* * * 6 0 0 6 2 0 * * * * * 

* * * * 6 0 0 6 2 0 * * * * 

* * * * * 6 0 0 6 2 0 * * * 

* * * * * * 6 0 0 6 2 0 * * 

is the owner of 

FULLY PAID AND NON-ASSESSABLE COMMON SHARES OF THE PAR VALUE OF $0.125 EACH OF 

Cliffs Natural Resources Inc., transferable on the books of the Company by the registered holder 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 the provisions of the Articles of the Company filed in the office of the Secretary of
State of Ohio (copies of which are on file with the Company and with the Transfer Agent) to which the holder by acceptance hereof assents. This certificate is not valid unless countersigned by the Transfer Agent and registered by the Registrar.

 Witness the seal of the Company and the signatures of its duly authorized officers. 

Chairman, President and Chief Executive Officer 

Secretary 

DATED > 

COUNTERSIGNED AND REGISTERED: 

COMPUTERSHARE TRUST COMPANY, N.A. 

TRANSFER AGENT AND REGISTRAR, 

By 

AUTHORIZED SIGNATURE 

Certificate Number 

ZQ 000000 

CLIFFS NATURAL RESOURCES INC. OHIO CORPORATE SEAL 

 

 

 CLIFFS NATURAL RESOURCES INC. 

A COPY OF THE EXPRESS TERMS OF THE SHARES REPRESENTED BY THIS CERTIFICATE AND OF ALL OTHER CLASSES AND SERIES OF SHARES WHICH CLIFFS NATURAL
RESOURCES INC. IS AUTHORIZED TO ISSUE WILL BE MAILED TO ANY SHAREHOLDER WITHOUT CHARGE WITHIN FIVE DAYS AFTER RECEIPT FROM SUCH SHAREHOLDER OF A WRITTEN REQUEST THEREFOR. SUCH REQUESTS SHOULD BE ADDRESSED TO THE SECRETARY OF CLIFFS NATURAL RESOURCES
INC., 33RD FLOOR, 200 PUBLIC SQUARE, CLEVELAND, OHIO 44114-2315. 

 

																			
	 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-	 	........................	 	Custodian	 	.....................	 		  	
		 		 		 		 	(Cust)	 		 		 	(Minor)	 		  	
	 TEN ENT
	 	-	 	as tenants by the entireties	 		 	under Uniform Gifts to Minors Act	 	........................	 		  	
		 		 		 		 		 	(State)	 		  	

																			
	 JT TEN
	 	    -	 	as joint tenants with right of survivorship and not as tenants in common	 	          UNIF TRF MIN ACT	 	 ........................

(Cust)
	 	Custodian (until age...)	 	 ........................

(Minor)
	 		  	
		 		 		 		 	
      under Uniform Transfers to Minors Act. 
...........................

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

  

			
		 	PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE
	For value received,                 hereby sell, assign and 
transfer unto  	 	
        
  

                           
                                         
                                         
                                         
                                         
                                         
                          

(PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS, INCLUDING POSTAL ZIP CODE, OF ASSIGNEE) 

                        
                                         
                                         
                                         
                                         
                                         
                             

                        
                                         
                                         
                                         
                                         
                                         
                             

                          
                                         
                                         
                                         
                                         
                                         
              Shares 
 represented by the within Certificate, and do hereby
irrevocably constitute and appoint 

                          
                                         
                                         
                                         
                                         
                                         
          Attorney, 
 to transfer the said shares on the books of the within-named Company, with full
power of substitution in the premises. 
  

			
	
Dated:                          
                                         
                                20        
              
  

Signature:                         
                                         
                                         
               
  

Signature:                         
                                         
                                         
             

Notice:   The signature to this assignment must correspond with the name   as
written upon the face of the certificate, in every particular,   without alteration or enlargement, or any change whatever.
	    	
Signature(s) Guaranteed: Medallion Guarantee Stamp

THE SIGNATURE(S) SHOULD 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.Eighth Amendment to Amended and Restated Loan Agreement

 Exhibit 10.1 

EIGHTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT 

This Eighth Amendment to Amended and Restated Loan Agreement (this “Amendment”) is made and entered into to be effective for
all purposes as of April 23, 2010, by and between JPMORGAN CHASE BANK, NA, a national banking association [successor by merger to Bank One, NA (Illinois)] with its main office in Chicago, Illinois and with a banking office located at 420
Throckmorton Street, Suite 400, Fort Worth, Texas 76102 (“Lender”), and PLAINS CAPITAL CORPORATION, a Texas corporation (“Borrower”). 

RECITALS: 

A. Lender’s predecessor and Borrower have previously executed that certain Amended and Restated Loan Agreement (as amended, the
“Agreement”) dated October 1, 2001, which has been amended by: (i) that certain First Amendment to Amended and Restated Loan Agreement dated August 1, 2002; (ii) that certain Second Amendment to Amended and Restated
Loan Agreement dated as of August 1, 2003; (iii) that certain Third Amendment to Amended and Restated Loan Agreement dated as of June 1, 2004; (iv) that certain Fourth Amendment to Amended and Restated Loan Agreement dated as of
November 21, 2005; (v) that certain Fifth Amendment to Amended and Restated Loan Agreement dated as of October 16, 2006; (vi) that certain Sixth Amendment to Amended and Restated Loan Agreement dated as of December 19, 2007;
and (vii) that certain Seventh Amendment to Amended and Restated Loan Agreement dated as of June 19, 2009. 
 B. Under
the Agreement, Lender agreed to extend to Borrower a revolving line of credit (the “LOC”) evidenced by that certain Promissory Note dated as of June 1, 2004, which has been executed by Borrower and is payable to Lender in the maximum
principal amount of $20,000,000.00 (the “Original Revolving Note”). 
 C. The Original Revolving Note was amended and
restated as well as renewed and extended pursuant to that certain Amended and Restated Promissory Note, dated as of November 21, 2005, made by Borrower and payable to the order of Lender (the “First Amended Revolving Note”).

 D. The First Amended Revolving Note was amended and restated as well as renewed and extended pursuant to that certain Second
Amended and Restated Promissory Note, dated as of October 16, 2006, made by Borrower and payable to the order of Lender (the “Second A&R Revolving Note”). 

E. The Second A&R Revolving Note was amended and restated as well as renewed and extended pursuant to that certain Fourth Amended and
Restated Promissory Note, dated as of December 19, 2007, made by Borrower and payable to the order of Lender (the “Prior Revolving Note”). 

E. The Prior Revolving Note was amended and restated as well as renewed and extended pursuant to that certain Fourth Amended and Restated
Promissory Note, dated as of June 19, 2009, made by Borrower and payable to the order of Lender (the “Note”). 
  

 EIGHTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT – Page 1 

 F. Borrower has now requested that Lender agree to modify certain provisions under the Loan
Agreement, and Lender is willing to do so provided that, among other things, the Agreement is amended as herein provided. 
 G.
The parties to this Amendment desire to modify and amend the Agreement as hereinafter set forth and to enter into this Amendment. 

AGREEMENT: 

NOW, THEREFORE, in consideration of the premises and other good and valuable consideration, the receipt and sufficiency of which are
hereby acknowledged, and subject to all terns, conditions, and covenants herein set forth, Lender and Borrower hereby covenant and agree as follows: 

1. Acknowledgment of Outstanding Balance. The parties hereto acknowledge that the outstanding principal balance under the Note as
of April 1, 2010, was SEVENTEEN MILLION TWO HUNDRED THOUSAND AND NO/100 Dollars ($17,200,000.00). 
 2. Non-Performing
Asset Ratio. Section 5.14 of the Loan Agreement is hereby amended such that Borrower shall not permit the Non-Performing Asset Ratio of Bank or any other Banking Subsidiary to exceed 3.50% as of the last day of any calendar quarter
rather than 2.50%. For the purposes of this provision and notwithstanding anything to the contrary, the term “Non-Performing Asset Ratio” shall mean the ratio, expressed as a percentage, of (i) Bank’s or any other Banking
Subsidiary’s Non-Performing Assets to (ii) the sum of (a) Bank’s or any other Banking Subsidiary’s Total Loans, plus (b) Bank’s or any other Banking Subsidiary’s real estate owned (OREO) through foreclosure or
deed-in-lieu of foreclosure, all determined by applicable regulatory accounting principles consistently applied. 
 3.
Definitions. All capitalized terms used in this Amendment which are not otherwise defined in this Amendment shall have the same meaning as given to such terms in the Agreement. 

4. Representations and Warranties. Borrower represents and warrants to Lender that (a) all of the representations and
warranties contained in the Agreement, the Security Instruments, and all instruments and documents executed pursuant thereto or contemplated thereby are true and correct in all material respects on and as of the date of this Amendment, (b) the
execution, delivery and performance of this Amendment, the New Note and any and all other documents executed and/or delivered in connection herewith have been authorized by all requisite action on the part of Borrower, (c) no Event of Default
exists under the Agreement and there are no defenses, counterclaims or offsets to the Prior Revolving Note, the New Note, or any of the Security Instruments, and (d) no change has occurred, either in any case or in the aggregate, in the
condition, financial or otherwise, of Borrower or Bank or with respect to Borrower’s or Bank’s assets or properties from the facts represented in the Agreement or any Security Instrument which would have a material adverse effect on the
financial condition, business, or assets of Borrower or Bank. 
  

 EIGHTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT – Page 2 

 5. Survival of Representations, Warranties and Covenants. All representations,
warranties and covenants made in this Amendment or in any other document furnished in connection with this Amendment shall survive the execution and delivery of this Amendment, and no investigation by Lender or any closing shall affect such
representations, warranties and covenants or the right of Lender to rely upon them. 
 6. References to Agreement. The
Agreement and any and all other agreements, documents, or instruments now or hereafter executed and delivered pursuant to the terms hereof or pursuant to the terms of the Agreement, as amended hereby, are hereby amended so that any reference therein
to the Agreement shall mean a reference to the Agreement as amended hereby. 
 7. Further Assurances. Borrower agrees
that at any time and from time to time, upon the request of Lender, Borrower will execute and deliver such further documents and do such further acts and things as Lender may reasonably request in order to fully effect the purposes of this Amendment
and to provide for the payment of the Obligations. 
 8. Acknowledgment. Borrower ratifies and confines that the
Agreement as amended hereby, the Note, the Security Instruments and the other Loan Documents are and remain in full force and effect in accordance with their respective terms, that the Security Instruments secure the payment of all of the
Obligations, that the Collateral is unimpaired by this Amendment, and that the Collateral is security for the payment and performance in full of all of the Obligations. The undersigned officer of Borrower executing this Amendment represents and
warrants that he has full power and authority to execute and deliver this Amendment on behalf of Borrower, that such execution and delivery has been duly authorized by the Board of Directors of Borrower, and that the resolutions of Borrower
previously delivered to Lender in connection with the execution and delivery of the Agreement are and remain in full force and effect and have not been altered, amended or repealed in any manner. 

9. Existing Loan Documents. Except as amended and modified by this Amendment, the Agreement, the Note, the Security Instruments
and all other Loan Documents shall remain in full force and effect in accordance with the terms and provisions thereof. Any reference in any of the Loan Documents to the “Amended and Restated Loan Agreement” shall be deemed to be
references to the Agreement as amended hereby through the date hereof. In the event of any conflict between this Amendment and the Agreement, this Amendment shall control and the Agreement shall be construed accordingly. 

10. Counterparts. This Amendment has been executed in a number of identical counterparts, each of which constitutes an original
and all of which constitute, collectively, one agreement; but in making proof of this Amendment, it shall not be necessary to produce or account for more than one such counterpart. 

11. Severability. In the event any one or more of the provisions contained in the Agreement or this Amendment should be held to be
invalid, illegal or unenforceable in any respect, the validity, enforceability and legality of the remaining provisions contained herein and therein shall not in any way be affected or impaired thereby, and shall be enforceable in accordance with
their respective terms. 
  

 EIGHTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT – Page 3 

 12. Amendment Fee; Expenses. Borrower agrees to pay (i) to Lender an amendment
fee in connection herewith of $10,000.00; and (ii) all reasonable costs incurred (whether by Lender, Borrower, or otherwise) in connection with the preparation, execution, and consummation of this Amendment and the consummation of all
transactions contemplated by this Amendment. 
 13. Applicable Law. THIS AMENDMENT, THE REVOLVING NOTE AND .ALL OTHER
DOCUMENTS EXECUTED PURSUANT HERETO SHALL BE DEEMED TO HAVE BEEN MADE AND TO BE PERFORMABLE IN FORT WORTH, TARRANT COUNTY, TEXAS, AND SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF THE STATE OF TEXAS. THE PARTIES TO THIS AMENDMENT
HEREBY CONSENT THAT VENUE OF ANY ACTION BROUGHT UNDER THIS AMENDMENT OR UNDER ANY OF THE LOAN DOCUMENTS SHALL BE IN TARRANT COUNTY, TEXAS. 

14. Successors and Assigns. This Amendment is binding upon and shall inure to the benefit of Lender and Borrower and their
respective successors and assigns, except Borrower may not assign or transfer any of its rights or obligations hereunder without the prior written consent of Lender. 

15. Headings. The headings, captions, and arrangements used in this Amendment are for convenience only and shall not affect the
interpretation of this Amendment. 
 16. No Oral Agreements. Pursuant to Section 26.02 of the Texas Business and
Commerce Code the following notice is given: 
 THIS WRITTEN AMENDMENT AND THE OTHER LOAN DOCUMENTS REPRESENT THE FINAL
AGREEMENT BETWEEN THE PARTIES AND MAY NOT BE CONTRADICTED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS, OR SUBSEQUENT ORAL AGREEMENTS OF THE PARTIES. THERE ARE NO UNWRITTEN ORAL AGREEMENTS BETWEEN THE PARTIES. 

IN WITNESS WHEREOF, Lender and Borrower, by and through their respective duly authorized officers or representatives, have caused this
Amendment to be executed and delivered as of the date first above written. 
  

			
	LENDER:
	
	JPMORGAN CHASE BANK, NA, a national banking association [successor by merger to Bank One, NA (Illinois)]
		
	By:	 	 /s/ Timothy Johnson

	Name:	 	Timothy Johnson
	Title:	 	Senior Vice President

  

 EIGHTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT – Page 4 

			
	BORROWER:
	
	PLAINS CAPITAL CORPORATION
		
	By:	 	 /s/ Jeff Isom

	Name:	 	Jeff Isom
	Title:	 	Executive Vice President and Chief Accounting Officer

  

 EIGHTH AMENDMENT TO AMENDED AND RESTATED LOAN AGREEMENT – Page 5

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00172-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00172-of-00352.parquet"}]]