Document:

Exhibit 4.20

 

AMENDMENT
NO. 1

 

TO

 

ADOPTION
AGREEMENT #001

 

RELATING
TO

 

RETIREMENT
SAVINGS TRUST AND PLAN

 

A
PROTOTYPE PLAN SPONSORED BY

 

CALFEE,
HALTER & GRISWOLD LLP

 

 

NORTH
COAST ENERGY, INC. EMPLOYEES’

 

PROFIT
SHARING TRUST AND PLAN

 

 

Restatement
Date:  January 1, 2003

 

WITNESSETH:

 

WHEREAS, the Company amended and restated the North
Coast Energy, Inc. Employees’ Profit Sharing Trust and Plan (hereinafter called
the “Plan”), effective January 1, 2003, by completing and executing an Adoption
Agreement (hereinafter called the “Adoption Agreement”) to the Calfee, Halter
& Griswold Regional Prototype Plan; and

 

WHEREAS, the Company reserved the right to amend the
Adoption Agreement and the Trust and Plan pursuant to Section 28.1 thereof; and

 

 

WHEREAS, the Company desires to amend the Plan in
order to correct the Company’s EIN, to properly reflect the rollover options
under the Plan, and to make certain other desirable changes;

 

NOW, THEREFORE, pursuant to Section 28.1 of the Plan,
the Company hereby amends the Plan, effective as of January 1, 2003, as
follows:

 

1.             Section
(5) of Adoption Agreement #001 is hereby amended by the deletion of said
Section and the substitution in lieu thereof of a new Section (5) to read as
follows:

 

“(5)         Company
Information. Company name, address, telephone number and employer
identification number:

 

North Coast Energy, Inc.

 

1993 Case Parkway

 

Twinsburg, OH 44087

 

(330) 425-2330

 

EIN:  34-1594000                                          .”

 

2.             Section
(9) of the Adoption Agreement is hereby amended, effective as of January 1,
2003, by the deletion of said Section (9) in its entirety and the substitution
in lieu thereof of a new Section (9) to read as follows:

 

“9.           Restatement
Date. The General Restatement Date of this Trust and Plan, if applicable,
is January 1, 2003, except as otherwise provided herein.”

 

2

 

3.             Section
(46) of Adoption Agreement #001 is hereby amended by the deletion of said
Section and the substitution in lieu thereof of a new Section (46) to read as
follows:

 

“(46)       Rollover
Contributions. This Trust and Plan will accept a rollover contribution

from:  (select
all that apply)

 

ý    a qualified plan described in Code Section
401(a)

 

ý    an Individual Retirement Account (“IRA”)
which holds money previously distributed to a Participant from a qualified plan
described in Code Section 401(a) (“Conduit IRA”)

 

o    rollovers are not permitted

 

IN WITNESS WHEREOF, the Company, by its duly
authorized representative, hereby executes this Amendment No. 1 this 10th day
of March, 2003.

 

	
   

  	
  NORTH COAST ENERGY, INC.

  
	
   

  	
   

  
	
   

  	
  (“Company”)

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Dean A. Swift

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  Title:

  	
  General Counsel & Secretary

  
				

 

3Exhibit 4.21

 

EXHIBIT A

 

 

AMENDMENT
NO. 2

TO

ADOPTION
AGREEMENT #001

RELATING
TO

RETIREMENT
SAVINGS TRUST AND PLAN

A
PROTOTYPE PLAN SPONSORED BY

CALFEE,
HALTER & GRISWOLD LLP

 

 

NORTH
COAST ENERGY, INC. EMPLOYEES’

PROFIT
SHARING TRUST AND PLAN

 

 

Restatement
Date:  January 1, 2003

 

1.             Section
(4) of Adoption Agreement #001 is hereby amended, effective as of January 1,
2002, by the deletion of the last sentence of footnote #1 and the substitution
in lieu thereof of a new sentence to read as follows:

 

“No contributions may be made to this Trust and Plan
other than pre-tax contributions pursuant to Section (23)(d) and Participating
Company contributions pursuant to Section 23(a)(vi).”

 

2.             Section (20)
of Adoption Agreement #001 is hereby amended, effective as of January 1,
2002, by the deletion of subparagraph (b) of said Section (20) and the
substitution in lieu thereof of a new subparagraph (b) to read as follows:

 

“(b)         Safe Harbor
Adjustments To Compensation:  (select all
that apply)

 

ý            Compensation shall be
increased for salary reduction amounts under Code Sections 401(k), 125
(including amounts deemed to be contributions under Code Section 125),
132(f)(4), 403(b) and similar plans as described in Section 2.14(b)(i) of the
Trust and Plan

 

 

o            Compensation shall be
reduced by any extra benefits as described in Section 2.14(b)(ii) of the Trust
and Plan

 

o            none of the above.”

 

3.             Section
(23) of Adoption Agreement #001 is hereby amended, effective as of January 1,
2002, by the deletion of footnote #6 in subparagraph (a)(i) of said Section
(23) and the substitution in lieu thereof of a new footnote #6 to read as
follows:

 

“6            May not
exceed 25%.”

 

4.             Section
(23) of Adoption Agreement #001 is hereby further amended, effective as of
January 1, 2002, by the deletion of subparagraph (a)(ii) of said Section (23)
and the substitution in lieu thereof of a new subparagraph (a)(ii) to read as
follows:

 

ý            (ii)(1)       Matching
Contributions. A matching contribution in an amount equal to:  (select one)

 

ý            50 % of each eligible
Participant’s contributions up to a maximum matching contribution of 5%
(percentage of Participant’s Compensation or dollar amount)

 

o            a percentage of each
eligible Participant’s contributions as determined by the Participating Company
for a match period up to a maximum matching contribution of                                           
(percentage of Participant’s Compensation or dollar amount)

 

o            not applicable

 

The match period for which matching contributions are
made is:  (select one)

 

o            week

 

o            calendar month

 

o            calendar quarter

 

o            semi-annual

 

o            Plan Year

 

2

 

o            Company’s pay period

 

ý            each Participating
Company’s pay period

 

(2)           The
following contributions shall be eligible for match:

 

ý            pre-tax
contributions

 

o            after
tax contributions

 

ý            age
50 catch-up contributions, effective April 1, 2003

 

ý            age 50 catch-up
contributions which later are recharacterized as pre-tax contributions, effective April 1, 2003

 

(3)           The
matching contributions designated in subparagraph (1) shall apply to the
eligible Employee contributions described in subparagraph (2):

 

o             separately

 

ý            in
the aggregate, effective April 1, 2003”

 

5.             Section
(23) of Adoption Agreement #001 is hereby further amended, effective as of January
1, 2002, by the addition at the end of said Section (23) of a new paragraph (d)
to read as follows:

 

“(d)         Catch-up
Contributions. For periods beginning on or after April 1, 2003 (January 1,
2002 or a later date), a Participant: (select one)

 

ý            may
make catch-up contributions as permitted by Code Section 414(v)

 

o            may
not make catch-up contributions as permitted by Code Section 414(v)”

 

6.             Section
(27) of Adoption Agreement #001 is hereby amended, effective as of January 1,
2002, by the deletion of paragraph (b) of said Section (27) and the
substitution in lieu thereof of a new paragraph (b) to read as follows:

 

“(b)         Vesting
of Matching Contributions. Matching contributions made by a Participating
Company pursuant to Section 23(a)(ii) of this Adoption Agreement become vested
as follows:

 

3

 

ý            (i)            For
Plan Years beginning on or after January 1, 2002
and before  January 1, 2003:  (select one)

 

o            Vested
Percentage is 100% at all times

 

o            Vested Percentage is
determined in accordance with the vesting schedule in Section (27)(a) above

 

o            Vested Percentage is
100% upon completion of       years of Vesting Service
(may not exceed 5)

 

ý            graded vesting, as
follows:

 

	
  Years

  of Vesting Service

  	
   

  	
  Vested

  Percentage

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
  Less than 1

  	
   

  	
  0

  	
  %

  
	
  1 but less than 2

  	
   

  	
  0

  	
  %

  
	
  2 but less than 3

  	
   

  	
  20

  	
  %

  
	
  3 but less than 4

  	
   

  	
  40 

  	
  %(must be at least 20%)

  
	
  4 but less than 5

  	
   

  	
  60

  	
  %(must be at least 40%)

  
	
  5 but less than 6

  	
   

  	
  80

  	
  %(must be at least 60%)

  
	
  6 but less than 7

  	
   

  	
  100

  	
  %(must be at least 80%)

  
	
  7 or more

  	
   

  	
  100

  	
  %

  

 

o            not applicable

 

ý            (ii)           For
Plan Years beginning on or after January 1, 2003
(select one):

 

ý            Vested Percentage is
100% at all times

 

o            Vested Percentage is
100% upon completion of       years of Vesting Service
(may not exceed 3)

 

o            graded vesting, as
follows:

 

	
  Years

  of Vesting Service

  	
   

  	
  Vested

  Percentage

  	
   

  
	
   

  	
   

  	
   

  	
   

  
	
  Less than 1

  	
   

  	
   

  	
  %

  
	
  1 but less than 2

  	
   

  	
   

  	
  %

  
	
  2 but less than 3

  	
   

  	
   

  	
  % (must be at least 20%)

  
	
  3 but less than 4

  	
   

  	
   

  	
  % (must be at least 40%)

  
	
  4 but less than 5

  	
   

  	
   

  	
  % (must be at least 60%)

  
	
  5 but less than 6

  	
   

  	
   

  	
  % (must be at least 80%)

  
	
  6 or more

  	
   

  	
  100

  	
  %

  

 

4

 

o            not applicable

 

ý            (iii)          The
Vesting Schedule set forth in subparagraphs (i) and (ii)
above shall apply to (select one):

 

ý            all Participants with
amounts credited to Matching Contribution accounts on or after January 1, 2002 and January 1, 2003, respectively

 

o            only those
Participants who are credited with at least one hour of Service under the Trust
and Plan in a Plan Year beginning after December 31, 2001

 

o            not applicable

 

ý            (iv)          The
Vesting Schedule set forth in subparagraphs (i) and
(ii) above shall apply to (select one):

 

ý            all amounts credited
to a Participant’s Matching Contribution account

 

o            only those amounts
credited to a Participant’s Matching Contribution account on and after January
1, 2002

 

o            not applicable”

 

7.             Section
(38) of Adoption Agreement #001 is hereby amended, effective as of January 1,
2002, by the addition at the end of said Section (38) of a new paragraph to
read as follows:

 

“Effective
with respect to distributions made to Participants who incur a Termination of
Employment on or after January 1, 2002 (no
earlier than January 1, 2002):

 

ý            rollover contributions
will be excluded for purposes of determining the value of the Participant’s
vested interest for purposes of this Section (38), effective
January 1, 2003

 

ý            rollover contributions
will not be excluded for purposes of determining the value of the Participant’s
vested interest for

 

5

 

purposes of this Section (38), effective
January 1, 2002 through December 31, 2002

 

o            not applicable”

 

8.             Section
(44) of Adoption Agreement #001 is hereby amended, effective as of January 1,
2002, by the addition at the end of said Section (44) of a new subparagraph (c)
to read as follows:

 

“(c)         The
suspension period (as set forth in Sections 5.6, 7.6 and 14.3(d) of the Trust
and Plan) for hardship distributions made to a Participant on and after January
1, 2001 and prior to January 1, 2002 shall end:

 

ý            the later of (i) 6
months following the Participant’s receipt of the hardship distribution, and
(ii) January 1, 2002

 

o            12 months following
the Participant’s receipt of the hardship distribution

 

o            not applicable”

 

9.             Section
(46) of Adoption Agreement #001 is hereby amended, effective as of January 1,
2002, by the deletion of said Section (46) and the substitution in lieu thereof
of a new Section (46) to read as follows:

 

“(46)       Rollover
Contributions.

 

(a)           For
periods beginning on or after January 1, 2002
and prior to January 1, 2003, this Trust and Plan will accept a
rollover contribution from: (select all that apply)

 

ý            a qualified plan
described in Code Section 401(a)

 

ý            an Individual
Retirement Account (“IRA”) which holds money previously distributed to a
Participant from a qualified plan described in Code Section 401(a) (“Conduit
IRA”)

 

o            rollovers into the
Trust and Plan are not permitted

 

6

 

(b)           For
periods beginning on or after January
1, 2003 (may not be
earlier than January 1, 2002), this Trust and Plan will accept a rollover
contribution from: (select all that apply)

 

ý            a qualified plan
described in Code Section 401(a), excluding after tax employee contributions

 

o            a qualified plan
described in Code Section 401(a), including after tax employee contributions
(if this option is selected, after tax employee contributions must be accounted
for in an After Tax Account or After Tax sub-account within the Participant’s
Rollover Account)

 

ý            an Individual Retirement
Account (“IRA”) which holds money previously distributed to a Participant from
a qualified plan described in Code Section 401(a) (“Conduit IRA”)

 

o            an Individual
Retirement Account (“IRA”), regardless of whether it is a Conduit IRA

 

ý            an annuity contract
described in Code Section 403(b), excluding after tax employee contributions

 

ý            an eligible plan under
Code Section 457(b) which is maintained by a state, political subdivision of a
state, or any agency or instrumentality of a state or political subdivision of
a state

 

o            rollovers into the
Trust and Plan are not permitted

 

No after-tax amounts may be
rolled into the Plan.

 

(c)           For
periods beginning on or after January
1, 2002 (may not be
earlier than January 1, 2002), this Trust and Plan: (select one)

 

ý            will, effective January 1, 2003

 

ý            will not), effective January 1, 2002 through December 31, 2002

 

accept a rollover contribution from an Employee who
receives an eligible rollover distribution from a plan described in (b) above
as the surviving spouse of an individual who participated in said plan.”

 

7

 

IN WITNESS WHEREOF, the Company and the Participating
Companies, by their duly authorized officers, have caused this Amendment No. 2
to Adoption Agreement #001, to be executed this 10th day of March,
2003.

 

	
   

  	
  NORTH COAST ENERGY, INC.

  
	
   

  	
   

  
	
   

  	
  (“Company”)

  
	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Dean A. Swift

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  Title:

  	
  General Counsel & Secretary

  
				

 

Calfee, Halter & Griswold LLP, by its duly
authorized representative, hereby acknowledges receipt of and accepts the
foregoing Amendment No. 2 to Adoption Agreement #001 this                  
day of                                                        ,
2003.

 

	
   

  	
  CALFEE, HALTER & GRISWOLD LLP

  
	
   

  	
  (“Prototype Sponsor”)

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By:

  	
   

  

 

 

8

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