INTL FCStone 2012 Annual Report Download - page 132
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PART IV
ITEM 15 Exhibits
10.16 FCStone Group, Inc. Executive Long Term Incentive Plan E ective Fiscal Year 2008 (incorporated by reference from the Current
Report on Form 8-K led by FCStone Group, Inc. with the SEC on July15, 2008)
10.17 FCStone Group, Inc. Amended and Restated Mutual Commitment Compensation Plan (incorporated by reference from
Amendment No.2 to the Registration Statement on Form S-4 led by FCStone Group, Inc. with the SEC on December9, 2004)
10.18 Form of Director Indemni cation Agreement (incorporated by reference from Amendment No.3 to the Registration Statement on
Form S-4 led by FCStone Group, Inc. with the SEC on December30, 2004)
10.19 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
Form 8-K led with the SEC on April5, 2010).
10.20 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 Form 8-K led with the SEC on June24, 2010).
10.21 Fourth Amendment to Amended and Restated Credit Agreement, made as of April12, 2012, by and between FCStone, LLC, as
Borrower, FCStone Group, Inc., as Guarantor, INTL FCStone Inc., as Guarantor, Bank of Montreal, as Administrative Agent, and
BMO Harris Financing, Inc., as a lender party thereto (incorporated by reference from the Company’s Current Report on Form
8-K led with the SEC on April13, 2012).
10.22 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 Form 8-K led with the SEC on July7, 2010).
10.23 Option Agreement by and among International Assets Holding Corporation and Hanley Group Holdings, LLC (incorporated by
reference from the Company’s Current Report on Form 8-K led with the SEC on July7, 2010).
10.24 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, New York Branch, as additional Issuing Banks,
and the lenders party thereto (incorporated by reference from the Company’s Current Report on Form 8-K led with the SEC on
September28, 2010).
10.25 Second Amendment to Amended and Restated Credit Agreement, made as of September21, 2011, by and between INTL
Commodities, Inc., as borrower, INTL FCStone Inc., as a guarantor, BNP Paribas, as Administrative Agent and an Issuing Bank,
and ABN AMRO Capital USA LLC, as an additional Issuing Bank (incorporated by reference from the Company’s Current Report
on Form 8-K led with the SEC on September26, 2011).
10.26 Fourth Amendment to Amended and Restated Credit Agreement, made as of September18, 2012, by and between INTL
Commodities, Inc., as borrower, INTL FCStone Inc., as guarantor, BNP Paribas, as Administrative Agent and an Issuing Bank,
and ABN AMRO Capital USA LLC, as an additional Issuing Bank (incorporated by reference from the Company’s Current Report
on Form 8-K led with the SEC on September20, 2012).
10.27 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 Form 8-K led with the SEC on November4, 2010).
10.28 Credit Agreement, made as of August10, 2012, by and between FCStone Merchant Services, LLC, as Borrower, INTL FCStone
Inc., as Guarantor, Bank of Montreal, as Administrative Agent and a Lender, BMO Capital Markets, as Sole Lead Arranger and
Sole Book Runner, and the lenders party thereto (incorporated by reference from the Company’s Current Report on Form 8-K led
with the SEC on August14, 2012).
10.29 Second Amendment to Credit Agreement, made as of September14, 2012, by and between FCStone Merchant Services, LLC,
as Borrower, INTL FCStone Inc., as Guarantor, Bank of Montreal, as Administrative Agent and a Lender, and the nancial
institutions party to the Second Amendment, as lenders party thereto (incorporated by reference from the Company’s Current
Report on Form 8-K led with the SEC on September19, 2012).
10.30 Retirement and Consulting Agreement, dated October1, 2012, by and between the Company and Paul G. Anderson. *
14 International Assets Holding Corporation Code of Ethics (incorporated by reference from the Company’s Form 10-KSB led with
the SEC on December29, 2003).
21 List of the Company’s subsidiaries. *
23.1 Consent of KPMG LLP *
31.1 Certi cation of Chief Executive O cer, pursuant to Rule 13a—14(a). *
31.2 Certi cation of Chief Financial O cer, pursuant to Rule 13a—14(a). *
32.1 Certi cation of Chief Executive O cer, pursuant to 18 U.S.C. Section1350, as adopted pursuant to Section906 of the Sarbanes-
Oxley Act of 2002. *
32.2 Certi cation of Chief Financial O cer, pursuant to 18 U.S.C. Section1350, as adopted pursuant to Section906 of the Sarbanes-
Oxley Act of 2002. *
* Filed as part of this report.