INTL FCStone 2014 Annual Report Download - page 131

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INTL FCSTONE INC. Form 10K 115
PART IV
ITEM 15 Exhibits
10.15 Amended and Restated Credit Agreement, made as of June 21, 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 filed with the SEC on June 24, 2010).
10.16 Sixth Amendment to Amended and Restated Credit Agreement, made as of April 10, 2014, 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 filed with the SEC on April 11, 2014).
10.17 Credit Agreement, made as of August 10, 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 filed
with the SEC on August 14, 2012).
10.18 Sixth Amendment to Credit Agreement, made as of May 1, 2014, 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 financial institutions party to
the Fifth Amendment, as lenders party thereto (incorporated by reference from the Company’s Current Report on Form 8-K filed
with the SEC on May 5, 2014).
10.19 Credit Agreement made as of September 20, 2013 by and between INTL FCStone Inc. as Borrower, the Subsidiaries of INTL
FCStone Inc. identified therein, as guarantors, Bank of America, N.A., as Administrative Agent, Swing Line Lender and L/C Issuer,
Bank of America Merrill Lynch and Capital One, N.A., as Joint Lead Arrangers and Joint Book Managers, Bank Hapoalim B.M.,
BMO Harris Bank N.A. and e Korea Development Bank, New York Branch, as additional Lenders, and with the lenders from
time to time parties thereto (incorporated by reference from the Company’s Current Report on Form 8-K filed with the SEC on
September 24, 2013).
10.20 Credit Agreement, made as of November 15, 2013, by and between INTL FCStone Ltd, as Borrower, INTL FCStone Inc., as
Guarantor, Bank of America, N.A., as Administrative Agent and a Lender, Merrill Lynch, Pierce, Fenner & Smith Incorporated,
as Sole Lead Arranger and Sole Book Manager, and with the lenders party thereto (incorporated by reference from the Company’s
Current Report on Form 8-K filed with the SEC on November 20, 2013).
10.21 First Amendment to Credit Agreement, made as of November 10, 2014, by and between INTL FCStone Ltd, as Borrower, INTL
FCStone Inc., as Guarantor, Bank of America, N.A., as Administrative Agent and a Lender, and with the lenders party thereto
(incorporated by reference from the Company’s Current Report on Form 8-K filed with the SEC on November 13, 2014).
14 International Assets Holding Corporation Code of Ethics (incorporated by reference from the Company’s Form 10-KSB filed with
the SEC on December 29, 2003).
21 List of the Company’s subsidiaries. *
23.1 Consent of KPMG LLP *
31.1 Certification of Chief Executive Officer, pursuant to Rule 13a—14(a).*
31.2 Certification of Chief Financial Officer, pursuant to Rule 13a—14(a).*
32.1 Certification of Chief Executive Officer, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-
Oxley Act of 2002. *
32.2 Certification of Chief Financial Officer, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-
Oxley Act of 2002. *
* Filed as part of this report.