ý | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
£ | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
DELAWARE | 42-1558674 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
Title of each class | Name of each exchange on which registered | |
Common Stock, $0.001 par value per share | New York Stock Exchange | |
Preferred Stock Purchase Rights | New York Stock Exchange |
Large accelerated filer | £ | Accelerated filer | £ | |||||
Non-accelerated filer | x | (Do not check if a smaller reporting company) | Smaller reporting company | £ |
ITEM 15. | EXHIBITS, FINANCIAL STATEMENT SCHEDULES |
XERIUM TECHNOLOGIES, INC. | ||
By: | /s/ HAROLD C. BEVIS | |
Harold C. Bevis President and Chief Executive Officer |
Exhibit No. | Description of Exhibit |
2.1(1)* | Joint Prepackaged Plan of Reorganization, as confirmed by the bankruptcy court on May 12, 2010. |
2.2(2) | Confirmation Order, dated May 12, 2010. |
3.1(3) | Second Amended and Restated Certificate of Incorporation of Xerium Technologies, Inc. |
3.2(4) | Amended and Restated By-Laws of Xerium Technologies, Inc. |
4.1(5) | Registration Rights Agreement by and among Xerium Technologies, Inc. and certain of its investors. |
4.2(6) | Rights Agreement between the Company and American Stock Transfer & Trust Company, LLC, as Rights Agent, dated May 25, 2010. |
4.3(7) | Registration Rights Agreement entered into by and among the Company and the RRA Parties, dated May 25, 2010. |
4.4(8) | Form of Stock Certificate. |
4.5(9) | Form of Warrant. |
4.6.(10) | Dividend Reinvestment Plan. |
4.7(11) | Indenture among the Company, the guarantor parties thereto and U.S. Bank National Association as Trustee, dated May 26, 2011. |
4.8(12) | Registration Rights Agreement among the Company, the guarantor parties thereto and the Initial Purchasers, dated May 26, 2011. |
4.9(13) | Form of 8.875% Senior Notes due 2018 (included in exhibit 4.7). |
10.1(14) | New Credit Facility among the Company, certain direct and indirect subsidiaries of the Company, and certain financial institutions, dated May 26, 2011. |
10.2(15) | Amendment No. 1 to the New Credit Facility among the Company, certain direct and indirect subsidiaries of the Company, and certain financial institutions, dated June 28, 2012. |
10.3(16) | Director Nomination Agreement entered into by and among the Company and AS Investors, LLC, dated May 25, 2010. |
10.4(17) | Director Nomination Agreement entered into by and among the Company, Carl Marks Strategic Investments, L.P., and Carl Marks Strategic Opportunities Fund, L.P., dated May 25, 2010. |
10.5(18)+ | 2005 Equity Incentive Plan. |
10.6(19)+ | Amendment No. 1 to the 2005 Equity Incentive Plan. |
10.7(20)+ | Amendment No. 2 to the 2005 Equity Incentive Plan. |
10.8(21)+ | Amendment No. 3 to the 2005 Equity Incentive Plan. |
10.9(22)+ | Performance Criteria Terms for Performance-Based Awards Under the 2005 Equity Incentive Plan. |
10.10(23)+ | 2009 Director Restricted Stock Units Agreement dated as of June 9, 2009. |
10.11(24)+ | 2009 Director Restricted Stock Units Agreement dated as of August 4, 2009. |
10.12(25)+ | 2010 Equity Incentive Plan of Xerium Technologies, Inc. |
10.13(26)+ | Amendment No. 1 to 2010 Equity Incentive Plan of Xerium Technologies, Inc. |
10.14(27)+ | Performance Award Program for 2010. |
10.15(28)+ | Long Term Incentive Plan. |
10.16(29)+ | 2011-2013 Long-Term Incentive Plan. |
10.17(30)+ | 2012-2014 Executive Long-Term Incentive Plan. |
10.18(31)+ | Form of Time-Based Restricted Stock Units Agreement under the Long Term Incentive Plan. |
10.19(32)+ | Form of Independent Director Indemnification Agreement entered into between the Registrant and certain independent directors. |
10.20(33)+ | Form of 2010 Director Option Agreement. |
10.21(34)+ | Non-Management Director Compensation Policy. |
10.22(35)+ | Directors’ Deferred Stock Unit Plan. |
10.23(36)+ | Employment Agreement with Harold C. Bevis. |
10.24(37)+ | Restricted Stock Unit Agreement with Harold C. Bevis. |
Exhibit No. | Description of Exhibit |
10.25(38)+ | Option Agreement with Harold C. Bevis. |
10.26(39)+ | Amended and Restated Service Contract with John Badrinas. |
10.27(40)+ | Employment Agreement with Stephen R. Light. |
10.28(41)+ | Amendment No. 1 to Employment Agreement with Stephen R. Light. |
10.29(42)+ | Amendment No. 2 to Employment Agreement with Stephen R. Light. |
10.30(43)+ | Amendment No. 3 to Employment Agreement with Stephen R. Light. |
10.31(44)+ | Amendment No. 4 to Employment Agreement with Stephen R. Light. |
10.32(45)+ | 2010 Performance-Based Restricted Stock Units Agreement with Stephen R. Light. |
10.33(46)+ | Stock Purchase Agreement with Stephen R. Light. |
10.34(47)+ | 2008 Time-Based Restricted Stock Units Agreement with Stephen R. Light. |
10.35(48)+ | Amended and Restated Time-Based Restricted Stock Units and Performance-Based Restricted Stock Units Agreement with Stephen R. Light. |
10.36(49)+ | Employment Agreement with Clifford E. Pietrafitta. |
10.37(50)+ | Amended and Restated Employment Agreement with David Pretty. |
10.38(51)+ | Amendment to Amended and Restated Employment Agreement with David Pretty. |
10.39(52)+ | Amendment No. 3 to Employment Agreement with David Pretty. |
10.40(53)+ | Employment Agreement with Thomas C. Johnson. |
10.41(54)+ | Amendment to Employment Agreement with Thomas Johnson. |
10.42(55)+ | Employment Agreement with Eduardo Fracasso. |
10.43(56)+ | Employment Agreement with Kevin McDougall. |
10.44(57)+ | Amendment to Employment Agreement with Kevin McDougall. |
10.45(58)+ | Form of December 2011 Amendment to Employment Agreements with senior executive officers. |
21.1 | Subsidiaries of the Registrant. |
23.1 | Consent of Ernst & Young LLP. |
31.1 | Certification Statement of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
31.2 | Certification Statement of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
32.1 | Certification Statement of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
32.2 | Certification Statement of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
101.INS(59) | XBRL Instance Document |
101.SCH(59) | XBRL Taxonomy Extension Schema Document |
101.CAL(59) | XBRL Taxonomy Extension Calculation Linkbase Document |
101.DEF(59) | XBRL Taxonomy Extension Definition Linkbase Document |
101.LAB(59) | XBRL Taxonomy Extension Label Linkbase Document |
101.PRE(59) | XBRL Taxonomy Extension Presentation Linkbase Document |
(1) | Filed as Exhibit 2.1 to the Registrant’s Quarterly Report on Form 10-Q filed on May 14, 2010, and incorporated herein by reference. | |
(2) | Filed as Exhibit 2.2 to the Registrant’s Quarterly Report on Form 10-Q filed on May 14, 2010, and incorporated herein by reference. | |
(3) | Filed as Exhibit 3.1 to the Registrant’s Current Report on Form 8-K filed on May 28, 2010, and incorporated herein by reference. | |
(4) | Filed as Exhibit 3.2 to the Registrant’s Current Report on Form 8-K filed on May 28, 2010, and incorporated herein by reference. |
(5) | Filed as Exhibit 4.1 to the Registrant’s Quarterly Report on Form 10-Q filed on June 23, 2005, and incorporated herein by reference. | |
(6) | Filed as Exhibit 10.3 to the Registrant’s Current Report on Form 8-K filed on May 28, 2010, and incorporated herein by reference. | |
(7) | Filed as Exhibit 10.4 to the Registrant’s Current Report on Form 8-K filed on May 28, 2010, and incorporated herein by reference. | |
(8) | Filed as Exhibit 4.1 to the Registrant’s Current Report on Form 8-K filed on May 28, 2010, and incorporated herein by reference. | |
(9) | Filed as Exhibit 4.2 to the Registrant’s Current Report on Form 8-K filed on May 28, 2010, and incorporated herein by reference. | |
(10) | Filed as Exhibit 99.2 to the Registrant’s Current Report on Form 8-K filed on February 20, 2007, and incorporated herein by reference. | |
(11) | Filed as Exhibit 4.1 to the Registrant’s Current Report on Form 8-K filed on June 2, 2011, and incorporated herein by reference. | |
(12) | Filed as Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed on June 2, 2011, and incorporated herein by reference. | |
(13) | Filed as Exhibit 4.1 to the Registrant’s Current Report on Form 8-K filed on June 2, 2011, and incorporated herein by reference. | |
(14) | Filed as Exhibit 10.2 to the Registrant’s Current Report on Form 8-K filed on June 2, 2011, and incorporated herein by reference. | |
(15) | Filed as Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed on July 2, 2012, and incorporated herein by reference. | |
(16) | Filed as Exhibit 10.5 to the Registrant’s Current Report on Form 8-K filed on May 28, 2010, and incorporated herein by reference. | |
(17) | Filed as Exhibit 10.6 to the Registrant’s Current Report on Form 8-K filed on May 28, 2010, and incorporated herein by reference. | |
(18) | Filed as Exhibit 10.7 to the Registrant’s Quarterly Report on Form 10-Q filed on June 23, 2005, and incorporated herein by reference. | |
(19) | Filed as Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed on August 11, 2008, and incorporated herein by reference. | |
(20) | Filed as Exhibit 10.2 to the Registrant’s Current Report on Form 8-K filed on August 11, 2008, and incorporated herein by reference. | |
(21) | Filed as Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed on June 11, 2009, and incorporated herein by reference. | |
(22) | Filed as Exhibit 10.3 to the Registrant’s Current Report on Form 8-K filed on August 11, 2008, and incorporated herein by reference. | |
(23) | Filed as Exhibit 10.3 to the Registrant’s Quarterly Report on Form 10-Q filed on November 6, 2009, and incorporated herein by reference. | |
(24) | Filed as Exhibit 10.4 to the Registrant’s Quarterly Report on Form 10-Q filed on November 6, 2009, and incorporated herein by reference. | |
(25) | Filed as Exhibit 10.7 to the Registrant’s Current Report on Form 8-K filed on May 28, 2010, and incorporated herein by reference. | |
(26) | Filed as Exhibit 10.3 to the Registrant’s Quarterly Report on Form 10-Q filed on August 9, 2011, and incorporated herein by reference. | |
(27) | Filed as Exhibit 10.8 to the Registrant’s Current Report on Form 8-K filed on May 28, 2010, and incorporated herein by reference. | |
(28) | Filed as Exhibit 10.3 to the Registrant’s Quarterly Report on Form 10-Q filed on November 5, 2010 and incorporated herein by reference. | |
(29) | Filed as Exhibit 10.3 to the Registrant’s Quarterly Report on Form 10-Q filed on May 5, 2011, and incorporated herein by reference. | |
(30) | Filed as Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q filed on August 7, 2012, and incorporated herein by reference. |
(31) | Filed as Exhibit 10.4 to the Registrant’s Quarterly Report on Form 10-Q filed on November 5, 2010 and incorporated herein by reference. | |
(32) | Filed as Exhibit 10.5 to the Registrant’s Quarterly Report on Form 10-Q filed on November 10, 2008, and incorporated herein by reference. | |
(33) | Filed as Exhibit 10.11 to the Registrant’s Quarterly Report on Form 10-Q filed on August 13, 2010, and incorporated herein by reference. | |
(34) | Filed as Exhibit 10.6 to the Registrant’s Quarterly Report on Form 10-Q filed on November 5, 2012, and incorporated herein by reference. | |
(35) | Filed as Exhibit 10.8 to the Registrant’s Quarterly Report on Form 10-Q filed on May 5, 2011 and incorporated herein by reference. | |
(36) | Filed as Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q filed on November 5, 2012, and incorporated herein by reference. | |
(37) | Filed as Exhibit 10.2 to the Registrant’s Quarterly Report on Form 10-Q filed on November 5, 2012, and incorporated herein by reference. | |
(38) | Filed as Exhibit 10.3 to the Registrant’s Quarterly Report on Form 10-Q filed on November 5, 2012, and incorporated herein by reference. | |
(39) | Filed as Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q filed on November 9, 2007, and incorporated herein by reference. | |
(40) | Filed as Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed on February 12, 2008, and incorporated herein by reference. | |
(41) | Filed as Exhibit 10.26 to the Registrant’s Annual Report on Form 10-K filed on April 8, 2008, and incorporated herein by reference. | |
(42) | Filed as Exhibit 10.47 to the Registrant’s Annual Report on Form 10-K filed on March 26, 2010, and incorporated herein by reference. | |
(43) | Filed as Exhibit 10.41 to the Registrant’s Registration Statement on Form S-4 filed on December 22, 2011, and incorporated herein by reference. | |
(44) | Filed as Exhibit 10.4 to the Registrant’s Quarterly Report on Form 10-Q filed on November 5, 2012, and incorporated herein by reference. | |
(45) | Filed as Exhibit 10.48 to the Registrant’s Annual Report on Form 10-K filed on March 26, 2010, and incorporated herein by reference. | |
(46) | Filed as Exhibit 10.49 to the Registrant’s Annual Report on Form 10-K filed on March 26, 2010, and incorporated herein by reference. | |
(47) | Filed as Exhibit 10.27 to the Registrant’s Annual Report on Form 10-K filed on April 8, 2008, and incorporated herein by reference. | |
(48) | Filed as Exhibit 10.5 to the Registrant’s Quarterly Report on Form 10-Q filed on November 5, 2010 and incorporated herein by reference. | |
(49) | Filed as Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q filed on May 5, 2011, and incorporated herein by reference. | |
(50) | Filed as Exhibit 10.36 to the Registrant’s Annual Report on Form 10-K filed on March 12, 2009, and incorporated herein by reference. | |
(51) | Filed as Exhibit 10.4 to the Registrant’s Quarterly Report on Form 10-Q filed on May 5, 2011, and incorporated herein by reference. | |
(52) | Filed as Exhibit 10.5 to the Registrant’s Quarterly Report on Form 10-Q filed on November 5, 2012, and incorporated herein by reference. | |
(53) | Filed as Exhibit 10.37 to the Registrant’s Annual Report on Form 10-K filed on March 12, 2009, and incorporated herein by reference. | |
(54) | Filed as Exhibit 10.5 to the Registrant’s Quarterly Report on Form 10-Q filed on May 5, 2011, and incorporated herein by reference. | |
(55) | Filed as Exhibit 10.46 to the Registrant’s Annual Report on Form 10-K filed on March 26, 2010, and incorporated herein by reference. | |
(56) | Filed as Exhibit 10.10 to the Registrant’s Quarterly Report on Form 10-Q filed on August 13, 2010, and incorporated herein by reference. |
(57) | Filed as Exhibit 10.6 to the Registrant’s Quarterly Report on Form 10-Q filed on May 5, 2011, and incorporated herein by reference. | |
(58) | Filed as Exhibit 10.56 to the Registrant’s Registration Statement on Form S-4 filed on December 22, 2011, and incorporated herein by reference. | |
(59) | Users of this interactive data file are advised pursuant to Rule 406T of Regulation S-T that this interactive data file is deemed not filed or part of a registration statement or prospectus for purposes of sections 11 or 12 of the Securities Act of 1933, is deemed not filed for purposes of section 18 of the Securities Exchange Act of 1934, and otherwise is not subject to liability under these sections. | |
+ | Management contract or compensatory arrangement or plan. | |
* | The following exhibits to the Joint Prepackaged Plan of Reorganization were filed with the bankruptcy court, which, as permitted by Item 601(b)(2) of Regulation S-K, have been omitted from this Annual Report on Form 10-K. We will furnish supplementally a copy of any exhibit to the Joint Prepackaged Plan of Reorganization to the Securities and Exchange Commission upon request. | |
Exhibit A | Amended and Restated Credit Facility | |
Exhibit B | Commitment Letter | |
Exhibit C | New Management Incentive Plan | |
Exhibit D | New Warrants | |
Exhibit E | Executory Contracts and Unexpired Leases to be Rejected | |
Exhibit F | Amended and Restated Pledge and Security Agreement | |
Exhibit G | Austria Contribution Agreement | |
Exhibit H | Austria Note | |
Exhibit I | Austria Purchase Agreement | |
Exhibit J | Canada Direction Letter Agreement | |
Exhibit K | Exit Facility Credit Agreement | |
Exhibit L | Exit Facility Pledge and Security Agreement | |
Exhibit M | Germany Assumption Agreement | |
Exhibit N | Intercreditor Agreement | |
Exhibit O | Nominating Agreement | |
Exhibit P | Registration Rights Agreement | |
Exhibit Q | Restated Bylaws of each Reorganized Debtor | |
Exhibit R | Restated Charters of each Reorganized Debtor | |
Exhibit S | Shareholder Rights Plan | |
Exhibit T | U.S. Direction Letter Agreement | |
Exhibit U | Initial Directors and Initial Officers of the Reorganized Debtors | |
Exhibit V | Retained Actions | |
Exhibit W | Additional Intercompany Transactions |