Document:

Form of Stock Certificate

 

 
  

					
	COMMON STOCK	 	

	 	COMMON STOCK
	 PAR VALUE $.001
	 	 	 	 THIS CERTIFICATE IS TRANSFERABLE IN
 NEW YORK, NEW YORK OR CHICAGO, ILLINOIS

  

					
	
	 	 	 	

	Certificate
Number	  	 	 	Shares
			
	ZQ 000195	  	INCORPORATED UNDER THE LAWS OF THE STATE OF NEVADA	 	 * * 600620* * * * * *
 * * * 600620* * * * *
 * * * * 600620* * * *
 * * * * * 600620* * *
 * * * * * * 600620* *

	
	 	 	 	

  

					
	 	 	 	 	

	 THIS CERTIFIES THAT
	 	 	 	CUSIP 293306 10 6
	 	 	 	 	

	 	 	MR. SAMPLE & MRS. SAMPLE &	 	SEE REVERSE FOR CERTAIN DEFINITIONS
	 	 	MR. SAMPLE & MRS. SAMPLE	 	 
			
	 is the owner of
	 	* * * SIX HUNDRED THOUSAND	 	 
	 	 	SIX HUNDRED AND TWENTY* * *	 	 

  
 FULLY-PAID AND
NON-ASSESSABLE SHARES OF THE COMMON STOCK OF 
 ENGLOBAL CORPORATION 
 transferable on the books of the Corporation in person or by duly authorized attorney, upon surrender of this Certificate properly endorsed. This Certificate is not valid unless countersigned by the Transfer Agent and
registered by the Registrar. 
  
 Witness the facsimile seal of the Company
and the facsimile signatures of its duly authorized officers. 
  

					
	 	 	 	 	DATED<<Month Day, Year>>
	 

	 	

	 	 COUNTERSIGNED AND REGISTERED:
 COMPUTERSHARE
INVESTOR SERVICES, LLC.
 (CHICAGO)
 TRANSFER AGENT AND
REGISTRAR
  
 By

	 	 	 	 	

	 	 	 	 	AUTHORIZED SIGNATURE
	 	 	SECURITY INSTRUCTIONS ON REVERSE	 	 

  

 THE COMPANY IS AUTHORIZED TO ISSUE SHARES OF MORE THAN ONE CLASS OR SERIES OF STOCK. A FULL STATEMENT OF ALL THE
DESIGNATIONS, PREFERENCES, LIMITATIONS, AND RELATIVE RIGHTS OF THE SHARES OF EACH CLASS OR SERIES TO THE EXTENT THEY HAVE BEEN FIXED AND DETERMINED IS ON FILE IN THE OFFICE OF THE SECRETARY OF STATE OF NEVADA AND THE COMPANY WILL FURNISH A COPY OF
SUCH STATEMENT TO THE RECORD HOLDER OF THIS CERTIFICATE WITHOUT CHARGE ON WRITTEN REQUEST TO THE COMPANY AT ITS PRINCIPAL PLACE OF BUSINESS OR REGISTERED OFFICE. 
  

 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	 	. . . . . . . . . .Custodian (until age. . . ). . . . . . . .
	 	  	 	 	 	 	(Cust)                                      
              (Minor)
	 	  	 	 	 	 	under Uniform Transfers 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 INSERT SOCIAL SECURITY
OR OTHER IDENTIFYING NUMBER
OF ASSIGNEE 	 	 
	 	 	

  

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

  

			
	 	  	Shares
	
	 	 
	 of the capital 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:                      20
            
	 	 	 	 Signature: 

	 	 	 	 	

			
	 Signature(s) Guaranteed:
	 	 	 	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.

	 BY:
	 	 	 	 
	
	 	 	 	 
	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.Supplementary Executive Retirement Plan

 Exhibit 10.3(a) 
  
 INSTRUMENT AMENDING 
  
 LYONDELL CHEMICAL COMPANY 
  
 SUPPLEMENTARY EXECUTIVE RETIREMENT PLAN 
  
 Lyondell Chemical Company hereby amends, effective March 26, 2004, the Lyondell Chemical Company Supplementary Executive Retirement Plan, as follows: 
  
 ARTICLE I, Section 1.4, Definitions, Change in Control, is
revised in its entirety to read as follows: 
  
 Change in Control means an event which is deemed to have occurred as of the date that one or more of the following occurs: 
  
 (i) Individuals who, on the date of this amendment, constitute the entire Board (“Incumbent Directors”) cease for any
reason to constitute at least a majority of the Board; provided, however, that any individual becoming a director subsequent to the date hereof whose election, or nomination for election by the Company’s shareholders, was approved by a vote of
at least a majority of the then Incumbent Directors shall be considered as though such individual was an Incumbent Director, but excluding, for this purpose any such individual whose initial assumption of office occurs as a result of either an
actual or threatened election contest, as such terms are used in Rule 14a-11 under the Securities Exchange Act of 1934, as amended or other actual or threatened solicitation of proxies or consents by or on behalf of any Person (as defined below)
other than the Board; 
  
 (ii) The stockholders
of the Company shall approve any merger, consolidation or recapitalization of the Company (or, if the capital stock of the Company is affected, any subsidiary of the Company), or any sale, lease, or other transfer (in one transaction or a series of
transactions contemplated or arranged by any party as a single plan) of all or substantially all of the assets of the Company (each of the foregoing being an “Acquisition Transaction”) where (1) the shareholders of the Company
immediately prior to such Acquisition Transaction would not immediately 

 after such Acquisition Transaction beneficially own, directly or indirectly, shares or other ownership
interests representing in the aggregate eighty percent (80%) or more of (a) the then outstanding common stock or other equity interests of the corporation or other entity surviving or resulting from such merger, consolidation or recapitalization or
acquiring such assets of the Company, as the case may be, or of its ultimate parent corporation or other entity, if any (in either case, the “Surviving Entity”), and (b) the Combined Voting Power of the then outstanding Voting
Securities of the Surviving Entity or (2) the Incumbent Directors at the time of the initial approval of such Acquisition Transaction would not immediately after such Acquisition Transaction constitute a majority of the Board of Directors, or
similar managing group, of the Surviving Entity; provided, however, that, notwithstanding the foregoing, a Change of Control shall not be deemed to have occurred for purposes of this Subsection (ii) if each of the following conditions are met: (a)
the Acquisition Transaction is between the Company and/or its Affiliates, on the one hand, and Millennium Chemicals Inc. (“Millennium”) and/or its Affiliates, on the other hand, (b) the Company or an entity that was a wholly owned
subsidiary of the Company prior to the Acquisition Transaction has a class of equity securities registered under Section 12 of the Securities Exchange Act of 1934, as amended, immediately after completion of the Acquisition Transaction, and (c) as a
result of the Acquisition Transaction, the Company or its Affiliates own a greater percentage equity interest in Equistar Chemicals, LP (“Equistar”) than was owned, directly or indirectly, by the Company immediately prior to such
Acquisition Transaction; 
  
 (iii) The
stockholders of the Company shall approve any plan or proposal for the liquidation or dissolution of the Company; or 
  
 (iv) Any Person shall be or become the beneficial owner (as defined in Rules 13d-3 and 13d-5 under the Securities Exchange Act of 1934, as
amended), directly or indirectly, of securities of the Company representing in the aggregate more than twenty percent (20%) of either (A) the then outstanding shares of common stock of the Company (“Common Shares”) or (B) the
Combined Voting Power of all then outstanding Voting Securities of the Company; provided, however, that notwithstanding the foregoing, a Change in Control shall not be deemed to have occurred for purposes of this Subsection (iv): 
  
 (1) Solely as a result of an acquisition of securities by the Company which,
by reducing the number of Common Shares or other Voting Securities outstanding, increases (a) the proportionate number of Common Shares beneficially owned by any Person to more than twenty percent (20%) of the Common Shares then outstanding, or (b)
the proportionate voting power represented by the Voting Securities beneficially owned by any Person to more than twenty percent (20%) of the Combined Voting Power of all then outstanding Voting Securities; 
  

 2 

 (2) Solely as a result of an acquisition of securities directly from the Company, except for any
conversion of a security that was not acquired directly from the Company; or 
  
 (3) Solely as a result of a direct or indirect acquisition by Occidental Petroleum Corporation (“Occidental”) or Millennium, or any Affiliate of either of them, of beneficial ownership of securities
representing, (x) in the case of Occidental (with its Affiliates), no more than forty percent (40%), (y) in the case of Millennium (with its Affiliates), no more than forty percent (40%), and (z) in the case of Occidental (with its Affiliates) and
Millennium (with its Affiliates) in the aggregate, no more than forty-nine percent (49%), of either (A) the then outstanding Common Shares or (B) the Combined Voting Power of all then outstanding Voting Securities of the Company, pursuant to or as
contemplated under any agreement between the Company and Occidental and/or Millennium or Affiliates of either of them (including any subsequent related transaction or series of related transactions or acquisitions of Voting Securities of the Company
by Occidental and/or Millennium or their Affiliates or assignees approved by the Incumbent Directors prior to the consummation of such transaction or series of related transactions) where, as a result of such transaction or series of related
transactions, the Company or a Surviving Entity owns, directly or indirectly, a greater percentage equity interest in Equistar than was owned, directly or indirectly, by the Company immediately prior to such transaction or series of related
transactions. 
  
 provided, further, that if any Person referred
to in paragraph (1) or (2) of this Subsection (iv) shall thereafter become the beneficial owner of additional shares or other ownership interests representing one percent (1%) or more of the outstanding Common Shares or one percent (1%) or more of
the Combined Voting Power of the Company (other than (x) pursuant to a stock split, stock dividend or similar transaction or (y) as a result of an event described in paragraph (1), (2) or (3) of this Subsection (iv)), then a Change in Control shall
be deemed to have occurred for purposes of this Subsection (iv). 
  
 (v) For purposes of this definition of Change in Control, the following capitalized terms have the following meanings: 
  
 (1) “Affiliate” shall mean, as to a specified person, another person that directly or indirectly through one or more
intermediaries, controls or is controlled by, or is under common control with, the specified person, within the meaning of such terms as used in Rule 405 under the Securities Act of 1933, as amended, or any successor rule. 
  
 (2) “Combined Voting Power” shall mean the
aggregate votes entitled to be cast generally in the election of the Board of Directors, or similar managing group, of a corporation or other entity by holders of then outstanding Voting Securities of such corporation or other entity. 
  

 3 

 (3) “Person” shall mean any individual, entity (including, without limitation,
any corporation, partnership, trust, joint venture, association or governmental body) or group (as defined in Sections 14(d)(3) or 15(d)(2) of the Exchange Act and the rules and regulations thereunder); provided, however, that Person shall not
include the Company, LYONDELL-CITGO Refining LP (“LCR”) or Equistar, any of their subsidiaries, any employee benefit plan of the Company, LCR or Equistar or any of their majority-owned subsidiaries or any entity organized, appointed or
established by the Company, LCR, Equistar or such subsidiaries for or pursuant to the terms of any such plan. 
  
 (4) “Voting Securities” shall mean all securities of a corporation or other entity having the right under ordinary circumstances
to vote in an election of the Board of Directors, or similar managing group, of such corporation or other entity. 
  
 IN WITNESS WHEREOF, the undersigned, being duly authorized on behalf of the Company, has executed this instrument on this 26th day of March, 2004. 
  

							
	 ATTEST:
	  	LYONDELL CHEMICAL COMPANY
				
	BY:	 	/s/ JoAnn L. Beck	  	 BY:
	 	/s/ Dan F. Smith
	 	 	
	 	 	 	

	 	 	Assistant Secretary	  	 	 	 Dan F. Smith,
 President and Chief Executive
Officer

  

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