INTL FCStone 2011 Annual Report Download - page 128

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INTL FCSTONE INC.Form10K114
PARTIV
ITEM 15 Exhibits
10.12 International Assets Holding Corporation form of Securities Purchase Agreement (incorporated by reference from the Company’s
Form8-K led with the SEC on September15,2006).
10.13 International Assets Holding Corporation form of Lock Up Agreement (incorporated by reference from the Company’s Form8-K
led with the SEC on September15,2006).
10.14 International Assets Holding Corporation form of Registration Rights Agreement (incorporated by reference from the Company’s
Form8-K led with the SEC on September15,2006).
10.15 2007 Restricted Stock Plan (incorporated by reference from the Company’s Proxy Statement on Form14A led with the SEC on
January18,2007).
10.16 2007 Executive Compensation Plan (incorporated by reference from the Company’s Proxy Statement on Form14A led with the
SEC on January18,2007).
10.17 Chief Executive O cer Employment Agreement, e ective September1,2007, between FCStone Group,Inc. and Paul G. Anderson
(incorporated by reference from the Current Report on Form8-K led by FCStone Group,Inc. with the SEC on July15,2008)
10.18 Executive Employment Agreement, e ective September1,2008, between FCStone Group,Inc. and William J. Dunaway
(incorporated by reference from the Current Report on Form8-K led by FCStone Group,Inc. with the SEC on
November12,2008)
10.19 CEO Deferred Compensation Plan for Paul G. Anderson dated February22,2002 (incorporated by reference from the Registration
Statement on FormS-4 led by FCStone Group,Inc. with the SEC on August18,2004)
10.20 Farmers Commodities Corporation Supplemental Nonquali ed Pension Plan (incorporated by reference from Amendment No. 2 to
the Registration Statement on FormS-4 led by FCStone Group,Inc. with the SEC on December9,2004)
10.21 Executive Short-Term Incentive Plan (incorporated by reference from Amendment No. 2 to the Registration Statement on
FormS-1, led by FCStone Group,Inc. with the SEC on February27,2007)
10.22 FCStone Group,Inc. Executive Long Term Incentive Plan E ective Fiscal Year 2008 (incorporated by reference from the Current
Report on Form8-K led by FCStone Group,Inc. with the SEC on July15,2008)
10.23 FCStone GroupInc. Change In Control Severance Plan (incorporated by reference from Amendment No. 2 to the Registration
Statement on FormS-1, led by FCStone Group,Inc. with the SEC on February27,2007)
10.24 FCStone Group,Inc. Sta Incentive Plan (incorporated by reference from Amendment No. 2 to the Registration Statement on
FormS-1, led by FCStone Group,Inc. with the SEC on February27,2007 )
10.25 FCStone Group,Inc. Amended and Restated Mutual Commitment Compensation Plan (incorporated by reference from
Amendment No. 2 to the Registration Statement on FormS-4 led by FCStone Group,Inc. with the SEC on December9,2004)
10.26 Formof Director Indemni cation Agreement (incorporated by reference from Amendment No. 3 to the Registration Statement on
FormS-4 led by FCStone Group,Inc. with the SEC on December30,2004)
10.30 Stock Purchase Agreement dated as of April1,2010, by and among FCStone Group,Inc.; Risk Management Incorporated; RMI
Consulting,Inc.; John Snell; Daniel Conrath and Shane Mathis (incorporated by reference from the Company’s Current Report on
Form8-K led with the SEC on April5,2010).
10.31 Amended and Restated Credit Agreement, made as of June21,2010, by and between FCStone,LLC, as borrower, FCStone
Group,Inc., as a guarantor, International Assets Holding Corporation, as a guarantor, Bank of Montreal, as administrative agent,
BMO Capital Markets, as Sole Lead Arranger, and the lenders party thereto (incorporated by reference from the Company’s Current
Report on Form8-K led with the SEC on June24,2010).
10.32 Purchase Agreement dated as of July2,2010, by and among FCStone Group,Inc.; Hanley Group Holdings,LLC; HGC
Trading,LLC; HGC Asset Management,LLC; HGC Advisory Services,LLC; Hanley Alternative Trade Group,LLC; HGC
O ce Services,LLC; George P. Hanley; George P. Hanley Trust and George P. Hanley GRAT (incorporated by reference from the
Company’s Current Report on Form8-K led with the SEC on July7,2010).
10.33 Option Agreement by and among International Assets Holding Corporation and Hanley Group Holdings,LLC (incorporated by
reference from the Company’s Current Report on Form8-K led with the SEC on July7,2010).
10.34 Amended and Restated Credit Agreement, made as of September22,2010, by and between INTL Commodities,Inc. as borrower,
International Assets Holding Corporation, as a guarantor, BNP Paribas as Administrative Agent, Collateral Agent, an Issuing Bank
and the Swing Line Lender, ABN AMRO Bank N.V. and Rabobank Nederland, NewYork Branch, as additional Issuing Banks,
and the lenders party thereto (incorporated by reference from the Company’s Current Report on Form8-K led with the SEC on
September28,2010).
10.35 Credit Agreement, e ective on October29,2010, by and between International Assets Holding Corporation and INTL Global
Currencies Limited as borrowers, the subsidiaries identi ed therein as guarantors, Bank of America, N.A. and additional lenders
(incorporated by reference from the Company’s Current Report on Form8-K led with the SEC on November4,2010).
10.36 Credit Agreement, made as of December2,2010, by and between FCStone Financial,Inc. as borrower, International Assets
Holding Corporation, as guarantor, Bank of Montreal, as Administrative Agent and a Lender, and the lenders party thereto
(incorporated by reference from the Company’s Current Report on Form8-K led with the SEC on December7,2010).
14 International Assets Holding Corporation Code of Ethics (incorporated by reference from the Company’s Form10-KSB led with
the SEC on December29,2003).
21 List of the Company’s subsidiaries. *