Document:

Specimen Common Stock Certificate of California Pizza Kitchen

 Exhibit 4.1 
 

 
  
 COMMON STOCK COMMON
STOCK INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE California Pizza Kitchen, Inc. SEE REVERSE FOR CERTAIN DEFINITIONS CUSIP 13054D 10 9 
 This certifies that 
 is the owner of 
 FULLY PAID AND NON-ASSESSABLE SHARES OF THE COMMON STOCK, PAR VALUE $.01 PER SHARE, OF 
 California Pizza Kitchen, Inc. 
 (hereinafter, the “Corporation”) transferable on the books of the Corporation by the holder hereof 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 of the provisions
of the Certificate of Incorporation and bylaws of the Corporation and all amendments thereto, copies of which are on file with the Transfer Agent to all of which the holder of this certificate by acceptance hereof assents. This certificate is not
valid unless countersigned and registered by the Transfer Agent and Registrar. 
 WITNESS the facsimile seal of the
Corporation and the facsimile signatures of its duly authorized officers. 
 Dated: 
 CHIEF FINANCIAL OFFICER, 
 VICE PRESIDENT, FINANCE AND SECRETARY CO-CHIEF EXECUTIVE OFFICER, CO-PRESIDENT AND CO-CHAIRMAN OF THE BOARD 
 Countersigned and Registered: AMERICAN STOCK TRANSFER & TRUST COMPANY (New York, New York)
Transfer Agent and Registrar BY Authorized Signature 

 

 
  
 California Pizza
Kitchen, Inc. 
 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   TEN ENT-     as tenants by the entireties (Cust) (Minor) JT TEN-     as joint tenants with right
of survivorship and not as tenants in common under Uniform Gifts 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 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

 X X NOTICE: THE SIGNATURE(S) TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME(S) AS WRITTEN UPON THE FACE OF THE
CERTIFICATE IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATEVER. 
 SIGNATURE(S) GUARANTEED

 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.Amended and Restated Officer's Death Benefit Plan

 Exhibit 10.1 
  
 OFFICERS’ DEATH BENEFIT PLAN OF NEWMONT 
  
 As Amended and Restated Effective January 1, 2004 

 TABLE OF CONTENTS 
  

					
	 	  	 	  	Page

	 ARTICLE I

	 DEFINITIONS
	  	1
	 ARTICLE II

	
	 ELIGIBILITY

	 Section 2.01.
	  	Eligible Classes of Employees and Retirees	  	2
	
	 ARTICLE III

	
	 BENEFITS

	 Section 3.01.
	  	Death Benefits	  	2
	 Section 3.02.
	  	Preretirement Death Benefit	  	2
	 Section 3.03.
	  	Postretirement Death Benefit	  	3
	 Section 3.04.
	  	Source of Death Benefit—In General	  	3
	 Section 3.05.
	  	Offset	  	4
	 Section 3.06.
	  	Transfer of Insurance Policy	  	4
	 Section 3.07.
	  	Source of Death Benefit Following Change of Control	  	4
	 Section 3.08.
	  	Exclusions	  	4
	
	 ARTICLE IV

	 TERMINATION OF BENEFITS
	  	4
	
	 ARTICLE V

	 CONTINUATION OF HEALTH CARE COVERAGE
	  	5
	
	 ARTICLE VI

	 PROTECTION OF MEDICAL PRIVACY
	  	5
	
	 ARTICLE VII

	 COMMITTEES
	  	5
	
	 ARTICLE VIII

	 CLAIMS PROCEDURE
	  	5
	
	 ARTICLE IX

	
	 MISCELLANEOUS

	 Section 9.01.
	  	Plan Documentation	  	5
	 Section 9.02.
	  	No Funding of Death Benefits	  	5
	
	 ARTICLE X

	 AMENDMENT AND TERMINATION
	  	6

  
 Officers’ Death
Benefit Plan of Newmont 
 Effective January 1, 2004 
 i 

			
	EXHIBIT A	 	ORIGINAL GRANDFATHERED GROUP
		
	EXHIBIT B	 	RETIRED OFFICERS

  
 Officers’ Death
Benefit Plan of Newmont 
 Effective January 1, 2004 
 ii 

 OFFICERS’ DEATH BENEFIT PLAN OF NEWMONT 
  
 INTRODUCTION 
  
 Newmont USA Limited and certain related entities (“Newmont”)
previously established the Officers’ Death Benefit Plan of Newmont originally effective September 23, 1985 for the purpose of providing its eligible Salaried Employees and Retirees with death benefits (the “Plan”). Newmont, as the
Plan Sponsor, hereby amends and restates the provisions of the Plan, which provides death benefits for Salaried Employees and Retirees, as a Component Plan of the Employee Benefits Plan of Newmont (the “Employee Benefits Plan”) effective
January 1, 2004. 
  
 The Plan is a welfare benefit plan under
ERISA. 
  
 This Plan constitutes a Component Plan of the Employee
Benefits Plan. This Plan should be read and interpreted in conjunction with the Employee Benefits Plan with both the Plan and the Employee Benefits Plan comprising the Plan document. In the event of an inconsistency between this Plan and the
Employee Benefits Plan, the terms of this Plan shall control. 
  
 DEFINITIONS 
  
 The definitions set forth in the
Employee Benefits Plan shall apply for purposes of this Plan. In addition, the following definitions shall apply to the Plan. 
  
 “Beneficiary” means the beneficiary designated by the Salaried Employee or Retiree as follows: (i) for amounts payable under a group
insurance plan, the beneficiary so designated under the applicable plan or insurance policy, (ii) for amounts payable under a policy purchased by the Employer pursuant to Section 3.04, the beneficiary so designated by the Employer as directed by the
Salaried Employee or Retiree and (iii) for amounts payable from the Employer’s general assets (including any associated trust), the Salaried Employee’s or Retiree’s estate. 
  
 “Normal Retirement Date” means the date the Salaried Employee attains age 62. 
  
 “Salary” means the annualized base rate of pay of the
Salaried Employee immediately prior to the Salaried Employee’s death, or the annualized base rate of pay of the Salaried Employee immediately prior to the date of the Salaried Employee’s retirement from the Employer, as applicable. In the
case of an eligible Retiree who enters into an arrangement with the Employer approved in writing by the Vice President of Human Resources of Newmont Mining or his delegate providing for reduced compensation in order to provide for a transition upon
retirement, the eligible Retiree’s “Salary” shall be the annualized base rate of pay immediately prior to entering into such arrangement with the Employer. 
  
 Officers’ Death Benefit Plan of Newmont 
 Effective January 1, 2004 
 Page 1 of 7 

 ELIGIBILITY 
  
 Section .01. Eligible Classes of Employees and Retirees. The death benefits provided under this Plan will be paid
pursuant to Article III if the Salaried Employee or Retiree satisfies the following requirements of this Section. 
  
 (a) Current Salaried Employees. A current Salaried Employee of the Employer is eligible for the Plan if:

  
 (i) the Salaried Employee is a corporate
officer of Newmont Mining Corporation and is classified as an executive grade; or 
  
 (ii) the Salaried Employee is designated by the Vice President of Human Resources of Newmont Mining or his delegate as eligible for the
Plan. 
  
 (b) Retired Salaried Employees on
and After January 1, 2004. A retired Salaried Employee of the Employer who retires on or after January 1, 2004 is eligible for the Plan if: 
  
 (i) the Retiree was an eligible Salaried Employee under 2.01(a) at the time of his retirement; 
  
 (ii) the Retiree attained age 55 as of the date of his or
her retirement; 
  
 (iii) the Retiree was
eligible for a benefit under the Pension Plan of Newmont immediately following his or her retirement; and 
  
 (iv) the Retiree satisfied the Rule of 75 at the time of retirement. 
  
 In addition, individuals not otherwise within eligible categories are eligible upon written authorization of the Board or
its delegate. 
  
 BENEFITS 
  
 Section .01. Death Benefits. The Employer shall provide, or cause to
be provided, a lump-sum cash payment and/or insurance proceeds as set forth in this Article, to the Salaried Employee’s or Retiree’s Beneficiary or Beneficiaries. Payment shall be made as soon as administratively possible following the
date the Administration Committee or its delegate receives notice of the Salaried Employee’s or Retiree’s death. 
  
 Section .02. Preretirement Death Benefit. A Participant who is an active eligible Salaried Employee at the time of death shall be entitled to a
death benefit equal to three times the Salaried Employee’s Salary on the date of death, with such resulting product rounded upward to the nearest even $1,000. 
  
 Officers’ Death Benefit Plan of Newmont 
 Effective January 1, 2004 
 Page 2 of 7 

 Section .03. Postretirement Death Benefit. 
  
 (a) Original Grandfathered Group. If a
Participant is a member of the Original Grandfathered Group as set forth on Exhibit A the death benefit payable upon his death shall be the amount set forth on Exhibit A 
  
 (b) Eligible Retirees Prior to January 1, 2004. Attached as Exhibit C is a list of the
eligible Retirees as of January 1, 2004 who were not members of the Original Grandfathered Group. The death benefit payable for such individuals shall be the amount set forth on Exhibit B 
  
 (c) Eligible Retirees on and After January 1,
2004. If a Participant is an eligible Retiree on or after January 1, 2004 and has attained age 62, the death benefit payable upon his death shall be an amount equal to the Retiree’s Salary at the time of his retirement, rounded upward
to the nearest $1,000. 
  
 (d) Early
Retirement Reduction. Notwithstanding the foregoing, if the Salaried Employee retires before his Normal Retirement Date (determined as of the date of his retirement), the retired Salaried Employee’s death benefit shall be reduced in
accordance with the following schedule: 
  

			
	 Age at Retirement

	 	 Percent of Salary
 Provided as Death
 Benefit

	55	 	30
	56	 	40
	57	 	50
	58	 	60
	59	 	70
	60	 	80
	61	 	90

  
 Section .04. Source
of Death Benefit—In General. The Employer may, in its sole discretion, acquire individual life insurance policies on the lives of one or more of the eligible Salaried Employees or Retirees. If the Employer does not obtain such insurance,
such eligible Salaried Employees or Retirees shall be entitled to receive the benefits described herein. Such payment shall be made by the Employer and through any Employer-sponsored group life plan. If insurance exists on the life of a Salaried
Employee or Retiree, the death benefit payable upon his death shall be the amount specified in Section 3.02 or 3.03 above, and if the insurance is not sufficient to provide such amount, when added to the amount of any Employer-funded life insurance
benefit, the Employer shall pay the difference directly to the estate of the Salaried Employee or Retiree. 
  
 If the Employer elects to acquire insurance on the life of an eligible Salaried Employee or Retiree but the eligible Salaried Employee or Retiree declines
to participate in the necessary arrangements to obtain such insurance, the eligible Salaried Employee or Retiree will not be entitled to receive any death benefit under this Plan. 
  
 Officers’ Death Benefit Plan of Newmont 
 Effective January 1, 2004 
 Page 3 of 7 

 Section .05. Offset. The total Death Benefit otherwise payable by the Employer under this Plan
shall be offset by any basic life insurance benefit for the Salaried Employee or Retiree to the extent the benefit is funded or the premium is paid by the Employer. Such amount shall include, but may not be limited to, amounts attributable to
Employer-paid premiums under the Group Life and Accidental Death & Dismemberment Plan of Newmont or a replacement plan. The death benefit shall not be offset by the amount of any voluntary benefits payable under an Employer-sponsored group life
plan (e.g., benefits paid for by the Salaried Employee). 
  
 Section .06. Transfer of Insurance Policy. The Employer may transfer the insurance on the life of a Salaried Employee or Retiree to the Salaried Employee or Retiree at or following his retirement from the Employer. Effective
immediately upon such transfer of the policy to the Salaried Employee or Retiree, the Salaried Employee’s or Retiree’s death benefit shall be equal to the amount of insurance proceeds payable under the insurance to the Beneficiary
designated by the Salaried Employee or Retiree. Neither the Plan nor the Employer shall have any further liability or obligation with respect to the payment of the benefit and the Salaried Employee’s or Retiree’s Beneficiary shall look
solely to such insurance policy for the payment of the death benefit established by this Plan. 
  
 Section .07. Source of Death Benefit Following Change of Control. In the event of a Change of Control, the Employer shall transfer to the trustee of the Plan or other trust within a reasonable time following
the date of the Change of Control the ownership of any insurance policies held pursuant to this Plan which are owned by the Employer on the date of the Change of Control. If there are one or more Salaried Employees or Retirees in the Plan at the
time of a Change of Control who are not covered by a life insurance contract owned by the Employer providing for the payment of amounts payable under the Plan upon the death of such Salaried Employee or Retiree, the Employer shall transfer to such
trustee, within a reasonable time following the date of the Change of Control, an amount actuarially determined to be necessary to provide such benefits under the Plan. 
  
 Section .08. Exclusions. Notwithstanding anything to the contrary contained herein, and unless otherwise required by
applicable law, no benefits shall be paid for the following: 
  
 (a) Death caused by attempted suicide or an intentional, self-inflected Injury. 
  
 (b) Death that results from the unlawful use of drugs or alcohol. 
  
 (c) Death that results from committing a criminal act. 
  
 TERMINATION OF BENEFITS 
  
 Benefits under the Plan will terminate in accordance with the provisions of
Article IV of the Employee Benefits Plan. 
  
 Officers’ Death
Benefit Plan of Newmont 
 Effective January 1, 2004 
 Page 4 of 7 

 CONTINUATION OF HEALTH CARE COVERAGE 
  
 The continuation of coverage rules do not apply to the Plan. No continuation of coverage is permitted under Article V of the
Employee Benefits Plan. 
  
 PROTECTION OF MEDICAL PRIVACY

  
 The Plan is not subject to HIPAA and the provisions of
Article VI of the Employee Benefits Plan do not apply to the Plan. 
  
 COMMITTEES 
  
 The Plan shall be administered in
accordance with and by the Committees described in Article VII of the Employee Benefits Plan. 
  
 CLAIMS PROCEDURE 
  
 The
applicable claims procedures described in Article VIII of the Employee Benefits Plan apply to the Plan. The Plan is subject to the “nonmedical claims” provisions of Article VIII of the Employee Benefits Plan. 
  
 With respect to claims for any portion of a death benefit payable pursuant to
insurance contracts, such claims shall be processed according to the terms of the applicable insurance policy or contract and must be submitted by the claimant in accordance with the terms of the applicable insurance policy or contract. 

 
 MISCELLANEOUS 
  
 Section .01. Plan Documentation. The Plan, including its exhibits, and
the Employee Benefits Plan shall be read together and, in all cases, shall constitute the “plan document” for purposes of ERISA and other applicable laws. In all cases, the Plan and the Employee Benefits Plan shall be read together and
treated as a single plan. In the event the provisions of this Plan are inconsistent with the Employee Benefits Plan, the provisions of this Plan shall control. 
  

Section .02. No Funding of Death Benefits. Any portion of the death benefit payable by the Employer under this Plan, other than from a trust,
shall be made by the Employer from its general funds and no Salaried Employee or Retiree shall have any right with respect to any specific assets of the Employer and shall be a general creditor of the Employer with respect to 
  
 Officers’ Death Benefit Plan of Newmont 
 Effective January 1, 2004 
 Page 5 of 7

 any amounts payable hereunder. Any portion of the death benefit payable through or under insurance policies shall be
payable in accordance with the terms and conditions of the individual life insurance policy and the Salaried Employee or Retiree shall have no interest in such life insurance policy unless and until the Employer transfers the life insurance policy
to the Salaried Employee or Retiree on or following the Salaried Employee’s retirement. 
  
 AMENDMENT AND TERMINATION 
  
 The Plan may be amended or terminated in accordance with Article X of the Employee Benefits Plan. 
  
 Officers’ Death Benefit Plan of Newmont 
 Effective January 1, 2004 
 Page 6 of 7 

 The Plan Sponsor, by its duly authorized officer, has executed the Plan on the date written below.

  

					
	 Dated:
                                        
            
	 	 NEWMONT USA LIMITED, Plan Sponsor

			
	 	 	 By:
	 	 /s/ Britt D. Banks

	 	 	 Name:
	 	 Britt D. Banks

	 	 	 Title:
	 	 Vice President and General Counsel

  
 Officers’ Death
Benefit Plan of Newmont 
 Effective January 1, 2004 
 Page 7 of 7 

 EXHIBIT A 
  

ORIGINAL GRANDFATHERED GROUP 
  

				
	 Participant

	  	Total Death Benefit

	 Boyce, Robert
	  	$	308,000
	 Crescenzo, Peter
	  	 	385,000
	 Fontaine, Edward
	  	 	77,000
	 Harris, Leonard
	  	 	385,000
	 Leather, Richard
	  	 	308,000
	 Parker, Gordon
	  	 	277,000
	 Parry, John
	  	 	154,000
	 Phillip, Thomas
	  	 	347,000
	 Ridinger, David
	  	 	385,000
	 Schmitt, Timothy
	  	 	385,000
	 Van Benschoten, Harry
	  	 	385,000
	 Yannopoulos, John
	  	 	385,000

  
 Officers’ Death
Benefit Plan of Newmont 
 Effective January 1, 2004 
 Page A-1 of 1 

 EXHIBIT B 
  

RETIRED OFFICERS 
  

						
	 Name

	  	Total Death Benefit

	  	 Comments

	 Burt, W
	  	$	180,000	  	 
	 Cambre, Ronald
	  	 	800,000	  	 
	 Davenport, John
	  	 	119,000	  	 
	 Hamer, Eric
	  	 	234,000	  	 
	 Krol, Len
	  	 	See comments	  	SPR 3/31/01-receives 1x pay after 3/31/04
	 Kurlander, Larry
	  	 	See comments	  	Terminated 1/31/02-receives 1 x pay after 1/31/05
	 McCall, Donald
	  	 	147,000	  	 
	 Morris, Jack
	  	 	See comments	  	SRP 3/31/01-receives 1 x pay after 3/31/04
	 Mullin, Jim
	  	 	See comments	  	Retired 12/31/01-receives 1 x pay as retiree
	 Paverd, Aubrey
	  	 	129,000	  	 
	 Rendu, Jean-Michael
	  	 	See comments	  	SRP 3/31/01-receives 1 x pay after 3/31/04
	 Thompson, Jack
	  	 	275,000	  	 
	 Van Riper, Thomas
	  	 	130,000	  	 
	 Conte, Steven
	  	$	211,300	  	Terminated 5/31/01-after 5/31/04 coverage ceases
	 Hansen, Joy
	  	 	221,490	  	Terminated 5/31/01-after 5/31/04 coverage ceases

  
 Officers’ Death
Benefit Plan of Newmont 
 Effective January 1, 2004 
 Page B-1 of 1

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00076-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00076-of-00352.parquet"}]]