Initial Public Offering (IPO): Pre-Effective Amendment to Registration Statement (General Form) — Form S-1
Filing Table of Contents
Document/Exhibit Description Pages Size
1: S-1/A Pre-Effective Amendment to Registration Statement HTML 1.07M
(General Form)
2: S-1/A Pre-Effective Amendment to Registration Statement PDF 390K
(General Form) -- a2038897zs_1-a
3: EX-1.1 Form of Underwriting Agmt 28 157K
4: EX-3.1 Form of Restated Certificate of Incorporation 16 67K
5: EX-3.2 Form of Amended Bylaws 18 81K
6: EX-4.1 Specimen Stock Certificate 2 15K
7: EX-5.1 Opinion of Blackwell Sanders Peper Martin LLP 2 15K
8: EX-10.1 Master Separation Agreement 39 142K
17: EX-10.10 Severance Comp. Agrmt Between Co. & John Shealy 13 61K
18: EX-10.11 Severance Comp. Agrmt Between Co. & Jeffrey Ayers 13 62K
19: EX-10.12 Severance Comp. Agrmt Between Co. & Brock Shealy 13 62K
20: EX-10.13 Aquila 2001 Omnibus Incentive Compensation Plan 19 72K
21: EX-10.14 Form of Non-Qualified Stock Option Award 3 17K
9: EX-10.2 Form of Transitional Services Agreement 11 36K
10: EX-10.3 Employee Matters Agreement 33 141K
11: EX-10.4 Tax Matters Agreement 24 103K
12: EX-10.5 Form of Registration Rights Agreement 14 57K
13: EX-10.6 Form of Intel. Prop. Cross-Lic. and Trans. Agrmt 12 30K
14: EX-10.7 Severance Comp. Agrmt. Between Co. & Keith Stamm 13 61K
15: EX-10.8 Severance Comp. Agrmt Between Co. & Dan Streek 13 61K
16: EX-10.9 Severance Comp. Agrmt Between Co. & Edward Mills 13 61K
22: EX-23.1 Consent of Arthur Andersen 1 8K
EX-4.1 — Specimen Stock Certificate
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Exhibit 4.1
THIS CERTIFICATE IS TRANSFERABLE SEE REVERSE FOR
IN KANSAS CITY, MO. OR NEW YORK, N.Y. CERTAIN DEFINITIONS
CLASS A
COMMON STOCK
$.01 PAR VALUE
[GRAPHIC OF THE STATUE OF LIBERTY]
SHARES
NUMBER INCORPORATED UNDER THE LAWS CUSIP 03840J 10 6
OF THE STATE OF DELAWARE
A
AQUILA, INC.
THIS CERTIFIES THAT
IS THE OWNER OF
FULLY PAID AND NON-ASSESSABLE SHARES OF THE CLASS A COMMON STOCK OF
Aquila, Inc. 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 is not valid until 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:
/s/ ROBERT GREEN
CHAIRMAN COUNTERSIGNED AND REGISTERED:
UMB BANK, N.A.
(KANSAS CITY, MISSOURI)
/s/ JEFFREY D. AYERS TRANSFER AGENT AND REGISTRAR
SECRETARY By: /S/ N. L. HOFFMAN
AUTHORIZED SIGNATURE
[AQUILA CORPORATE SEAL]
AQUILA, INC.
THE CORPORATE SECRETARY OF THE CORPORATION WILL FURNISH WITHOUT CHARGE TO
EACH STOCKHOLDER WHO SO REQUESTS, THE POWERS, DESIGNATIONS, PREFERENCES, AND
RELATIVE, PARTICIPATING, OPTIONAL OR OTHER SPECIAL RIGHTS OF EACH CLASS OF STOCK
OR SERIES THEREOF OF THE CORPORATION, AND THE QUALIFICATIONS LIMITATIONS, OR
RESTRICTIONS OF SUCH PREFERENCES AND/OR RIGHTS.
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.
[Enlarge/Download Table]
TEN COM - as tenants in common UNIF GIFT MIN ACT-........Custodian......... UNIF TRAN MIN ACT-........Custodian.........
(Cust) (Minor) (Cust) (Minor)
TEN ENT - as tenants by the entireties
JT TEN - as joint tenants with right under Uniform Gifts to under Uniform Transfers to
of survivorship and not as Minors Minors
tenants in common Act................. Act.................
(State) (State)
TOD - transfer on death direction
in event of owner's death, to
person named on face subject
to TOD rules referenced
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 POSTAL ZIP CODE OF ASSIGNEE)
....................................................................................................................................
....................................................................................................................................
..............................................................................................................................Shares
of the Class A Common 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........................................................
....................................................
Signature(s) Guaranteed:
NOTICE: THE SIGNATURE(S) TO THIS
ASSIGNMENT MUST CORRESPOND WITH THE ...........................................
NAME(S) AND WRITTEN UPON THE FACE OF THE THE SIGNATURE(S) MUST BE GUARANTEED BY AN
CERTIFICATE IN EVERY PARTICULAR, WITHOUT ELIGIBLE GUARANTOR INSTITUTION (BANKS,
ALTERATION OR ENLARGEMENT OR ANY CHANGE STOCKBROKERS, SAVINGS AND LOAN ASSOCIATIONS
WHATEVER. AND CREDIT UNIONS WITH MEMBERSHIP IN AN
APPROVED SIGNATURE GUARANTEE MEDALLION
PROGRAM), PURSUANT TO S.E.C. RULE 17Ad-15.
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