-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, U/VDkuBI/OdBQNeMn9jd4NM76VxuGrI9Ky/tOle+St3UU0YFcbaS8YY4y3cqNMd0 EYYLmKxKyYfh8zkPcl1hUA== 0001104659-10-013901.txt : 20100312 0001104659-10-013901.hdr.sgml : 20100312 20100312112014 ACCESSION NUMBER: 0001104659-10-013901 CONFORMED SUBMISSION TYPE: 10-K PUBLIC DOCUMENT COUNT: 12 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100312 DATE AS OF CHANGE: 20100312 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Chemtura CORP CENTRAL INDEX KEY: 0001091862 STANDARD INDUSTRIAL CLASSIFICATION: PLASTIC MATERIAL, SYNTH RESIN/RUBBER, CELLULOS (NO GLASS) [2820] IRS NUMBER: 522183153 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-15339 FILM NUMBER: 10676367 BUSINESS ADDRESS: STREET 1: BENSON ROAD CITY: MIDDLEBURY STATE: CT ZIP: 06749 BUSINESS PHONE: 2035732000 MAIL ADDRESS: STREET 1: BENSON ROAD CITY: MIDDLEBURY STATE: CT ZIP: 06749 FORMER COMPANY: FORMER CONFORMED NAME: CROMPTON CORP DATE OF NAME CHANGE: 20000512 FORMER COMPANY: FORMER CONFORMED NAME: CK WITCO CORP DATE OF NAME CHANGE: 19990727 10-K 1 a09-35975_110k.htm 10-K

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U.S. SECURITIES AND EXCHANGE COMMISSION

Washington, D.C.  20549

 

FORM 10-K

(Mark One)

 

x

 

ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the fiscal year ended December 31, 2009

 

OR

 

o

 

TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the transition period from             to

 

Commission File No. 1-15339

 

Chemtura Corporation

(Exact name of registrant as specified in its charter)

 

Delaware

 

52-2183153

(State or other jurisdiction of incorporation or organization)

 

(I.R.S. Employer Identification Number)

 

1818 Market Street, Suite 3700, Philadelphia, Pennsylvania

 

19103

199 Benson Road, Middlebury, Connecticut

 

06749

(Address of principal executive offices)

 

(Zip Code)

 

Registrant’s telephone number, including area code: (203) 573-2000

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

 

Name of each exchange on which registered

Common Stock, $0.01 par value

 

NONE

 

Securities registered pursuant to Section 12(g) of the Act:  NONE

 

Indicate by check mark whether the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act Yes o   No x

 

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act.  Yes o   No x

 

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.     Yes o   No x

 

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes o No o

 

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.  o

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer or a smaller reporting company.  See definition of “accelerated filer,” “large accelerated file” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check off):

 

Large accelerated filer o

 

Accelerated filer x

 

 

 

Non-accelerated filer o

 

Smaller reporting company o

(Do not check if a smaller reporting company)

 

 

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o   No x

 

The aggregate market value of the voting and non-voting common equity held by non-affiliates of the registrant, computed as of June 30, 2009, based on the value of the last sales price of these shares as quoted on Pink Sheets Electronic Quotation Service was $57,973,041.

 

The number of voting shares of Common Stock of the registrant outstanding as of January 29, 2010 was 242,935,715.

 

DOCUMENTS INCORPORATED BY REFERENCE

 

Part III of this Form 10-K will be filed with the Securities and Exchange Commission as an amendment to this Form 10-K in accordance with General Instruction G(3).

 

 

 



Table of Contents

 

 

 

Page

PART I

 

 

Item 1.

Business

2

 

 

 

Item 1A.

Risk Factors

16

 

 

 

Item 1B.

Unresolved Staff Comments

24

 

 

 

Item 2.

Properties

24

 

 

 

Item 3.

Legal Proceedings

26

 

 

 

Item 4.

Submission of Matters to a Vote of Security Holders

26

 

 

 

PART II

 

 

Item 5.

Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities

27

 

 

 

Item 6.

Selected Financial Data

28

 

 

 

Item 7.

Management’s Discussion and Analysis of Financial Condition and Results of Operations

30

 

 

 

Item 7A.

Quantitative and Qualitative Disclosures About Market Risk

60

 

 

 

Item 8.

Financial Statements and Supplementary Data

62

 

 

 

Item 9.

Changes In and Disagreements with Accountants on Accounting and Financial Disclosure

126

 

 

 

Item 9A.

Controls and Procedures

126

 

 

 

Item 9B.

Other Information

127

 

 

 

PART III

 

 

Item 10.

Directors, Executive Officers and Corporate Governance

127

 

 

 

Item 11.

Executive Compensation

128

 

 

 

Item 12.

Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

128

 

 

 

Item 13.

Certain Relationships and Related Transactions and Director Independence

128

 

 

 

Item 14.

Principal Accountant Fees and Services

128

 

 

 

PART IV

 

 

Item 15.

Exhibits and Financial Statement Schedules

129

 

 

 

 

Signatures

135

 

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PART I.

 

Item 1.  Business

 

CERTAIN DISCLOSURES INCLUDED IN THIS ANNUAL REPORT ON FORM 10-K FOR THE FISCAL YEAR ENDED DECEMBER 31, 2009 CONSTITUTE FORWARD-LOOKING STATEMENTS THAT ARE SUBJECT TO RISK AND UNCERTAINTY.  SEE ITEM 7. - MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS - FORWARD-LOOKING STATEMENTS.

 

WHEN WE USE THE TERMS “CORPORATION,” “COMPANY,” “CHEMTURA,” “REGISTRANT,” “WE,” “US” AND “OUR,” UNLESS OTHERWISE INDICATED OR THE CONTEXT OTHERWISE REQUIRES, WE ARE REFERRING TO CHEMTURA CORPORATION AND ITS CONSOLIDATED SUBSIDIARIES.

 

OVERVIEW

 

Chemtura Corporation, together with its consolidated subsidiaries is dedicated to delivering innovative, application-focused specialty chemical and consumer products offerings.  Our principal executive offices are located in Philadelphia, Pennsylvania and Middlebury, Connecticut.  We operate in a wide variety of end-use industries, including automotive, transportation, construction, packaging, agriculture, lubricants, plastics for durable and non-durable goods, electronics, and pool and spa chemicals.

 

(a) GENERAL DEVELOPMENT OF BUSINESS

 

Chemtura, incorporated in Delaware in 1999, is the successor to Crompton & Knowles Corporation (“Crompton & Knowles”), which was incorporated in Massachusetts in 1900 and engaged in the manufacture and sale of specialty chemicals beginning in 1954.  Crompton & Knowles traces its roots to the Crompton Loom Works incorporated in the 1840s.  We expanded our specialty chemical business through acquisitions in the United States and Europe, including the 1996 acquisition of Uniroyal Chemical Company, Inc. (“Uniroyal”), the 1999 merger with Witco Corporation (“Witco”) and the 2005 acquisition of Great Lakes Chemical Corporation (“Great Lakes”).

 

We are a global diversified producer of specialty chemicals, polymer products and crop protection chemicals and a leading U.S. supplier of pool and spa chemicals.  Most of our chemical products are sold to industrial manufacturing customers for use as additives, ingredients, or intermediates that add value to their end products.  Our crop protection products are sold through dealers and distributors to growers.  Our pool and spa chemicals are sold through local dealers, large retailers and mass merchants.  We are a market leader in many of our key product lines.  Of our $2.5 billion of net sales in 2009, approximately 49% were to customers in the United States and Canada, 31% to Europe and Africa, 15% to Asia/Pacific and 5% to Latin America.

 

Liquidity and Bankruptcy Proceedings

 

We entered 2009 with significantly constrained liquidity.  The fourth quarter of 2008 saw an unprecedented reduction in orders for our products as the global recession deepened and customers saw or anticipated reductions in demand in the industries they served.  The impact was more pronounced on those business segments that served cyclically exposed industries. As a result, our sales and overall financial performance deteriorated resulting in non-compliance with the two financial maintenance covenants under our Amended and Restated Credit Agreement, dated as of July 31, 2007 (the “2007 Credit Facility”) as of December 31, 2008.  On December 30, 2008, we obtained a 90-day waiver of compliance with these covenants from the lenders under the 2007 Credit Facility.

 

Our liquidity was further constrained in the fourth quarter of 2008 by changes in the availability under our accounts receivable financing facilities in the United States and Europe.  The eligibility criteria and reserve requirements under our prior U.S. accounts receivable facility (the “U.S. Facility”) tightened in the fourth quarter of 2008 following a credit rating downgrade, significantly reducing the value of accounts receivable that could be sold under the U.S. Facility compared with the third quarter of 2008.  Additionally, the availability and access to our European accounts receivable financing facility (the “European Facility”) was restricted in late December 2008 because of our financial performance resulting in the inability to sell additional receivables under the European Facility.

 

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The crisis in the credit markets compounded the liquidity challenges we faced.  Under normal market conditions, we believe we would have been able to refinance our $370 million notes maturing on July 15, 2009 (the “2009 Notes”) in the debt capital markets.  However, with the deterioration of the credit market in the late summer of 2008 combined with our deteriorating financial performance, we did not believe we would be able to refinance the 2009 Notes on commercially reasonable terms, if at all.  As a result, we sought to refinance the 2009 Notes through the sale of one of our businesses.

 

On January 23, 2009, our special-purpose subsidiary entered into a new three-year U.S. accounts receivable financing facility (the “2009 U.S. Facility”) that restored most of the liquidity that we had available to us under the prior U.S. accounts receivable facility before the fourth quarter of 2008 events described above.  However, despite good faith discussions, we were unable to agree to terms under which we could resume the sale of accounts receivable under our European Facility during the first quarter of 2009.  The balance of accounts receivable previously sold under the European Facility continued to decline, offsetting much of the benefit to liquidity gained by the new 2009 U.S. Facility.  During the second quarter of 2009, with no agreement to restart the European Facility, the remaining balance of the accounts receivable previously sold under the facility were settled and the European Facility was terminated.

 

January 2009 saw no improvement in customer demand from the depressed levels in December 2008 and some business segments experienced further deterioration.  Although February and March of 2009 saw incremental improvement in net sales compared to January 2009, overall business conditions remained difficult as sales declined by 43% in the first quarter of 2009 compared to the first quarter of 2008.  As awareness grew of our constrained liquidity and deteriorating financial performance, suppliers began restricting trade credit and, as a result, liquidity dwindled further.  Despite moderate cash generation through inventory reductions and restrictions on discretionary expenditures, our trade credit continued to tighten, resulting in unprecedented restrictions on our ability to procure raw materials.

 

In January and February of 2009, we were in the midst of the asset sale process with the objective of closing a transaction prior to the July 15, 2009 maturity of the 2009 Notes.  Potential buyers conducted due diligence and worked towards submitting their final offers on several of our businesses.  However, with the continuing recession and speculation about our financial condition, potential buyers became progressively more cautious.  Certain potential buyers expressed concern about our ability to perform our obligations under a sale agreement.  They increased their due diligence requirements or decided not to proceed with a transaction.  In March 2009, we concluded that although there were potential buyers of our businesses, a sale was unlikely to be closed in sufficient time to offset the continued deterioration in liquidity or at a value that would provide sufficient liquidity to both operate the business and meet our impending debt maturities.

 

By March 2009, dwindling liquidity and growing restrictions on available trade credit resulted in production stoppages as raw materials could not be purchased on a timely basis.  At the same time, we concluded that it was improbable that we could resume sales of accounts receivable under our European Facility or complete the sale of a business in sufficient time to provide the immediate liquidity we needed to operate.  Absent such an infusion of liquidity, we would likely experience increased production stoppages or sustained limitations on our business operations that ultimately would have a detrimental effect on the value of our business as a whole.  Specifically, the inability to maintain and stabilize our business operations would result in depleted inventories, missed supply obligations and damaged customer relationships.

 

Having carefully explored and exhausted all possibilities to gain near-term access to liquidity, we determined that debtor-in-possession financing presented the best available alternative for us to meet our immediate and ongoing liquidity needs and preserve the value of the business.  As a result, having obtained the commitment of a $400 million senior secured super-priority debtor-in-possession credit agreement (the “DIP Credit Facility”), Chemtura and 26 of our subsidiaries organized in the United States (collectively, the “Debtors”) filed for relief under Chapter 11 of Title 11 of the United States Bankruptcy Code (the “Bankruptcy Code”) on March 18, 2009 (the “Petition Date”) in the United States Bankruptcy Court for the Southern District of New York (the “Bankruptcy Court”).  The Chapter 11 cases are being jointly administered by the Bankruptcy Court.  Our non-U.S. subsidiaries and certain U.S. subsidiaries were not included in the filing and are not subject to the requirements of the Bankruptcy Code.  Our U.S. and worldwide operations are expected to continue without interruption during the Chapter 11 reorganization process.

 

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The Debtors own substantially all of our U.S. assets.  The Debtors consist of Chemtura and the following subsidiaries:

 

·  A&M Cleaning Products LLC

 

·  Crompton Colors Incorporated

 

·  Kem Manufacturing Corporation

·  Aqua Clear Industries, LLC

 

·  Crompton Holding Corporation

 

·  Laurel Industries Holdings, Inc.

·  ASEPSIS, Inc.

 

·  Crompton Monochem, Inc.

 

·  Monochem, Inc.

·  ASCK, Inc.

 

·  GLCC Laurel, LLC

 

·  Naugatuck Treatment Company

·  BioLab, Inc.

 

·  Great Lakes Chemical Corporation

 

·  Recreational Water Products, Inc.

·  BioLab Company Store, LLC

 

·  Great Lakes Chemical Global, Inc.

 

·  Uniroyal Chemical Company Limited

·  Biolab Franchise Company, LLC

 

·  GT Seed Treatment, Inc.

 

·  Weber City Road LLC

·  BioLab Textile Additives, LLC

 

·  HomeCare Labs, Inc

 

·  WRL of Indiana, Inc.

·  CNK Chemical Realty Corporation

 

·  ISCI, Inc.

 

 

 

The principal U.S. assets and business operations of the Debtors are owned by Chemtura, BioLab, Inc. and Great Lakes Chemical Corporation.

 

The Chapter 11 cases were filed to gain liquidity for continuing operations while the Debtors restructure their balance sheets to allow us to continue as a viable going concern.  While we believe we will be able to achieve these objectives through the Chapter 11 reorganization process, there can be no certainty that we will be successful in doing so.

 

Under Chapter 11 of the Bankruptcy Code, the Debtors are operating their U.S. businesses as a debtor-in-possession (“DIP”) under the protection of the Bankruptcy Court from their pre-filing creditors and claimants.  Since the filing, all orders of the Bankruptcy Court sufficient to enable the Debtors to conduct normal business activities, including “first day” motions and the interim and final approval of the DIP Credit Facility and amendments thereto, have been entered by the Bankruptcy Court.  While the Debtors are subject to Chapter 11, all transactions outside the ordinary course of business will require the prior approval of the Bankruptcy Court.

 

As a consequence of the Chapter 11 cases, substantially all pre-petition litigation and claims against the Debtors have been stayed.  Accordingly, no party may take any action to collect pre-petition claims or to pursue litigation arising as a result of pre-petition acts or omissions except pursuant to an order of the Bankruptcy Court.

 

On August 21, 2009, the Bankruptcy Court established October 30, 2009 as the deadline for the filing of proofs of claim against the Debtors (the “Bar Date”).  Under certain limited circumstances, some creditors may be permitted to file proofs of claim after the Bar Date.  Accordingly, it is possible that not all potential proofs of claim were filed as of the filing of this Annual Report.

 

The Debtors have received approximately 15,300 proofs of claim covering a broad array of areas.  Approximately 8,000 proofs of claim have been asserted in “unliquidated” amounts or contain an unliquidated component that are treated as being asserted in “unliquidated” amounts.  Excluding proofs of claim in “unliquidated” amounts, the aggregate amount of proofs of claim filed totaled approximately $23.6 billion.  See Note 21 - Legal Proceedings and Contingencies in the Notes to Consolidated Financial Statements for a discussion of the types of proofs of claim filed against the Debtors.

 

We are in the process of evaluating the amounts asserted in and the factual and legal basis of the proofs of claim filed against the Debtors.  Based upon our initial review and evaluation, which is continuing, a significant number of proofs of claim are duplicative and/or legally or factually without merit.  As to those claims, we have filed and intend to file objections with the Bankruptcy Court.  However, there can be no assurance that these claims will not be allowed in full.

 

Further, while we believe we have insurance to cover certain asserted claims, there can be no assurance that material uninsured obligations will not be allowed as claims in the Chapter 11 cases.  Because of the substantial number of asserted contested claims, as to which review and analysis is ongoing, there is no assurance as to the ultimate value of claims that will be allowed in these Chapter 11 cases, nor is there any assurance as to the ultimate recoveries for our stakeholders, including our bondholders and shareholders.  The differences between amounts recorded by the Debtors and proofs of claim filed by the creditors will continue to be investigated and resolved through the claims reconciliation process.

 

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We have recognized certain charges related to expected allowed claims.  As we complete the process of evaluating and resolving the proofs of claim, appropriate adjustments to our Consolidated Financial Statements will be made.  Adjustments may also result from actions of the Bankruptcy Court, settlement negotiations, rejection of executory contracts and real property leases, determination as to the value of any collateral securing claims and other events.  Any such adjustments could be material to our financial condition or results of operations in any given period.  For additional information on liabilities subject to compromise, see Note 4 - Liabilities Subject to Compromise and Reorganization Items, Net in the Notes to Consolidated Financial Statements.

 

As provided by the Bankruptcy Code, the Debtors have the exclusive right to file and solicit acceptance of a plan of reorganization (the “Plan”) for 120 days after the Petition Date with the possibility of extensions thereafter.  On February 23, 2010, the Bankruptcy Court granted our application for an extension of the period during which we have the exclusive right to file a Plan from February 11, 2010 to June 11, 2010.  The Bankruptcy Court had previously granted our applications for extensions of the exclusivity period on July 28, 2009 and October 27, 2009.  There can be no assurance that a Plan will be filed by the Debtors or confirmed by the Bankruptcy Court, or that any such Plan will be consummated.  After a Plan has been filed with the Bankruptcy Court, the Plan, along with a disclosure statement approved by the Bankruptcy Court, will be sent to all creditors and other parties entitled to vote to accept or reject the Plan.  Following the solicitation period, the Bankruptcy Court will consider whether to confirm the Plan.  In order to confirm a Plan, the Bankruptcy Court must make certain findings as required by the Bankruptcy Code.  The Bankruptcy Court may confirm a Plan notwithstanding the non-acceptance of the Plan by an impaired class of creditors or equity security holders if certain requirements of the Bankruptcy Code are met.

 

On February 9, 2010, the Bankruptcy Court gave interim approval of an Amended and Restated Senior Secured Super-Priority Debtor-in-Possession Credit Agreement (the “Amended and Restated DIP Credit Agreement”) by and among the Debtors, Citibank N.A. and the other lenders party thereto.  The Amended and Restated DIP Credit Agreement provides for a first priority and priming secured revolving and term loan credit commitment of up to an aggregate of $450 million.  The proceeds of the loans and other financial accommodations incurred under the Amended and Restated DIP Credit Agreement were used to, among other things, refinance the obligations outstanding under the DIP Credit Facility and provide working capital for general corporate purposes.  The Amended and Restated DIP Credit Agreement provided a substantial reduction in our financing costs through interest rate reductions and the avoidance of the extension fees that would have been payable under the DIP Credit Facility in February and May 2010.  It also provided us with greater flexibility to operate our business.  The Amended and Restated DIP Credit Agreement closed on February 12, 2010 with the drawing of the $300 million term loan.  On February 18, 2010, the Bankruptcy Court entered a final order providing full access to the Amended and Restated DIP Credit Agreement.  The Amended and Restated DIP Credit Agreement matures on the earlier of 364 days after the closing, the effective date of a Plan or the date of termination in whole of the Commitments (as defined in the Amended and Restated DIP Credit Agreement).

 

The ultimate recovery by the Debtors’ creditors and our shareholders, if any, will not be determined until confirmation and implementation of a Plan.  No assurance can be given as to what recoveries, if any, will be assigned in the Chapter 11 cases to each of these constituencies.  A Plan could result in our shareholders receiving little or no value for their interests and holders of the Debtors’ unsecured debt, including trade debt and other general unsecured creditors, receiving less, and potentially substantially less, than payment in full for their claims.  Because of such possibilities, the value of our common stock and unsecured debt is highly speculative.  Accordingly, we urge that appropriate caution be exercised with respect to existing and future investments in any of these securities.  Although the shares of our common stock continue to trade on the Pink Sheets Electronic Quotation Service (“Pink Sheets”) under the symbol “CEMJQ,” the trading prices may have little or no relationship to the actual recovery, if any, by the holders under any eventual Bankruptcy Court-approved Plan.  The opportunity for any recovery by holders of our common stock under such Plan is uncertain as all creditors’ claims must be met in full, with interest where due, before value can be attributed to the common stock and, therefore, the shares of our common stock may be cancelled without any compensation pursuant to such Plan.

 

Continuation of our operations as a going concern is contingent upon, among other things, our ability (i) to comply with the terms and conditions of the Amended and Restated DIP Credit Agreement; (ii) to obtain confirmation of a Plan under the Bankruptcy Code; (iii) to return to profitability; (iv) to generate sufficient cash flow from operations; and (v) to obtain financing sources to meet our future obligations.  These matters raise substantial doubt about our ability to continue as a going concern.  The Consolidated Financial Statements do not reflect any adjustments relating to the recoverability and classification of recorded asset amounts or the amounts and classification of liabilities that might result from the outcome of these uncertainties.  Additionally, a Plan could materially change amounts reported in the Consolidated Financial Statements, which do not give effect to all adjustments of the carrying value of assets and liabilities that may be necessary as a consequence of completing a reorganization under Chapter 11 of the Bankruptcy Code.

 

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Proposed Divestiture

 

On December 23, 2009, we entered into a Share and Asset Purchase Agreement with SK Atlas, LLC and SK Capital Partners II, LP (collectively “SK”), New York-based private equity concerns focusing on the specialty materials, chemicals and healthcare industries, whereby SK has agreed to acquire our global polyvinyl chloride (“PVC”) additives business.  The sale will include certain assets, the stock of a European subsidiary and the assumption by SK of certain liabilities.

 

On December 23, 2009, we filed a motion with the Bankruptcy Court (the “Sale Motion”), pursuant to Section 363 of the Bankruptcy Code, seeking, among other things, approval of an auction process and bidding procedures that would govern the sale of the PVC additives business to SK or another bidder with the highest or otherwise best offer and approval of the sale of the PVC additives business in accordance with the auction process and bidding procedures.  On January 14, 2010, the Bankruptcy Court entered an order (the “Bidding Procedures Order”) establishing an auction process and bidding procedures (the “Auction”) to govern the sale of the PVC additives business.  On January 15, 2010, we entered into Amendment No. 3 of the DIP Credit Facility that provided for, among other things, the consent of our DIP lenders to the sale of the PVC additives business.  The lenders under the Amended and Restated DIP Credit Agreement also consented to this transaction.  Pursuant to the Bidding Procedures Order, the Auction was held on February 22, 2010.  At the Auction, Artek Aterian Holding Company and its sponsors, Aterian Investment Partners Distressed Opportunities, LP and Artek Surfin Chemicals Ltd. (collectively, “Artek”), emerged as the bidder with the highest and otherwise best bid for the PVC additives business.

 

On February 23, 2010, pursuant to the Bidding Procedures Order and following the Auction, we entered into a Share and Asset Purchase Agreement (“Artek SAPA”) with Artek whereby Artek agreed to acquire our PVC additives business for cash consideration of $16 million and to assume certain liabilities, including certain pension and environmental liabilities.  The purchase price is subject to certain adjustments including a post-closing net working capital adjustment.  On February 23, 2010, the Bankruptcy Court held a hearing on the Sale Motion pursuant to Section 363 of the Bankruptcy Code and issued an order approving, among other things, the sale of the PVC additives business to Artek.  The transaction is expected to close in the second quarter of 2010.  The Artek SAPA resulted in an incremental $14 million of cash proceeds and favorable sales contract modifications compared to the initial share and asset purchase agreement with SK.

 

The PVC additives business subject to the Artek SAPA had net sales of $236 million in 2009, and $374 million in 2008 and $357 million in 2007.

 

(b) FINANCIAL INFORMATION ABOUT INDUSTRY SEGMENTS

 

Information as to the sales, operating profit, depreciation and amortization, assets, capital expenditures and earnings on investments carried on the equity method attributable to each of our business segments during each of our last three fiscal years is set forth in Note 22 - Business Segments in the Notes to Consolidated Financial Statements.

 

Effective for the quarter ended March 31, 2009, we made component realignments within our reporting segments, which were also renamed.  These modifications reflect the changes to our organizational structure announced on January 19, 2009.  The renamed reporting segments are: Consumer Performance Products, Industrial Performance Products (petroleum additives, urethanes and antioxidants), Crop Protection Engineered Products and Industrial Engineered Products (flame retardants and brominated performance products, organometallics, PVC additives and surfactants).  Industrial Engineered Products is the former Polymer Additives segment excluding our antioxidant product line and Industrial Performance Products is the former Performance Specialties segment now including our antioxidant product line.  The Other segment has been eliminated and absorbed into the Industrial Performance Products and Industrial Engineered Products segments.  The presentation of the Consumer Products and Crop Protection segments is unchanged.  Prior period segment data has been restated to conform to the current period presentation.

 

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(c) NARRATIVE DESCRIPTION OF BUSINESS

 

The table below illustrates each segment’s net sales for the year ended December 31, 2009 as well as each segment’s major products, end-use markets and brands.

 

 

 

Consumer

 

Industrial

 

Crop Protection

 

Industrial

 

 

Performance Products

 

Performance Products

 

Engineered Products

 

Engineered Products

 

 

 

 

 

 

 

 

 

2009 Net Sales

 

$457 million

 

$999 million

 

$332 million

 

$753 million

 

 

 

 

 

 

 

 

 

Key Products

 

· Swimming Pool & Spa Chemicals

· Cleaning Products

 

· Petroleum Additives

· Urethanes

· Antioxidants

· UV Stabilizers

· Elastomer Additives

 

· Seed Treatment

· Fungicides

· Miticides

· Insecticides

· Growth Regulants

· Herbicides

 

· Brominated Performance Products

· Flame Retardants

· Fumigants

· Organometallics

· PVC Additives

· Surfactants

 

 

 

 

 

 

 

 

 

Major End-Use Markets

 

· Pools and Spas

· Water Parks

· Resorts

· Municipal Pools · Cleaners

 

· Building and Construction

· Packaging

· Consumer Products

· Lubricants

· Engine and Gear Oils

· Industrial Oils and Greases

· Coatings

· Adhesives

· Sealants

· Automotive

 

· Agriculture

 

· Plastics

· Agriculture

· Fine Chemical

· Oilfield

· Building and Construction

· Solar

· Coatings

· Pharmaceuticals

· Electronics

· Consumer Durables

· Paints and Polymers

 

 

 

 

 

 

 

 

 

Key Brands

 

BioGuard®

Aqua Chem®

BAYROL®

Guardex®

Pool Time®

ProGuard®

Spa Essentials®

SpaGuard®

Spa Time®

Omni®

Mineral Springs®

The Works®

Greased Lightning®

Poolbrite®

Cristal®

Miami®

Sun®

 

Naugalubes®

Naugard®

Hybase®

Lobase®

Synton®

Hatcol®

Adiprene® Vibrathane®

Fomrez®

Witcobond®

Trixene®

Weston®

Anderol®

Royco®

Petronate®

Durad®

Calcinate®

Reolube®

Anox®

Ultranox®

Polybond®

Royaltuf®

Lowilite®

Lowinox®

 

Vitavax®

Acramite®

Omite®

Floramite®

Rimon®

ProCure®

Firestorm®

Casoron®

Royal MH-30®

Royaltac®

Off-Shoot T®

Flupro®

Rancona®

Anchor®

Adept®

Dimilin®

Micromite®

Blizzard®

B-Nine®

Temprano®

Terraguard®

Viticure®

Pantera®

Enhance®

Grain Guard®

 

GeoBrom®

Firemaster®

Kronitex®

Fyrebloc®

Pyrobloc®

Smokebloc®

Thermoguard®

Mark OBS®

Timonox®

 

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Consumer Performance Products

 

Consumer Performance Products are performance chemicals that are sold to consumers for in-home and outdoor use.  Consumer Performance Products include recreational water purification products sold under a variety of branded labels through local dealers and large retailers to assist consumers in the maintenance of their swimming pools and spas and branded cleaners and degreasers sold primarily through mass merchants to consumers for home cleaning.

 

Our pool and spa product line produces and distributes sanitizers, algaecides, biocides, oxidizers, pH balancers, mineral balancers and other specialty chemicals and accessories.  Our primary channels of distribution are pool and spa dealers and mass-market retailers throughout North America, Europe, Australia and South Africa.  We hold a leading position in the North American pool and spa chemical business and we plan to strengthen our position by expanding our dealer channels and our presence with leading mass market retailers.  Brands include BioGuard®, Aqua Chem®, BAYROL®, Guardex®, Pool Time®, ProGuard®, Spa Essentials®, SpaGuard®, Spa Time®, Omni®, Mineral Springs®, The Works®, Greased Lightning®, Poolbrite®, Cristal®, Miami® and Sun®.

 

The Consumer Performance Products business also operates in the specialty and multi-purpose cleaners business with The Works® brand of non-abrasive bathroom cleaners, glass and surface cleaners, toilet bowl cleaners, drain openers and rust and calcium removers, as well as the Greased Lightning® family of multipurpose cleaners.  Our primary channels of distribution are to major national and regional retailers in the do-it-yourself, hardware, mass market, club and discount sectors.

 

The Consumer Performance Products segment had net sales of $457 million for 2009, $516 million for 2008 and $567 million for 2007.  This segment represented 18%, 15% and 15% of our total net sales in 2009, 2008 and 2007, respectively.

 

Industrial Performance Products

 

Industrial Performance Products are engineered specialty chemicals.  Industrial Performance Products include petroleum additives that provide detergency, friction modification and corrosion protection in motor oils, greases, refrigeration and turbine lubricants; castable urethane prepolymers engineered to provide superior abrasion resistance and durability in many industrial and recreational applications; and polyurethane dispersions and urethane prepolymers used in various types of coatings such as wood floor finishes, automotive clear coats and textiles treatments; plastic antioxidants additives that inhibit the degradation of polymers caused by air and heat during manufacture and use; UV stabilizers additives that protect materials against the harmful effects of ultra-violet light; and elastomer additives products that protect elastomers and rubber compounds such as tires from cracking and deteriorating from exposure to ozone as well as providing resistance to oxygen and heat degradation.  These products are sold directly to manufacturers and through distribution channels.

 

On February 29, 2008, we completed the acquisition of the remaining shares of Baxenden Chemicals Ltd (“Baxenden”).  Baxenden complements our existing Witcobond® dispersions and Fomrez® polyester polyols segment offering related products in key customer areas.  The acquisition allowed us access to wider applications in the urethanes segment and strengthened our position in Europe.

 

On January 31, 2007, we completed the acquisition of the stock of Kaufman Holdings Corporation, which complemented our existing Industrial Performance Products segment by offering related products in key customer areas, providing the opportunity to strengthen alliances with major suppliers, and offering potential distribution synergies.

 

The Industrial Performance Products segment had net sales of $999 million for 2009, $1,465 million for 2008 and $1,513 million for 2007.  This segment represented 39%, 41% and 40% of our total net sales in 2009, 2008 and 2007, respectively.  The major product offerings of this segment are described below.

 

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Petroleum Additives

 

We are a global manufacturer and marketer of high-performance additive components used in transport and industrial lubricant applications. We are the global leader for alkylated diphenylamines antioxidants (“ADPAs”), which are marketed as Naugalubes® and used predominately in motor oils.  These additives play a critical role in meeting rising regulatory standards for engine performance.  The component product line also includes overbased and neutral calcium sulfonates used in motor oils and marine lubricants. These sulfonates, marketed as Hybase® and Lobase®, are oil-soluble surfactants whose properties include detergency and corrosion protection to help lubricants keep car, truck, and ship engines clean with minimal wear.  Additionally, we manufacture barium and sodium sulfonates, which provide corrosion protection and emulsification in metalworking fluids and other industrial lubricants.

 

We provide a variety of other highly specialized, high value products including our high-viscosity polyalphaolefins, marketed as Synton®, and our broad portfolio of esters marketed as Hatcol®.  These products are used in the production of synthetic lubricants for automotive, refrigeration, aviation, and industrial applications.  We are also the world’s leader in high performing calcium sulfonate specialty greases and phosphate ester based fluids and additives for power generation fluids and for use in anti-wear agents in a variety of lubricants.

 

We are also a specialty supplier of high performance finished lubricants serving the aviation and industrial markets.  Our product line has extensive original equipment manufacturer approvals and is marketed under our Anderol® and Royco® brands, as well as for private label customers.

 

Urethanes

 

We are a leading supplier of high-performance cast urethane polymers with more than 200 variations in our product offerings.  Our urethanes offer high abrasion resistance and durability in industrial and performance-specific applications.  These characteristics allow us to market our urethanes to niche manufacturers where such qualities are imperative, including for industrial and printing rolls, mining machinery and equipment, mechanical goods, solid industrial tires and wheels, and sporting and recreational goods, including roller board and roller skate wheels.

 

Adiprene®/Vibrathane® urethane prepolymers are sold by our direct sales force and through distribution partners in the United States, Canada, Australia, Europe, Latin America and the Far East, and are used in cast elastomer applications where durability and chemical resistance is required.  Our products are used in applications as diverse as polishing pads for the semiconductor industry to high performance screens for the mining industry.  Customers in each region are serviced by a dedicated technical staff whose support is a critical component of the product offering.  We believe the relatively low capital requirements of this business provide us with the ability to operate cost effectively.  Lastly, our development capabilities allow us to differentiate ourselves in these markets by tailoring our products to the specialized needs of each customer application which sets us apart from our competitors.

 

Our urethane chemicals business provides products for a variety of end uses and applications. The urethane chemicals business consists primarily of three product lines: Fomrez® saturated polyester polyols, Witcobond® polyurethane dispersions, and Trixene® blocked isocyanates.   Fomrez® polyester polyols are employed in industrial applications such as flexible foam for seating.  Our Witcobond® polyurethane dispersions are sold to a larger and more diverse customer base primarily for applications such as glass fiber sizing, wood floor coatings and ballistics protection applications.  Our Trixene® product range includes blocked isocyanates and specialty polymer systems used in a wide range of coating, adhesive, sealant and elastomer applications.   Our focus on customer intimacy in the urethane chemicals business enables us to tailor specific product offerings to meet our customers’ most demanding application requirements.

 

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Antioxidants

 

Operating worldwide manufacturing facilities to meet the needs of the large global petrochemical producers as well as regional compounders, our antioxidants and UV stabilizer business is comprised of five product families.  We are one of the world’s largest suppliers of plastic antioxidants additives that inhibit the degradation of polymers caused by air and heat during manufacture and use. Our UV stabilizers additives protect materials against the harmful effects of ultra-violet light. The elastomer additives products protect elastomers and rubber compounds such as tires from cracking and deteriorating from exposure to ozone as well as providing resistance to oxygen and heat degradation. Our inhibitors prevent polymerization in production of certain monomers and the polymer modifier products are used as coupling agents and impact modifiers for polymers for use in engineering applications in markets such as automotive and building and construction.

 

Incorporating such additives into resin systems improves the durability and longevity of plastics used in packaging, consumer durables, automotive parts and electrical components.  Through our proprietary technology, we are able to offer “Powder Free” solutions so our customers can avoid the hazards of working with powders in a chemical environment. At the same time, we are proficient in blending a variety of these materials into specialized formulations uniquely tailored to customer specific end-use requirements.

 

Crop Protection Engineered Products

 

Our Crop Protection Engineered Products business focuses on specific target applications in six major product lines which include seed treatments, fungicides, miticides, insecticides, growth regulants and herbicides.  We have developed our products for use primarily on high-value target crops such as tree and vine fruits, ornamentals and nuts and secondarily for commodity row crops such as soybeans, oilseed rape and corn.  Our dedicated sales force works with growers and distributors to promote the use of our products throughout a crop’s growth cycle and to address selective regional, climate, and growth opportunities.  We expand our presence in worldwide targeted markets by developing or acquiring crop protection products and obtaining registrations for new uses and geographies where demand for our products and services has potential for growth.  We develop and sell our own products and we also sell and register products manufactured by others on a license and/or resale basis.

 

Our seed treatments are used to coat seeds in order to protect the seed during germination and initial growth phases. Seed treatment is an environmentally attractive form of crop protection involving localized use of agricultural chemicals at much lower use rates than other agrichemical treatments.  We anticipate growth in seed treatment resulting from the expanded use of higher value genetically modified seed.  On March 24, 2006, we acquired the Trace Chemicals business from Bayer CropScience LP.  Trace Chemicals is a leader in farmer-applied seed treatments in markets serving the United States.  The acquisition enhanced our offerings in this fast growing crop application.

 

The Crop Protection Engineered Products business works closely with our customers, distributors, research stations and individual growers as part of an on-the-ground coordinated effort.  We develop products in response to ongoing customer demands, drawing upon existing technologies and tailoring them to match immediate needs. For example, a grower’s crops may require varying levels of treatment depending on weather conditions and the degree of infestation. Our research and technology is therefore geared towards responding to threats to crops around the world as they emerge under a variety of conditions.

 

Our Crop Protection Engineered Products business benefits from nearly 50 years of experience in the field, along with product registrations in more than 90 countries. Our experience with registering products is a valuable asset, as registration is a significant barrier to entry, particularly in developed countries.  Registration of products is a complex process in which we have developed proficiency over time.  The breadth of our distribution network and the depth of our experience enable us to focus on profitable applications that have been less sensitive to competitive pricing pressures than broad commodity segments. This position allows us to attract licensing and resale opportunities from partner companies providing us new products and technologies to accompany our own existing chemistries.

 

The Crop Protection Engineered Products business sells its products in North America through a distribution network consisting of more than 100 distributor outlets that sell directly to end use customers.  Internationally, our direct sales force services over 1,400 distributors, dealers, cooperatives, seed companies and large growers.

 

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The Crop Protection Engineered Products segment had net sales of $332 million for 2009, $394 million for 2008 and $352 million for 2007.  This segment represented 13%, 11% and 9% of our total net sales in 2009, 2008 and 2007, respectively.

 

Industrial Engineered Products

 

We are a global leader in manufacturing and selling an extensive line of additives and organometallic specialties to a broad range of industries including plastics, agriculture, fine chemicals, oilfield, building and construction, electronics and automotive industries.  The chemical additives of the Industrial Engineered Products business are designed to improve the performance of polymers in their end-use applications.  Segment products include brominated performance products, flame retardants, fumigants, organometallics, PVC additives and surfactants.  The products are sold across the entire value chain ranging from direct sales to monomer producers, polymer manufacturers, compounders and fabricators, fine chemical manufacturers and oilfield service companies to industry distributors.

 

The Industrial Engineered Products segment had net sales of $753 million for 2009, $1,171 million for 2008 and $1,315 million for 2007.  This segment represented 30%, 33% and 35% of our total net sales in 2009, 2008 and 2007, respectively.  The major product offerings of this segment are described below.

 

Flame Retardants and Brominated Performance Products

 

Our flame retardant business holds a leading global position with a comprehensive offering of bromine, phosphorus and antimony-based flame retardants.  With increasing regulatory and fire safety performance demands, the use of these products continues to grow in electrical components, construction materials, automotive and furniture/furnishing applications.

 

We are backward integrated to brine, a primary source of bromine and have a well developed business in supplying other types of brominated performance products to a variety of industries including agricultural, fine chemicals, pharmaceutical, electronics and oil well drilling.  We have entered into a series of long-term supply and purchase agreements with TETRA Technologies, Inc. (“TETRA”), primarily to sell bromine to TETRA on an exclusive basis.

 

Part of our expertise in bromine-based material is the production and distribution of methyl bromide, a fumigant used to improve crop yields and protect grain in storage from pest infestation.  Such materials are regularly used to treat food processing plants, breweries, warehouses and grain elevators, as well as rail cars, truck trailers and intermodal containers.  While the use of methyl bromide has been restricted by regulations, it continues to play an important role in protecting the food chain.  Where effective alternatives are not available, our products continue to be employed at cargo ports where agricultural commodities need to be treated quickly and comprehensively to prevent transmission of infestation across international borders and as a pre-plant treatment to control weeds, diseases, insects and nematodes in high value food crops leading to increased yields and higher fresh produce quality.

 

On January 14, 2010, we announced a long-term strategic sourcing agreement with global specialty chemicals company Albemarle Corporation. The transaction represents a key milestone in our flame retardants business strategic reorganization process.  The strategic agreement will allow us to further strengthen operations at our most productive brine field in South Arkansas.  In addition, this agreement will provide greater opportunities for us to reinvest in new, innovative flame retardants and brominated performance products designed as part of our “Greener is Better” program, which is focused on offering customers greener solutions without sacrificing safety or quality.

 

On January 25, 2010, our Board of Directors approved a restructuring plan involving the consolidation and idling of certain assets within the flame retardants business operations in El Dorado, Arkansas.  The restructuring plan was approved by the Bankruptcy Court on February 23, 2010 and is expected to be completed by the fourth quarter of 2010.  As a result of the restructuring plan, we expect to record costs of approximately $40 million, primarily in the first half of 2010, consisting of approximately $35 million in accelerated depreciation of property, plant and equipment and approximately $5 million in other facility-related shutdown costs, which include accelerated recognition of asset retirement obligations, decommissioning of wells and pipelines and severance.  In addition to the aforementioned costs, we expect cash costs, including capital costs, to be approximately $20 million primarily in 2010 in order to execute the consolidation of operations into remaining facilities.

 

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Organometallics

 

Organometallics are a special group of metal containing organic chemicals which play a significant role in a variety of industrial applications.  Organometallics are essential components used to initiate the polymerization reactions that transform monomers into polymers.  They are also used as precursors in glass coatings, in the production of semiconductors and photovoltaic panels, as well as for the production of many pharmaceutical ingredients and as catalysts for curing certain paints and polymers.

 

PVC Additives

 

Our PVC additives consist primarily of heat stabilizers that are essential to the processing of heat sensitive resins.  Without the inclusion of such specialty additives, scorching of the resin during fabrication could result, compromising the functionality and appearance of the finished product.  High-value end-use applications with such demanding aesthetic standards include vinyl exterior siding, synthetic flooring and window profiles.  Other large volume construction-related uses include plumbing and drainage pipe, electrical conduit and wire and cable coatings.

 

On February 23, 2010, we entered into a Share and Asset Purchase Agreement with Artek, whereby Artek agreed to acquire our PVC additives business.  For additional information regarding this divestiture, see “Proposed Divestiture” above under General Development of Business.

 

Surfactants

 

Surfactants help to homogenize multi-component resin systems and to facilitate lubricity in the processing and fabrication of such resins.  On February 29, 2008, we completed the sale of our oleochemicals business, which was the largest portion of our surfactants product offering.  The oleochemicals business had net sales of approximately $160 million in 2007.

 

Sources of Raw Materials

 

Hydrocarbon-based and inorganic chemicals constitute the majority of the raw materials required to manufacture our products.  These materials are generally available from a number of sources, some of which are foreign.  We use significant amounts of chemicals derived from ethylene, propylene and benzene.  In addition, chlorine, caustic, other petrochemicals, tin and soybean oil represent the key materials used in our chemical manufacturing processes.  Major requirements for key raw material are purchased typically pursuant to multi-year contracts.  Large increases in the cost of such key raw materials, as well as natural gas, which powers some key production facilities, could adversely affect our operating margins if we are not able to pass the higher costs on to our customers through higher selling prices.  While temporary shortages of raw materials we use may occur occasionally, key raw materials have generally been available.  However, there can be no assurance that unforeseen developments will not affect our raw material supplies and their continuing availability and price are subject to, among other things, domestic and world markets, political conditions and regulations.  For additional information related to these risks, see Item 1A. - Risk Factors.

 

Seasonal Business

 

With the exception of the Crop Protection Engineered Products segment and the pool and spa product line in our Consumer Performance Products segment, no material portion of any segment of our business is significantly seasonal.  Our Crop Protection Engineered Products segment is seasonal in nature and corresponds to agricultural cycles.  Similarly, in the Consumer Performance Products segment, approximately 80% of net sales are generated from sales from our pool chemicals business serving the North American and European recreational water market.  These markets generally record higher sales in the second and third quarters of each year.

 

Customers

 

No one customer accounted for more than ten percent of our consolidated net sales.

 

Employees

 

We had approximately 4,400 full time employees at December 31, 2009.

 

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Backlog

 

We do not consider backlog to be a significant indicator of the level of future sales activity.  In general, we do not manufacture our products against a backlog of orders.  Production and inventory levels are based on the level of incoming orders as well as projections of future demand.  Therefore, we believe that backlog information is not material to understanding our overall business and should not be considered a reliable indicator of our ability to achieve any particular level of sales or financial performance.

 

Competitive Conditions

 

The breadth of our product offering provides multiple channels for growth and lessens our dependence on any one market or end-use application. We sell our products in more than 100 countries.  This worldwide presence reduces our exposure to any one country’s or region’s economy.

 

We have a broad customer base and believe that our products, many of which we customize for the specific needs of our customers, allow us to enhance customer loyalty and attract customers that value product innovation and reliable supply.

 

Product performance, quality, price, and technical and customer service are all important factors in competing in substantially all of our businesses.

 

We face significant competition in many of the industries in which we operate due to the trends toward global expansion and consolidation by competitors.  Some of our existing competitors are larger than we are and may have more resources and better access to capital markets for continued expansion or new product development than we do.  Some of our competitors also have a greater product range, are more vertically integrated or have better distribution capability than we do for specific products or geographical areas.

 

Research and Development

 

All of our businesses conduct research and development activities to increase competitiveness.  Our businesses conduct research and development activities to develop new, and optimize existing, production technologies, as well as to develop commercially viable new products and applications while also maintaining existing product registrations required by regulatory agencies around the world.  Our research and development expenditures totaled $38 million in 2009, $51 million in 2008 and $62 million in 2007.

 

Intellectual Property and Licenses

 

We attach great importance to patents, trademarks, copyrights and product designs in order to protect our investment in research and development, manufacturing and marketing.  Our policy is to seek wide protection for significant products and process developments on our major applications.  We also seek to register trademarks extensively as a means of protecting the brand names of our products.

 

We have approximately 3,500 United States and foreign granted patents and pending patent applications and approximately 4,700 United States and foreign registered and pending trademarks.  Patents, trademarks, trade secrets in the nature of know-how, formulations, and manufacturing techniques assist us in maintaining the competitive position of certain of our products.  Our intellectual property is of particular importance to a number of specialty chemicals we manufacture and sell.  However, we do business in countries where protection may be limited and difficult to enforce.  We are licensed to use certain patents and technology owned by other companies, including some foreign companies, to manufacture products complementary to our own products, for which we pay royalties in amounts not considered material, in the aggregate, to our consolidated results.  Products to which we have such rights include certain crop protection chemicals.

 

Neither our business as a whole nor any particular segment is materially dependant upon any one particular patent, trademark, copyright or trade secret.

 

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Environmental Matters

 

Chemical companies are subject to extensive environmental laws and regulations concerning, among other things, emissions to the air, discharges to land, surface, subsurface strata and water and the generation, handling, storage, transportation, treatment and disposal of waste and other materials.  Chemical companies are also subject to other federal, state, local and foreign laws and regulations regarding health and safety matters.

 

Environmental Health and Safety Regulation - We believe that our business, operations and facilities are being operated in substantial compliance, in all material respects, with applicable environmental, health and safety laws and regulations, many of which provide for substantial fines and criminal sanctions for violations.  The ongoing operations of chemical manufacturing plants, however, entail risks in these areas and there can be no assurance that material costs or liabilities will not be incurred.  In addition, future developments of environmental, health and safety laws and regulations and related enforcement policies, could bring into question the handling, manufacture, use, emission or disposal of substances or pollutants at facilities we own, use or control.  These developments could involve potential significant expenditures in our manufacture, use or disposal of certain products or wastes.  To meet changing permitting and regulatory standards, we may be required to make significant site or operational modifications, potentially involving substantial expenditures and reduction or suspension of certain operations.  We incurred $9 million of costs for capital projects and $48 million for operating and maintenance costs related to environmental health and safety programs at our facilities during 2009.  In 2010, we expect to incur approximately $23 million of costs for capital projects and $66 million for operating and maintenance costs related to environmental health and safety programs at our facilities.  During 2009, we paid $9 million to remediate previously utilized waste disposal sites and current and past facilities.  We expect to spend approximately $14 million during 2010 to remediate such waste disposal sites and current and former facilities.

 

Pesticide Regulation - Our Crop Protection Engineered Products business is subject to regulation under various federal, state, and foreign laws and regulations relating to the manufacture, sale and use of pesticide products.

 

In August 1996, Congress enacted the Food Quality Protection Act of 1996 (“FQPA”), which made significant changes to the Federal Insecticide, Fungicide, and Rodenticide Act (“FIFRA”), governing U.S. sale and use of pesticide products and the Federal Food, Drug, and Cosmetic Act (“FFDCA”), which limits pesticide residues on food.  FQPA facilitated registrations and re-registrations of pesticides for special (so called “minor”) uses under FIFRA and authorized collection of maintenance fees to support pesticide re-registrations. Coordination of regulations implementing FIFRA and FFDCA is now required.  Food safety provisions of FQPA establish a single standard of safety for pesticide residue on raw and processed foods, require that information be provided through large food retail stores to consumers about the health risks of pesticide residues and how to avoid them, preempt state and local food safety laws if they are based on concentrations of pesticide residues below recently established federal residue limits (called “tolerances”), and ensure that tolerances protect the health of infants and children.

 

FFDCA, as amended by FQPA, authorized the Environmental Protection Agency (“EPA”) to set a tolerance for a pesticide in or on food at a level which poses “a reasonable certainty of no harm” to consumers.  The EPA is required to review all tolerances for all pesticide products.  Most of our products have successfully completed review, others are currently under review and other products will be reviewed under this standard in the future.

 

The European Union Commission has established procedures whereby all existing crop protection active ingredient chemicals commercially available in the European Union (the “EU”) are to be reviewed.  Regulation 91/414 became effective in 1993 and the process was updated in 2007 and 2008. The original list of existing chemicals was prioritized and divided into 4 parts.  We had four chemicals on the first list, three of which were successfully supported through the review, which results in inclusion onto Annex I of 91/414, while the fourth was withdrawn by us for commercial reasons.  The remainder of our products will be reviewed in the future with the overall process expected to be completed by the end of 2010. The process may lead to full registration in member states of the EU or may lead to some restrictions or cancellation of registrations if it is determined that a product poses an unacceptable risk.

 

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Chemical Regulation   In December 2006, the European Union signed the Registration, Evaluation and Authorization of Chemicals (“REACh”) legislation.  This legislation requires chemical manufacturers and importers in the EU to demonstrate the safety of the chemical substances contained in products.  The effective date of the legislation was June 1, 2007 and it required all covered substances to be pre-registered by November 30, 2008.  Since December 1, 2008, no product containing covered substances can be manufactured in or imported into the EU unless the substances therein have been pre-registered.  The full registration of REACh will be phased in over the next ten years.  The registration deadlines are as follows: 2010 for chemical substances manufactured or imported in excess of 1,000 metric tons per year and for substances deemed to be particularly harmful to humans or the environment, 2013 for substances manufactured or imported in the EU between 100 and 1,000 metric tons per year and 2018 for substances manufactured or imported in the EU in quantities greater than 1 metric ton per year.  The registration process will require expenditures and resource commitments to compile and file comprehensive chemical dossiers on the use and attributes of each chemical substance and to perform chemical safety assessments.  In addition, each registration phase carries with it a registration fee, which ranges from €31,000 (approximately $45,000) per substance for high-risk, high tonnage band substances to €1,600 (approximately $2,000) for substances registered in the lowest tonnage band and risk.  We pre-registered approximately 1,100 substances and submitted approximately 2,100 pre-registration dossiers covering multiple affiliated legal entities.  Our REACh costs in 2009 were approximately $1 million.  We anticipate REACh-related costs of approximately $11 million in 2010 (including the first wave of registration fees), $3 million in 2011 and $6 million in 2012.  The implementation of the REACh registration process may affect our ability to manufacture and sell certain products in the future.

 

(d) GEOGRAPHIC INFORMATION

 

The information with respect to net sales and property, plant and equipment attributable to each of our major geographic areas served for each of our last three fiscal years is set forth in the Note 22 - Business Segments in the Notes to Consolidated Financial Statements.

 

(e) AVAILABLE INFORMATION

 

Our internet website address is www.chemtura.com.  We make available free of charge on or through our internet website our Annual Report on Form 10-K, Quarterly Reports on Form 10-Q, Current Reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as soon as reasonably practicable after we electronically file such material with, or furnish it to, the Securities and Exchange Commission.

 

Our Corporate Governance Principles, Code of Business Conduct and charters for our Audit Committee and our Organization, Compensation and Governance Committee are available on our website and will be available, free of charge, to any stockholder who requests them from the Corporate Secretary at Chemtura Corporation, 199 Benson Road, Middlebury, CT 06749 USA.  The information contained on our website is not incorporated by reference in this Annual Report on Form 10-K and should not be considered a part of this Annual Report.

 

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Item 1A.  Risk Factors

 

The factors described below represent the most significant risks that could materially and adversely affect our financial condition, results of operations or cash flows.  Except as otherwise indicated, these factors may or may not occur and we cannot predict the likelihood of any such factor occurring.

 

RISK RELATING TO OUR BANKRUPTCY

 

For the duration of the Chapter 11 cases, our operations, including our ability to execute our business plan, are subject to the risks and uncertainties associated with bankruptcy, which include the following:

 

·                  Our ability to prosecute, confirm and consummate a Plan, which has not yet been proposed as of the date of this Annual Report;

·                  Our ability to consummate strategic sales of our assets or certain business divisions or restructure or consolidate our operations in accordance with the Bankruptcy Code and orders of the Bankruptcy Court;

·                  The actions and decisions of our creditors, shareholders and other third parties who have interests in the Chapter 11 cases that may be inconsistent with our plans;

·                  Our ability to obtain Bankruptcy Court approval with respect to motions in the Chapter 11 cases prosecuted from time to time;

·                  Our ability to obtain and maintain commercially reasonable terms with vendors and service providers;

·                  Our ability to obtain and maintain financing necessary to carry out our operations and continue to use the cash collateral of our secured lenders under our Amended and Restated DIP Credit Agreement;

·                  Our ability to maintain contracts and leases that are critical to our operations;

·                  Risks associated with third parties seeking and obtaining Bankruptcy Court approval to terminate or shorten the exclusivity period for us to confirm a proposed Plan, to appoint a Chapter 11 trustee or to convert our Chapter 11 cases to Chapter 7 proceedings; and

·                  Our ability to utilize net operating loss carry-forwards.

 

These risks and uncertainties could affect our business and operations in various ways.  For example, negative events or publicity associated with the Chapter 11 cases could adversely affect our revenues and the relationship with our customers, as well as with suppliers and employees, which in turn could adversely affect our operations and financial condition, particularly if the Chapter 11 cases are unexpectedly protracted.  Also, transactions outside the ordinary course of business are subject to the prior approval of the Bankruptcy Court, which may limit our ability to respond timely to certain events or take advantage of certain opportunities.

 

As a result of the Chapter 11 cases, realization of assets and liquidation of liabilities are subject to uncertainty.  While operating under the protection of the Bankruptcy Code, and subject to Bankruptcy Court approval or otherwise as permitted in the normal course of business, we may sell or otherwise dispose of assets or certain businesses and liquidate or settle liabilities for amounts other than those reflected in our financial statements.  Further, a Plan could materially change the amounts and classifications reported in our Consolidated Financial Statements, which do not give effect to any adjustments to the carrying value of assets or amounts of liabilities that might be necessary as a consequence of confirmation of a Plan.

 

Because of the risks and uncertainties associated with the Chapter 11 cases, the ultimate impact that events occurring during these proceedings will have on our business, financial condition and results of operations cannot be accurately predicted or quantified.  Additionally, the result of any confirmed Plan may result in cancellation of our common stock, the sale of all or substantially all of our assets, and/or the failure of the Company to continue as a public company, which could cause any investment in the Company to become worthless.

 

In light of the foregoing, trading in our securities during the Chapter 11 cases is highly speculative and poses substantial risks. Holders of our securities may have their securities cancelled and in return receive no payment or other consideration, or a payment or other consideration that is less than the par value or the purchase price of such securities.

 

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Our stock is no longer listed on a national securities exchange. It will likely be more difficult for stockholders and investors to sell our common stock or to obtain accurate quotations of the share price of our common stock.

 

Effective March 18, 2009, the NYSE suspended trading of our common stock and delisted the stock on April 16, 2009.  Our stock is now traded over the counter and is quoted on the Pink Sheets.  We may not be able to re-list our common stock on a national securities exchange and our stock may not continue to be traded on the Pink Sheets.  The trading of our common stock over the counter negatively impacts the trading price of our common stock and the levels of liquidity available to our stockholders.  In connection with the delisting of our stock, there may also be other negative implications, including the potential loss of confidence in our Company by suppliers, customers and employees and the loss of institutional investor interest in our common stock.

 

A long period of operations under Chapter 11 protection may harm our business.

 

A long period of operations under Chapter 11 protection could adversely affect our business and operations.  So long as our Chapter 11 cases continue, our senior management will be required to spend a significant amount of time and effort dealing with the reorganization instead of focusing exclusively on our business operations.  A prolonged period of operating under Chapter 11 protection may also make it more difficult to attract and retain management and other key personnel necessary to the success and growth of our business.  In addition, the longer the Chapter 11 cases continue, the more likely it is that our customers and suppliers will lose confidence in our ability to successfully reorganize our businesses and seek to establish alternative commercial relationships.

 

Furthermore, so long as the Chapter 11 cases continue, we will be required to incur substantial costs for professional fees and other expenses associated with the administration of the Chapter 11 cases.  A prolonged continuation of the Chapter 11 cases may also require us to seek additional financing.  If we require additional financing during the Chapter 11 cases and we are unable to obtain the financing on favorable terms or at all, our chances of successfully reorganizing our businesses may be seriously jeopardized, and as a result, any securities in our Company could become devalued or become worthless.

 

We may not be able to obtain confirmation of a Chapter 11 reorganization plan or consummate strategic assets or business divestitures.

 

To successfully emerge from Chapter 11 bankruptcy protection as a viable entity, or even to confirm a Plan, we must meet certain statutory requirements with respect to adequacy of disclosure with respect to a Plan, soliciting and obtaining the requisite acceptances of the Plan, and fulfilling other statutory conditions for confirmation, which have not occurred to date.  We may not receive the requisite acceptances of constituencies in the Chapter 11 cases to confirm any future Plan. Even if the requisite acceptances of a Plan are received, the Bankruptcy Court may not confirm such a Plan.

 

If any future Plan is not confirmed by the Bankruptcy Court, it is unclear whether we would be able to reorganize our businesses and what, if anything, holders of claims against us would ultimately receive with respect to their claims.

 

In the event a Plan is not ultimately confirmed, with Bankruptcy Court approval, it is likely that we will seek to consummate strategic sales of assets in which case it is likely that holders of claims would receive substantially different treatment than they would receive if we were to emerge from Chapter 11 bankruptcy protection as a viable, reorganized entity.  We may not be able to consummate strategic sales of our assets on terms that are favorable to us, or at all, and any such sales outside the ordinary course of business would be subject to Bankruptcy Court approval.

 

A plan of reorganization may result in holders of our common stock receiving no distribution on account of their interests and cancellation of their common stock.

 

Under the priority scheme established by the Bankruptcy Code, unless creditors agree otherwise, post-petition liabilities and pre-petition liabilities must be satisfied in full, with interest, before stockholders are entitled to receive any distribution or retain any property under a Plan.  The ultimate recovery to creditors and/or stockholders, if any, will not be determined until confirmation of a Plan.  No assurance can be given as to what values, if any, will be ascribed in the Chapter 11 cases to each of these constituencies or what types or amounts of distributions, if any, they would receive.  A Plan could result in holders of our common stock receiving no distribution on account of their interests and could result in the cancellation of their existing stock.  If certain requirements of the Bankruptcy Code are met, a Plan can be confirmed notwithstanding its rejection by the class comprising the interests of our equity security holders.  Therefore, an investment in our common stock is highly speculative and may become worthless (or be canceled) in the future without any required approval or consent of such shareholders.

 

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We may be unable to raise the additional capital needed to fund our businesses, which would prevent us from continuing operations, even if substantially all of our debts are discharged through the Chapter 11 cases.

 

Even if our debts are reduced or discharged through the Chapter 11 cases, we may need to raise additional funds through debt or equity financing or other various means to fund our business after the completion of the Chapter 11 cases. In such a case, adequate funds may not be available when needed or may not be available on favorable terms. If we need to raise additional funds in the future by issuing equity securities and assuming existing stockholders continue to hold shares of common stock after the confirmation of a Plan, dilution to existing stockholders may result, and such securities may have rights, preferences and privileges senior to those of our common stock. We may be unable to raise additional funds by issuing debt due to restrictive covenants contained in our senior debt or other exit financing confirmed as part of a Plan, of which there can be no assurance, which may restrict our ability to expend or raise capital in the future.

 

The agreements governing our debt contain restrictions that could significantly restrict our ability to operate our business.

 

Our Amended and Restated DIP Credit Agreement, as was consistent with our DIP Credit Facility, contains a number of covenants which, among other things, limit the incurrence of additional debt, aggregate capital expenditures, additional operating leases, issuance of capital stock, issuance of guarantees, liens, investments, disposition of assets, dividends, certain payments, mergers, change of business, transactions with affiliates, prepayments of debt, repurchases of stock and redemptions of certain other indebtedness and other matters customarily restricted in such agreements. Our ability to comply with the covenants, agreements and restrictions contained in our Amended and Restated DIP Credit Agreement may be affected by events beyond our control, including prevailing economic, financial, and industry conditions.  There can be no assurance that we would be able to comply with such covenants, agreements, or restrictions in the future.  Additionally, breach of any of the covenants imposed on us by the terms of the Amended and Restated DIP Credit Agreement could result in a default under the agreement. In the event of a default, the lenders could terminate their commitments to us and could accelerate the repayment of all of our indebtedness under the agreement.  In such case, we may not have sufficient funds to pay the total amount of accelerated obligations, and our lenders under the Amended and Restated DIP Credit Agreement could proceed against the collateral securing the agreement.  Any acceleration in the repayment of our indebtedness or related foreclosure could adversely affect our business.

 

RISK RELATING TO OUR BUSINESS ENVIRONMENT AND OPERATIONS

 

The worldwide and general economic factors and difficult conditions in the global capital and credit markets have affected and may continue to adversely affect our business, as well as the industries of many of our customers and suppliers, which are cyclical in nature.

 

Some of the markets in which our end-use customers participate, such as the automotive, electronics and building and construction industries, are cyclical in nature, thus posing a risk to us which is beyond our control. These markets are highly competitive, to a large extent driven by end-use markets, and may experience overcapacity, all of which may affect demand for and pricing of our products.

 

External factors, including general economic conditions, international events and circumstances, competitor actions and governmental regulation are beyond our control and can cause fluctuations in demand and volatility in the price of raw materials and other costs that can intensify the impact of economic cycles on our operations.  We produce a broad range of products that are used as additives and components in other products in a wide variety of end-use applications.  As a result, our products may be negatively impacted by supply and demand instability in other industries and the effects of that instability on supply chain participants.  Economic and political conditions in countries in which we operate may also adversely impact our operations.  These same risks may also impact the financial markets and may negatively affect our access to capital.  While these external factors may adversely affect our businesses, we believe that the breadth of our product offering lessens our dependence on any one market and that our worldwide presence further reduces our exposure to economic conditions or political instability in any one country or region.

 

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Declines in late 2008 and in 2009 in consumer and business confidence and spending, together with severe reductions in the availability of credit and volatility in the capital and credit markets, demonstrated the sensitivity of our businesses to changes in economic conditions, caused us to commence the Chapter 11 proceedings and have adversely affected the business and economic environment in which we operate and the profitability of our business.  Accordingly, if the global financial crisis and current economic downturn continue or worsen, our business, results of operations and financial condition could be further adversely affected.

 

Significant competition may force us to reduce prices, which may adversely impact our results of operations.

 

We face significant competition in many of the industries in which we operate due to the trend toward global expansion and consolidation by competitors.  Some of our existing competitors are larger than we are and may have more resources and better access to capital markets to facilitate continued expansion or new product development.  Some of our competitors also have greater product range or better distribution capability than we do for specific products or geographic regions.  Price competition also exists in some of the markets in which we participate where customers are sensitive to changes in price.  Additionally, other factors such as industry overcapacity and lower cost structures have the effect of putting downward pressure on prices.  We expect that we will continue to face new competitive challenges as well as additional risks inherent in international operations in developing regions.  We also expect to face increased competition from the further use and introduction of generic and alternative products by our competitors.  This increased competition could cause us to reduce our prices and take other steps to compete effectively, which could negatively affect our financial condition, results of operations or cash flows.  In addition, even if we were to raise prices, the reactions of our competitors and customers to such price increases could cause us to reevaluate and possibly reverse such price increases or risk a loss in sales volumes.

 

The cyclicality of the chemicals industry may cause significant fluctuations in our operating results or cash flows.

 

Our historical operating results reflect the cyclical and volatile nature of the supply and demand balance of the chemicals industry.  The chemicals industry has experienced alternating periods of inadequate capacity and tight supply, allowing prices and profit margins to increase, followed by periods when substantial capacity is added, resulting in oversupply, over-capacity and corresponding declining utilization rates, causing declining prices and profit margins.  The cyclicality of the industries in which we operate may result in volatile operating results and cash flow over our business cycle.  Future growth in product demand may not be sufficient to utilize current or future capacity.  Excess industry capacity may continue to depress our volumes and margins on some products.  Due to excess industry capacity, rising energy costs and rising raw materials costs, our operating results may be volatile.

 

Any disruption in the availability or price of the raw materials or energy utilized for our products may have a material adverse effect on our operating results.

 

We purchase large amounts of raw materials and energy for our businesses.  The costs of these materials and energy, in the aggregate, represent a substantial portion of our operating expenses.  The prices and availability of the raw materials we use vary with market conditions and may be highly volatile.  Over the past few years, and particularly in 2008, we have experienced significant cost increases in purchases of petrochemicals, tin, soybean oil, other raw materials and our primary energy source, natural gas.  While we have and will continue to attempt to match raw material or energy price increases with corresponding product price increases, we may not be able to immediately raise product prices, if at all.  Ultimately, our ability to pass on increases in the cost of raw materials or energy to customers is greatly dependent upon market conditions and raising prices charged to our customers could result in a loss of sales volume.  There have been in the past, and will likely be in the future, periods of time during which we are unable to pass raw material and energy price increases on to our customers, in whole or in part.  Reactions by our customers and competitors to our price increases could cause us to reevaluate and possibly reverse such price increases, which may increase our operating expenses and negatively affect our operating results.

 

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The results of our Crop Protection Engineered Products segment is dependent on weather, disease, and pest conditions and can be affected by local and regional economic circumstances.  The results of our Consumer Performance Products business are also dependent on weather conditions.  Adverse weather or economic conditions could materially affect our results of operations.

 

Sales volumes for our Crop Protection Engineered Products business, as with all agricultural products, are subject to the sector’s dependency on weather, disease, and pest infestation conditions.  Adverse weather conditions in a particular region could materially adversely affect our Crop Protection Engineered Products business.  Demand for crop protection products is also influenced by the agricultural policies of governments and regulatory authorities particularly in developing countries in regions where we do business, such as in Asia and Latin America.  Changes in governmental policies or product registration requirements could have an adverse impact on our ability to market and sell our products.  Our crop protection products are typically sold pursuant to contracts with extended payment terms in Latin America and Europe.  Customary extended payment periods, which are tied to particular crop growing cycles, make our Crop Protection Engineered Products business susceptible to losses from receivables during economic downturns and may adversely affect our financial condition, operating results or our cash flows.

 

Our pool and spa products in the Consumer Performance Products business are primarily used in swimming pools and spas.  Demand for these products is influenced by a variety of factors including seasonal weather patterns.  An adverse change in weather patterns during pool season could adversely affect the demand for and profitability of our pool and spa products.  This occurred in the United States in the 2008 and 2009 pool seasons when weather was unseasonably cold and wet.

 

Impairment charges may affect our results of operations in the future.

 

Management regularly tests for goodwill impairment on an annual basis each July 31, and more frequently if events occur or circumstances arise that would more likely than not reduce the fair value of a reporting unit to an amount below its carrying value.  We also test for other possible long-lived asset impairments if events occur or circumstances arise that would indicate that the carrying value amount of such long-lived assets may not be recoverable.  Any resulting impairment loss would be a non-cash charge and may have a material adverse impact on our results of operations in any future period in which we record a charge.

 

Our results of operations are subject to exchange rate and other currency risks.  A significant movement in exchange rates could adversely impact our results of operations.

 

Significant portions of our businesses are conducted in currencies other than the U.S. dollar.  This means that foreign currency exchange rates affect our operating results.

 

Effects of exchange rate fluctuations upon our future operating results cannot be predicted because of the number of currencies involved, the variability of currency exposures, and the potential volatility of currency exchange rates.  We will face risks arising from the imposition of exchange controls and currency devaluations.  Restrictions with our debt agreements and constraints on our liquidity today restrict our ability to hedge foreign exchange exposures.  Exchange controls may limit our ability to convert foreign currencies into U.S. dollars or to remit dividends and other payments by our foreign subsidiaries or businesses located in or conducted within a country imposing controls.  Currency devaluations result in diminished value of funds denominated in the currency of the country instituting the devaluation.  Actions of this nature could adversely affect our earnings or cash flows.

 

We have unfunded and underfunded pension plans and post-retirement health care plans, which, if changes to the funded status occur, could adversely impact our financial condition, results of operations or cash flows.

 

We have unfunded obligations under our domestic tax-qualified defined benefit pension plan totaling approximately $249 million on a projected benefit obligation basis as of December 31, 2009.  Further declines in the value of the plan investments or unfavorable changes in laws or regulations that govern pension plan funding could materially change the timing and amount of required pension funding.  We also sponsor foreign and non-qualified pension plans under which there are substantial unfunded liabilities totaling approximately $191 million on a projected benefit obligation basis as of December 31, 2009.  Foreign regulatory authorities may seek to have the Debtors take responsibility for some portion of these obligations.  In addition, we sponsor post-retirement health care plans under which there are substantial unfunded liabilities totaling approximately $150 million on a projected benefit obligation basis as of December 31, 2009.  Mandatory funding contributions with respect to our tax-qualified pension plans and potential unfunded benefit liability claims could have a material adverse effect on our financial condition, results of operations or cash flows.

 

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Production facilities are subject to operating risks that may adversely affect our financial condition, results of operations or cash flows.

 

We are dependent on the continued operation of our production facilities.  Such production facilities are subject to hazards associated with the manufacturing, handling, storage, and transportation of chemical materials and products, including pipeline leaks and ruptures, explosions, fires, inclement weather and natural disasters, terrorist attacks, mechanical failure, unscheduled downtime, labor difficulties, transportation interruptions, remediation complications, chemical spills, discharges or releases of toxic or hazardous gases, storage tank leaks, and other environmental risks.  These hazards can cause personal injury and loss of life, severe damage to, or destruction of, property and equipment and environmental damage, fines, civil or criminal penalties and liabilities.  The occurrence of these events may disrupt production and could have an adverse effect on the production and profitability of a particular manufacturing facility and our business, financial condition, results of operations or cash flows.

 

An inability to remain technologically innovative and to offer improved products and services in a cost-effective manner could adversely impact our operating results.

 

Our operating results are influenced in part by our ability to introduce new products and services that offer distinct value to our customers.  For example, our Crop Protection Engineered Products business seeks to provide tailored products for our customers’ often unique problems, which requires an ongoing level of innovation.  In many of the markets where we sell our products, the products are subject to a traditional product life cycle.  We devote significant human and financial resources to develop new technologically advanced products and services and we may not be successful in our research and development efforts.

 

We are dependent upon a trained, dedicated sales force, the loss of which could materially affect our operations.

 

Many of our products are sold and supported through dedicated staff and specifically trained personnel.  The loss of this sales force due to market or other conditions could affect our ability to sell and support our products effectively, which could have an adverse effect on our results of operations.

 

RISKS RELATING TO LEGAL AND REGULATORY MATTERS

 

Current and future litigation, governmental investigations and administrative claims, including antitrust-related governmental investigations and lawsuits, could harm our financial condition, results of operations or cash flows.

 

We are involved in several significant lawsuits and claims relating to environmental and chemical exposure matters.  In addition, we are routinely subject to other civil claims, litigation and arbitration, and regulatory investigations arising in the ordinary course of our present businesses, as well as with respect to our divested businesses.  Some of these claims and lawsuits relate to product liability claims, including claims related to current and former products and asbestos related claims concerning the premises and historic products of our corporate affiliates and predecessors.  We also could become subject to additional claims in the future.  An adverse outcome of one or more of these claims could have a material adverse effect on our business, financial condition, results of operations or cash flows.

 

We are currently involved in a number of governmental investigations and administrative claims, including antitrust-related governmental investigations and civil lawsuits.  Further, we have incurred and could incur additional expenses in the future in connection with antitrust-related matters, including expenses related to our cooperation with governmental authorities and defense related civil lawsuits.

 

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Environmental, health and safety regulatory matters could have a substantial negative impact on our financial condition, results of operations or cash flows.

 

We are subject to extensive federal, state, local and foreign environmental, safety and health laws and regulations concerning, among other things, emissions in the air, discharges to land and water, and the generation, handling, treatment and disposal of hazardous waste and other materials.  Our operations entail the risk of violations of those laws and sanctions for violations such as clean-up costs, costs of waste disposal, and payments for property damage and personal injury.  Although it is our policy to comply with such laws and regulations, it is possible that we have not been or may not be at all times in compliance with all of these requirements.

 

In addition, these requirements, and enforcement of these requirements, may become more stringent in the future.  The ultimate cost of compliance with any such requirements could be material.  Non-compliance could subject us to material liabilities such as government fines or orders, third-party lawsuits, remediations, and settlements or the suspension of non-compliant operations.  We may also be required to make significant site or operational modifications at substantial cost.  Future regulatory or other developments could also restrict or eliminate the use of or require us to make modifications to our products, packaging, manufacturing processes and technology, which could have a significant adverse impact on our cash flows and results of operations.

 

At any given time, we are involved in claims, litigation, administrative proceedings, settlements, and investigations of various types in a number of jurisdictions involving potential environmental liabilities, including clean-up costs associated with hazardous waste disposal sites, natural resource damages, property damage, personal injury, and regulatory compliance or noncompliance.  The resolution of these environmental matters could have a material adverse effect on our financial condition, results of operations or cash flows.

 

We are an international company and are exposed to risks in the countries in which we have significant operations or interests.  Changes in foreign laws and regulatory requirements, export controls or international tax treaties could adversely affect our financial condition, results of operations or cash flows.

 

We are dependent, in large part, on the economies of the countries in which we manufacture and market our products.  Of our 2009 net sales, 49% were to customers in the U.S. and Canada, 31% to Europe and Africa, 15% to Asia/Pacific and 5% to Latin America.  Our net property, plant and equipment at December 31, 2009 was located 64% in the U.S. and Canada, 29% in Europe and Africa, 5% in Asia/Pacific and 2% in Latin America.  The economies of countries in these areas are in different stages of socioeconomic development.  Consequently, we are exposed to risks from changes in foreign currency exchange rates, interest rates, inflation, governmental spending, political and social instability, natural disasters and other political, economic or social developments that may materially affect our financial condition, results of operations or cash flows.  We may also face difficulties managing and administering an internationally dispersed business.  In particular, the management of our personnel across several countries can present logistical and managerial challenges.  Additionally, international operations present challenges related to operating under different business cultures and languages.  We may have to comply with unexpected changes in foreign laws and regulatory requirements which could negatively impact our operations and ability to manage our global financial resources.  Export controls or other regulatory restrictions could prevent us from shipping our products into and from some markets.  We may not be able to adequately protect our intellectual property overseas due to uncertainty of laws and enforcement in a number of countries relating to the protection of intellectual property rights.  Changes in tax regulation and international tax treaties could significantly reduce the financial performance of our foreign operations or the magnitude of their contributions to our overall financial performance.

 

We are in the process of reviewing various customer incentive, commission and promotional payment practices of the Crop Protection Engineered Products segment in its Europe, Middle East and Africa region, with particular emphasis on certain Central Asian countries that are considered part of that region.  The review is being conducted under the oversight of the Audit Committee of the Board of Directors and with the assistance of outside counsel and forensic accounting consultants.  While the review is not yet complete, substantial progress has been made, but it has not yet been possible to determine whether all such practices or payments were consistent with applicable U.S. or international laws and regulations that apply to these operations. We cannot currently predict the timing or the outcome of this review, nor can we it reasonably estimate the likelihood, nature or amount of monetary or other sanctions, if any, that might be imposed should the review identify that certain payments were inconsistent with applicable laws or regulations.  We believe that there is no matter connected with this review that would lead to a material change to the financial statements included in this report on Form 10-K.

 

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The inability to register our products in member states of the EU under the REACh legislation may lead to some restrictions or cancellations of registrations, which could impact our ability to manufacture and sell certain products.

 

In December 2006, the EU signed the REACh legislation.  This legislation requires chemical manufacturers and importers in the EU to demonstrate the safety of the chemical substances contained in products.  The effective date of the legislation was June 1, 2007 and it required all covered substances to be pre-registered by November 30, 2008.  Since December 1, 2008, no product containing covered substances can be manufactured in or imported into the EU unless the substances therein have been pre-registered.  The full registration of REACh will be phased in over the next ten years.  The registration deadlines are as follows: 2010 for chemical substances manufactured or imported in excess of 1,000 metric tons per year and for substances deemed to be particularly harmful to humans or the environment, 2013 for substances manufactured or imported in the EU between 100 and 1,000 metric tons per year and 2018 for substances manufactured or imported in the EU in quantities greater than 1 metric ton per year.  The registration process will require expenditures and resource commitments to compile and file comprehensive chemical dossiers on the use and attributes of each chemical substance and to perform chemical safety assessments.  In addition, each registration phase carries with it a registration fee, which ranges from €31,500 (approximately $45,000) per substance for high-risk, high tonnage band substances to €1,600 (approximately $2,000) for substances registered in the lowest tonnage band and risk.  We pre-registered approximately 1,100 substances and submitted approximately 2,100 pre-registration dossiers covering multiple affiliated legal entities.  Our REACh costs in 2009 were approximately $1 million.  We anticipate REACh-related costs of approximately $11 million in 2010 (including the first wave of registration fees), $3 million in 2011 and $6 million in 2012.  The implementation of REACh registration processes may affect our ability to manufacture and sell certain products in the future.

 

Our business depends upon many proprietary technologies, including patents and licenses.  Our competitive position could be adversely affected if we fail to protect our patents or other intellectual property rights, or if we become subject to claims that we are infringing upon the rights of others.

 

We have approximately 3,500 United States and foreign granted patents and pending patent applications and approximately 4,700 United States and foreign registered and pending trademarks.  Patents, trademarks, trade secrets in the nature of know-how, formulations, and manufacturing techniques assist us in maintaining the competitive position of certain of our products.  Our intellectual property is of particular importance to a number of specialty chemicals we manufacture and sell.  We are licensed to use certain patents and technology owned by other companies, including some foreign companies, to manufacture products complementary to our own products, for which we pay royalties in amounts not considered material, in the aggregate, to our consolidated results.  Our trademarks or the patents we own or license may be challenged, and due to such challenges we could lose our exclusive rights to our proprietary technologies, which would adversely affect our competitive position and our results of operations.

 

We also rely on unpatented proprietary know-how and continuing technological innovation and other trade secrets to develop and maintain our competitive position.  While it is our policy to enter into confidentiality agreements with our employees and third parties to restrict the use and disclosure of our trade secrets and proprietary know-how, those confidentiality agreements may be breached.  In addition, adequate remedies may not be available in the event of an unauthorized use or disclosure of such trade secrets and know-how, and others could obtain knowledge of such trade secrets through independent development or other access by legal means.  The failure of our patents, trademarks or confidentiality agreements to protect our processes, apparatuses, technology, trade secrets, or proprietary know-how could have a material adverse effect on our business, financial condition, results of operations, or cash flows.

 

Our patents may not provide full protection against competing manufacturers outside of the United States, the EU countries, and certain other developed countries.  Weaker protection may adversely impact our sales and results of operations.

 

In some of the countries in which we operate, such as China, the laws protecting patent holders are significantly weaker than in the United States, the EU and certain other developed countries.  Weaker protection may help competing manufacturers be or become more competitive in markets where, but for the weaker protection, they might not otherwise be able to introduce competing products for a number of years.  We therefore tend, in these regions, to rely more heavily upon trade secret and know-how protection, as applicable, than we do patents.  In addition, for our crop protection products being sold in China, we rely on regulatory protection of intellectual property provided by regulatory agencies that may not provide us with complete protection against competitors.

 

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Item 1B.  Unresolved Staff Comments

 

None.

 

Item 2.  Properties

 

The following table sets forth information regarding our principal operating properties and other significant properties as of December 31, 2009.  The Debtors have the right, subject to Bankruptcy Court approval and certain other conditions, to assume or reject their executory contracts and real property leases.  The Debtors are currently in the process of evaluating all executory contracts and real property leases pertaining to owned and leased real estate.  All of the following properties are owned except where otherwise indicated:

 

Location

 

Facility

 

Reporting Segment

 

 

 

 

 

UNITED STATES

 

 

 

 

Alabama

 

 

 

 

Bay Minette

 

Plant

 

Industrial Performance Products

 

 

 

 

 

Arkansas

 

 

 

 

El Dorado

 

Plant

 

Industrial Engineered Products

 

 

 

 

 

California

 

 

 

 

McFarland

 

Repackaging Warehouse

 

Industrial Engineered Products

 

 

 

 

 

Connecticut

 

 

 

 

Middlebury*

 

Executive Offices, Research Center

 

Corporate Offices

Naugatuck

 

Research Center

 

Industrial Performance Products

 

 

 

 

 

Georgia

 

 

 

 

Conyers

 

Plant

 

Consumer Performance Products

Lawrenceville*

 

Office, Research Center

 

Consumer Performance Products

 

 

 

 

 

Illinois

 

 

 

 

Mapleton

 

Plant

 

Industrial Engineered Products

Pekin*

 

Plant

 

Crop Protection Engineered Products

 

 

 

 

 

Indiana

 

 

 

 

Ashley(1)

 

Plant

 

Consumer Performance Products

West Lafayette

 

Office, Research Center

 

Industrial Engineered Products

 

 

 

 

 

Louisiana

 

 

 

 

Taft(2)

 

Plant

 

Industrial Engineered Products

Lake Charles

 

Plant

 

Consumer Performance Products

 

 

 

 

 

Michigan

 

 

 

 

Adrian

 

Plant

 

Consumer Performance Products

 

 

 

 

 

New Jersey

 

 

 

 

East Hanover

 

Plant

 

Industrial Performance Products

Fords

 

Plant

 

Industrial Performance Products

Perth Amboy

 

Plant

 

Industrial Performance Products

 

 

 

 

 

North Carolina

 

 

 

 

Gastonia

 

Plant

 

Industrial Performance Products, Crop Protection Engineered Products

 

 

 

 

 

Pennsylvania

 

 

 

 

Philadelphia*

 

Executive Offices

 

Corporate Offices

 

 

 

 

 

West Virginia

 

 

 

 

Morgantown

 

Plant, Research Center

 

Industrial Engineered Products, Industrial Engineered Products

 

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Table of Contents

 

Location

 

Facility

 

Reporting Segment

 

 

 

 

 

INTERNATIONAL

 

 

 

 

Brazil

 

 

 

 

Rio Claro

 

Plant

 

Industrial Engineered Products, Industrial Performance Products, Crop Protection Engineered Products

Sao Paulo*

 

Office

 

Industrial Engineered Products, Industrial Performance Products, Crop Protection Engineered Products

 

 

 

 

 

Canada

 

 

 

 

Elmira

 

Plant

 

Industrial Performance Products, Crop Protection Engineered Products, Industrial Engineered Products

Guelph

 

Research Center

 

Crop Protection Engineered Products

Scarborough*

 

Plant

 

Industrial Performance Products

West Hill

 

Plant

 

Consumer Performance Products, Industrial Performance Products

 

 

 

 

 

France

 

 

 

 

Catenoy

 

Plant

 

Industrial Performance Products

Dardilly*

 

Office

 

Consumer Performance Products

 

 

 

 

 

Germany

 

 

 

 

Bergkamen*

 

Plant, Research Center

 

Industrial Engineered Products

Lampertheim(2)

 

Plant, Research Center

 

Industrial Engineered Products

Waldkraiburg

 

Plant

 

Industrial Performance Products

Planegg*

 

Office

 

Consumer Performance Products

 

 

 

 

 

Italy

 

 

 

 

Latina

 

Plant

 

Industrial Performance Products, Crop Protection Engineered Products

Milan(3)

 

Office

 

Industrial Performance Products

Pedrengo

 

Plant

 

Industrial Performance Products

 

 

 

 

 

Mexico

 

 

 

 

Altamira

 

Plant

 

Industrial Engineered Products, Industrial Performance Products

Cuautitlan

 

Plant

 

Industrial Engineered Products, Industrial Performance Products

Reynosa

 

Plant

 

Industrial Engineered Products

 

 

 

 

 

The Netherlands

 

 

 

 

Amsterdam

 

Plant

 

Crop Protection Engineered Products

 

 

 

 

 

Republic of China

 

 

 

 

Nanjing

 

Plant

 

Industrial Performance Products

Shanghai*

 

Office

 

Corporate

 

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Location

 

Facility

 

Reporting Segment

 

 

 

 

 

Singapore*

 

Administrative, Sales Office

 

Industrial Engineered Products, Industrial Performance Products, Corporate

 

 

 

 

 

South Africa

 

 

 

 

Atlantis

 

Plant

 

Consumer Performance Products

 

 

 

 

 

South Korea

 

 

 

 

Pyongtaek(4)

 

Plant

 

Industrial Performance Products

 

 

 

 

 

Switzerland

 

 

 

 

Frauenfeld*

 

Office

 

Industrial Engineered Products, Corporate, Crop Protection Engineered Products

 

 

 

 

 

Taiwan

 

 

 

 

Kaohsiung(5)

 

Plant

 

Industrial Engineered Products, Industrial Performance Products

 

 

 

 

 

United Kingdom

 

 

 

 

Accrington

 

Plant

 

Industrial Performance Products

Droitwich

 

Plant

 

Industrial Performance Products

Evesham

 

Research Center

 

Crop Protection Engineered Products

Langley*

 

Office

 

Crop Protection Engineered Products, Corporate

Trafford Park

 

Plant

 

Industrial Engineered Products,  Industrial Performance Products

 


*

Leased property.

(1)

We are in the process of terminating production at this facility and moving it to another domestic location.  This is expected to be completed in the second quarter of 2010.

(2)

We have received an offer to sell this facility.  This sale is expected to be completed in the first half of 2010.

(3)

Facility leased by Anderol Italia S.r.l, which is 51% owned by us.

(4)

Facility owned by Asia Stabilizers Co. Ltd., which is 65% owned by us.

(5)

Facility owned by Uniroyal Chemical Taiwan Ltd., which is 80% owned by us.

 

Item 3.  Legal Proceedings

 

See Note 21 – Legal Proceedings and Contingencies in the Notes to Consolidated Financial Statements for a description of our legal proceedings.

 

Item 4.  Submission of Matters to a Vote of Security Holders

 

None.

 

26



Table of Contents

 

PART II.

 

Item 5.  Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities

 

Our common stock traded on the New York Stock Exchange (“NYSE”) under the symbol “CEM” until trading was halted after our Chapter 11 bankruptcy filing on March 18, 2009.  Effective March 18, 2009, the NYSE suspended trading of our common stock and delisted the stock on April 16, 2009.  Our stock is now traded over the counter and is quoted on the Pink Sheet Electronic Quotation Service (“Pink Sheets”) under the symbol “CEMJQ”.

 

The following table summarizes the range of market prices for our common stock as reported by the Pink Sheet or the NYSE as applicable and the amount of dividends per share by quarter during the past two years:

 

 

 

2009

 

 

 

First

 

Second

 

Third

 

Fourth

 

Dividends per common share (a)

 

$

 

 

 

 

Market price per common share:

 

 

 

 

 

 

 

 

 

High

 

$

1.55

 

0.48

 

1.14

 

1.48

 

Low

 

$

0.03

 

0.04

 

0.19

 

0.47

 

 

 

 

2008

 

 

 

First

 

Second

 

Third

 

Fourth

 

Dividends per common share (a)

 

$

0.05

 

0.05

 

0.05

 

 

Market price per common share:

 

 

 

 

 

 

 

 

 

High

 

$

8.75

 

8.81

 

6.94

 

5.31

 

Low

 

$

5.77

 

5.67

 

4.11

 

1.02

 

 


(a)   On October 30, 2008, the Company suspended the payment of dividends.

 

The number of holders of record of our common stock on January 31, 2010 was approximately 5,300.  Trading in our common stock during the pendency of our Chapter 11 cases is highly speculative and poses substantial risks.  See Item 1A. — Risk Factors for a discussion of additional risks related to our common stock.

 

PERFORMANCE GRAPH

 

The following graph compares the cumulative total return on our common stock for the last five fiscal years with the returns on the Standard & Poor’s 500 Stock Index and the S&P 500 Specialty Chemicals Index, assuming an investment of $100 on December 31, 2004 and the reinvestment of all dividends.

 

COMPARISON OF FIVE-YEAR

CUMULATIVE TOTAL RETURN AMONG CHEMTURA CORPORATION,

S&P 500 AND S&P 500 SPECIALTY CHEMICALS

 

 

 

 

12/31/04

 

12/31/05

 

12/31/06

 

12/31/07

 

12/31/08

 

12/31/09

 

CHEMTURA CORPORATION

 

$

100.0

 

$

109.2

 

$

84.5

 

$

69.8

 

$

12.8

 

$

11.2

 

S&P 500

 

$

100.0

 

$

104.9

 

$

121.5

 

$

128.1

 

$

80.7

 

$

102.1

 

S&P 500 SPECIALTY CHEMICALS

 

$

100.0

 

$

103.9

 

$

127.5

 

$

147.6

 

$

123.0

 

$

175.2

 

 

27



Table of Contents

 

Item 6.  Selected Financial Data

 

The following reflects selected financial data for Chemtura Corporation for each of its last five fiscal years.  The information below should be read in conjunction with Item 7 — Management’s Discussion and Analysis of Financial Condition and Results of Operations and Item 8 - Financial Statements and Supplementary Data of this Annual Report.  The financial information presented may not be indicative of future performance.

 

(In millions of dollars, except per share data)

 

2009

 

2008

 

2007

 

2006

 

2005 (a)

 

Summary of Operations

 

 

 

 

 

 

 

 

 

 

 

Net sales

 

$

2,541

 

3,546

 

3,747

 

3,458

 

2,739

 

Gross profit

 

$

594

 

736

 

864

 

831

 

703

 

Selling, general and administrative

 

$

293

 

332

 

372

 

362

 

309

 

Depreciation and amortization

 

$

173

 

237

 

269

 

204

 

150

 

Research and development

 

$

38

 

51

 

62

 

61

 

50

 

Facility closures, severance and related costs

 

$

3

 

26

 

36

 

5

 

23

 

Antitrust costs

 

$

10

 

12

 

35

 

90

 

49

 

Merger costs (b)

 

$

 

 

 

17

 

45

 

In-process research and development (b)

 

$

 

 

 

 

73

 

Loss (gain) on sale of business (c)

 

$

 

25

 

15

 

11

 

(3

)

Impairment of long-lived assets (d)

 

$

104

 

986

 

19

 

80

 

 

Changes in estimates related to expected allowable claims (e)

 

$

73

 

 

 

 

 

Equity income

 

$

 

(4

)

(3

)

(4

)

(2

)

Operating (loss) profit

 

$

(100

)

(929

)

59

 

5

 

9

 

Interest expense

 

$

(70

)

(78

)

(87

)

(102

)

(108

)

Loss on early extinguishment of debt

 

$

 

 

 

(44

)

(55

)

Other (expense) income, net

 

$

(17

)

9

 

(5

)

(5

)

(9

)

Reorganization items, net (f)

 

$

(97

)

 

 

 

 

Loss from continuing operations before income taxes and cumulative effect of accounting change

 

$

(284

)

(998

)

(33

)

(146

)

(163

)

Income tax (provision) benefit

 

$

(5

)

27

 

(4

)

(126

)

(49

)

Loss from continuing operations before cumulative effect of accounting change

 

$

(289

)

(971

)

(37

)

(272

)

(212

)

Earnings from discontinued operations, net of tax

 

$

 

 

18

 

20

 

33

 

(Loss) gain on sale of discontinued operations, net of tax

 

$

(3

)

 

24

 

47

 

(4

)

Cumulative effect of accounting change, net of tax

 

$

 

 

 

 

(1

)

Net (loss) earnings

 

$

(292

)

(971

)

5

 

(205

)

(184

)

Less: net earnings attributable to non-controlling interests

 

$

(1

)

(2

)

(8

)

(1

)

(3

)

Net loss attributable to Chemtura Corporation

 

$

(293

)

(973

)

(3

)

(206

)

(187

)

 

 

 

 

 

 

 

 

 

 

 

 

Amounts attribuable to Chemtura Corporation common shareholders:

 

 

 

 

 

 

 

 

 

 

 

Loss from continuing operations, net of tax

 

$

(290

)

(973

)

(45

)

(273

)

(215

)

Earnings from discontinued operations, net of tax

 

$

 

 

18

 

20

 

33

 

(Loss) gain on sale of discontinued operations, net of tax

 

$

(3

)

 

24

 

47

 

(4

)

Cumulative effect of accounting change, net of tax

 

$

 

 

 

 

(1

)

Net loss attributable to Chemtura Corporation

 

$

(293

)

(973

)

(3

)

(206

)

(187

)

 

28



Table of Contents

 

(In millions, except per share data)

 

2009

 

2008

 

2007

 

2006

 

2005 (a)

 

Per Share Statistics

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Loss from continuing operations, net of tax

 

$

(1.19

)

(4.01

)

(0.18

)

(1.13

)

(1.21

)

Earnings from discontinued operations, net of tax

 

$

 

 

0.07

 

0.08

 

0.18

 

(Loss) gain on sale of discontinued operations, net of tax

 

$

(0.01

)

 

0.10

 

0.20

 

(0.02

)

Cumulative effect of accounting change, net of tax

 

$

 

 

 

 

 

Net loss attributable to Chemtura Corporation

 

$

(1.20

)

(4.01

)

(0.01

)

(0.85

)

(1.05

)

Dividends

 

$

 

0.15

 

0.20

 

0.20

 

0.20

 

Book value

 

$

0.71

 

2.01

 

7.84

 

7.14

 

7.58

 

Common stock trading range:

High

 

$

1.55

 

8.81

 

12.33

 

13.53

 

17.95

 

 

Low

 

$

0.03

 

1.02

 

6.95

 

7.75

 

9.89

 

Average shares outstanding - Basic

 

242.9

 

242.3

 

241.6

 

240.5

 

178.4

 

Average shares outstanding - Diluted

 

242.9

 

242.3

 

241.6

 

240.5

 

178.4

 

 

 

 

 

 

 

 

 

 

 

 

 

Financial Position

 

 

 

 

 

 

 

 

 

 

 

Working capital (deficiency) (g)

 

$

908

 

(558

)

700

 

497

 

566

 

Current ratio (g)

 

2.6

 

0.7

 

2.0

 

1.6

 

1.6

 

Total assets

 

$

3,118

 

3,057

 

4,416

 

4,399

 

4,986

 

Total debt, including short-term borrowings (g)

 

$

255

 

1,204

 

1,063

 

1,111

 

1,370

 

Stockholders’ equity

 

$

172

 

488

 

1,899

 

1,719

 

1,820

 

Total capital employed (g)

 

$

427

 

1,692

 

2,962

 

2,830

 

3,190

 

Debt to total capital % (g)

 

59.7

 

71.2

 

35.9

 

39.3

 

42.9

 

 

(In millions of dollars, except for number of employees)

 

 

 

 

 

 

 

 

 

 

 

Other Statistics

 

 

 

 

 

 

 

 

 

 

 

Net cash provided by (used in) operations

 

$

49

 

(11

)

149

 

251

 

(79

)

Capital spending from continuing operations

 

$

56

 

121

 

115

 

122

 

97

 

Depreciation from continuing operations

 

$

134

 

192

 

229

 

163

 

122

 

Amortization from continuing operations

 

$

39

 

45

 

40

 

41

 

28

 

Approximate number of employees at end of year

 

4,400

 

4,700

 

5,100

 

6,200

 

6,600

 

 


(a)

Due to the inclusion of the operating results of Great Lakes subsequent to the acquisition on July 1, 2005, results are not directly comparable.

(b)

Merger costs are non-capitalized costs associated with the merger of the Company and Great Lakes. The write-off of $73 million of in-process research and development is also the direct result of the merger with Great Lakes.

(c)

Loss (gain) on sale of business primarily included a $26 million loss relating to the sale of the oleochemicals business in 2008, a $15 million loss on the sale of assets relating to the sale of the Celogen® product line in 2007, a $12 million loss on the sale of the IWA business in 2006, and a $3 million gain in 2005 on the reversal of a reserve related to the 2001 sale of the Industrial Colors business.

(d)

The 2009 charge included the impairment of goodwill of $37 million within the Consumer Performance Products segment, and the impairment of property, plant and equipment and intangibles assets, net of $53 million and $14 million, respectively, for the Industrial Engineered Products segments. The 2008 charge primarily included a $985 million impairment of goodwill associated with the Consumer Performance Products, Industrial Performance Products and Industrial Engineered Products segments. The 2007 charge primarily included a $9 million reduction in the value of assets relating to the closure and sale of the Ravenna, Italy facility and a $4 million write-off of construction in progress associated with certain facilities affected by the 2007 restructuring programs. The 2006 charge primarily included a $52 million impairment of the fluorine business as a result of the Company’s annual impairment review and a $22 million impairment of non-current assets of the fluorine business due to a loss of a significant customer.

(e)

Changes in estimates related to expected allowable claims of $73 million relate to adjustments to liabilities subject to compromise (primarily legal and environmental reserves) as a result of the proofs of claim evaluation process.

(f)

Reorganization items, net of $97 million represent professional fees; the write-off of debt discounts, premiums and debt issuance costs; the write-off of deferred financing expenses related to the termination of the 2009 U.S. Facility; impacts from rejections or terminations of executory contracts and real property leases; impacts from the settlement of claims; and reorganization initiatives.

(g)

The 2009 amounts exclude liabilities subject to compromise which are included separately on the balance sheet.

 

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Table of Contents

 

Item 7.  Management’s Discussion and Analysis of Financial Condition and Results of Operations

 

THE FOLLOWING DISCUSSION AND ANALYSIS SHOULD BE READ IN CONJUNCTION WITH OUR CONSOLIDATED FINANCIAL STATEMENTS INCLUDED IN ITEM 8 OF THIS FORM 10-K.

 

THIS MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS CONTAINS FORWARD-LOOKING STATEMENTS.  SEE “FORWARD-LOOKING STATEMENTS” FOR A DISCUSSION OF CERTAIN OF THE UNCERTAINTIES, RISKS AND ASSUMPTIONS ASSOCIATED WITH THESE STATEMENTS.

 

PROCEEDINGS UNDER CHAPTER 11 OF THE BANKRUPTCY CODE

 

On March 18, 2009 (the “Petition Date”), Chemtura and 26 of our subsidiaries organized in the United States (collectively, the “Debtors”) filed voluntary petitions for relief under Chapter 11 of Title 11 of the Bankruptcy Code (“Bankruptcy Code”) in the United States Bankruptcy Court for the Southern District of New York (the “Bankruptcy Court”).  The Chapter 11 cases are being jointly administered by the Court.  Our non-U.S. subsidiaries and certain U.S. subsidiaries were not included in the filing and are not subject to the requirements of the Bankruptcy Code.  Our U.S. and worldwide operations are expected to continue without interruption during the Chapter 11 reorganization process.

 

For further discussion of the Chapter 11 cases, see Item 7. - Bankruptcy Proceedings under Liquidity and Capital Resources and Note 1 - Nature of Operations and Bankruptcy Proceedings in the Notes to Consolidated Financial Statements.

 

EXECUTIVE OVERVIEW

 

Our primary goal in 2009 was stabilizing our business operations, obtaining sufficient liquidity to operate our business and adjusting to the changes created by our filing for protection under Chapter 11 of the Bankruptcy Code.  We believe we have achieved those objectives.  Upon filing for Chapter 11, we obtained the commitment of a $400 million senior secured super-priority debtor-in-possession credit agreement (the “DIP Credit Facility”), which provided liquidity necessary for us to continue operations as a debtor-in-possession (“DIP”).  On February 12, 2010, we refinanced our existing DIP Credit Facility with a $450 million credit facility (the “Amended and Restated DIP Credit Agreement”) which substantially reduced our financing costs and provided greater flexibility to operate our business.  Since filing for protection under Chapter 11, we have reviewed approximately 13,000 executory contracts and real property leases, identifying those that are redundant or onerous, and we have begun the process of rejecting those executory contacts and real property leases that do not further our business objectives.  We have developed a long range business plan that sets a course on strengthening and growing our businesses as well as identifying assets and activities that no longer fit our core businesses.  As part of our business plan, we also initiated various restructuring activities, including the restructuring in 2010 of certain operations of our flame retardants business and initiated the sale of our polyvinyl chloride (“PVC”) additives business which we expect will be completed in the first half of 2010.

 

In 2009, we improved our financial health and met or exceeded our financial objectives by:

 

·                  Generating positive cash flow (1) over the last four quarters and accumulating substantial cash balances by both the Debtors and our international subsidiaries;

 

·                  Achieving or exceeding performance levels required by the DIP Credit Facility; and

 

·                  Identifying, and now working closely with, several financial institutions we expect will lead our exit financing.  The support of these institutions offers us the potential to finance our plan of reorganization (the “Plan”) and emerge as a financially sound, stand-alone global company.

 


(1)                                                          We define “positive cash flow” as net cash provided from operating activities, excluding cash inflows and outflows associated with our former accounts receivable financing facilities, less cash flows from investing activities related to capital expenditures.  This is not an accounting measure in accordance with U.S. generally accepted accounting principles (“GAAP”).  This measure does not consider cash flows required to meet maturities of debt or repayments under our former accounts receivable financing facilities.  For customers, vendors and employees, it does indicate whether our total indebtedness, net of cash and cash equivalents, is increasing or reducing.  See our Consolidated Statement of Cash Flows under Item 8 for complete information.

 

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Table of Contents

 

At the same time, we initiated various actions to reshape our Company into a stronger, leaner global enterprise focused on growth.  These initiatives included, among other things:

 

·                  Increasing strategic investments to improve efficiency, such as our enterprise resource planning (“ERP”) initiatives that have enabled the activities related to over 90 percent of net sales now to be managed on a single global instance of SAP and offering simplified and standardized business processes;

 

·                  Focusing on investments in research and development (“R&D”), which is beginning to result in important and innovative new product offerings such as Geobrom™, Weston® 705, and two new flame retardant products being produced today on pilot plant scale;

 

·                  Improving order processing to enhance responsiveness and delivery to customers;

 

·                  Transferring certain operations to third-party logistics providers, enabling us to maintain service levels at a more competitive cost;

 

·                  Growing our global antioxidant business with a planned additional expansion of capacity at Gulf Stabilizer Industries (“GSI”), our joint venture facility in Al Jubail, Saudi Arabia; and

 

·                  Advancing towards a joint venture between Al Zamil Group Holding Company and Chemtura Organometallics GmbH, our wholly owned German subsidiary, to build a world-scale metal alkyls manufacturing facility in Jubail Industrial City, Saudi Arabia.

 

Our key challenges in 2010 will be to implement our business plans and to emerge from Chapter 11.  To emerge we must first file a Plan together with a disclosure statement with the Bankruptcy Court.  After a Plan has been filed, the Plan, along with a disclosure statement approved by the Bankruptcy Court, will be sent to all creditors and other parties in interest entitled to vote to accept or reject the Plan.  Following the solicitation period, the Bankruptcy Court will consider whether to confirm the Plan.  In order to confirm a Plan, the Bankruptcy Court must make certain findings as required by the Bankruptcy Code.  We continue to face challenges, but we believe our accomplishments in 2009 and our initiatives in 2010 will position us to emerge successfully from Chapter 11 in 2010 as a financially sound and more focused global enterprise.

 

OUR BUSINESS

 

We are among the larger publicly traded specialty chemical companies in the United States dedicated to delivering innovative, application-focused specialty chemical solutions and consumer products.  Our principal executive offices are located in Philadelphia, Pennsylvania and Middlebury, Connecticut.  We operate in a wide variety of end-use industries, including automotive, transportation, construction, packaging, agriculture, lubricants, plastics for durable and non-durable goods, electronics, and pool and spa chemicals. The majority of our chemical products are sold to industrial manufacturing customers for use as additives, ingredients or intermediates that add value to their end products.  Our crop and consumer products are sold to dealers, distributors and major retailers.  We are a market leader in many of our key product lines and transact business in more than 100 countries.

 

The primary economic factors that influence the operations and sales of our Industrial Engineered Products and Industrial Performance Products segments are industrial production, residential and commercial construction, electronic component production and polymer production.  In addition, our Crop Protection Engineered Products segment is influenced by worldwide weather, disease and pest infestation conditions.  Our Consumer Performance Products segment is also influenced by general economic conditions impacting consumer spending and weather conditions.  For additional factors that impact our performance, see Item 1A. - Risk Factors.

 

Other factors affecting our financial performance include industry capacity, customer demand, raw material and energy costs, and selling prices. Selling prices are influenced by the global demand and supply for the products we produce.  Our strategy is to pursue selling prices that reflect the value of our products and to pass on higher costs for raw material and energy to preserve our profit margins.

 

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Table of Contents

 

2009 OVERVIEW

 

Annual sales for 2009 decreased $1 billion or 28% compared with 2008.  This decrease was attributable to a $912 million reduction in sales volume, $46 million in unfavorable currency translation, a $31 million reduction due to the divestiture in the first quarter of 2008 of the oleochemicals business and reduced selling prices of $16 million.  The benefit of the 2008 increase in selling prices for the Consumer Performance Products segment did not fully offset reduced selling prices in the other three segments.

 

Operating profit for the Consumer Performance Products segment increased 26% compared with 2008 due to increased selling prices, lower selling, general and administrative (“SG&A”) and research and development (“R&D”) (collectively “SGA&R”) expenses, and lower raw material, energy and distribution costs, partially offset by lower volume, unfavorable product mix and higher manufacturing costs.

 

The Industrial Performance Products segment operating profit decreased 13% compared with 2008 due to lower volume caused by the global economic recession as well as reduced selling prices, lower volume and unfavorable product mix, partially offset by lower raw material, energy, manufacturing, SGA&R, and distribution costs.

 

The Crop Protection Engineered Products segment operating profit decreased 46% compared with 2008 due to lower volume as crop prices fell and growers had restricted access to credit as well as unfavorable product mix, and higher manufacturing, raw material and energy costs, partially offset by lower SGA&R costs.

 

The Industrial Engineered Products segment operating profit decreased 165% compared with 2008 due to lower volume caused by the global economic recession as well as unfavorable product mix, reduced selling prices, and higher manufacturing costs, partially offset by lower raw material, energy, SGA&R and distribution costs.

 

We have undertaken various cost reduction initiatives over the past several years and continue to implement cost reductions.  Our long term goal remains to improve gross profit margins and reduce SGA&R expenditures as a percentage of total net sales on a global basis.  With the sharp reduction in sales volume due to the global economic recession in 2009, SGA&R expenditures in 2009 were up to 13% of net sales compared with 11% of net sales in 2008 despite a $52 million reduction in SGA&R spending compared with 2008.

 

LIQUIDITY AND CAPITAL RESOURCES

 

Bankruptcy Proceedings

 

We entered 2009 with significantly constrained liquidity.  The fourth quarter of 2008 saw an unprecedented reduction in orders for our products as the global recession deepened and customers saw or anticipated reductions in demand in the industries they served.  The impact was more pronounced on those business segments that served cyclically exposed industries. As a result, our sales and overall financial performance deteriorated resulting in our non-compliance with the two financial maintenance covenants under our Amended and Restated Credit Agreement, dated as of July 31, 2007 (the “2007 Credit Facility”) as of December 31, 2008.  On December 30, 2008, we obtained a 90-day waiver of compliance with these covenants from the lenders under the 2007 Credit Facility.

 

Our liquidity was further constrained in the fourth quarter of 2008 by changes in the availability under our accounts receivable financing facilities in the United States and Europe.  The eligibility criteria and reserve requirements under our prior U.S. accounts receivable facility (the “U.S. Facility”) tightened in the fourth quarter of 2008 following a credit rating downgrade, significantly reducing the value of accounts receivable that could be sold under the U.S. Facility compared with the third quarter of 2008.  Additionally, the availability and access to our European accounts receivable financing facility (the “European Facility”) was restricted in late December 2008 because of our financial performance resulting in our inability to sell additional receivables under the European Facility.

 

The crisis in the credit markets compounded the liquidity challenges we faced.  Under normal market conditions, we believed we would have been able to refinance our $370 million notes maturing on July 15, 2009 (the “2009 Notes”) in the debt capital markets.  However, with the deterioration of the credit market in the late summer of 2008 combined with our deteriorating financial performance, we did not believe we would be able to refinance the 2009 Notes on commercially reasonable terms, if at all.  As a result, we sought to refinance the 2009 Notes through the sale of one of our businesses.

 

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On January 23, 2009, our special-purpose subsidiary entered into a new three-year U.S. accounts receivable financing facility (the “2009 U.S. Facility”) that restored most of the liquidity that we had available to us under the prior U.S. accounts receivable facility before the fourth quarter of 2008 events described above.  However, despite good faith discussions, we were unable to agree to terms under which we could resume the sale of accounts receivable under our European Facility during the first quarter of 2009.  The balance of accounts receivable previously sold under the facility continued to decline, offsetting much of the benefit to liquidity gained by the new 2009 U.S. Facility.  During the second quarter of 2009, with no agreement to restart the European Facility, the remaining balance of the accounts receivable previously sold under the facility were settled and the European Facility was terminated.

 

January 2009 saw no improvement in customer demand from the depressed levels in December 2008 and some business segments experienced further deterioration.  Although February and March of 2009 saw incremental improvement in net sales compared to January 2009, overall business conditions remained difficult as sales declined by 43% in the first quarter of 2009 compared to the first quarter of 2008.  As awareness grew of our constrained liquidity and deteriorating financial performance, suppliers began restricting trade credit and, as a result, liquidity dwindled further.  Despite moderate cash generation through inventory reductions and restrictions on discretionary expenditures, our trade credit continued to tighten, resulting in unprecedented restrictions on our ability to procure raw materials.

 

In January and February of 2009, we were in the midst of the asset sale process with the objective of closing a transaction prior to the July 15, 2009 maturity of the 2009 Notes.  Potential buyers conducted due diligence and worked towards submitting their final offers on several of our businesses.  However, with the continuing recession and speculation about our financial condition, potential buyers became progressively more cautious.  Certain potential buyers expressed concern about our ability to perform obligations under a sale agreement.  They increased their due diligence requirements or decided not to proceed with a transaction.  In March 2009, we concluded that although there were potential buyers of our businesses, a sale was unlikely to be closed in sufficient time to offset the continued deterioration in liquidity or at a value that would provide sufficient liquidity to both operate the business and meet our impending debt maturities.

 

By March 2009, dwindling liquidity and growing restrictions on available trade credit resulted in production stoppages as raw materials could not be purchased on a timely basis.  At the same time, we concluded that it was improbable that we could resume sales of accounts receivable under our European Facility or complete the sale of a business in sufficient time to provide the immediate liquidity we needed to operate.  Absent such an infusion of liquidity, we would likely experience increased production stoppages or sustained limitations on our business operations that ultimately would have a detrimental effect on the value of our business as a whole.  Specifically, the inability to maintain and stabilize our business operations would result in depleted inventories, missed supply obligations and damaged customer relationships.

 

Having carefully explored and exhausted all possibilities to gain near-term access to liquidity, we determined that the DIP Credit Facility presented the best available alternative for us to meet our immediate and ongoing liquidity needs and preserve the value of the business.  As a result, having obtained the commitment of the DIP Credit Facility, Chemtura and 26 of our subsidiaries organized in the United States (collectively, the “Debtors”) filed for relief under the Bankruptcy Code on March 18, 2009 in the Court.  The Chapter 11 cases are being jointly administered by the Court.  Our non-U.S. subsidiaries and certain U.S. subsidiaries were not included in the filing and are not subject to the requirements of the Bankruptcy Code.  Our U.S. and worldwide operations are expected to continue without interruption during the Chapter 11 reorganization process.

 

The Debtors own substantially all of our U.S. assets.  The Debtors consist of Chemtura and the following subsidiaries:

 

·

A&M Cleaning Products LLC

·

Crompton Colors Incorporated

·

Kem Manufacturing Corporation

·

Aqua Clear Industries, LLC

·

Crompton Holding Corporation

·

Laurel Industries Holdings, Inc.

·

ASEPSIS, Inc.

·

Crompton Monochem, Inc.

·

Monochem, Inc.

·

ASCK, Inc.

·

GLCC Laurel, LLC

·

Naugatuck Treatment Company

·

BioLab, Inc.

·

Great Lakes Chemical Corporation

·

Recreational Water Products, Inc.

·

BioLab Company Store, LLC

·

Great Lakes Chemical Global, Inc.

·

Uniroyal Chemical Company Limited

·

Biolab Franchise Company, LLC

·

GT Seed Treatment, Inc.

·

Weber City Road LLC

·

BioLab Textile Additives, LLC

·

HomeCare Labs, Inc

·

WRL of Indiana, Inc.

·

CNK Chemical Realty Corporation

·

ISCI, Inc.

 

 

 

The principal U.S. assets and business operations of the Debtors are owned by Chemtura, BioLab, Inc. and Great Lakes Chemical Corporation.

 

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On March 18, 2009, Raymond E. Dombrowski, Jr. was appointed Chief Restructuring Officer.  In connection with this appointment, we entered into an agreement with Alvarez & Marsal North America, LLC (“A&M”) to compensate A&M for Mr. Dombrowski’s services as Chief Restructuring Officer on a monthly basis at a rate of $150 thousand per month and incentive compensation in the amount of $3 million payable upon the earlier of (a) the consummation of a Chapter 11 Plan or (b) the sale, transfer, or other disposition of all or a substantial portion of the assets or equity of the Company.  Mr. Dombrowski is independently compensated pursuant to arrangements with A&M, a financial advisory and consulting firm specializing in corporate restructuring. Mr. Dombrowski will not receive any compensation directly from us and will not participate in any of our employee benefit plans.

 

The Chapter 11 cases were filed to gain liquidity for continuing operations while the Debtors restructure their balance sheets to allow us to continue as a viable going concern.  While we believe we will be able to achieve these objectives through the Chapter 11 reorganization process, there can be no certainty that we will be successful in doing so.

 

Under Chapter 11 of the Bankruptcy Code, the Debtors are operating their U.S. businesses as a debtor-in-possession under the protection of the Bankruptcy Court from their pre-filing creditors and claimants.  Since the filing, all orders of the Bankruptcy Court sufficient to enable the Debtors to conduct normal business activities, including “first day” motions and the interim and final approval of the DIP Credit Facility and amendments thereto, have been entered by the Bankruptcy Court.  While the Debtors are subject to Chapter 11, all transactions outside the ordinary course of business will require the prior approval of the Bankruptcy Court.

 

On March 20, 2009, the Bankruptcy Court approved the Debtors’ “first day” motions.  Specifically, the Bankruptcy Court granted the Debtors, among other things, interim approval to access $190 million of its $400 million DIP Credit Facility, approval to pay outstanding employee wages, health benefits, and certain other employee obligations and authority to continue to honor their current customer policies and programs, in order to ensure the reorganization process will not adversely impact their customers.  On April 29, 2009, the Bankruptcy Court entered a final order providing full access to the $400 million DIP Credit Facility.  The Bankruptcy Court also approved Amendment No. 1 to the DIP Credit Facility which provided for, among other things: (i) an increase in the outstanding amount of inter-company loans the Debtors could make to our non-debtor foreign subsidiaries from $8 million to $40 million; (ii) a reduction in the required level of borrowing availability under the minimum availability covenant; and (iii) the elimination of the requirement to pay additional interest expense if a specified level of accounts receivable financing was not available to our European subsidiaries.

 

On July 13, 2009, the Company and the parties to the DIP Credit Facility entered into Amendment No. 2 to the DIP Credit Facility subject to approvals by the Court and our Board of Directors which approvals were obtained on July 14 and July 15, 2009, respectively.  The DIP Credit Facility was amended to provide for, among other things, an option by us to extend the maturity of the DIP Credit Facility for two consecutive three month periods subject to the satisfaction of certain conditions.  Prior to Amendment No. 2, the DIP Credit Facility matured on the earlier of 364 days from the first borrowing, the effective date of a Plan or the date of termination in whole of the Commitments (as defined in the DIP Credit Facility).

 

As a consequence of the Chapter 11 cases, substantially all pre-petition litigation and claims against the Debtors have been stayed.  Accordingly, no party may take any action to collect pre-petition claims or to pursue litigation arising as a result of pre-petition acts or omissions except pursuant to an order of the Bankruptcy Court.

 

On August 21, 2009, the Bankruptcy Court established October 30, 2009 as the deadline for the filing of proofs of claim against the Debtors (the “Bar Date”).  Under certain limited circumstances, some creditors may be permitted to file proofs of claims after the Bar Date.  Accordingly, it is possible that not all potential proofs of claim were filed as of the filing of this Annual Report.

 

The Debtors have received approximately 15,300 proofs of claim covering a broad array of areas.  Approximately 8,000 proofs of claim have been asserted in “unliquidated” amounts or contain an unliquidated component that are treated as being asserted in “unliquidated” amounts.  Excluding proofs of claim in “unliquidated” amounts, the aggregate amount of proofs of claim filed totaled approximately $23.6 billion.  See Note 21 - Legal Proceedings and Contingencies in the Notes to Consolidated Financial Statements for a discussion of the types of proofs of claim filed against the Debtors.

 

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We are in the process of evaluating the amounts asserted in and the factual and legal basis of the proofs of claim filed against the Debtors.  Based upon our initial review and evaluation, which is continuing, a significant number of proofs of claim are duplicative and/or legally or factually without merit.  As to those claims, we have filed and intend to file objections with the Bankruptcy Court.  However, there can be no assurance that these claims will not be allowed in full.

 

Further, while the Debtors believe they have insurance to cover certain asserted claims, there can be no assurance that material uninsured obligations will not be allowed as claims in the Chapter 11 cases.  Because of the substantial number of asserted contested claims, as to which review and analysis is ongoing, there is no assurance as to the ultimate value of claims that will be allowed in these Chapter 11 cases, nor is there any assurance as to the ultimate recoveries for the Debtors’ stakeholders, including the Debtors’ bondholders and shareholders.  The differences between amounts recorded by the Debtors and proofs of claims filed by the creditors will continue to be investigated and resolved through the claims reconciliation process.

 

We have recognized certain charges related to expected allowed claims.  As we complete the process of evaluating and resolving the proofs of claim, appropriate adjustments to our Consolidated Financial Statements will be made.  Adjustments may also result from actions of the Bankruptcy Court, settlement negotiations, rejection of executory contracts and real property leases, determination as to the value of any collateral securing claims and other events.  Any such adjustments could be material to our financial condition or results of operations in any given period.  For additional information on liabilities subject to compromise, see Note 4 - Liabilities Subject to Compromise and Reorganization Items, Net in the Notes to Consolidated Financial Statements.

 

As provided by the Bankruptcy Code, the Debtors have the exclusive right to file and solicit acceptance of a Plan for 120 days after the Petition Date with the possibility of extensions thereafter.  On February 23, 2010, the Bankruptcy Court granted our application for an extension of the period during which we have the exclusive right to file a Plan from February 11, 2010 to June 11, 2010.  The Bankruptcy Court had previously granted our applications for an extension of the exclusivity period on July 28, 2009 and October 27, 2009.  There can be no assurance that a Plan will be filed by the Debtors or confirmed by the Bankruptcy Court, or that any such Plan will be consummated.  After a Plan has been filed with the Bankruptcy Court, the Plan, along with a disclosure statement approved by the Bankruptcy Court, will be sent to all creditors and other parties entitled to vote to accept or reject the Plan.  In order to confirm a Plan, the Bankruptcy Court must make certain findings as required by the Bankruptcy Code.  The Bankruptcy Court may confirm a Plan notwithstanding the non-acceptance of the Plan by an impaired class of creditors or equity security holders if certain requirements of the Bankruptcy Code are met.

 

On January 15, 2010 we entered into Amendment No. 3 of the DIP Credit Facility that provided for, among other things, the consent of our DIP lenders to the sale of the PVC additives business.

 

On February 9, 2010, the Bankruptcy Court gave interim approval of an Amended and Restated Senior Secured Super-Priority Debtor-in-Possession Credit Agreement (the “Amended and Restated DIP Credit Agreement”) by and among the Debtors, Citibank N.A. and the other lenders party thereto.  The Amended and Restated DIP Credit Agreement provides for a first priority and priming secured revolving and term loan credit commitment of up to an aggregate of $450 million.  The proceeds of the loans and other financial accommodations incurred under the Amended and Restated DIP Credit Agreement were used to, among other things, to refinance the obligations outstanding under the DIP Credit Facility and provide working capital for general corporate purposes.  The Amended and Restated DIP Credit Agreement provided a substantial reduction in the Company’s financing costs through interest rate reductions and the avoidance of the extension fees that would have been payable under the DIP Credit Facility in February and May 2010.  It also provided us with greater flexibility to operate our business.  The Amended and Restated DIP Credit Agreement closed on February 12, 2010 with the drawings of the $300 million term loan.  On February 18, 2010, the Bankruptcy Court entered a final order providing full access to the Amended and Restated DIP Credit Agreement.  The Amended and Restated DIP Credit Agreement matures on the earlier of 364 days after the closing, the effective date of a Plan or the date of termination in whole of the Commitments (as defined in the Amended and Restated DIP Credit Agreement).

 

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The ultimate recovery by the Debtors’ creditors and our shareholders, if any, will not be determined until confirmation and implementation of a Plan.  No assurance can be given as to what recoveries, if any, will be assigned in the Chapter 11 cases to each of these constituencies.  A Plan could result in our shareholders receiving little or no value for their interests and holders of the Debtors’ unsecured debt, including trade debt and other general unsecured creditors, receiving less, and potentially substantially less, than payment in full for their claims.  Because of such possibilities, the value of our common stock and unsecured debt is highly speculative.  Accordingly, we urge that appropriate caution be exercised with respect to existing and future investments in any of these securities.  Although the shares of our common stock continue to trade on the Pink Sheets Electronic Quotation Service (“Pink Sheets”) under the symbol “CEMJQ,” the trading prices may have little or no relationship to the actual recovery, if any, by the holders under any eventual Bankruptcy Court-approved Plan.  The opportunity for any recovery by holders of our common stock under such Plan is uncertain as all creditors’ claims must be met in full, with interest where due, before value can be attributed to the common stock and, therefore, the shares of our common stock may be cancelled without any compensation pursuant to such Plan.

 

Continuation of our operations as a going concern is contingent upon, among other things, our ability and/or the Debtors’ ability (i) to comply with the terms and conditions of the Amended and Restated DIP Credit Agreement, as amended; (ii) to obtain confirmation of a Plan under the Bankruptcy Code; (iii) to return to profitability; (iv) to generate sufficient cash flow from operations; and (v) to obtain financing sources to meet our future obligations.  These matters raise substantial doubt about our ability to continue as a going concern.  The Consolidated Financial Statements do not reflect any adjustments relating to the recoverability and classification of recorded asset amounts or the amounts and classification of liabilities that might result from the outcome of these uncertainties.  Additionally, a Plan could materially change amounts reported in the Consolidated Financial Statements, which do not give effect to all adjustments of the carrying value of assets and liabilities that may be necessary as a consequence of completing reorganization under Chapter 11 of the Bankruptcy Code.

 

In addition, as part of our emergence from bankruptcy protection, we may be required to adopt fresh start accounting in a future period.  If fresh start accounting is applicable, our assets and liabilities will be recorded at fair value as of the fresh start reporting date.  The fair value of our assets and liabilities as of such fresh start reporting date may differ materially from the recorded values of assets and liabilities on our Consolidated Balance Sheets.  Further, if fresh start accounting is required, our financial results after the application of fresh start accounting may be different from historical trends.

 

Restructuring

 

In 2009, we initiated a comprehensive review process to strengthen our core businesses and improve our financial health, a process that is continuing in 2010.  As part of this process, we have undertaken a review of each of our businesses, individually and as part of our portfolio.  The review includes a determination of whether to continue in, consolidate, reorganize, exit or expand our businesses, operations and product lines.  In each case, we determined whether, on a short-term or long-term basis, the business, operation or product line constitutes a strategic fit with our core business as a global provider of specialty chemical products, contributes to our financial health and will achieve our business objectives.  If it does not, we will implement initiatives which may include, among other things, limiting or exiting the business, operation or product line, consolidating operations or facilities or selling or otherwise disposing of the business or asset.   Our review process also involves expanding businesses and product lines and bringing new products to market with significant growth opportunities.  Our goal is to reshape our Company into a stronger and leaner global enterprise focused on growth.

 

As a result of our review process, we have identified certain assets for potential sale.  In other cases, we have determined that restructuring or consolidating our operations or changing the way we do business or bring our products to market would further our business goals.  As the review process continues, additional assets may be sold or restructured, operations may be consolidated or exited and businesses, operations and product lines may be expanded.

 

In particular, during the fourth quarter of 2009, we initiated the process of selling our PVC additives business which resulted on February 23, 2010 in a definitive purchase agreement to sell our PVC additives business.  The proposed transaction is expected to close in the second quarter of 2010.  On January 25, 2010, we announced a restructuring plan involving the consolidation and idling of certain assets within the Flame Retardants business operations in El Dorado, Arkansas.  We transferred certain operations to third-party logistics providers, enabling us to maintain service levels at a more competitive cost.  We also entered into raw material supply agreements that will reduce the costs of our products.

 

As we implement these initiatives, we also focused on growth opportunities.  We plan to expand capacity at Gulf Stabilizer Industries, our joint venture facility in Al Jubail, Saudi Arabia and advance towards a joint venture between Al Zamil Group Holding Company and Chemtura Organometallics GmbH to build a world-scale metal alkyls manufacturing facility in Jubail Industrial City, Saudi Arabia.  We have also brought to market new and innovative product offerings.

 

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We are reviewing approximately 13,000 of our executory contracts and real property leases to determine whether they constitute a strategic fit within our core business and, if not, to evaluate whether they should be assumed, rejected or restructured as permitted under the Bankruptcy Code.  While this process is not complete, we have taken actions accordingly, including rejecting various executory contracts and real property leases that do not further our business objectives.

 

Beginning in 2008 and continuing in 2009, we initiated cost reduction, working capital and other initiatives that generated positive cash flow over the last four quarters and allowed us to accumulate substantial cash balances.  We have achieved or exceeded all performance levels required in the DIP Credit Facility.

 

We believe that these continuing restructuring activities and growth initiatives have improved our financial strength which we believe will allow us to emerge successfully from Chapter 11 in 2010.

 

Reorganization Items

 

We have and will continue to incur substantial expenses resulting from our Chapter 11 cases.  Reorganization items, net presented in our Consolidated Statement of Operations represent the direct and incremental costs related to our Chapter 11 cases such as professional fees, gains related to the settlement of claims in the Chapter 11 cases and rejections or terminations of executory contracts and real property leases.  During 2009, we recorded $97 million of reorganization items, net.  We expect that our restructuring activities in 2010 will likely result in additional charges for reorganization items, net that could be material to our results of operations, financial condition or cash flows in any given period.  For additional information on reorganization items, net, see Note 4 - Liabilities Subject to Compromise and Reorganization Items, Net in the Notes to Consolidated Financial Statements.

 

Cash Flows from Operating Activities

 

Net cash provided by operating activities was $49 million in 2009 compared with $11 million of net cash used in operating activities in 2008. Changes in key accounts are summarized below:

 

Favorable (unfavorable)

 

 

 

 

 

 

 

(In millions)

 

2009

 

2008

 

Change

 

Accounts receivable

 

$

36

 

$

89

 

$

(53

)

Impact of accounts receivable facilities

 

(103

)

(136

)

33

 

Inventories

 

85

 

(12

)

97

 

Accounts payable

 

16

 

(25

)

41

 

Pension and post-retirement health care liabilities

 

(26

)

(46

)

20

 

Liabilities subject to compromise

 

(31

)

 

(31

)

 

During 2009, accounts receivable decreased by $36 million as compared with an $89 million decrease in 2008. The 2009 and 2008 decreases in accounts receivable were driven by reduced sales and the benefit of our collection efforts.  In 2009, the decrease in the proceeds from the sale of accounts receivable was $103 million, compared with a decrease of $136 million in 2008.  The decrease in 2009 was due to the termination of the 2009 U.S. Facility which was a condition of the establishment of the DIP Credit Facility and the restricted availability and access to the European Facility leading to its termination in the second quarter of 2009.  The decrease in 2008 related to reduced accounts receivable and changes in the terms of the accounts receivable facilities in both the U.S. and Europe.  Inventory decreased by $85 million in 2009 as compared with an increase of $12 million in 2008.  The decrease in 2009 was primarily due to lower product costs, inventory reduction initiatives and lower demand.  The increase in 2008 was primarily due to the impact of increases in the costs of raw material and packaging.  Accounts payable increased by $16 million in 2009 and decreased by $25 million in 2008 primarily due to the timing of vendor payments.  Liabilities subject to compromise were affected by payments of $31 million against pre-petition liabilities that were approved by the Bankruptcy Court.

 

During 2009, our pension and post-retirement healthcare liabilities decreased by $26 million, primarily due to contributions.  Contributions amounted to $28 million in 2009, which include $15 million for domestic plans and $13 million for international plans.  During 2008, our pension and post-retirement healthcare liabilities decreased by $46 million primarily due to contributions.  Contributions amounted to $42 million in 2008, which included $22 million for domestic plans and $20 million for international plans.

 

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Net cash provided by operating activities in 2009 also reflected the impact of various charges and changes in pre-existing reserves.  A summary of these items and the net impact on cash flows provided by (used in) operating activities is as follows:

 

 

 

Net Change per

 

 

 

 

 

 

 

Consolidated

 

2009

 

2009

 

 

 

Statement of

 

Expense

 

Cash

 

(In millions)

 

Cash Flows

 

(Benefit)

 

Payments

 

Interest payable

 

$

25

 

$

70

 

$

(45

)

Income taxes payable

 

(28

)

5

 

(33

)

Facility closure, severance and related costs

 

(22

)

3

 

(25

)

Antitrust settlement costs

 

 

6

 

(6

)

Environmental liabilities

 

11

 

20

 

(9

)

Management incentive plans

 

5

 

9

 

(4

)

 

Net cash provided by operating activities in 2009 also reflected the impact of certain non-cash charges, including $173 million of depreciation and amortization expense, $104 million in impairment charges, $73 million for changes in estimates related to expected allowable claims, $35 million of reorganization items, net and $11 million related to other non-cash charges.

 

Cash Flows from Investing and Financing Activities

 

Net cash used in investing activities was $58 million for 2009, which reflected net proceeds from prior year divestments of the oleochemicals and fluorine chemicals businesses of $3 million offset by $5 million of net cash paid as deferred consideration for a prior year acquisition.  Additionally, capital expenditures for 2009 amounted to $56 million as compared with $121 million for 2008 due to our continuing effort to control discretionary cash expenditures and restrictions under our DIP Credit Facility.  Expenditures were primarily related to U.S. and foreign facilities, the SAP project and environmental and other compliance requirements.

 

Net cash provided by financing activities was $173 million for 2009, which included proceeds from the DIP Credit Facility of $250 million, partially offset by payments of debt issuance costs on the DIP Credit Facility of $30 million, net repayments on the 2007 Credit Facility of $28 million, and net payments on other borrowings of $19 million.

 

Dividend payments totaled $36 million in 2008.  On October 30, 2008, we announced that we would suspend the payment of dividends to conserve cash and expand liquidity in a period of economic uncertainty. There were no dividend payments in 2009.

 

Contractual Obligations and Other Cash Requirements

 

We have obligations to make future cash payments under contracts and commitments, including long-term debt agreements, lease obligations, environmental liabilities, antitrust settlements, post-retirement health care liabilities, facility closures, severance and related costs, and other long-term liabilities.

 

The following table summarizes our significant contractual obligations and other cash requirements as of December 31, 2009.  Payments associated with liabilities subject to compromise, except for those liabilities approved by the Bankruptcy Court, have been excluded from the table below, as we cannot accurately forecast the future amounts and timing of the payments given the inherent uncertainties associated with our Chapter 11 cases.

 

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Table of Contents

 

 

 

 

Payments Due by Period

 

(In millions)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

2015 and

 

Contractual Obligations*

 

 

Total

 

2010

 

2011

 

2012

 

2013

 

2014

 

Thereafter

 

Total debt (including capital leases)

 

(a)

$

254

 

$

252

 

$

 

$

1

 

$

 

$

1

 

$

 

Operating leases

 

(b)

79

 

17

 

10

 

8

 

6

 

6

 

32

 

Contractual antitrust settlements

 

(c)

6

 

6

 

 

 

 

 

 

Facility closures, severance and related cost liabilities

 

(d)

4

 

4

 

 

 

 

 

 

Capital expenditures

 

(e)

12

 

12

 

 

 

 

 

 

Interest payments

 

(f)

29

 

29

 

 

 

 

 

 

Subtotal - Contractual Obligations

 

 

384

 

320

 

10

 

9

 

6

 

7

 

32

 

Environmental liabilities

 

(g)

84

 

14

 

18

 

11

 

8

 

6

 

27

 

Post-retirement health care liabilities

 

(h)

17

 

1

 

1

 

1

 

1

 

1

 

12

 

Other long-term liabilities (excluding pension liabilities)

 

 

33

 

2

 

7

 

3

 

3

 

1

 

17

 

Total cash requirements

 

 

$

518

 

$

337

 

$

36

 

$

24

 

$

18

 

$

15

 

$

88

 

 


* Additional information is provided in the Debt, Leases, Legal Proceedings and Contingencies, Pension and Other Post-Retirement Plans, Restructuring and Asset Impairment Activities, and Income Taxes Notes to our Consolidated Financial Statements.

 

(a)

Our debt agreements include various bank loans and future minimum payments under capital leases for which payments will be payable through 2014. As the Amended and Restated DIP Credit Agreement was entered into in February 2010, it is not reflected as an obligation as of December 31, 2009. The future minimum lease payments under capital leases at December 31, 2009 were not significant. Obligations by period reflect stated contractual due dates. Debt obligations in this table exclude $1.2 billion of liabilities subject to compromise.

 

 

(b)

Represents operating lease obligations primarily related to buildings, land and equipment. Such obligations are net of future sublease income and will be expensed over the life of the related lease contracts. Includes leases renegotiated through the Chapter 11 cases that received Bankruptcy Court approval.

 

 

(c)

Represents final installment payments of fines provided in the settlement of U.S. and Canadian antitrust cases, which received Bankruptcy Court approval. Under the agreement reached with the U.S. and Canadian authorities, the amount of these payments can increase if general unsecured creditors receive 62% or more of their claims under the terms of the Plan confirmed by the Bankruptcy Court.

 

 

(d)

Represents estimated payments from accruals related to our cost reduction programs.

 

 

(e)

Represents capital commitments for various open projects.

 

 

(f)

Represents interest payments related to various debt agreements. Interest obligations in the table exclude interest payable on $1.2 billion of debt obligations classified as liabilities subject to compromise.

 

 

(g)

We have environmental liabilities for future remediation and operating and maintenance costs directly related to remediation. We estimate that the environmental liability could range up to $164 million. We have recorded a liability for environmental remediation of $122 million at December 31, 2009 of which $42 million is classified as liabilities subject to compromise. Environmental liability obligations in the table exclude the $42 million classified as liabilities subject to compromise.

 

 

(h)

We have post-retirement health care plans that provide health and life insurance benefits to certain retired and active employees and their beneficiaries. These plans are generally not pre-funded and expenses are paid by us as incurred, with the exception of certain inactive government related plans that are paid from plan assets. Post-retirement health care liability obligations in the table exclude $133 million of liabilities subject to compromise.

 

During 2009, we made payments of $31 million and $2 million for operating leases and unconditional purchase obligations, respectively.

 

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We fund our defined benefit pension plans based on the minimum amounts required by law plus additional voluntary contribution amounts we deem appropriate.  Estimated future funding requirements are highly dependent on factors that are not readily determinable.  These include changes in legislation, returns earned on pension investment and other factors related to assumptions regarding future liabilities.  We made contributions of $28 million in 2009 to our domestic and international pension and post-retirement benefit plans (including payments made by us directly to plan participants).  See “Critical Accounting Estimates” below for details regarding current pension assumptions.  To the extent that current assumptions are not realized, actual funding requirements may be significantly different from those described below.  Applying the provisions of the Pension Protection Act of 2006, we are not required to contribute to the domestic qualified pension plans in 2010.  The following table summarizes the estimated future funding requirements for defined benefit pension plans under current assumptions:

 

 

 

Funding Requirements by Period

 

(In millions)

 

2010

 

2011

 

2012

 

2013

 

2014

 

Qualified domestic pension plans

 

$

 

$

30

 

$

56

 

$

45

 

$

42

 

International and non-qualified pension plans

 

17

 

17

 

18

 

18

 

20

 

Total pension plans

 

$

17

 

$

47

 

$

74

 

$

63

 

$

62

 

 

Other Sources and Uses of Cash

 

We expect to finance our continuing operations and capital spending requirements for 2010 with cash flows provided by operating activities, available cash and cash equivalents, and borrowings under the Amended and Restated DIP Credit Agreement and other sources.  Cash and cash equivalents as of December 31, 2009 were $236 million.
 
Bank Covenants and Guarantees
 
On March 18, 2009, the Debtors entered into a $400 million DIP Credit Facility arranged by Citigroup Global Markets Inc. with Citibank, N.A. as Administrative Agent.  On March 20, 2009, the Bankruptcy Court entered an interim order providing approval for the Debtors to access $190 million of the DIP Credit Facility in the form of a $165 million term loan and a $25 million revolving credit facility.  The DIP Credit Facility closed on March 23, 2009 with the drawing of the $165 million term loan.  The initial proceeds were used to fund the termination of the 2009 U.S. Facility, pay fees and expenses associated with the transaction and fund business operations.
 
On April 28, 2009, the Company, certain of our subsidiaries that are guarantors under the DIP Credit Facility, the banks, financial institutions and other institutional lenders party to the DIP Credit Facility (the “Lenders”), and Citibank, N.A., as Administrative Agent for the Lenders, entered into Amendment No. 1 to the DIP Credit Facility.  Amendment No. 1 amended the DIP Credit Facility to provide for, among other things, (i) an increase in the outstanding amount of inter-company loans the Debtors could make to our non-debtor foreign subsidiaries from $8 million to $40 million; (ii) a reduction in the required level of borrowing availability under the minimum availability covenant; and (iii) the elimination of the requirement to pay additional interest expense if a specified level of accounts receivable financing was not available to our European subsidiaries.  On April 29, 2009, the Bankruptcy Court granted final approval of the DIP Credit Facility, as amended pursuant to Amendment No. 1 thereto.
 
The DIP Credit Facility was comprised of the following:  (i) a $250 million non-amortizing term loan; (ii) a $64 million revolving credit facility; and (iii) an $86 million revolving credit facility representing the “roll-up” of certain outstanding secured amounts owed to lenders under the existing 2007 Credit Facility who have commitments under the DIP Credit Facility.  In addition, a sub-facility for letters of credit (“Letters of Credit”) in an aggregate amount of $50 million were available under the unused commitments of the revolving credit facilities.
 
The Bankruptcy Court entered a final order providing full access to the $400 million DIP Credit Facility on April 29, 2009.  On May 4, 2009, we drew the $85 million balance of the $250 million term loan and used the proceeds together with cash on hand to fund the $86 million “roll up” of certain outstanding secured amounts owed to certain lenders under the 2007 Credit Facility as approved by the final order.

 

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On July 13, 2009, the Company and the parties to the DIP Credit Facility entered into Amendment No. 2 to the DIP Credit Facility subject to approvals by the Bankruptcy Court and our Board of Directors which approvals were obtained on July 14 and July 15, 2009, respectively.  Amendment No. 2 amended the DIP Credit Facility to provide for, among other things, our option to extend the maturity of the DIP Credit Facility for two consecutive three month periods subject to the satisfaction of certain conditions.  Prior to Amendment No. 2, the DIP Credit Facility matured on the earlier of 364 days (from the Petition Date), the effective date of a Plan or the date of termination in whole of the Commitments (as defined in the DIP Credit Facility).
 
On January 15, 2010, we entered into Amendment No. 3 of the DIP Credit Facility that provided for, among other things, the consent of our DIP lenders to the sale of the PVC additives business.
 
On February 9, 2010, the Bankruptcy Court gave interim approval of the Amended and Restated DIP Credit Agreement.  The Amended and Restated DIP Credit Agreement provides for a first priority and priming secured revolving and term loan credit commitment of up to an aggregate of $450 million.  The Amended and Restated DIP Credit Agreement consists of a $300 million term loan and a $150 million revolving credit facility.  The proceeds of the term loan and other financial accommodations incurred under the Amended and Restated DIP Credit Agreement were used to, among other things, refinance the obligations outstanding under the DIP Credit Facility and provide working capital for general corporate purposes.  The Amended and Restated DIP Credit Agreement provided a substantial reduction in our financing costs through interest rate reductions and avoidance of the extension fees that would have been payable under the DIP Credit Facility in February and May 2010.  The Amended and Restated DIP Credit Agreement closed on February 12, 2010 with the drawings of the $300 million term loan and matures on the earlier of 364 days after the closing, the effective date of a Plan or the date of termination in whole of the Commitments (as defined in the Amended and Restated DIP Credit Agreement).

 

The Amended and Restated DIP Credit Agreement, as was the DIP Credit Facility, is secured by a super-priority lien on substantially all of our U.S. assets, including (i) cash, (ii) accounts receivable; (iii) inventory; (iv) machinery, plant and equipment; (v) intellectual property; (vi) pledges of the equity of first tier subsidiaries; and (vii) pledges of debt and other instruments.
 
Availability of credit under the Amended and Restated DIP Credit Agreement, as was availability under the DIP Credit Facility, is equal to (i) the lesser of (a) the Borrowing Base (as defined below) and (b) the effective commitments under the DIP Credit Facility minus (ii) the aggregate amount of the DIP Loans and any undrawn or unreimbursed Letters of Credit.  Borrowing Base is the sum of (i) 80% of the Debtors’ eligible accounts receivable, plus (ii) the lesser of (a) 85% of the net orderly liquidation value percentage (as defined in the DIP Credit Facility) of the Debtors’ eligible inventory and (b) 75% of the cost of the Debtors’ eligible inventory, plus (iii) $275 million ($125 million under the DIP Credit Facility), less certain reserves determined in the discretion of the Administrative Agent to preserve and protect the value of the collateral.  As of December 31, 2009, extensions of credit outstanding under the DIP Credit Facility consisted of the $250 million term loan and Letters of Credit of $19 million.
 
Borrowings under the DIP Credit Facility term loans and the $64 million revolving facility bore interest at a rate per annum equal to, at our election, (i) 6.5% plus the Base Rate (defined as the higher of (a) 4%; (b) Citibank N.A.’s published rate; or (c) the Federal Funds rate plus 0.5%) or (ii) 7.5% plus the Eurodollar Rate (defined as the higher of (a) 3% or (b) the current LIBOR rate adjusted for reserve requirements).  Borrowings under the $86 million revolving facility bear interest at a rate per annum equal to, at our election, (i) 2.5% plus the Base Rate or (ii) 3.5% plus the Eurodollar Rate.  Additionally, we paid an unused commitment fee of 1.5% per annum on the average daily unused portion of the revolving facilities and a letter of credit fee on the average daily balance of the maximum daily amount available to be drawn under Letters of Credit equal to the applicable margin above the Eurodollar Rate applicable for borrowings under the applicable revolving 2007 Credit Facility.  Certain fees were payable to the lenders upon the reduction or termination of the commitment and upon the substantial consummation of a Plan as described more fully in the DIP Credit Facility including an exit fee payable to the Lenders of 2% of “roll-up” commitments and 3% of all other commitments.  These fees were paid upon the funding of the term loan under the Amended and Restated DIP Credit Agreement.

 

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Borrowings under the Amended and Restated DIP Credit Agreement term loan bear interest at a rate per annum equal to, at our election, (i) 3.0% plus the Base Rate (defined as the higher of (a) 3%; (b) Citibank N.A.’s published rate; or (c) the Federal Funds rate plus 0.5%) or (ii) 4.0% plus the Eurodollar Rate (defined as the higher of (a) 2% or (b) the current LIBOR rate adjusted for reserve requirements).  Borrowings under the $150 million revolving facility bear interest at a rate per annum equal to, at our election, (i) 3.25% plus the Base Rate or (ii) 4.25% plus the Eurodollar Rate.  Additionally, we pay an unused commitment fee of 1.0% per annum on the average daily unused portion of the revolving facilities and a letter of credit fee on the average daily balance of the maximum daily amount available to be drawn under Letters of Credit equal to the applicable margin above the Eurodollar Rate applicable for borrowings under the applicable revolving 2007 Credit Facility.

 

Our obligations as borrower under the Amended and Restated DIP Credit Agreement, as they were under the DIP Credit Facility, are guaranteed by our U.S. subsidiaries who are Debtors in the Chapter 11 cases, which own substantially all of our U.S. assets.  The obligations must also be guaranteed by each of our subsidiaries that become party to the Chapter 11 cases, subject to specified exceptions.
 
All amounts owing by us and the guarantors under the Amended and Restated DIP Credit Agreement and certain hedging arrangements and cash management services, as they were under the DIP Credit Facility, are secured, subject to a carve-out as set forth in the Amended and Restated DIP Credit Agreement (the “Carve-Out”), for professional fees and expenses (as well as other fees and expenses customarily subject to such Carve-Out), by (i) a first priority perfected pledge of (a) all notes owned by us and the guarantors and (b) all capital stock owned by us and the guarantors (subject to certain exceptions relating to their respective foreign subsidiaries) and (ii) a first priority perfected security interest in all other assets owned by us and the guarantors, in each case, junior only to liens as set forth in the Amended and Restated DIP Credit Agreement and the Carve-Out.
 
The Amended and Restated DIP Credit Agreement, as did the DIP Credit Facility, requires that we meet certain financial covenants including the following: (a) minimum cumulative monthly earnings before interest, taxes, and depreciation (“EBITDA”), after certain adjustments, on a consolidated basis; (b) a maximum variance of the weekly cumulative cash flows of the Debtors, compared to an agreed upon forecast; (c) minimum borrowing availability of $20 million; and (d) maximum quarterly capital expenditures.  In addition, the Amended and Restated DIP Credit Agreement contains covenants which, among other things, limit the incurrence of additional debt, operating leases, issuance of capital stock, issuance of guarantees, liens, investments, disposition of assets, dividends, certain payments, mergers, change of business, transactions with affiliates, prepayments of debt, repurchases of stock and redemptions of certain other indebtedness and other matters customarily restricted in such agreements.  As of December 31, 2009, we were in compliance with the covenant requirements of the DIP Credit Facility.
 
The Amended and Restated DIP Credit Agreement contains events of default triggered upon, among others things, payment defaults, breaches of representations and warranties, and covenant defaults.

 

We have standby letters of credit and guarantees with various financial institutions the majority of which were issued under the 2007 Credit Facility.  Any additional drawings of letter of credits issued under the 2007 Credit Facility will be classified as liabilities subject to compromise in the Consolidated Balance Sheet.  At December 31, 2009, we had $52 million of outstanding letters of credit and guarantees primarily related to liabilities for environmental remediation, vendor deposits, insurance obligations and European value added tax obligations.  The outstanding letters of credit include $33 million issued under the 2007 Credit Facility that are pre-petition liabilities and $19 million issued under the DIP Credit Facility letter of credit sub-facility.  We also had $17 million of third party guarantees at December 31, 2009 for which we have reserved $2 million at December 31, 2009, which represents the probability weighted fair value of these guarantees.

 

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RESULTS OF OPERATIONS

 

(In millions, except per share data)

 

2009

 

2008

 

2007

 

Net Sales

 

 

 

 

 

 

 

Consumer Performance Products

 

$

457

 

$

516

 

$

567

 

Industrial Performance Products

 

999

 

1,465

 

1,513

 

Crop Protection Engineered Products

 

332

 

394

 

352

 

Industrial Engineered Products

 

753

 

1,171

 

1,315

 

Net Sales

 

$

2,541

 

$

3,546

 

$

3,747

 

 

 

 

 

 

 

 

 

Operating Profit (Loss)

 

 

 

 

 

 

 

Consumer Performance Products

 

$

63

 

$

50

 

$

62

 

Industrial Performance Products

 

91

 

105

 

140

 

Crop Protection Engineered Products

 

42

 

78

 

58

 

Industrial Engineered Products

 

(11

)

17

 

36

 

Segment Operating Profit

 

185

 

250

 

296

 

 

 

 

 

 

 

 

 

General corporate expense including amortization

 

(95

)

(98

)

(92

)

Change in useful life of property, plant and equipment

 

 

(32

)

(40

)

Facility closures, severance and related costs

 

(3

)

(26

)

(36

)

Antitrust costs

 

(10

)

(12

)

(35

)

Loss on sale of businesses

 

 

(25

)

(15

)

Impairment of long-lived assets

 

(104

)

(986

)

(19

)

Changes in estimates related to expected allowable claims

 

(73

)

 

 

Total Operating (Loss) Profit

 

(100

)

(929

)

59

 

 

 

 

 

 

 

 

 

Interest expense

 

(70

)

(78

)

(87

)

Other (expense) income, net

 

(17

)

9

 

(5

)

Reorganization items, net

 

(97

)

 

 

 

 

 

 

 

 

 

 

Loss from continuing operations before income taxes

 

(284

)

(998

)

(33

)

Income tax (provision) benefit

 

(5

)

27

 

(4

)

 

 

 

 

 

 

 

 

Loss from continuing operations

 

(289

)

(971

)

(37

)

Earnings from discontinued operations, net of tax

 

 

 

18

 

(Loss) gain on sale of discontinued operations, net of tax

 

(3

)

 

24

 

Net (loss) earnings

 

(292

)

(971

)

5

 

Less: net earnings attributable to non-controlling interests

 

(1

)

(2

)

(8

)

Net loss attributable to Chemtura Corporation

 

$

(293

)

$

(973

)

$

(3

)

 

EARNINGS (LOSS) PER SHARE - BASIC AND DILUTED - ATTRIBUTABLE TO CHEMTURA CORPORATION:

 

 

 

 

 

 

 

 

 

 

Loss from continuing operations

 

$

(1.19

)

$

(4.01

)

$

(0.18

)

Earnings from discontinued operations

 

 

 

0.07

 

(Loss) gain on sale of discontinued operations

 

(0.01

)

 

0.10

 

Net loss attributable to Chemtura Corporation

 

$

(1.20

)

$

(4.01

)

$

(0.01

)

 

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2009 COMPARED TO 2008

 

Overview

 

Consolidated net sales of $2.5 billion for 2009 were $1 billion lower than the prior year.  The decrease in net sales was attributable to reduced sales volumes of $912 million primarily due to the global economic slow down and its impact on the industries we supply, unfavorable currency translation of $46 million, the impact of the divestiture of the oleochemicals business in the Industrial Engineered Products segment of $31 million and reduced selling prices of $16 million.  The reduction in volume impacted all segments, particularly the Industrial Performance Products and the Industrial Engineered Products segments.  All segments experienced a reduction in selling prices, except for the Consumer Performance Products segment.  Selling price increases that occurred in 2008 within the Consumer Performance Products segment were in response to increases in the costs of raw materials.

 

Gross profit decreased by $142 million to $594 million for 2009 as compared with 2008.  The decrease in gross profit was primarily driven by a $256 million reduction in sales volume and unfavorable product mix, $28 million from unfavorable manufacturing costs (largely due to lower plant utilization), $16 million from lower selling prices, $9 million in unfavorable foreign currency translation, a $5 million benefit in 2008 from insurance proceeds and other decreases in costs of $1 million.  These impacts were partially offset by a $142 million decrease in raw material and energy costs, $22 million in lower distribution costs, a $7 million charge in 2008 for an assumed lease and a $2 million reduction in accelerated asset retirement obligations.  Gross profit as a percentage of sales increased to 23% in 2009 from 21% in 2008 mainly due to lower direct product costs.

 

Selling, general and administrative (“SG&A”) expense of $293 million for 2009 was $39 million lower than in 2008.  The decrease in SG&A reflected the favorable benefit of our restructuring programs and tight control of discretionary spending.  Favorable foreign currency translation contributed $7 million to the reduction, which was offset by the benefit of a $4 million pension plan curtailment gain in 2008.

 

Depreciation and amortization expense of $173 million for 2009 was $64 million lower than in 2008.  This decrease is primarily due to accelerated depreciation taken in 2008 related to the divested oleochemicals business and our legacy enterprise resource planning (“ERP”) systems.

 

Research and development (“R&D”) expense of $38 million for 2009 was $13 million lower than in 2008 as a result of cost reduction initiatives.

 

Facility closure, severance and related costs of $3 million in 2009 and $26 million in 2008 were primarily due to our restructuring program announced in December 2008 which involved a worldwide reduction in our professional and administrative staff of approximately 500 people.

 

We incurred antitrust costs of $10 million in 2009, which primarily represented a judgment in litigation related to certain rubber chemical claimants and legal costs associated with antitrust investigations and civil lawsuits.  Antitrust costs of $12 million in 2008 were primarily related to settlement offers made to certain rubber chemical claimants and legal costs associated with antitrust investigations and civil lawsuits.

 

Loss on sale of business of $25 million in 2008 was primarily related to the sale of the oleochemicals business.

 

We recorded a charge of $104 million in 2009 for the impairment of long-lived assets.  The 2009 charge included the impairment of goodwill of $37 million for the Consumer Performance Products segment, and the impairment of property, plant and equipment and intangibles assets of $53 million and $14 million, respectively, for the polyvinyl chloride (“PVC”) additives business, a component of the Industrial Engineered Products segments.  The impairment charges were principally the result of underperformance of the reporting units in these segments contributed by weaker industry demand due to the global economic recession.  These factors resulted in reduced expectations for future cash flows and lower estimated fair values for the respective assets.

 

We recorded a charge of $986 million in 2008 for the impairment of long-lived assets.  The 2008 charge included the impairment of goodwill of $540 million for the Consumer Performance Products segment, $82 million for the Industrial Performance Products segment and $363 million for the Industrial Engineered Products segment.  The impairment charges were primarily the result of updated long-term financial projections and the deteriorating financial performance in the fourth quarter of 2008, coupled with adverse equity market conditions.

 

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We incurred charges of $73 million for changes in estimates related to expected allowable claims.  These charges represent adjustments to liabilities subject to compromise (primarily legal and environmental reserves) as a result of the proofs of claim evaluation process.

 

We incurred an operating loss of $100 million for 2009 compared with an operating loss of $929 million for 2008.  The decrease in the operating loss of $829 million reflected the $882 million decrease in impairment of long-lived assets, primarily due to the goodwill impairment in 2008; a $64 million decrease in depreciation and amortization expense, primarily due to accelerated depreciation taken in 2008; a $52 million decrease in SG&A and R&D (“SGA&R”) expenses due to the benefits of our restructuring and other cost reduction initiatives; a $25 million loss on the sale of the oleochemicals business in 2008; a $23 million decrease in facility closures, severance and related costs; and a $2 million decrease in antitrust costs.  These favorable impacts were partially offset by a $142 million decrease in gross profit discussed above, a $73 million charge in 2009 for changes in estimates related to expected allowable claims and $4 million in lower equity income.

 

Loss from continuing operations attributable to Chemtura for 2009 was $290 million, or $1.19 per diluted share, as compared with a loss of $973 million, or $4.01 per diluted share in 2008.

 

Consumer Performance Products

 

Net sales for the Consumer Performance Products segment decreased by $59 million to $457 million in 2009 compared with $516 million in 2008.  Operating profit increased $13 million in 2009 to $63 million compared with $50 million in 2008.

 

The $59 million decrease in net sales was driven by reduced sales volume of $89 million and the impact of unfavorable foreign currency translation of $8 million, partially offset by $38 million in price increases in response to significant raw material cost increases experienced in 2008.  The lower net sales volume in 2009 was the result of unseasonably cold and wet weather conditions in the North American market which negatively impacted the pool and spa business, the exit from our pool and spa distribution business in mid-2008 and supply disruptions due to constrained liquidity early in the 2009 season which negatively impacted sales in our home cleaning business.

 

Operating profit increased by $13 million due to higher selling prices of $38 million, and the benefit of cost reductions, including $9 million in lower raw material and energy costs, a $7 million reduction in distribution costs and a $20 million decrease in SGA&R and other costs.  As part of our reorganization initiatives, in the U.S., this segment transitioned to third party providers to reduce its distribution costs and improve customer service.  In September 2009, the U.S. operations also transitioned to a single instance of SAP and retired the legacy ERP system.  These cost reduction benefits were partially offset by a $46 million reduction in sales volume and unfavorable product mix combined with an $11 million increase in manufacturing costs, a $3 million increase in accelerated depreciation expense and a $1 million impact from unfavorable foreign currency translation.

 

Industrial Performance Products

 

Net sales in the Industrial Performance Products segment decreased by $466 million to $999 million in 2009 compared with $1,465 million in 2008.  Operating profit decreased $14 million in 2009 to $91 million compared with $105 million in 2008.

 

The $466 million decrease in net sales resulted from reduced sales volume of $414 million, $36 million in lower selling prices and $16 million in unfavorable foreign currency translation.  All product lines experienced reduced sales volumes year-over-year due to the global economic recession, although demand improved during the second half of 2009.  The lower sales prices in 2009 reflect corresponding reductions in raw material costs.

 

This segment’s product lines that are mostly exposed to cyclical industrial and consumer durable markets felt the brunt of the global economic recession.  Antioxidant products used in poly-olefins such as poly-propylene saw dramatic declines in volume starting in the latter part of the fourth quarter of 2008 and through much of the first half of 2009.  Castable urethane products used by small to mid-size manufacturers of industrial components and in the electronics and mining industries also saw significant declines in demand.  However, the sale of petroleum additives used in transportation lubricants and fuels proved more robust, recovering to near normal levels after some industry destocking at the start of the global economic recession.  Industrial demand started to show modest recovery by summer and continued to expand in the second half of 2009, but is still significantly lower than it was before the global economic recession.

 

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Operating profit decreased by $14 million due to a $106 million reduction in sales volume and unfavorable product mix, a $36 million decrease in selling prices, a $1 million increase in accelerated depreciation of property, plant and equipment and a $1 million decrease in equity income.  These unfavorable drivers were partially offset by an $84 million decrease in raw material and energy costs, a $16 million decrease in SGA&R, an $11 million decrease in manufacturing costs, an $8 million decrease in distribution costs, a $2 million decrease in accelerated recognition of asset retirement obligations, a $2 million benefit from favorable foreign currency translation and a $7 million decrease in other costs.  This segment acted quickly at the outset of the global economic recession, to manage its production capacity and make fixed costs variable, mitigating some of the impact of the declines in demand.  However, it preserved spending on critical new product development programs to enable it to continue to build a platform for future growth.

 

Crop Protection Engineered Products

 

Net sales for the Crop Protection Engineered Products segment decreased by $62 million to $332 million in 2009 compared with $394 million in 2008.  Operating profit decreased $36 million to $42 million in 2009 compared with $78 million in 2008.

 

The decrease in net sales of $62 million reflected $47 million in lower sales volume and $15 million in unfavorable foreign currency translation.  2009 proved to be a difficult and challenging year for the global agricultural industry.  Crop prices declined reducing grower profitability and constraints in the global credit markets limited the capacity of growers to finance their crops.  In addition, there was a product cancellation in the European market.  As a result, global demand from growers declined and dealers and distributors reduced inventory, particularly in emerging markets.  This segment saw the greatest weakness in eastern European markets, although demand was soft in all markets.  The Latin American market experienced a slow start to the growing season, but demand from Brazil strengthened in the middle of the southern hemisphere’s summer.

 

Operating profit decreased by $36 million primarily due to $24 million of lower volume and unfavorable product mix, $11 million in higher manufacturing costs, $3 million due to higher raw material costs, $3 million in unfavorable foreign currency translation and $1 million of increased distribution costs, which were partly offset by $6 million of SGA&R and other cost reductions.  Demand has been affected by lower agricultural commodity prices and the impact of the reduced availability of credit to growers.  Manufacturing costs increased primarily due to lower production levels, driven in part by the product cancellation in the European market.

 

Industrial Engineered Products

 

Net sales in the Industrial Engineered Products segment decreased by $418 million to $753 million in 2009 compared with $1,171 million in 2008.  The operating loss of $11 million in 2009 reflected a deterioration of $28 million compared with a $17 million operating profit in 2008.

 

The decrease in net sales of $418 million reflected a decline in sales volume of $364 million, a $31 million reduction in sales volume due to the divestiture of the oleochemicals business in February 2008, a $17 million reduction in selling prices which reflect corresponding reductions in raw material costs and $6 million in unfavorable foreign currency translation.

 

As our most cyclically exposed segment, Industrial Engineered Products experienced the greatest impact from the global economic recession.  The primary industries served by this segment are electronics, building and construction, automotive and consumer durables.  All industries experienced very sharp declines in demand in the latter part of the fourth quarter of 2008 which continued through the spring of 2009.  By summer, electronics demand started to recover benefiting the segment’s flame retardant product line.  This recovery continued throughout the balance of the year.  While demand from other industries stabilized by the summer, recovery has been very slow.  The building and construction industry, which is the primary industry for the segment’s PVC additives products and utilizes flame retardant products, remained weak.  The organometallics product line with more specialized application experienced a smaller impact from the global recession and continued to develop new applications for its products.

 

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The deterioration in operating profit of $28 million in 2009 reflected an $80 million reduction due to lower volume and unfavorable product mix, $18 million in unfavorable manufacturing costs (primarily due to lower plant utilization), $17 million in decreased selling prices, a $3 million decrease in equity income and $1 million in unfavorable foreign currency translation.  This segment also acted quickly at the outset of the global economic recession, to manage its production capacity and reduce fixed manufacturing costs, mitigating some of the impact of the declines in demand.  However, it preserved spending on critical new product development programs to enable it to continue to build a platform for future growth. These decreases in operating profit were partially offset by a $53 million decrease in raw material and energy costs, a $14 million reduction in accelerated depreciation of certain assets, an $11 million benefit from lower SGA&R, an $8 million reduction in distribution costs and $5 million of other cost reductions.

 

General Corporate

 

General corporate expense includes costs and expenses that are of a general nature or managed on a corporate basis.  These costs primarily represent corporate administration services net of costs allocated to the business segments, costs related to corporate headquarters, management compensation plan expenses related to executives and corporate managers and worldwide amortization expense.  Functional costs are allocated between the business segments and general corporate expense.

 

General corporate expense was $95 million for 2009, which included $39 million of amortization expense related to intangibles, compared with $98 million for 2008, which included $45 million of amortization expense.

 

The decrease in general corporate expense of $3 million was primarily driven by a $9 million reduction in depreciation and amortization expense (amortization expense in 2008 included a $4 million charge related to the acceleration of amortization of the intangible value of our discontinued Sun® brand product line) and a $7 million charge in the first quarter of 2008 related to an assumed lease.  These decreases were partially offset by a $5 million benefit in 2008 related to the recovery of insurance proceeds; $4 million in higher pension and other post-retirement benefit plan costs; and a $4 million pension plan curtailment gain in 2008.

 

Corporate accelerated deprecation of property, plant and equipment included a charge of $32 million in 2008 primarily related to our project to upgrade our legacy ERP systems to a single instance of SAP.

 

Other Expenses

 

Interest expense of $70 million in 2009 was $8 million lower than 2008.  Lower interest expense from not recording contractual interest expense on unsecured debt as a result of the Chapter 11 filing was partially offset by an increase due to borrowings under the DIP Credit Facility at higher interest rates than our pre-petition debt.

 

Other expense, net was $17 million in 2009 compared with other income, net of $9 million in 2008.  The increase in expense is primarily due to losses from unfavorable foreign exchange impacts of $48 million, primarily resulting from our inability to purchase foreign currency forward contracts under the terms of our DIP Credit Facility, partially offset by lower fees of $14 million associated with the termination of our accounts receivable financing facilities and fees of $6 million in 2008 associated with the 2007 Credit Facility amendment and waiver.

 

Reorganization items, net of $97 million represented items realized or incurred by us related to our reorganization under Chapter 11.  Reorganization items, net during 2009 included professional fees directly associated with the reorganization; the write-off of debt discounts, premiums and debt issuance costs; the write-off of deferred financing expenses related to the termination of the 2009 U.S. Facility; rejections or terminations of executory contracts and real property leases; gains on the settlement of claims; and reorganization initiatives for which Bankruptcy Court approval had been obtained.

 

Income Taxes

 

Our income tax expense in 2009 was $5 million compared with a benefit of $27 million in 2008.  The 2009 income tax expense included an increase to our valuation allowance and the impact of a decrease in the liability for an unrecognized tax benefit of $9 million as a result of the expiration of the statute of limitation, bankruptcy claims adjustments and favorable audit settlements or payments related to the prior years.  We provided a full valuation allowance against the tax benefit associated with our U.S. net operating loss.  The 2008 income tax benefit included the impact of a goodwill impairment charge and the increase of a valuation allowance against our deferred tax assets.

 

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Discontinued Operations

 

The loss on sale of discontinued operations in 2009 was $3 million (net of $1 million of tax), which represented an adjustment for a loss contingency related with the sale of the OrganoSilicones business in July 2003.

 

2008 COMPARED TO 2007

 

Overview

 

Consolidated net sales of $3.5 billion for 2008 were $201 million lower than in 2007.  Net sales decreased by $227 million due to lower volume and $205 million due to business divestitures (oleochemicals and organic peroxides businesses and the Celogen®, Diamond, and Terraclor product lines), which were partially offset by $159 million in increased selling prices, $52 million in favorable foreign currency translation and $20 million from the Kaufman Holdings Corporation (“Kaufman”) acquisition in the first quarter of 2007.

 

Gross profit decreased by $128 million to $736 million for 2008 as compared with 2007.  Gross profit as a percentage of sales declined to 21% in 2008 from 23% in 2007.  The decrease in gross profit reflected a $205 million impact from increased raw material and energy costs, $41 million in lower volume, $30 million in unfavorable manufacturing costs and $11 million in other cost increases.  These unfavorable factors were partially offset by $159 million in higher selling prices.  Unfavorable manufacturing costs were primarily driven by temporary plant closures during the fourth quarter of 2008.

 

SG&A expense of $332 million for 2008 was $40 million lower than in 2007.  This decrease is primarily due to the impact of our restructuring program that was announced in June 2007 and other cost reduction initiatives.

 

Depreciation and amortization expense of $237 million for 2008 was $32 million lower than in 2007.  This decrease is primarily due to a net reduction in accelerated depreciation of property, plant and equipment of $23 million.  In 2007, accelerated depreciation was related to the closure of certain antioxidant manufacturing facilities in Europe and in 2008 it was principally related to the oleochemicals business which was sold in the first quarter of 2008.

 

R&D expense of $51 million for 2008 was $11 million lower than in 2007 as a result of cost reduction initiatives.

 

Facility closure, severance and related costs for 2008 were $26 million, which was due primarily to our restructuring program announced in December 2008.  The 2007 costs of $36 million were primarily severance costs related to our 2007 cost savings initiatives.

 

We incurred antitrust costs of $12 million in 2008 compared with $35 million in 2007.  Antitrust costs for 2008 were primarily related to settlement offers made to certain rubber chemical claimants and legal costs associated with antitrust investigations and civil lawsuits.  Antitrust costs for the same period in 2007 primarily represented settlement offers made to certain urethane and rubber chemicals claimants, indirect case claimants, securities class action plaintiffs and legal costs associated with the antitrust investigations and civil lawsuits.

 

Loss on sale of business of $25 million in 2008 was primarily related to the sale of the oleochemicals business.  The loss on sale of business of $15 million in 2007 was primarily related to the sale of the Celogen® product line.

 

The impairment of long-lived assets of $986 million in 2008 was primarily related to reducing the carrying value of goodwill in our Consumer Performance Products, Industrial Performance Products and Industrial Engineered Products segments.  The impairment of long-lived assets was $19 million in 2007.  Included in this charge was $9 million related to our Ravenna, Italy facility, $4 million related to facilities affected by the 2007 restructuring programs, $3 million related to the sale of the Marshall, Texas facility and $3 million related to our legacy ERP systems.

 

We incurred an operating loss of $929 million for 2008 compared with an operating profit of $59 million for 2007.  The decrease in operating profit reflected a $967 million increase in impairment of long-lived assets (2008 included a $985 million impairment of goodwill associated with the Consumer Performance Products, Industrial Performance Products and Industrial Engineered Products segments), a $128 million decrease in gross profit discussed above and a $10 million increase in loss on sale of business.  These unfavorable impacts were partially offset by a $51 million decrease in SGA&R expenses due to savings from the 2007 restructuring program and cost-reduction initiatives, a $32 million decrease in depreciation and amortization, a $23 million decrease in antitrust costs, a $10 million decrease in facility closures, severance and related costs and $1 million in higher equity income.

 

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Loss from continuing operations attributable to Chemtura Corporation for 2008 was $973 million, or $4.01 per diluted share, as compared to a loss of $45 million, or $0.18 per diluted share, for 2007.

 

Consumer Performance Products

 

The Consumer Performance Products segment reported net sales of $516 million for 2008, compared with $567 million for 2007.  Operating profit was $50 million for 2008, which reflected a decrease of $12 million compared with $62 million in 2007.

 

The net sales decrease of $51 million was due to a $72 million decrease in sales volume, partially offset by improvements in selling prices of $14 million and favorable foreign currency translation of $7 million.  The loss in volume during 2008 is attributable to lower volume of distributor sales, following the decision to terminate sales through this channel, lower dealer and international sales due to a combination of poor weather conditions and constrained consumer spending, partially offset by higher sales in the mass market channel.

 

The reduction in operating profit was primarily driven by $35 million in lower volume, $10 million of higher raw material costs and $2 million from unfavorable manufacturing costs.  These decreases in operating profit were partly offset by a $14 million increase in selling prices, a $9 million reduction in the cost of marketing programs, a $7 million reduction in corporate charges, a $4 million reduction in distribution costs and $1 million from foreign currency translation.

 

Industrial Performance Products

 

Net sales in the Industrial Performance Products segment of $1.5 billion for 2008 decreased by $48 million as compared with 2007.  Operating profit decreased $35 million to $105 million compared with $140 million in 2007.

 

The net sales decrease of $48 million was due to a $112 million decrease in volume and a $52 million decrease related to divestitures partially offset by an $80 million benefit from higher selling prices, $20 million from the first quarter 2007 acquisition of Kaufman, and a $16 million benefit related to favorable foreign currency translation.

 

The reduction in operating profit reflected raw material cost increases of $89 million, a $20 million impact from lower volume, increased manufacturing costs of $9 million and higher distribution costs of $6 million. These unfavorable factors were partially offset by $80 million from higher selling prices, a $5 million reduction in corporate charges, and a $4 million increase due to the Kaufman acquisition.

 

Crop Protection Engineered Products

 

Net sales for the Crop Protection Engineered Products segment were $394 million for 2008, an increase of $42 million over 2007.  Operating profit of $78 million increased by $20 million compared with $58 million in 2007.

 

The increase in net sales reflected an increase of $44 million from organic volume growth primarily due to increased demand for products across Europe and an $8 million benefit from foreign currency translation, offset by $3 million in reduced selling prices and $7 million due to the sale of certain product lines.

 

The increase in operating profit was primarily driven by $19 million in higher volume and favorable product mix, $4 million from lower manufacturing costs, $3 million from reduced R&D project spending, $3 million from reduced corporate charges, $2 million due to favorable foreign currency translation, a $1 million reduction in provision for doubtful accounts and a net reduction of $4 million from other cost savings programs.  These favorable factors were partly offset by the product line divestitures that reduced operating profit by $6 million, increased raw materials costs of $4 million, distribution cost increases of $3 million, and a $3 million decrease in selling prices.

 

Industrial Engineered Products

 

Net sales for the Industrial Engineered Products segment of $1.2 billion in 2008 decreased by $144 million compared with 2007.  Operating profit of $17 million for 2008 decreased $19 million compared with $36 million for 2007.

 

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The decrease in net sales reflected a $145 million reduction resulting from the divestiture of the oleochemicals business and the organic peroxides product line, and a decrease in volume of $86 million related primarily to the flame retardants and PVC additives product lines.  These reductions were partially offset by a $67 million increase due to improvements in selling prices primarily to recover higher raw material and energy costs, and $20 million of favorable foreign currency translation.

 

Operating profit reflected the impact of $102 million in raw material and energy cost increases, $19 million of increased manufacturing costs, $6 million related to divestitures and $4 million from lower volume and unfavorable product mix.  These decreases in operating profit were partially offset by $67 million from increased selling prices, a $16 million reduction in accelerated depreciation of certain assets, $7 million reduction in corporate charges, $7 million from lower SG&A expenditures, $7 million of favorable currency translation, $4 million from lower distribution costs, $3 million in reduced R&D spending and a $1 million increase in equity income.

 

General Corporate

 

General corporate expense was $98 million for 2008, which included $45 million of amortization expense related to intangibles, compared with $92 million for 2007, which included $40 million of amortization expense.

 

Amortization expense in 2008 included a $4 million charge related to the acceleration of amortization of the intangible value of our discontinued Sun® brand product line.  The remaining increase in corporate expense of $2 million was primarily due to a $7 million charge relating to an assumed lease, a $4 million benefit in 2007 from the sale of an office lease and a $1 million pension settlement in Canada.  These increases were offset by a $5 million curtailment gain due to the decision to eliminate future earnings benefits of participants in certain international pension plans and a $5 million benefit related to the recovery of insurance proceeds.

 

Corporate accelerated deprecation of property, plant and equipment included a charge of $32 million in 2008 and $40 million in 2007 primarily related to our project to upgrade our legacy ERP systems to a single instance of SAP and our restructuring programs.

 

Other Expenses

 

Interest expense of $78 million for 2008 was $9 million lower than in 2007.  The decrease was primarily due to lower average borrowings.

 

Other income, net was $9 million in 2008 compared with $5 million of expense in 2007.  The $14 million increase in income reflected an increase in favorable foreign currency gains of $14 million, lower costs associated with the accounts receivable facilities of $5 million and an increase in interest income of $1 million, partially offset by $6 million of fees and expenses associated with the 2007 Credit Facility amendment and waiver in December 2008.

 

Income Taxes

 

Our income tax benefit from continuing operations was $27 million in 2008 compared with tax expense of $4 million in 2007, an increase in tax benefit of $31 million.  This change is principally due to the mix of domestic versus foreign earnings, a book based goodwill impairment charge and the increase of a valuation allowance against our deferred tax assets.

 

Discontinued Operations

 

Gain on sale of discontinued operations in 2007 was $24 million (net of $13 million of tax).  The gain included $23 million related to the sale of the EPDM business and $2 million related to the final contingent earn-out proceeds related to the sale of the OrganoSilicones business, partially offset by a loss of $1 million from the sale of the optical monomers business.

 

Earnings from discontinued operations in 2007 was $18 million (net of $9 million of tax), which reflected the operations of the EPDM, fluorine and optical monomers businesses that were subsequently sold.

 

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CRITICAL ACCOUNTING ESTIMATES

 

Our Consolidated Financial Statements have been prepared in conformity with accounting principles generally accepted in the United States, which require us to make estimates and assumptions that affect the amounts and disclosures reported in the Consolidated Financial Statements and accompanying notes.  Accounting estimates and assumptions described in this section are those we consider to be the most critical to an understanding of our financial statements because they inherently involve significant judgments and uncertainties.  For all of these estimates, we note that future events rarely develop exactly as forecast, and the best estimates routinely require adjustment.  Actual results could differ from such estimates.  The following paragraphs summarize our critical accounting estimates.  Significant accounting policies used in the preparation of our Consolidated Financial Statements are discussed in the Notes to Consolidated Financial Statements.

 

Liabilities Subject to Compromise

 

Our Consolidated Financial Statements include, as liabilities subject to compromise, certain pre-petition liabilities generally subject to an automatic bankruptcy stay that were recorded in our Consolidated Balance Sheets at the time of our Chapter 11 filings with the exception of those items approved by the Bankruptcy Court to be settled.  In addition, we also reflected as liabilities subject to compromise estimates of expected allowed claims relating to liabilities for rejected and repudiated executory contracts and real property leases, environmental, litigation, accounts payable and accrued liabilities, debt and other liabilities.  These expected allowed claims require us to estimate the likely claim amount that will be allowed by the Bankruptcy Court prior to the Bankruptcy Court’s ruling on the individual claims.  These estimates are based on reviews of claimants’ supporting material, obligations to mitigate such claims, and assessments by us and third-party advisors.  We expect that our estimates, although based on the best available information, will change due to actions of the Bankruptcy Court, better information becoming available, negotiations, rejection or repudiation of executory contracts and real property leases, and the determination as to the value of any collateral securing claims, proofs of claim or other events.  See Note 21 — Legal Proceedings and Contingencies in the Notes to the Consolidated Financial Statements for further discussion of the Company’s Chapter 11 claims assessment.

 

Carrying Value of Goodwill and Long-Lived Assets

 

We have elected to perform our annual goodwill impairment procedures for all of our reporting units in accordance with Accounting Standards Codification (“ASC”) Subtopic 350-20, Intangibles — Goodwill and Other - Goodwill (“ASC 350-20”) as of July 31, or sooner, if events occur or circumstances change that would more likely than not reduce the fair value of a reporting unit below its carrying value.

 

Our cash flow projections, used to estimate the fair value of our reporting units, are based on subjective estimates.  Although we believe that our projections reflect our best estimates of the future performance of our reporting units, changes in estimated revenues or operating margins could have an impact on the estimated fair values.  Any increases in estimated reporting unit cash flows would have had no impact on the carrying value of that reporting unit.  However, a decrease in future estimated reporting unit cash flows could require us to determine whether recognition of a goodwill impairment charge was required.  The assessment is required to be performed in two steps: step one to test for a potential impairment of goodwill and, if potential impairments are identified, step two to measure the impairment loss through a full fair valuing of the assets and liabilities of the reporting unit utilizing the acquisition method of accounting.

 

We also perform corroborating analysis of our fair value estimates utilized for our step 1 tests at each annual and interim testing date.  Prior to 2009, this corroborating analysis included reconciling the sum of the reporting unit fair values to our market capitalization value.  This corroborating analysis supported the conclusion that the reduction in certain reporting unit fair values for each subsequent test in 2008 was correlated to our declining stock price during the second half of 2008.  The implied control premiums resulting from this corroborating analysis revealed a range of 25% to 35% which was deemed reasonable for our industry.

 

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During the quarter ended March 31, 2009, there was continued weakness in the global financial markets, resulting in additional decreases in the valuation of public companies and restricted availability of capital.  Additionally, our stock price continued to decline due to the constrained liquidity, deteriorating financial performance and the Debtors filing of a petition for relief under Chapter 11 of the United States Bankruptcy Code.  These events were of sufficient magnitude for us to conclude that it was appropriate to perform a goodwill impairment review as of March 31, 2009.  We used our own estimates of the effects of the macroeconomic changes on the markets we serve to develop an updated view of our projections.  Those updated projections were used to compute updated estimated fair values of our reporting units.  Based on these estimated fair values used to test goodwill for impairment in accordance with ASC 350-20, we concluded that no impairment existed in any of our reporting units at March 31, 2009.

 

The financial performance of certain reporting units was negatively impacted versus expectations due to the cold and wet weather conditions during the first half of 2009.  Based on this fact along with the macro economic factors described above, we concluded that it was appropriate to perform a goodwill impairment review as of June 30, 2009.  We used the updated projections in our long-range plan to compute estimated fair values of our reporting units.  These projections indicated that the estimated fair value of the Consumer Performance Products reporting unit was less than its carrying value.  Based on our preliminary analysis, an estimated goodwill impairment charge of $37 million was recorded for this reporting unit in the second quarter of 2009 (representing the remaining goodwill in this reporting unit).  We finalized our analysis of the goodwill impairment charge in the third quarter of 2009 and no change to the estimated charge was required.

 

We did not perform corroborating analysis of estimated fair values by using market capitalization for the March 31, 2009 and June 30, 2009 interim impairment test.  Our stock price had declined significantly as of March 31, 2009 as a result of the bankruptcy filing and its potential impact on equity holders who lack priority in our capital structure.  A reconciliation to a market capitalization based upon such a share price was not deemed to be appropriate since this was not a representative fair value of the reporting units in accordance with ASC 350-20 and ASC Topic 820, Fair Value Measurements and Disclosures (“ASC 820”) (fair value assumes an exchange in an orderly transaction (not a forced liquidation or distress sale)).

 

We did perform alternative corroborating analysis procedures of our reporting unit fair value estimates at March 31, 2009 and June 30, 2009.  This analysis included comparing reporting unit revenue and EBITDA multiples of enterprise value to comparable companies in the same industry.  Beyond comparisons of revenue and EBITDA multiples, we also compared fair value estimates to the written expressions of value received from third parties for certain reporting units during our asset sale processes that were conducted in the fourth quarter of 2008 and the first quarter of 2009.  All aspects of the various corroborating analyses performed as of March 31, 2009 and June 30, 2009 confirmed that the fair value estimates for the respective reporting units were reasonable.

 

We concluded that no additional goodwill impairment existed in any of our reporting units based on the annual review as of July 31, 2009.

 

For the quarters ended September 30, 2009 and December 31, 2009, our consolidated performance was in line with expectations while the performance of our Crop Protection Engineered Products reporting unit was below expectations.  However, the longer-term forecasts for this reporting unit are still sufficient to support the level of goodwill.  As such, we concluded that no circumstances exist that would more likely than not reduce the fair value of any of our reporting units below their carrying amount and an interim impairment test was not considered necessary as of September 30, 2009 and December 31, 2009.

 

We continually monitor and evaluate business and competitive conditions that affect our operations and reflects the impact of these factors in our financial projections.  If permanent or sustained changes in business, competitive conditions or stock price occur, they can lead to revised projections that could potentially give rise to impairment charges.

 

We evaluate the recoverability of the carrying value of our long-lived assets, excluding goodwill, whenever events or changes in circumstances indicate that the carrying value may not be recoverable.  We realize that events and changes in circumstances can be more frequent in the course of a U.S. bankruptcy process.  Under such circumstances, we assess whether the projected undiscounted cash flows of our businesses are sufficient to recover the existing unamortized carrying value of our long-lived assets. If the undiscounted projected cash flows are not sufficient, we calculate the impairment amount by several methodologies, including discounting the projected cash flows using our weighted average cost of capital and valuation estimates from third parties.  The amount of the impairment is written-off against earnings in the period in which the impairment has been determined.

 

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Environmental Matters

 

We are involved in claims, litigation, administrative proceedings and investigations of various types in a number of jurisdictions.  A number of such matters involve claims for a material amount of damages and relate to or allege environmental liabilities, including clean-up costs associated with hazardous waste disposal sites, natural resource damages, property damage and personal injury.  The Comprehensive Environmental Response, Compensation and Liability Act of 1980, as amended (“CERCLA”), and comparable state statutes, impose strict liability upon various classes of persons with respect to the costs associated with the investigation and remediation of waste disposal sites.  Such persons are typically referred to as “Potentially Responsible Parties” or PRPs.  We have been identified by federal, state or local governmental agencies, or by other PRPs, as a PRP at various locations in the United States.  In addition, we are involved with environmental remediation and compliance activities at some of our current and former sites in the United States and abroad.

 

Each quarter, we evaluate and review estimates for future remediation, operation and management costs directly related to remediation, to determine appropriate environmental reserve amounts. For each site where the cost of remediation is probable and reasonably estimable, we determine the specific measures that are believed to be required to remediate the site, the estimated total cost to carry out the remediation plan, the portion of the total remediation costs to be borne by us and the anticipated time frame over which payments toward the remediation plan will occur. At sites where we expect to incur ongoing operation and maintenance expenditures, we accrue on an undiscounted basis for a period of generally 10 years, those costs which are probable and reasonably estimable.  Where settlement offers have been extended to resolve an environmental liability as part of the Chapter 11 cases, the amounts of those offers have been accrued and are reflected in the Consolidated Balance Sheet as liabilities subject to compromise.

 

As of December 31, 2009, our reserve for environmental remediation activities totaled $122 million of which $42 million was included in liabilities subject to compromise on the Consolidated Balance Sheets.  We estimate that environmental liabilities could range up to $164 million at December 31, 2009.  Our reserves include estimates for determinable clean-up costs.  At a number of these sites, the extent of contamination has not yet been fully investigated or the final scope of remediation is not yet determinable.

 

In addition, it is possible that our estimates for environmental remediation liabilities may change in the future should additional sites be identified, further remediation measures be required or undertaken, current laws and regulations be modified or additional environmental laws and regulations be enacted and as negotiations with respect to certain sites continue or as certain liabilities relating to such sites are resolved as part of the Chapter 11 cases.

 

We intend to assert all meritorious legal defenses and will pursue other equitable factors that are available with respect to these matters.  The resolution of the environmental matters now pending or hereafter asserted against us could require us to pay remedial costs or damages, which are not currently determinable, that could exceed our present estimates, and as a result could have, either individually or in the aggregate, a material adverse effect on our financial condition, results of operations or cash flows.

 

Pension and Other Post-Retirement Benefits Expense

 

Our calculation of pension and other post-retirement benefits expense is dependent on a number of assumptions. These assumptions include discount rates, health care cost trend rates, expected long-term rates of return on plan assets, mortality rates, expected salary and wage increases, and other relevant factors.  Components of pension and other post-retirement benefits expense include interest and service cost on the pension and other post-retirement benefit plans, expected return on plan assets and amortization of certain unrecognized costs and obligations.  Actual results that differ from the assumptions utilized are accumulated and amortized over future periods and, therefore, generally affect recognized expense and the recorded obligation in future periods.  While we believe that the assumptions used are appropriate, differences in actual experience or significant changes in assumptions would affect our pension and other post-retirement benefits costs and obligations.

 

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The Debtors voluntarily filed for Chapter 11 on March 18, 2009.  However, we intend to continue to make minimum required funding requirements to the domestic qualified pension plans in the future.  We have suspended payments under the domestic non-qualified pension arrangements, and the Bankruptcy Court has approved our motion to modify and/or terminate certain domestic post-retirement medical benefits.  We have not finalized any modifications and/or terminations to those plans and therefore any impact from these potential modifications and/or terminations have not been reflected in the financial condition for these plans, nor in any of the estimates presented in this discussion.  Prior to the bankruptcy filing, we implemented caps on the level of domestic post-retirement benefits for active employees who are expected to retire in the future, and these were accounted for as an amendment with effect from January 1, 2009. None of the international programs were affected by the bankruptcy filing.

 

Pension Plans

 

Pension liabilities are measured on a discounted basis and the assumed discount rate is a significant assumption. At each measurement date, the discount rate is based on interest rates for high-quality, long-term corporate debt securities with maturities comparable to our liabilities.  At December 31, 2009, we utilized a discount rate of 5.70% for our domestic qualified pension plan compared to 6.00% at December 31, 2008.  For the international and non-qualified plans, a weighted average discount rate of 5.55% was used at December 31, 2009, compared to 5.82% used at December 31, 2008.  As a sensitivity measure, a 25 basis point reduction in the discount rate for all plans would result in approximately a $1 million decrease in pre-tax earnings for 2010.

 

Domestic discount rates adopted at December 31, 2009 utilized an interest rate yield curve to determine the discount rate pursuant to guidance codified under ASC 715.  The yield curve is comprised of AAA/AA bonds with maturities between zero and thirty years.  We discounted the annual cash flows of our domestic pension plans using this yield curve and developed a single-point discount rate matching the respective plan’s payout structure.

 

A similar approach is used to determine the appropriate discount rates for the international plans. The actual method used varies from country to country depending on the amount of available information on bond yields to be able to estimate a single-point discount rate to match the respective plan’s benefit disbursements.

 

Our weighted average estimated rate of compensation increase was 3.74% for applicable domestic and international pension plans combined at December 31, 2009.  As a sensitivity measure, an increase of 25 basis points in the estimated rate of compensation increase would decrease pre-tax earnings for 2010 by an immaterial amount.

 

The expected return on pension plan assets is based on our investment strategy, historical experience, and expectations for long-term rates of return. We determine the expected rate of return on plan assets for the domestic and international pension plans by applying the expected returns on various asset classes to our target asset allocation.

 

We utilized a weighted average expected long-term rate of return of 7.75% on all domestic plan assets and a weighted average rate of 7.50% for the international plan assets for the year ended December 31, 2009.  This assumption is a long-term assessment of future expectations and should not be unduly influenced by short-term performance.

 

Historical returns are evaluated based on an arithmetic average of annual returns derived from recognized passive indices, such as the S&P 500, for the major asset classes. We looked at the arithmetic averages of annual investment returns from passive indices, assuming a portfolio of investments that follow the current target asset allocation for the domestic plans over several business cycles, to obtain an indication of the long-term historical market performance.  The arithmetic average return over the past 20 years was 8.30%, and over the past 30 years it was 11.10%. Both of these values exceeded the 7.75% domestic expected return on assets.

 

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The upturn in global equity markets in 2009 was reflected in the investment performance of our pension plan assets. The actual annualized return on plan assets for the domestic plans for the 12 months ended December 31, 2009 was approximately 9% (net of investment expenses), which was above the expected return on asset assumption for the year. The international plans fared better, earning a weighted average return of approximately 16% (in local currency terms, before allowing for the weakening of the U.S. dollar against major currencies in 2009) and approximately 29% in U.S. dollar terms (resulting in currency gains of approximately $23 million on plan assets). This favorable performance in U.S. dollar terms has to be viewed in the context of currency losses of approximately $30 million on benefit obligations for the international pension arrangements.

 

Our target asset allocation for the domestic pension plans is based on investing 50% of plan assets in equity instruments, 45% of plan assets in fixed income investments and 5% in real estate.  The target allocation was reviewed and changed during 2008, with a view to managing the level and volatility of investment returns.  At December 31, 2009, 53% of the portfolio was invested in equities, 41% in fixed income investments and 6% in real estate and other investments.

 

We have unrecognized actuarial losses relating to our pension plans which have been included in our Consolidated Balance Sheet but not in our Consolidated Statements of Operations. The extent to which these unrecognized actuarial losses will impact future pre-tax earnings depends on whether the unrecognized actuarial losses are deferred through the asset-smoothing mechanism (the market related value as defined by ASC Topic 715-30, Defined Benefit Plans — Pensions (“ASC 715-30”), or through amortization in pre-tax earnings to the extent that they exceed a 10% amortization corridor, as defined by ASC 715-30, which provides for amortization over the average remaining participant career. The amortization of unrecognized net losses existing as of December 31, 2009 will result in a $7 million decrease to pre-tax earnings for 2010 ($7 million for the qualified domestic plans and an immaterial amount for the international and non-qualified plans). Since future gains and losses beyond 2009 are a result of various factors described herein, it is not possible to predict with certainty to what extent the combination of current and future losses may exceed the 10 percent amortization corridor and thereby be subject to further amortization.  At the end of 2009, unrecognized net losses amounted to $344 million for the qualified domestic plans and $63 million for the international and non-qualified plans.  Of these unrecognized losses, $96 million for the domestic plans and $18 million for the international plans are deferred through the asset smoothing mechanism as required by ASC 715.

 

Pension (income) expense is calculated based upon certain assumptions including discount rate, expected long-term rate of return on plan assets, mortality rates and expected salary and wage increases.  Actual results that differ from the current assumptions utilized are accumulated and amortized over future periods and will affect pension expense in future periods.  The following table estimates the future pension expense, based upon current assumptions:

 

 

 

Pension Expense By Period

 

(In millions)

 

2010

 

2011

 

2012

 

2013

 

2014

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Qualified domestic pension plans

 

$

1

 

$

3

 

$

4

 

$

4

 

$

 

International and non-qualified pension plans

 

8

 

8

 

8

 

7

 

6

 

Total pension plans

 

$

9

 

$

11

 

$

12

 

$

11

 

$

6

 

 

The following tables show the impact of a 100 basis point change in the actual return on assets on the pension (income) expense.

 

 

 

Change in Pension Expense By Period

 

 

 

2010

 

2011

 

2012

 

2013

 

2014

 

Increase (decrease)

 

100 Basis Point Increase in Investment Returns

 

 

 

 

 

Qualified domestic pension plans

 

$

 

$

 

$

 

$

(1

)

$

(1

)

International and non-qualified pension plans

 

 

(1

)

(1

)

(1

)

(1

)

Total pension plans

 

$

 

$

(1

)

$

(1

)

$

(2

)

$

(2

)

 

 

 

 

 

 

 

 

 

 

 

 

Increase (decrease)

 

100 Basis Point Decrease in Investment Returns

 

 

 

 

 

Qualified domestic pension plans

 

$

 

$

 

$

 

$

1

 

$

1

 

International and non-qualified pension plans

 

 

1

 

1

 

1

 

1

 

Total pension plans

 

$

 

$

1

 

$

1

 

$

2

 

$

2

 

 

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Other Post-Retirement Benefits

 

We provide post-retirement health and life insurance benefits for current retired and active employees and their beneficiaries and covered dependents for certain domestic and international employee groups.

 

The discount rates adopted by us for the valuation of the post-retirement health care plans were determined using the same methodology as for the pension plans.  At December 31, 2009, we utilized a weighted average discount rate of 5.40% for domestic post-retirement health care plans, compared to 6.00% at December 31, 2008.  Based on the duration of the liabilities for the international plans, a weighted average rate of 5.8% was used.  As a sensitivity measure, a 25 basis point reduction in the discount rate would result in an immaterial decrease in pre-tax earnings for 2010.

 

Assumed health care cost trend rates are based on past and current health care cost trends, considering such factors as health care inflation, changes in health care utilization or delivery patterns, technological advances, and the overall health of plan participants.   We use health care trend cost rates starting with an initial level of 7.50% for the domestic arrangements and grading down to an ultimate level of 5.00%. For the international arrangements, the weighted average initial rate is 9.50%, grading down to 5.00%.

 

The pre-tax post-retirement healthcare expense was $6 million in 2009.  The following table summarizes projected post-retirement benefit expense based upon the various assumptions discussed above.

 

 

 

Pre-Tax Expense by Period

 

(In millions)

 

2010

 

2011

 

2012

 

2013

 

2014

 

Domestic and international post-retirement benefit plans

 

$

7

 

$

7

 

$

6

 

$

6

 

$

5

 

 

Income Taxes

 

Income taxes payable reflects our current tax provision and management’s best estimate of the tax liability relating to the outcome of uncertain tax positions.  If the actual outcome of uncertain tax positions differs from our best estimates, an adjustment to income taxes payable could be required, which may result in additional income tax expense or benefit.

 

We record deferred tax assets and liabilities based on differences between the book and tax basis of assets and liabilities using the enacted tax rates expected to apply to taxable income in the periods in which the deferred tax liability or asset is expected to be settled or realized.  We also record deferred tax assets for the expected future tax benefits of net operating losses and income tax credit carryforwards.

 

Valuation allowances are established when we determine that it is more likely than not that the results of future operations may not generate sufficient taxable income to realize our deferred tax assets during the carryforward period.  We consider the scheduled reversal of deferred tax assets and liabilities, projected future taxable income, and tax planning strategies in making this assessment.  Thus, changes in future results of operations could result in adjustments to our valuation allowances.

 

Tax expense for 2009 includes a benefit of $8 million relating to earnings of certain foreign subsidiaries where we have recorded a deferred income tax liability associated with the intent to repatriate those earnings in a subsequent period.  We also have earnings of certain foreign subsidiaries where we consider these earnings to be indefinitely reinvested in our operations.  As such, no U.S. tax cost has been provided on approximately $490 million of earnings at December 31, 2009.  If we change our intent related to these earnings additional tax would be required.

 

We adopted certain provisions of ASC Topic 740, Income Taxes (“ASC 740”) on January 1, 2007.  ASC 740 prescribes a recognition threshold and measurement attributes for the financial statement recognition and measurement of tax positions taken, or expected to be taken, in tax returns.  Under ASC 740, the economic benefit associated with a tax position will only be recognized if it is more likely than not that a tax position ultimately will be sustained.  After this threshold is met, a tax position is reported at the largest amount of benefit that is more likely than not to be ultimately sustained.  ASC 740 also provides guidance on derecognition, classification, interest and penalties, accounting in interim periods, disclosure and transition.

 

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As a result of the implementation of ASC 740, we recognized a $2 million decrease in the liability for unrecognized tax benefits.  The liability for unrecognized tax benefits at adoption was $56 million.  Included in the balance of unrecognized tax benefits at January 1, 2007 was $44 million of tax benefits that, if recognized, would affect the effective tax rate.  Also included in the balance of unrecognized tax benefits at January 1, 2007 was $16 million of tax benefits that, if recognized, would result in a decrease to goodwill recorded in purchase business combinations.  Effective January 1, 2009, all adjustments to unrecognized tax benefits related to these prior business combinations are recorded in the Consolidated Statement of Operations in accordance with ASC Topic 805, Business Combinations (“ASC 805”).

 

We have a liability for unrecognized tax benefits of $76 million and $85 million at December 31, 2009 and 2008, respectively.

 

ACCOUNTING DEVELOPMENTS

 

For information on accounting developments see Note 2 — Basis of Presentation and Summary of Significant Accounting Policies.

 

OUTLOOK

 

We view the Chapter 11 process as an opportunity to reshape our Company into a stronger, leaner global enterprise focused on growth.  From an operating standpoint, we are pursuing growth opportunities while making significant progress in enhancing the efficiency and effectiveness of our businesses.  Initiatives in these areas include the following:

 

·                  Increasing strategic investments to improve efficiency, such as our ERP initiatives that have enabled the activities related to over 90 percent of net sales now to be managed on a single global instance of SAP and offering simplified and standardized business processes;

 

·                  Focusing on investments in R&D, which is beginning to result in important and innovative new product offerings such as Geobrom™, Weston® 705, and two new flame retardant products being produced today on pilot plant scale;

 

·                  Improving order processing to enhance responsiveness and delivery to customers;

 

·                  Transferring certain operations to third-party logistics providers, enabling us to maintain service levels at a more competitive cost;

 

·                  Growing our global antioxidant business with a planned additional expansion of our capacity at Gulf Stabilizer Industries (“GSI”), our joint venture facility in Al Jubail, Saudi Arabia; and

 

·                  Advancing towards our joint venture between Al Zamil Group Holding Company and Chemtura Organometallics GmbH, our wholly owned German subsidiary, to build a world-scale metal alkyls manufacturing facility in Jubail Industrial City, Saudi Arabia.

 

Our key challenges in 2010 will be to implement our business plans and to emerge from Chapter 11.  As part of these actions, we are undertaking a thorough review of our operations and business activities to determine whether to continue in, restructure or exit from those activities.  As a result of our ongoing review process, we have implemented the following initiatives:

 

·                  On February 23, 2009, we entered into a Share and Asset Purchase Agreement with Artek, whereby Artek agreed to acquire our PVC additives business;

 

·                  Announced a plan to reorganize and consolidate our operations at our Flame Retardants business facilities in El Dorado, Arkansas.  The restructuring plan is subject to Bankruptcy Court approval and, if such approval is obtained, is expected to be completed by the fourth quarter of 2010.  As a result of the restructuring plan, we expect to record costs of approximately $40 million, primarily in the first half of 2010, consisting of approximately $35 million in accelerated depreciation of property, plant and equipment and approximately $5 million in other facility-related shutdown costs, which include accelerated recognition of asset retirement obligations, decommissioning of wells and pipelines and severance.  We expect cash costs, including capital costs, to be approximately $20 million primarily in 2010.

 

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We are also reviewing approximately 13,000 of our real property leases and executory contracts to determine whether they constitute a strategic fit with our core businesses and, if not, to evaluate whether they should be assumed, rejected or restructured as permitted under the Bankruptcy Code.  While this review is not complete, we have taken actions accordingly, including rejecting various executory contracts and real property leases.

 

In addition, we are improving our financial health and are currently meeting or exceeding our financial objectives by:

 

·                  Generating positive cash flow (as previously defined) over the last four quarters and accumulating substantial cash balances by both the Debtors and our international subsidiaries;

 

·                  Achieving or exceeding performance levels required by the DIP Credit Facility; and

 

·                  Identifying, and now working closely with, several financial institutions we expect will lead our exit financing.  The support of these institutions will enable us to finance our Plan and emerge as a financially sound, stand-alone global company.

 

Our operations outside the United States are not part of the Chapter 11 cases.  These operations have demonstrated financial strength and the ability to operate unaffected by the Chapter 11 process.  These operations have virtually no third-party funded debt and have generated substantial cash flow during 2009, which they retain to fund operations and increase liquidity.

 

As described above, we have met numerous business milestones during the Chapter 11 cases, demonstrating operational credibility and maintaining an aggressive Chapter 11 timetable.  We believe our actions and overall performance have gained the confidence of our customers and suppliers, as well as our creditors and other stakeholders, and that the additional time allotted for the claims reconciliation process will lead to a stronger company, better positioned to deliver superior service and financial results.

 

Since the beginning of this process, our goal was to develop a consensual Plan with as many of our stakeholders as possible.  We continue to work collaboratively with our official committee of unsecured creditors and other stakeholders in developing a Plan that is expected to include a substantial debt-to-equity conversion.  We believe that this approach offers the quickest overall path to emergence while building a stronger, more focused and nimble global enterprise, best equipped to grow and meet the needs of our customers.

 

In addition to emerging from Chapter 11, our focus in 2010 will remain on improving our core businesses, rationalizing our manufacturing footprint and “right-sizing” our cost structure, while developing products and applications that generate profitable organic revenue growth.  We continue to work to improve the productivity of our manufacturing plants and the efficiency of our business processes.  As part of those actions, we are increasing our capital spending from $56 million in 2009 to approximately $120 million in 2010 as we implement our business plans.  These actions remain focused on improving the operating profitability of our businesses and increasing net cash provided by operations.

 

For the longer term, our businesses continue to benefit from a number of secular trends that may provide continued future growth opportunities including:

 

·                  Consumer demand for increasingly more effective pool and spa sanitation benefits our Consumer Performance Products segment;

 

·                  The increasing requirements for cleaner emissions from motor vehicles, greater service life for engines and the reduction in “greenhouse gas” emissions benefit our additive and lubricant product lines within our Industrial Performance Products segment;

 

·                  The demand for higher yields from specialty high value agricultural crops worldwide benefits our Crop Protection Engineered Products segment; and

 

·                  Consumer demand for improved flame retardancy “Greener is Better” program in household goods supported by increasing regulation in many countries worldwide benefits our broad range of flame retardant products within our Industrial Engineered Products segment;

 

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FUTURE PERFORMANCE INDICATORS

 

Our historical financial performance may not be indicative of our future financial performance during the pendency of the Chapter 11 cases or beyond based on, among other things:

 

·                  We do not accrue interest expense on our unsecured pre-petition debt during the pendency of our Chapter 11 cases, except pursuant to orders of the Bankruptcy Court;

 

·                  We expect to further rationalize our manufacturing footprint and “right-size” our cost structure;

 

·                  We will continue to incur reorganization costs for professional fees and other costs associated with the Chapter 11 cases;

 

·                  We have rejected, repudiated or terminated certain unprofitable or burdensome executory contracts and real property leases, and we may further seek to reject, repudiate or terminate executory contracts and real property leases in the future;

 

·                  We have assumed or are seeking to assume certain beneficial executory contracts and real property leases, and we may further seek to assume executory contracts and real property leases in the future;

 

·                  As part of our emergence from Chapter 11, we may be required to adopt fresh start accounting in a future period, resulting in the re-measurement of our assets and liabilities to fair value as of the fresh start reporting date, which may differ materially from historical valuations; and

 

·                  If fresh start accounting is required, our financial results after the application of fresh start accounting may be different from historical trends.

 

FORWARD-LOOKING STATEMENTS

 

This document includes forward-looking statements within the meaning of Section 27(a) of the Securities Act of 1933 and Section 21(e) of the Exchange Act of 1934.  These forward-looking statements are identified by terms and phrases such as “anticipate,” “believe,” “intend,” “estimate,” “expect,” “continue,” “should,” “could,” “may,” “plan,” “project,” “predict,” “will” and similar expressions and include references to assumptions and relate to our future prospects, developments and business strategies.

 

Factors that could cause our actual results to differ materially from those expressed or implied in such forward-looking statements include, but are not limited to:

 

·                  The ability to complete a restructuring of our balance sheet;

·                  The ability to have the Bankruptcy Court approve motions required to sustain operations during the Chapter 11 cases;

·                  The uncertainties of the Chapter 11 restructuring process including the potential adverse impact on our operations, management, employees and the response of our customers;

·                  Our estimates of the cost to settle proofs of claim presented in the Chapter 11 cases;

·                  The ability to develop, confirm and consummate a Chapter 11 plan of reorganization;

·                  The ability to be compliant with our debt covenants or obtain necessary waivers and amendments;

·                  The ability to reduce our indebtedness levels;

·                  General economic conditions;

·                  Significant international operations and interests;

·                  The ability to obtain increases in selling prices to offset increases in raw material and energy costs;

·                  The ability to retain sales volumes in the event of increasing selling prices;

·                  The ability to absorb fixed cost overhead in the event of lower volumes;

·                  Pension and other post-retirement benefit plan assumptions;

·                  The ability to successfully complete the turnaround of our Industrial Engineered Products segment;

·                  The ability to implement the El Dorado, Arkansas restructuring program;

·                  The ability to obtain growth from demand for petroleum additive, lubricant and agricultural product applications;

 

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·                  The ability to sustain profitability in our Crop Protection Engineered Products segment due to new generic competition.  Additionally, the Crop Protection Engineered Products segment is dependent on disease and pest conditions, as well as local, regional, regulatory and economic conditions;

·                  The ability to sell methyl bromide due to regulatory restrictions;

·                  Changes in weather conditions which could adversely affect the seasonal selling cycles in both our Consumer Performance Products and Crop Protection Engineered Products segments;

·                  Changes in the availability and/or quality of our energy and raw materials;

·                  The ability to collect our outstanding receivables;

·                  Changes in interest rates and foreign currency exchange rates;

·                  Changes in technology, market demand and customer requirements;

·                  The enactment of more stringent U.S. and international environmental laws and regulations;

·                  The ability to realize expected cost savings under our restructuring plans, Six Sigma and Lean manufacturing initiatives;

·                  The ability to recover our deferred tax assets;

·                  The ability to support the goodwill and long-lived assets related to our businesses; and

·                  Other risks and uncertainties detailed in Item 1A. Risk Factors in our filings with the Securities and Exchange Commission.

 

These statements are based on our estimates and assumptions and on currently available information.  The forward-looking statements include information concerning our possible or assumed future results of operations, and our actual results may differ significantly from the results discussed.  Forward-looking information is intended to reflect opinions as of the date this Form 10-K was filed.  We undertake no duty to update any forward-looking statements to conform the statements to actual results or changes in our operations.

 

ITEM 7A.  QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK

 

Our activities expose our earnings, cash flows and financial condition to a variety of market risks, including the effects of changes in foreign currency exchange rates, interest rates and energy prices.  Prior to March 2009, we maintained a risk-management strategy that utilized derivative instruments as needed to mitigate risk against foreign currency movements and to manage interest rate and energy price volatility.  We did not enter into derivative financial instruments for trading or speculative purposes.

 

We have short-term exposure to changes in foreign currency exchange rates resulting from transactions entered into by us and our foreign subsidiaries in currencies other than their local currency (primarily trade payables and receivables).  We are also exposed to currency risk on inter-company transactions (including inter-company loans).  We manage these transactional currency risks on a consolidated basis, which allows us to net our exposure.  Prior to March 2009, we purchased foreign currency forward contracts, primarily denominated in Euros, British Pounds Sterling, Canadian dollars, Mexican Pesos and Australian dollars to hedge our transaction exposure.  However, as a result of the Chapter 11 filing, we no longer have financing arrangements that permit us to purchase foreign currency forward contracts or hedging instruments to continue our prior practice.  As a result, our ability to hedge changes in foreign currency exchange rates resulting from transactions was restricted beginning in the first quarter of 2009.

 

When we are permitted by our financing agreements to enter into foreign currency forward contracts, these contracts generally are settled on a monthly basis.  Realized and unrealized gains and losses on foreign currency forward contracts are recognized in other income (expense), net, to offset the impact of valuing recorded foreign currency trade payables, receivables and inter-company transactions.  We have not designated these derivatives as hedges in accordance with U.S. generally accepted accounting principles (“GAAP”) although we believe these instruments help reduce our exposure to foreign currency risk.  The net effect of the realized and unrealized foreign currency gains and losses, including the effect of derivatives and the effect of underlying transactions, resulted in a pre-tax loss of $23 million, a pre-tax gain of $25 million and a pre-tax gain of $11 million in 2009, 2008 and 2007, respectively.

 

The following table provides information about our financial instruments that are sensitive to changes in interest rates.  The table presents principal cash flows and related weighted-average interest rates by stated maturity date for our debt.  Debt maturities exclude $1.2 billion of liabilities subject to compromise as we cannot accurately forecast the future level and timing of the repayments given the inherent uncertainties associated with the Chapter 11 cases.  Weighted-average variable interest rates are based on the applicable floating rate index as of December 31, 2009.

 

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Interest Rate Sensitivity

 

 

 

 

 

 

 

 

 

 

 

 

 

2015 and

 

 

 

Fair Value

 

(In millions)

 

2010

 

2011

 

2012

 

2013

 

2014

 

Thereafter

 

Total

 

at 12/31/09

 

Variable rate debt

 

$

252

 

$

 

$

1

 

$

 

$

1

 

$

 

$

254

 

$

254

 

Average rate debt (a)

 

10.42

%

4.41

%

4.41

%

4.40

%

4.40

%

0.00

%

 

 

 

 

 


(a)          Average interest rate is based on rates in effect at December 31, 2009.

 

We used price swap contracts as cash flow hedges to convert a portion of our forecasted natural gas purchases from variable price to fixed price purchases.  These contracts involved the exchange of payments over the life of the contracts without an exchange of the notional amount upon which the payments are based.  The differential paid or received as natural gas prices change was recognized as an adjustment to cost of goods sold when the related inventory layer is sold.  These contracts have been terminated by the counterparties due to our Chapter 11 proceedings and have been classified as liabilities subject to compromise.  As of the termination date, the contracts were deemed to be effective and we maintained hedge accounting given that the forecasted hedge transactions were probable.  At December 31, 2009, we had no remaining outstanding price swaps since the contracts expired in December 2009.

 

At December 31, 2008, we had a committed U.S. Facility which provided funding for the sale of up to $100 million of our eligible U.S. receivables to certain purchasers.  On January 23, 2009, we entered into the 2009 U.S. Facility with up to $150 million of capacity and a three-year term with certain lenders under our 2007 Credit Facility.  Lenders who participated reduced their commitments to the 2007 Credit Facility pro-rata to their commitments to purchase U.S. eligible accounts receivable under the 2009 U.S. Facility.  The 2009 U.S. Facility was terminated on March 23, 2009 as a condition of the Debtors entering into the DIP Credit Facility and the European Facility was terminated in the second quarter of 2009.  At December 31, 2008, $36 million of U.S. accounts receivable have been sold at an average cost of approximately 3.52% and $67 million of European accounts receivable have been sold at an average cost of approximately 6.16% (for further information see Note 7 — Sale of Accounts Receivables included in the Notes to the Consolidated Financial Statements).

 

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Item 8.  Financial Statements and Supplementary Data

 

CHEMTURA CORPORATION AND SUBSIDIARIES

(DEBTOR-IN-POSSESSION)

CONSOLIDATED STATEMENTS OF OPERATIONS

Years ended December 31, 2009, 2008, and 2007

(In millions, except per share data)

 

 

 

2009

 

2008

 

2007

 

 

 

 

 

 

 

 

 

NET SALES

 

$

2,541

 

$

3,546

 

$

3,747

 

 

 

 

 

 

 

 

 

COSTS AND EXPENSES

 

 

 

 

 

 

 

Cost of goods sold

 

1,947

 

2,810

 

2,883

 

Selling, general and administrative

 

293

 

332

 

372

 

Depreciation and amortization

 

173

 

237

 

269

 

Research and development

 

38

 

51

 

62

 

Facility closures, severance and related costs

 

3

 

26

 

36

 

Antitrust costs

 

10

 

12

 

35

 

Loss on sale of business

 

 

25

 

15

 

Impairment of long-lived assets

 

104

 

986

 

19

 

Changes in estimates related to expected allowable claims

 

73

 

 

 

Equity income

 

 

(4

)

(3

)

 

 

 

 

 

 

 

 

OPERATING (LOSS) PROFIT

 

(100

)

(929

)

59

 

Interest expense (a)

 

(70

)

(78

)

(87

)

Other (expense) income, net

 

(17

)

9

 

(5

)

Reorganization items, net

 

(97

)

 

 

 

 

 

 

 

 

 

 

Loss from continuing operations before income taxes

 

(284

)

(998

)

(33

)

Income tax (provision) benefit

 

(5

)

27

 

(4

)

 

 

 

 

 

 

 

 

Loss from continuing operations

 

(289

)

(971

)

(37

)

Earnings from discontinued operations, net of tax

 

 

 

18

 

(Loss) gain on sale of discontinued operations, net of tax

 

(3

)

 

24

 

 

 

 

 

 

 

 

 

Net (loss) earnings

 

(292

)

(971

)

5

 

 

 

 

 

 

 

 

 

Less: net earnings attributable to non-controlling interests

 

(1

)

(2

)

(8

)

 

 

 

 

 

 

 

 

Net loss attributable to Chemtura Corporation

 

$

(293

)

$

(973

)

$

(3

)

 

 

 

 

 

 

 

 

EARNINGS (LOSS) PER SHARE - BASIC AND DILUTED - ATTRIBUTABLE TO CHEMTURA CORPORATION:

 

 

 

 

 

 

 

Loss from continuing operations, net of tax

 

$

(1.19

)

$

(4.01

)

$

(0.18

)

Earnings from discontinued operations, net of tax

 

 

 

0.07

 

(Loss) gain on sale of discontinued operations, net of tax

 

(0.01

)

 

0.10

 

Net loss attributable to Chemtura Corporation

 

$

(1.20

)

$

(4.01

)

$

(0.01

)

 

 

 

 

 

 

 

 

Basic and diluted weighted-average shares outstanding

 

242.9

 

242.3

 

241.6

 

 

 

 

 

 

 

 

 

AMOUNTS ATTRIBUTABLE TO CHEMTURA CORPORATION COMMON SHAREHOLDERS:

 

 

 

 

 

 

 

Loss from continuing operations, net of tax

 

$

(290

)

$

(973

)

$

(45

)

Earnings from discontinued operations, net of tax

 

 

 

18

 

(Loss) gain on sale of discontinued operations, net of tax

 

(3

)

 

24

 

Net loss attributable to Chemtura Corporation

 

$

(293

)

$

(973

)

$

(3

)

 


(a)          Interest expense excludes contractual interest expense of $63 million for 2009.

 

See Accompanying Notes to Consolidated Financial Statements.

 

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CHEMTURA CORPORATION AND SUBSIDIARIES

(DEBTOR-IN-POSSESSION)

CONSOLIDATED BALANCE SHEETS

As of December 31, 2009 and 2008

(In millions, except per share data)

 

 

 

2009

 

2008

 

ASSETS

 

 

 

 

 

 

 

 

 

 

 

CURRENT ASSETS

 

 

 

 

 

Cash and cash equivalents

 

$

236

 

$

68

 

Accounts receivable

 

471

 

392

 

Inventories

 

540

 

611

 

Other current assets

 

230

 

184

 

Total current assets

 

1,477

 

1,255

 

 

 

 

 

 

 

NON-CURRENT ASSETS

 

 

 

 

 

Property, plant and equipment

 

750

 

862

 

Goodwill

 

235

 

265

 

Intangible assets, net

 

474

 

517

 

Other assets

 

182

 

158

 

 

 

 

 

 

 

Total Assets

 

$

3,118

 

$

3,057

 

 

 

 

 

 

 

LIABILITIES AND STOCKHOLDERS’ EQUITY

 

 

 

 

 

 

 

 

 

 

 

CURRENT LIABILITIES

 

 

 

 

 

Short-term borrowings

 

$

252

 

$

3

 

Current portion of long-term debt

 

 

1,178

 

Accounts payable

 

128

 

243

 

Accrued expenses

 

184

 

361

 

Income taxes payable

 

5

 

28

 

Total current liabilities

 

569

 

1,813

 

 

 

 

 

 

 

NON-CURRENT LIABILITIES

 

 

 

 

 

Long-term debt

 

3

 

23

 

Pension and post-retirement health care liabilities

 

173

 

508

 

Other liabilities

 

199

 

225

 

Total liabilities not subject to compromise

 

944

 

2,569

 

 

 

 

 

 

 

LIABILITIES SUBJECT TO COMPROMISE

 

2,002

 

 

 

 

 

 

 

 

STOCKHOLDERS’ EQUITY

 

 

 

 

 

Common stock - $.01 par value Authorized - 500.0 shares Issued - 254.4 shares in 2009 and 254.1 shares in 2008

 

3

 

3

 

Additional paid-in capital

 

3,039

 

3,036

 

Accumulated deficit

 

(2,482

)

(2,189

)

Accumulated other comprehensive loss

 

(234

)

(208

)

Treasury stock at cost - 11.5 shares

 

(167

)

(167

)

Total Chemtura Corporation stockholders’ equity

 

159

 

475

 

 

 

 

 

 

 

Non-controlling interests

 

13

 

13

 

Total stockholders’ equity

 

172

 

488

 

 

 

 

 

 

 

Total Liabilities and Stockholders’ Equity

 

$

3,118

 

$

3,057

 

 

See Accompanying Notes to Consolidated Financial Statements.

 

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CHEMTURA CORPORATION AND SUBSIDIARIES

(DEBTOR-IN-POSSESSION)

CONSOLIDATED STATEMENTS OF CASH FLOWS

Years ended December 31, 2009, 2008 and 2007

(In millions)

 

Increase (decrease) in cash

 

2009

 

2008

 

2007

 

CASH FLOWS FROM OPERATING ACTIVITIES

 

 

 

 

 

 

 

Net loss attributable to Chemtura Corporation

 

$

(293

)

$

(973

)

$

(3

)

Adjustments to reconcile net loss attributable to Chemtura Corporation to net cash provided by (used in) operating activities:

 

 

 

 

 

 

 

Loss on sale of business

 

 

25

 

15

 

Loss (gain) on sale of discontinued operations

 

3

 

 

(24

)

Impairment of long-lived assets

 

104

 

986

 

19

 

Depreciation and amortization

 

173

 

237

 

275

 

Stock-based compensation expense

 

3

 

5

 

10

 

Reorganization items, net

 

35

 

 

 

Changes to estimates related to expected allowable claims

 

73

 

 

 

Provision for doubtful accounts

 

5

 

3

 

4

 

Equity income

 

 

(4

)

(3

)

Deferred taxes

 

 

(74

)

(23

)

Changes in assets and liabilities, net:

 

 

 

 

 

 

 

Accounts receivable

 

36

 

89

 

22

 

Impact of accounts receivable facilities

 

(103

)

(136

)

(41

)

Inventories

 

85

 

(12

)

10

 

Other current assets

 

(4

)

(41

)

(1

)

Other assets

 

(10

)

2

 

20

 

Accounts payable

 

16

 

(25

)

(20

)

Accrued expenses

 

(15

)

(61

)

(113

)

Income taxes payable

 

(28

)

(11

)

(11

)

Deposit for civil antitrust settlements in escrow

 

 

15

 

36

 

Pension and post-retirement health care liabilities

 

(26

)

(46

)

(22

)

Liabilities subject to compromise

 

(31

)

 

 

Other liabilities

 

26

 

17

 

3

 

Other

 

 

(7

)

(4

)

Net cash provided by (used in) operating activities

 

49

 

(11

)

149

 

 

 

 

 

 

 

 

 

CASH FLOWS FROM INVESTING ACTIVITIES

 

 

 

 

 

 

 

Net proceeds from divestments

 

3

 

64

 

186

 

Payments for acquisitions, net of cash acquired

 

(5

)

(41

)

(165

)

Capital expenditures

 

(56

)

(121

)

(117

)

Other investing activities

 

 

 

13

 

Net cash used in investing activities

 

(58

)

(98

)

(83

)

 

 

 

 

 

 

 

 

CASH FLOWS FROM FINANCING ACTIVITIES

 

 

 

 

 

 

 

Proceeds from debtor-in-possession credit facility, net

 

250

 

 

 

(Payments on) proceeds from credit facility, net

 

(28

)

180

 

 

Proceeds from long term borrowings

 

1

 

1

 

 

Payments on long term borrowings

 

(18

)

(31

)

 

Payments on short term borrowings, net

 

(2

)

(1

)

(48

)

Premium paid on early extinguishment of debt

 

 

(1

)

 

Payments for debt issuance costs

 

(30

)

 

 

Dividends paid

 

 

(36

)

(48

)

Proceeds from exercise of stock options

 

 

1

 

7

 

Other financing activities

 

 

1

 

(1

)

Net cash provided by (used in) financing activities

 

173

 

114

 

(90

)

 

 

 

 

 

 

 

 

CASH AND CASH EQUIVALENTS

 

 

 

 

 

 

 

Effect of exchange rates on cash and cash equivalents

 

4

 

(14

)

6

 

Change in cash and cash equivalents

 

168

 

(9

)

(18

)

Cash and cash equivalents at beginning of year

 

68

 

77

 

95

 

Cash and cash equivalents at end of year

 

$

236

 

$

68

 

$

77

 

 

See Accompanying Notes to Consolidated Financial Statements.

 

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CHEMTURA CORPORATION AND SUBSIDIARIES

(DEBTOR-IN-POSSESSION)

CONSOLIDATED STATEMENTS OF STOCKHOLDERS’ EQUITY

Years ended December 31, 2009, 2008 and 2007

(In millions, except per share data)

 

 

 

 

 

 

 

 

 

 

 

 

 

Accumulated

 

 

 

 

 

 

 

 

 

Common

 

 

 

 

 

Additional

 

 

 

Other

 

 

 

Non

 

 

 

 

 

Shares

 

Treasury

 

Common

 

Paid-in

 

Accumulated

 

Comprehensive

 

Treasury

 

Controlling

 

 

 

 

 

Issued

 

Shares

 

Stock

 

Capital

 

Deficit

 

Income (Loss)

 

Stock

 

Interests

 

Total

 

Balance, January 1, 2007

 

252.3

 

11.5

 

3

 

3,005

 

(1,128

)

(34

)

(167

)

40

 

1,719

 

Comprehensive income:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Net (loss) earnings

 

 

 

 

 

 

 

 

 

(3

)

 

 

 

 

8

 

5

 

Equity adjustment for translation of foreign currencies, net of deferred tax expense of $44

 

 

 

 

 

 

 

 

 

 

 

145

 

 

 

(1

)

144

 

Unrecognized pension and post-retirement plan costs, net of deferred tax expense of $18

 

 

 

 

 

 

 

 

 

 

 

50

 

 

 

3

 

53

 

Changes in fair value of derivatives

 

 

 

 

 

 

 

 

 

 

 

7

 

 

 

 

 

7

 

Total comprehensive income

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

209

 

Cash dividends ($0.20 per share)

 

 

 

 

 

 

 

 

 

(48

)

 

 

 

 

 

 

(48

)

Other

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(4

)

(4

)

Stock-based compensation

 

 

 

 

 

 

 

10

 

 

 

 

 

 

 

 

 

10

 

Stock options exercised

 

0.9

 

 

 

 

 

8

 

 

 

 

 

 

 

 

 

8

 

Other issuances

 

0.4

 

 

 

 

 

5

 

 

 

 

 

 

 

 

 

5

 

Balance, December 31, 2007

 

253.6

 

11.5

 

3

 

3,028

 

(1,179

)

168

 

(167

)

46

 

1,899

 

Effect of change in measurement date for pension plans

 

 

 

 

 

 

 

 

 

(1

)

 

 

 

 

 

 

(1

)

Balance, January 1, 2008

 

253.6

 

11.5

 

3

 

3,028

 

(1,180

)

168

 

(167

)

46

 

1,898

 

Comprehensive loss:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Net (loss) earnings

 

 

 

 

 

 

 

 

 

(973

)

 

 

 

 

2

 

(971

)

Equity adjustment for translation of foreign currencies, net of deferred tax expense of $10

 

 

 

 

 

 

 

 

 

 

 

(189

)

 

 

(2

)

(191

)

Unrecognized pension and post-retirement plan costs, net of deferred tax benefit of $19

 

 

 

 

 

 

 

 

 

 

 

(186

)

 

 

 

 

(186

)

Changes in fair value of derivatives

 

 

 

 

 

 

 

 

 

 

 

(1

)

 

 

 

 

(1

)

Total comprehensive loss

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(1,349

)

Cash dividends ($0.15 per share)

 

 

 

 

 

 

 

 

 

(36

)

 

 

 

 

 

 

(36

)

Dividends

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(1

)

(1

)

Acquisition of noncontrolling interests’ share of subsidiaries

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(35

)

(35

)

Other

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3

 

3

 

Stock-based compensation

 

 

 

 

 

 

 

6

 

 

 

 

 

 

 

 

 

6

 

Stock options exercised

 

0.1

 

 

 

 

 

1

 

 

 

 

 

 

 

 

 

1

 

Other issuances

 

0.4

 

 

 

 

 

1

 

 

 

 

 

 

 

 

 

1

 

Balance, December 31, 2008

 

254.1

 

11.5

 

3

 

3,036

 

(2,189

)

(208

)

(167

)

13

 

488

 

Comprehensive loss:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Net loss

 

 

 

 

 

 

 

 

 

(293

)

 

 

 

 

1

 

(292

)

Equity adjustment for translation of foreign currencies

 

 

 

 

 

 

 

 

 

 

 

51

 

 

 

 

 

51

 

Unrecognized pension and post-retirement plan costs, net of deferred tax provision of $1

 

 

 

 

 

 

 

 

 

 

 

(78

)

 

 

 

 

(78

)

Changes in fair value of derivatives

 

 

 

 

 

 

 

 

 

 

 

1

 

 

 

 

 

1

 

Total comprehensive loss

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(318

)

Other

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(1

)

(1

)

Stock-based compensation

 

 

 

 

 

 

 

3

 

 

 

 

 

 

 

 

 

3

 

Other issuances

 

0.3

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Balance, December 31, 2009

 

254.4

 

11.5

 

$

3

 

$

3,039

 

$

(2,482

)

$

(234

)

$

(167

)

$

13

 

$

172

 

 

See Accompanying Notes to Consolidated Financial Statements.

 

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CHEMTURA CORPORATION AND SUBSIDIARIES

(DEBTOR-IN-POSSESSION)

 

NOTES TO CONSOLIDATED FINANCIAL STATEMENTS

 

1) NATURE OF OPERATIONS AND BANKRUPTCY PROCEEDINGS

 

Nature of Operations

 

Chemtura Corporation, together with its consolidated subsidiaries (the “Company” or “Chemtura”) is dedicated to delivering innovative, application-focused specialty chemical and consumer product offerings.  Chemtura’s principal executive offices are located in Philadelphia, Pennsylvania and Middlebury, Connecticut.  Chemtura operates in a wide variety of end-use industries, including automotive, transportation, construction, packaging, agriculture, lubricants, plastics for durable and non-durable goods, electronics, and pool and spa chemicals.

 

Chemtura is the successor to Crompton & Knowles Corporation (“Crompton & Knowles”), which was incorporated in Massachusetts in 1900 and engaged in the manufacture and sale of specialty chemicals beginning in 1954.  Crompton & Knowles traces its roots to the Crompton Loom Works incorporated in the 1840s.  Chemtura expanded its specialty chemical business through acquisitions in the United States and Europe, including the 1996 acquisition of Uniroyal Chemical Company, Inc. (“Uniroyal”), the 1999 merger with Witco Corporation (“Witco”) and the 2005 acquisition of Great Lakes Chemical Corporation (“Great Lakes”).

 

Liquidity and Bankruptcy Proceedings

 

The Company entered 2009 with significantly constrained liquidity.  The fourth quarter of 2008 saw an unprecedented reduction in orders for the Company’s products as the global recession deepened and customers saw or anticipated reductions in demand in the industries they served.  The impact was more pronounced on those business segments that served cyclically exposed industries. As a result, the Company’s sales and overall financial performance deteriorated resulting in the Company’s non-compliance with the two financial maintenance covenants under its Amended and Restated Credit Agreement, dated as of July 31, 2007 (the “2007 Credit Facility”) as of December 31, 2008.  On December 30, 2008, the Company obtained a 90-day waiver of compliance with these covenants from the lenders under the 2007 Credit Facility.

 

The Company’s liquidity was further constrained in the fourth quarter of 2008 by changes in the availability under its accounts receivable financing facilities in the United States and Europe.  The eligibility criteria and reserve requirements under the Company’s prior U.S. accounts receivable facility (the “U.S. Facility”) tightened in the fourth quarter of 2008 following a credit rating downgrade, significantly reducing the value of accounts receivable that could be sold under the U.S. Facility compared with the third quarter of 2008.  Additionally, the availability and access to the Company’s European accounts receivable financing facility (the “European Facility”) was restricted in late December 2008 because of the Company’s financial performance resulting in the Company’s inability to sell additional receivables under the European Facility.

 

The crisis in the credit markets compounded the liquidity challenges faced by the Company.  Under normal market conditions, the Company believed it would have been able to refinance its $370 million notes maturing on July 15, 2009 (the “2009 Notes”) in the debt capital markets.  However, with the deterioration of the credit market in the late summer of 2008 combined with the Company’s deteriorating financial performance, the Company did not believe it would be able to refinance the 2009 Notes on commercially reasonable terms, if at all.  As a result, the Company sought to refinance the 2009 Notes through the sale of one of its businesses.

 

On January 23, 2009, a special-purpose subsidiary of the Company entered into a new three-year U.S. accounts receivable financing facility (the “2009 U.S. Facility”) that restored most of the liquidity that the Company had available to it under the prior U.S. accounts receivable facility before the fourth quarter of 2008 events described above.  However, despite good faith discussions, the Company was unable to agree to terms under which it could resume the sale of accounts receivable under its European Facility during the first quarter of 2009.  The balance of accounts receivable previously sold under the facility continued to decline, offsetting much of the benefit to liquidity gained by the new 2009 U.S. Facility.  During the second quarter of 2009, with no agreement to restart the European Facility, the remaining balance of the accounts receivable previously sold under the facility were settled and the European Facility was terminated.

 

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January 2009 saw no improvement in customer demand from the depressed levels in December 2008 and some business segments experienced further deterioration.  Although February and March of 2009 saw incremental improvement in net sales compared to January 2009, overall business conditions remained difficult as sales declined by 43% in the first quarter of 2009 compared to the first quarter of 2008.  As awareness grew of the Company’s constrained liquidity and deteriorating financial performance, suppliers began restricting trade credit and, as a result, liquidity dwindled further.  Despite moderate cash generation through inventory reductions and restrictions on discretionary expenditures, the Company’s trade credit continued to tighten, resulting in unprecedented restrictions on its ability to procure raw materials.

 

In January and February of 2009, the Company was in the midst of the asset sale process with the objective of closing a transaction prior to the July 15, 2009 maturity of the 2009 Notes.  Potential buyers conducted due diligence and worked towards submitting their final offers on several of the Company’s businesses.  However, with the continuing recession and speculation about the financial condition of the Company, potential buyers became progressively more cautious.  Certain potential buyers expressed concern about the Company’s ability to perform its obligations under a sale agreement.  They increased their due diligence requirements or decided not to proceed with a transaction.  In March 2009, the Company concluded that although there were potential buyers of its businesses, a sale was unlikely to be closed in sufficient time to offset the continued deterioration in liquidity or at a value that would provide sufficient liquidity to both operate the business and meet the Company’s impending debt maturities.

 

By March 2009, dwindling liquidity and growing restrictions on available trade credit resulted in production stoppages as raw materials could not be purchased on a timely basis.  At the same time, the Company concluded that it was improbable that it could resume sales of accounts receivable under its European Facility or complete the sale of a business in sufficient time to provide the immediate liquidity it needed to operate.  Absent such an infusion of liquidity, the Company would likely experience increased production stoppages or sustained limitations on its business operations that ultimately would have a detrimental effect on the value of the Company’s business as a whole.  Specifically, the inability to maintain and stabilize its business operations would result in depleted inventories, missed supply obligations and damaged customer relationships.

 

Having carefully explored and exhausted all possibilities to gain near-term access to liquidity, the Company determined that debtor-in-possession financing presented the best available alternative for the Company to meet its immediate and ongoing liquidity needs and preserve the value of the business.  As a result, having obtained the commitment of a $400 million senior secured super-priority debtor-in-possession credit facility agreement (the “DIP Credit Facility”), Chemtura and 26 of its subsidiaries organized in the United States (collectively, the “Debtors”) filed for relief under Chapter 11 of Title 11 of the United States Bankruptcy Code (the “Bankruptcy Code”) on March 18, 2009 (the “Petition Date”) in the United States Bankruptcy Court for the Southern District of New York (the “Bankruptcy Court”).  The Chapter 11 cases are being jointly administered by the Bankruptcy Court.  The Company’s non-U.S. subsidiaries and certain U.S. subsidiaries were not included in the filing and are not subject to the requirements of the Bankruptcy Code.  The Company’s U.S. and worldwide operations are expected to continue without interruption during the Chapter 11 reorganization process.

 

The Debtors own substantially all of the Company’s U.S. assets.  The Debtors consist of Chemtura and the following subsidiaries:

 

·

A&M Cleaning Products LLC

·  Crompton Colors Incorporated

·

Kem Manufacturing Corporation

·

Aqua Clear Industries, LLC

·  Crompton Holding Corporation

·

Laurel Industries Holdings, Inc.

·

ASEPSIS, Inc.

·  Crompton Monochem, Inc.

·

Monochem, Inc.

·

ASCK, Inc.

·  GLCC Laurel, LLC

·

Naugatuck Treatment Company

·

BioLab, Inc.

·  Great Lakes Chemical Corporation

·

Recreational Water Products, Inc.

·

BioLab Company Store, LLC

·  Great Lakes Chemical Global, Inc.

·

Uniroyal Chemical Company Limited

·

Biolab Franchise Company, LLC

·  GT Seed Treatment, Inc.

·

Weber City Road LLC

·

BioLab Textile Additives, LLC

·  HomeCare Labs, Inc

·

WRL of Indiana, Inc.

·

CNK Chemical Realty Corporation

·  ISCI, Inc.

 

 

 

The principal U.S. assets and business operations of the Debtors are owned by Chemtura, BioLab, Inc. and Great Lakes Chemical Corporation.

 

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On March 18, 2009, Raymond E. Dombrowski, Jr. was appointed Chief Restructuring Officer.  In connection with this appointment, the Company entered into an agreement with Alvarez & Marsal North America, LLC (“A&M”) to compensate A&M for Mr. Dombrowski’s services as Chief Restructuring Officer on a monthly basis at a rate of $150 thousand per month and incentive compensation in the amount of $3 million payable upon the earlier of (a) the consummation of a Chapter 11 plan of reorganization (“Plan”) or (b) the sale, transfer, or other disposition of all or a substantial portion of the assets or equity of the Company.  Mr. Dombrowski is independently compensated pursuant to arrangements with A&M, a financial advisory and consulting firm specializing in corporate restructuring. Mr. Dombrowski will not receive any compensation directly from the Company and will not participate in any of the Company’s employee benefit plans.

 

The Chapter 11 cases were filed to gain liquidity for continuing operations while the Debtors restructure their balance sheets to allow the Company to continue as a viable going concern.  While the Company believes it will be able to achieve these objectives through the Chapter 11 reorganization process, there can be no certainty that it will be successful in doing so.

 

Under Chapter 11 of the Bankruptcy Code, the Debtors are operating their U.S. businesses as a debtor-in-possession (“DIP”) under the protection of the Bankruptcy Court from their pre-filing creditors and claimants.  Since the filing, all orders of the Bankruptcy Court sufficient to enable the Debtors to conduct normal business activities, including “first day” motions and the interim and final approval of the DIP Credit Facility and amendments thereto, have been entered by the Bankruptcy Court.  While the Debtors are subject to Chapter 11, all transactions outside the ordinary course of business will require the prior approval of the Bankruptcy Court.

 

On March 20, 2009, the Bankruptcy Court approved the Debtors’ “first day” motions.  Specifically, the Bankruptcy Court granted the Debtors, among other things, interim approval to access $190 million of its $400 million DIP Credit Facility, approval to pay outstanding employee wages, health benefits, and certain other employee obligations and authority to continue to honor their current customer policies and programs, in order to ensure the reorganization process will not adversely impact their customers.  On April 29, 2009, the Bankruptcy Court entered a final order providing full access to the $400 million DIP Credit Facility.  The Bankruptcy Court also approved Amendment No. 1 to the DIP Credit Facility which provided for, among other things: (i) an increase in the outstanding amount of inter-company loans the Debtors could make to the non-debtor foreign subsidiaries of the Company from $8 million to $40 million; (ii) a reduction in the required level of borrowing availability under the minimum availability covenant; and (iii) the elimination of the requirement to pay additional interest expense if a specified level of accounts receivable financing was not available to the Company’s European subsidiaries.

 

On July 13, 2009, the Company and the parties to the DIP Credit Facility entered into Amendment No. 2 to the DIP Credit Facility subject to approvals by the Bankruptcy Court and the Company’s Board of Directors which approvals were obtained on July 14 and July 15, 2009, respectively.  Amendment No. 2 amended the DIP Credit Facility to provide for, among other things, an option by the Company to extend the maturity of the DIP Credit Facility for two consecutive three month periods subject to the satisfaction of certain conditions.  Prior to Amendment No. 2, the DIP Credit Facility matured on the earlier of 364 days (from the Petition Date), the effective date of a Plan or the date of termination in whole of the Commitments (as defined in the DIP Credit Facility).

 

As a consequence of the Chapter 11 cases, substantially all pre-petition litigation and claims against the Debtors have been stayed.  Accordingly, no party may take any action to collect pre-petition claims or to pursue litigation arising as a result of pre-petition acts or omissions except pursuant to an order of the Bankruptcy Court.

 

On August 21, 2009, the Bankruptcy Court established October 30, 2009 as the deadline for the filing of proofs of claim against the Debtors (the “Bar Date”).  Under certain limited circumstances, some creditors may be permitted to file proofs of claim after the Bar Date.  Accordingly, it is possible that not all potential proofs of claim were filed as of the filing of this Annual Report.

 

The Debtors have received approximately 15,300 proofs of claim covering a broad array of areas.  Approximately 8,000 proofs of claim have been asserted in “unliquidated” amounts or contain an unliquidated component that are treated as being asserted in “unliquidated” amounts.  Excluding proofs of claim in “unliquidated” amounts, the aggregate amount of proofs of claim filed totaled approximately $23.6 billion.  See Note 21 - Legal Proceedings and Contingencies for a discussion of the types of proofs of claim filed against the Debtors.

 

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The Company is in the process of evaluating the amounts asserted in and the factual and legal basis of the proofs of claim filed against the Debtors.  Based upon the Company’s initial review and evaluation, which is continuing, a significant number of proofs of claim are duplicative and/or legally or factually without merit.  As to those claims, the Company has filed and intends to file objections with the Bankruptcy Court.  However, there can be no assurance that these claims will not be allowed in full.

 

Further, while the Debtors believe they have insurance to cover certain asserted claims, there can be no assurance that material uninsured obligations will not be allowed as claims in the Chapter 11 cases.  Because of the substantial number of asserted contested claims, as to which review and analysis is ongoing, there is no assurance as to the ultimate value of claims that will be allowed in the Chapter 11 cases, nor is there any assurance as to the ultimate recoveries for the Debtors’ stakeholders, including the Debtors’ bondholders and the Company’s shareholders.  The differences between amounts recorded by the Debtors and proofs of claim filed by the creditors will continue to be investigated and resolved through the claims reconciliation process.

 

The Company has recognized certain charges related to expected allowed claims.  As the Company completes the process of evaluating and resolving the proofs of claim, appropriate adjustments to the Company’s Consolidated Financial Statements will be made.  Adjustments may also result from actions of the Bankruptcy Court, settlement negotiations, rejection of executory contracts and real property leases, determination as to the value of any collateral securing claims and other events.  Any such adjustments could be material to the Company’s results of operations and financial condition in any given period.  For additional information on liabilities subject to compromise, see Note 4 - Liabilities Subject to Compromise and Reorganization Items, Net.

 

As provided by the Bankruptcy Code, the Debtors have the exclusive right to file and solicit acceptance of a Plan for 120 days after the Petition Date with the possibility of extensions thereafter.  On February 23, 2010, the Bankruptcy Court granted the Company’s application for extensions of the period during which it has the exclusive right to file a Plan from February 11, 2010 to June 11, 2010.  The Bankruptcy Court had previously granted the Company’s application for an extension of the exclusivity period on July 28, 2009 and October 27, 2009.  There can be no assurance that a Plan will be filed by the Debtors or confirmed by the Bankruptcy Court, or that any such Plan will be consummated.  After a Plan has been filed with the Bankruptcy Court, the Plan, along with a disclosure statement approved by the Bankruptcy Court, will be sent to all creditors and other parties entitled to vote to accept or reject the Plan.  Following the solicitation period, the Bankruptcy Court will consider whether to confirm the Plan.  In order to confirm a Plan, the Bankruptcy Court must make certain findings as required by the Bankruptcy Code.  The Bankruptcy Court may confirm a Plan notwithstanding the non-acceptance of the Plan by an impaired class of creditors or equity security holders if certain requirements of the Bankruptcy Code are met.

 

On January 15, 2010 the Company entered into Amendment No. 3 of the DIP Credit Facility that provided for, among other things, the consent of the Company’s DIP lenders to the sale of the PVC additives business.

 

On February 9, 2010, the Court gave interim approval of an Amended and Restated Senior Secured Super-Priority Debtor-in-Possession Credit Agreement (the “Amended and Restated DIP Credit Agreement”) by and among the Debtors, Citibank N.A. and the other lenders party thereto.  The Amended and Restated DIP Credit Agreement provides for a first priority and priming secured revolving and term loan credit commitment of up to an aggregate of $450 million.  The proceeds of the loans and other financial accommodations incurred under the Amended and Restated DIP Credit Agreement were used to, among other things, refinance the obligations outstanding under the DIP Credit Facility and provide working capital for general corporate purposes.  The Amended and Restated DIP Credit Agreement provided a substantial reduction in the Company’s financing costs through interest rate reductions and the avoidance of the extension fees that would have been payable under the DIP Credit Facility in February and May 2010.  The Amended and Restated DIP Credit Agreement closed on February 12, 2010 with the drawing of the $300 million term loan.  On February 18, 2010, the Bankruptcy Court entered a final order providing full access to the Amended and Restated DIP Credit Agreement.  The Amended and Restated DIP Credit Agreement matures on the earlier of 364 days after the closing, the effective date of a Plan or the date of termination in whole of the Commitments (as defined in the Amended and Restated DIP Credit Agreement).

 

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The ultimate recovery by the Debtors’ creditors and the Company’s shareholders, if any, will not be determined until confirmation and implementation of a Plan.  No assurance can be given as to what recoveries, if any, will be assigned in the Chapter 11 cases to each of these constituencies.  A Plan could result in the Company’s shareholders receiving little or no value for their interests and holders of the Debtors’ unsecured debt, including trade debt and other general unsecured creditors, receiving less, and potentially substantially less, than payment in full for their claims.  Because of such possibilities, the value of the Company’s common stock and unsecured debt is highly speculative.  Accordingly, the Company urges that appropriate caution be exercised with respect to existing and future investments in any of these securities.  Although the shares of the Company’s common stock continue to trade on the Pink Sheets Electronic Quotation Service (“Pink Sheets”) under the symbol “CEMJQ,” the trading prices may have little or no relationship to the actual recovery, if any, by the holders under any eventual Bankruptcy Court-approved Plan.  The opportunity for any recovery by holders of the Company’s common stock under such Plan is uncertain as all creditors’ claims must be met in full, with interest where due, before value can be attributed to the common stock and, therefore, the shares of the Company’s common stock may be cancelled without any compensation pursuant to such Plan.

 

Continuation of the Company as a going concern is contingent upon, among other things, the Company’s and/or Debtors’ ability (i) to comply with the terms and conditions of the Amended and Restated DIP Credit Agreement; (ii) to obtain confirmation of a Plan under the Bankruptcy Code; (iii) to return to profitability; (iv) to generate sufficient cash flow from operations; and (v) to obtain financing sources to meet the Company’s future obligations.  These matters raise substantial doubt about the Company’s ability to continue as a going concern.  The Consolidated Financial Statements do not reflect any adjustments relating to the recoverability and classification of recorded asset amounts or the amounts and classification of liabilities that might result from the outcome of these uncertainties.  Additionally, a Plan could materially change amounts reported in the Consolidated Financial Statements, which do not give effect to all adjustments of the carrying value of assets and liabilities that may be necessary as a consequence of completing a reorganization under Chapter 11 of the Bankruptcy Code.

 

In addition, as part of the Company’s emergence from bankruptcy protection, the Company may be required to adopt fresh start accounting in a future period.  If fresh start accounting is applicable, our assets and liabilities will be recorded at fair value as of the fresh start reporting date.  The fair value of our assets and liabilities as of such fresh start reporting date may differ materially from the recorded values of assets and liabilities on our Consolidated Balance Sheets.  Further, if fresh start accounting is required, the financial results of the Company after the application of fresh start accounting may not be comparable to historical trends.

 

2) BASIS OF PRESENTATION AND SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES

 

Basis of Presentation

 

The accompanying Consolidated Financial Statements include the accounts of Chemtura and the wholly-owned and majority-owned subsidiaries that it controls.  Other affiliates in which the Company has a 20% to 50% ownership interest or a non-controlling majority interest are accounted for in accordance with the equity method.  Other investments in which the Company has less than 20% ownership are recorded at cost.  All significant intercompany balances and transactions have been eliminated in consolidation.

 

The Consolidated Financial Statements have been prepared in accordance with Accounting Standards Codification (“ASC”) Section 852-10-45, Reorganizations - - Other Presentation Matters (“ASC 852-10-45”).  ASC 852-10-45 does not ordinarily affect or change the application of U.S. generally accepted accounting principles (“GAAP”).  However, it does require the Company to distinguish transactions and events that are directly associated with the reorganization in connection with the Chapter 11 cases from the ongoing operations of the business.  Expenses incurred and settlement impacts due to the Chapter 11 cases are reported separately as reorganization items, net on the Consolidated Statements of Operations for the year ended December 31, 2009.  Interest expense related to pre-petition indebtedness has been reported only to the extent that it will be paid during the pendency of the Chapter 11 cases or is permitted by Bankruptcy Court approval or is expected to be an allowed claim.  The pre-petition liabilities subject to compromise are disclosed separately on the December 31, 2009 Consolidated Balance Sheet.  These liabilities are reported at the amounts expected to be allowed by the Bankruptcy Court, even if they may be settled for a lesser amount.  These expected allowed claims require management to estimate the likely claim amount that will be allowed by the Bankruptcy Court prior to its ruling on the individual claims.  These estimates are based on reviews of claimants’ supporting material, obligations to mitigate such claims, and assessments by management and third-party advisors.  The Company expects that its estimates, although based on the best available information, will change as the claims are resolved by the Bankruptcy Court.

 

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The Consolidated Financial Statements have been prepared in conformity with GAAP, which require the Company to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period.  Actual results could differ from these estimates.

 

Discontinued Operations

 

The Company sold certain assets and assigned certain liabilities of its EPDM business on June 29, 2007 and its optical monomers business on October 31, 2007. The Company sold its fluorine chemical business on January 31, 2008.  As a result, the operations of these businesses have been classified as discontinued operations in the Consolidated Statements of Operations for all periods presented.  The Consolidated Statements of Cash Flows have not been adjusted to reflect the discontinued operations and, thus, include the cash flows of the discontinued businesses.  See Note 5 - Acquisitions and Divestments - Discontinued Operations for further information.

 

Accounting Policies

 

Revenue Recognition

 

Substantially all of the Company’s revenues are derived from the sale of products.  Revenue is recognized when risk of loss of, and title to, the product is transferred to the customer.  Revenue is recorded net of taxes collected from customers that are remitted to governmental authorities with the collected taxes recorded as current liabilities until remitted to the respective governmental authorities.  The Company’s products are sold subject to various shipping terms. The Company’s terms of delivery are included on its sales invoices and order confirmation documents.

 

Customer Rebates

 

The Company accrues for the estimated cost of customer rebates as a reduction of sales.  Customer rebates are primarily based on customers achieving defined sales targets over a specified period of time.  The Company estimates the cost of these rebates based on the likelihood of the rebate being achieved and recognizes the cost as a deduction from sales when such sales are recognized.  Rebate programs are monitored on a regular basis and adjusted as required.  The Company’s accruals for customer rebates were $19 million and $21 million at December 31, 2009 and 2008, respectively.

 

Operating Costs and Expenses

 

Cost of goods sold (“COGS”) includes all costs incurred in manufacturing goods, including raw materials, direct manufacturing costs and manufacturing overhead.  COGS also includes warehousing, distribution, engineering, purchasing, customer service, environmental, health and safety functions, and shipping and handling costs for outbound product shipments.  Selling, general and administrative expenses (“SG&A”) include costs and expenses related to the following functions and activities: selling, advertising, legal, provision for doubtful accounts, corporate facilities and corporate administration.  SG&A also includes accounting, information technology, finance and human resources, excluding direct support in manufacturing operations, which is included as COGS.  Research and development expenses (“R&D”) include basic and applied research and development activities of a technical and non-routine nature.  R&D costs are expensed as incurred.  COGS, SG&A and R&D expenses exclude depreciation and amortization expenses which are presented on a separate line in the Consolidated Statements of Operations.

 

Other Income (Expense), Net

 

Other income (expense), net includes costs associated with the Company’s accounts receivable facilities, foreign exchange gains (losses), and interest income.

 

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(In millions)

 

2009

 

2008

 

2007

 

 

 

 

 

 

 

 

 

Costs of accounts receivable facilities

 

$

(2

)

$

(16

)

$

(21

)

Foreign exchange gain (loss)

 

(23

)

25

 

11

 

Interest income

 

7

 

8

 

7

 

Other accounts receivable financing

 

(1

)

(1

)

(1

)

Fees associated with debt waivers and amendments

 

 

(6

)

 

Other items, individually less than $1 million

 

2

 

(1

)

(1

)

 

 

$

(17

)

$

9

 

$

(5

)

 

Allowance for Doubtful Accounts

 

Included in accounts receivable are allowances for doubtful accounts in the amount of $32 million in 2009 and $26 million in 2008.  The allowance for doubtful accounts reflects a reserve representing the Company’s estimate of the amounts that may not be collectible.  In addition to reviewing delinquent accounts receivable, the Company considers many factors in estimating its reserves, including historical data, experience, customer types, credit worthiness, and economic trends. From time to time, the Company may adjust its assumptions for anticipated changes in any of these or other factors expected to affect collection.

 

Inventory Valuation

 

Inventories are valued at the lower of cost or market. Cost is determined using the first-in, first-out (“FIFO”) method.

 

Property, Plant and Equipment

 

Property, plant and equipment are carried at cost, less accumulated depreciation.  Depreciation expense from continuing operations ($134 million in 2009, $192 million in 2008, and $229 million in 2007) is computed on the straight-line method using the following ranges of asset lives: land improvements - 3 to 20 years; buildings and improvements - 2 to 40 years; machinery and equipment - 2 to 25 years; information systems and equipment - - 2 to 10 years; and furniture, fixtures and other - 1 to 10 years.

 

Renewals and improvements that significantly extend the useful lives of the assets are capitalized.  Capitalized leased assets and leasehold improvements are depreciated over the shorter of their useful lives or the remaining lease term.  Expenditures for maintenance and repairs are charged to expense as incurred.

 

Intangible Assets

 

Patents, trademarks and other intangibles are being amortized principally on a straight-line basis using the following ranges for their estimated useful lives: patents 4 to 20 years; trademarks 7 to 35 years; customer relationships 10 to 30 years; production rights 11 years; and other intangibles 5 to 20 years.  See Note 10 — Goodwill and Intangible Assets for further details.

 

Recoverability of Long-Lived Assets and Goodwill

 

The Company evaluates the recoverability of the carrying value of its long-lived assets, excluding goodwill, whenever events or changes in circumstances indicate that the carrying value may not be recoverable. Under such circumstances, the Company assesses whether the projected undiscounted cash flows of its businesses are sufficient to recover the existing unamortized cost of its long-lived assets.  If the undiscounted projected cash flows are not sufficient, the Company calculates the impairment amount by discounting the projected cash flows using its weighted-average cost of capital.  The amount of the impairment is written off against earnings in the period in which the impairment is determined.

 

The Company evaluates the recoverability of the carrying value of goodwill on an annual basis as of July 31, or when events occur or circumstances change.  See Note 10 — Goodwill and Intangible Assets for further details.

 

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Environmental Liabilities

 

Each quarter the Company evaluates and reviews estimates for future remediation, operation and management costs directly related to remediation, to determine appropriate environmental reserve amounts.  For each site where the cost of remediation is probable and reasonably estimable, we determine the specific measures that are believed to be required to remediate the site, the estimated total cost to carry out the remediation plan, the portion of the total remediation costs to be borne by the Company and the anticipated time frame over which payments toward the remediation plan will occur. At sites where the Company expects to incur ongoing operations and maintenance expenditures, the Company accrues on an undiscounted basis for a period of generally 10 years, those costs which are probable and reasonably estimable.  Where settlement offers have been extended to resolve an environmental liability as part of the Chapter 11 cases, the amounts of those offers have been accrued and are reflected in the Consolidated Balance Sheet as liabilities subject to compromise.

 

Litigation and Contingencies

 

In accordance with guidance now codified under ASC Topic 450, Contingencies, the Company records in its Consolidated Financial Statements amounts representing the Company’s estimated liability for claims, guarantees and litigation.  As information about current or future litigation or other contingencies becomes available, management assesses whether such information warrants the recording of additional expenses relating to those contingencies.  See Note 21 Legal Proceedings and Contingencies for further details.

 

Stock-Based Compensation

 

In December 2004, the FASB issued guidance now codified under ASC Topic 718, Compensation — Stock Compensation.  ASC 718 requires all share-based payments to employees, including grants of employee stock options, to be recognized in the financial statements based on their fair value beginning with the first annual period after June 15, 2005.  Effective January 1, 2006, the Company adopted the provisions of ASC 718 using the modified prospective method. Under the modified prospective method, the compensation cost for all new awards and awards modified, repurchased or cancelled after the date of adoption of ASC 718, as well as the unrecognized compensation cost of unvested awards as of the date of adoption, are recognized in earnings based on the grant-date fair value of those awards.

 

The Company recognizes compensation cost for stock-based awards issued after January 1, 2006 over the requisite service period for each separately vesting tranche, as if multiple awards were granted.  Stock-based compensation expense recognized was $3 million, $5 million, and $10 million for the years ended December 31, 2009, 2008, and 2007, respectively, primarily attributable to the Company’s stock option program.

 

Derivative Instruments

 

Derivative instruments are presented in the accompanying Consolidated Financial Statements at fair value as required by GAAP.  See Note 18 - Derivative Instruments and Hedging Activities for further details.

 

Translation of Foreign Currencies

 

Balance sheet accounts denominated in foreign currencies are translated at the current rate of exchange as of the balance sheet date, while revenues and expenses are translated at average rates of exchange during the periods presented.  The cumulative foreign currency adjustments resulting from such translation are included in accumulated other comprehensive income (loss).

 

Cash Flows

 

Cash and cash equivalents include bank term deposits with original maturities of three months or less.  Included in the Company’s cash balance at December 31, 2009 and 2008, are $2 million and $1 million, respectively, of restricted cash that is required to be on deposit to support certain letters of credit and performance guarantees, the majority of which will be settled within one year.

 

Cash payments included interest payments of $45 million in 2009, $80 million in 2008, and $85 million in 2007. Cash payments also included income tax payments (net of refunds) of $33 million in 2009, $60 million in 2008, and $52 million in 2007.

 

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Accounting Developments

 

Recently Implemented

 

Effective January 1, 2007, the Company adopted guidance now codified within Accounting Standards Codification (“ASC”) 740 — Income Taxes (“ASC 740”), which clarifies the accounting for uncertainty in income taxes recognized in accordance with ASC 740.  Under ASC 740, the Company may recognize a tax benefit from an uncertain tax position only if it is more likely than not that the tax position will be sustained on examination by the taxing authorities, based on the technical merits of the position.  ASC 740 also provides guidance on derecognition, classification, interest and penalties on income taxes, accounting in interim periods and requires increased disclosures.  As a result of adopting the provisions of ASC 740, the Company recognized a $2 million decrease in the income tax payable liability for unrecognized tax benefits which was accounted for as a $6 million increase in non-current deferred tax assets and an $8 million decrease in goodwill.

 

In December 2007, the FASB issued guidance now codified as ASC Section 810-10-65, Consolidations — Transition and Open Effective Date Information (“ASC 810-10-65”), which requires companies to treat non-controlling interests (commonly referred to as minority interests) as a separate component of shareholders’ equity and not as a liability.  The provisions of ASC 810-10-65 are effective as of the beginning of the Company’s 2009 fiscal year.  The presentation and disclosure requirements of ASC 810-10-65 were applied on a retrospective basis for all periods presented.

 

In December 2007, the FASB issued guidance now codified as ASC Topic 805, Business Combinations (“ASC 805”), which requires, among other items, that identifiable assets, liabilities, non-controlling interests and goodwill acquired in a business combination be recorded at full fair value.  The provisions of ASC 805 are effective as of the beginning of the Company’s 2009 fiscal year.  The adoption of ASC 805 did not have a material impact on the Company’s consolidated financial condition and results of operations.  Future adjustments made to valuation allowances on deferred taxes and acquired tax contingencies associated with acquisitions made prior to 2009 will impact the statement of operations based on the provisions of ASC 805.

 

Effective January 1, 2008, the Company adopted ASC Topic 820, Fair Value Measurements and Disclosures (“ASC 820”) with respect to its financial assets and liabilities.  In February 2008, the FASB issued updated guidance related to fair value measurements, which is included in ASC 820.  The updated guidance provided a one year deferral of the effective date of ASC 820 for non-financial assets and non-financial liabilities, except those that are recognized or disclosed in the financial statements at fair value at least annually.  Therefore, the Company adopted the provisions of ASC 820 for non-financial assets and non-financial liabilities effective January 1, 2009, and such adoption did not have a material impact on the Company’s consolidated financial condition and results of operations.

 

In March 2008, the FASB issued guidance now codified as ASC Topic 815, Derivatives and Hedging (“ASC 815”), which requires companies with derivative instruments to disclose information about how and why a company uses derivative instruments, how derivative instruments and related hedged items are accounted for under ASC 815, and how derivative instruments and related hedged items affect a company’s financial condition, financial performance, and cash flows.  The provisions of ASC 815 are effective as of the beginning of the Company’s 2009 fiscal year.  The Company has adopted the provisions of ASC 815 as of December 31, 2009 and its adoption did not have a material impact on its results of operation, financial condition or disclosures.

 

In December 2008 the FASB issued guidance now codified as ASC Topic 715, Compensation - Retirement Benefits (“ASC 715”) which requires additional disclosures about plan assets of defined benefit pension and other postretirement benefit plans. The provisions of ASC 715 are effective for fiscal years ending after December 15, 2009.   The Company has adopted the provisions of ASC 715 as of December 31, 2009 and its adoption did not have a material impact on its results of operation, financial condition or disclosures.

 

In May 2009, the FASB issued guidance now codified as ASC Topic 855, Subsequent Events (“ASC 855”), which provides authoritative accounting literature related to evaluating subsequent events.  ASC 855 is similar to the current guidance with some exceptions that are not intended to result in significant change to current practice.  ASC 855 defines subsequent events and also requires the disclosure of the date through which an entity has evaluated subsequent events and the basis for that date.  The provisions of ASC 855 are effective for interim or annual financial periods ending after June 15, 2009. The Company has adopted the provisions of ASC 855 effective as of June 30, 2009 and its adoption did not have a material impact on its results of operations, financial condition or its disclosures.

 

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In June 2009, FASB issued guidance now codified as ASC Topic 105, Generally Accepted Accounting Principles (“ASC 105”).  ASC 105 establishes only two levels of GAAP, authoritative and non-authoritative.  The FASB Accounting Standards Codification (the “Codification”) is the source of authoritative, nongovernmental GAAP, except for rules and interpretive releases of the Securities and Exchange Commission (“SEC”), which are sources of authoritative GAAP for SEC registrants.  All other non-grandfathered, non-SEC accounting literature not included in the Codification will become non-authoritative.  The standard is effective for financial statements for interim or annual reporting periods ending after September 15, 2009.  As the Codification was not intended to change or alter existing GAAP, it will not have any impact on the Company’s financial condition and results of operations.  References made to FASB guidance throughout this document have been updated for the Codification.

 

Future Implementations

 

In June 2009, the FASB issued guidance now codified as ASC Topic 810, Consolidation (“ASC 810”), which amends certain guidance for determining whether an entity is a variable interest entity (“VIE”).  ASC 810 requires an enterprise to perform an analysis to determine whether the Company’s variable interests give it a controlling financial interest in a VIE.  A company would be required to assess whether it has an implicit financial responsibility to ensure that a VIE operates as designed when determining whether it has the power to direct the activities of the VIE that most significantly impact the entity’s economic performance.  In addition, ASC 810 requires ongoing reassessments of whether an enterprise is the primary beneficiary of a VIE.  The standard is effective for financial statements for interim or annual reporting periods that begin after November 15, 2009.  Earlier application is prohibited.  The Company is currently evaluating the impact of ASC 810.

 

Risks and Uncertainties

 

As the Company currently operates its business as debtors-in-possession under the jurisdiction of the Bankruptcy Court, and in accordance with the applicable provisions of the Bankruptcy Code, it is subject to the risks and uncertainties associated with its’ Chapter 11 cases which include the following:

 

·                  The ability to obtain and maintain normal terms with customers’ vendors and service providers;

·                  The ability to obtain approval by the Bankruptcy Court for transactions outside the ordinary course of business;

·                  Limitations on our ability to obtain Bankruptcy Court approval with respect to motions in the Chapter 11 cases; and

·                  Limitations on our ability to avoid or reject executory contracts and real property leases that are burdensome or uneconomical.

 

In order to successfully emerge from Chapter 11, the Company must develop, obtain requisite Bankruptcy Court and creditor approval of, and consummate a Plan.  If a Plan is not confirmed or if the Company is unable to successfully consummate a Plan after confirmation, it is unclear whether it would be able to reorganize the business and what if any distribution would be made to claimants.

 

The Company’s revenues are largely dependent on the continued operation of its manufacturing facilities.  There are many risks involved in operating chemical manufacturing plants, including the breakdown, failure or substandard performance of equipment, operating errors, natural disasters, the need to comply with directives of, and maintain all necessary permits from, government agencies and potential terrorist attacks.  The Company’s operations can be adversely affected by raw material shortages, labor force shortages or work stoppages and events impeding or increasing the cost of transporting its raw materials and finished products.  The occurrence of material operational problems, including but not limited to the events described above, may have a material adverse effect on the productivity and profitability of a particular manufacturing facility.  With respect to certain facilities, such events could have a material effect on the Company as a whole.

 

The Company’s operations are also subject to various hazards incident to the production of industrial chemicals.  These include the use, handling, processing, storage and transportation of certain hazardous materials.  Under certain circumstances, these hazards could cause personal injury and loss of life, severe damage to and destruction of property and equipment, environmental damage and suspension of operations.  Claims arising from any future catastrophic occurrence at any one of its facilities may result in the Company being named as a defendant in lawsuits asserting potential claims.

 

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The Company performs ongoing credit evaluations of its customers’ financial condition including an assessment of the impact, if any, of prevailing economic conditions.  The Company generally does not require collateral from its customers.  The Company is exposed to credit losses in the event of nonperformance by counterparties on derivative instruments when utilized.  The counterparties to these transactions are major financial institutions, which may be adversely affected by the current global credit crisis.  However, the Company considers the risk of default to be minimal.

 

International operations are subject to various risks which may or may not be present in U.S. operations.  These risks include political instability, the possibility of expropriation, restrictions on dividends and remittances, instabilities of currencies, requirements for governmental approvals for new ventures and local participation in operations such as local equity ownership and workers’ councils.  Currency fluctuations between the U.S. dollar and the currencies in which the Company conducts business have caused and will continue to cause foreign currency transaction gains and losses, which may be material.  Any of these events could have an adverse effect on the Company’s international operations.

 

3) CONDENSED DEBTOR COMBINED FINANCIAL STATEMENTS

 

Condensed Combined Financial Statements for the Debtors as of and for the year-ended December 31, 2009 are presented below.  These Condensed Combined Financial Statements include investments in subsidiaries carried under the equity method.

 

Condensed Combined Statement of Operations

(Debtor-in-Possession)

(In millions)

 

 

 

Year Ended

 

 

 

December 31, 2009

 

 

 

 

 

Net sales

 

$

1,958

 

 

 

 

 

Cost of goods sold

 

1,589

 

Selling, general and administrative

 

183

 

Depreciation and amortization

 

113

 

Research and development

 

21

 

Antitrust costs

 

9

 

Changes in estimates related to expected allowable claims

 

73

 

Impairment of long-lived assets

 

54

 

 

 

 

 

Operating loss

 

(84

)

 

 

 

 

Interest expense

 

(77

)

Other expense, net

 

(18

)

Reorganization items, net

 

(96

)

Equity in net loss of subsidiaries

 

(43

)

 

 

 

 

Loss before income taxes

 

(318

)

Income tax benefit

 

25

 

Net loss

 

$

(293

)

 

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Condensed Combined Balance Sheet

(Debtor-in-Possession)

as of December 31, 2009

(In millions)

 

ASSETS

 

 

 

Current assets

 

$

706

 

Intercompany receivables

 

538

 

Investment in subsidiaries

 

1,942

 

Property, plant and equipment

 

422

 

Goodwill

 

149

 

Other assets

 

397

 

Total assets

 

$

4,154

 

 

 

 

 

LIABILITIES AND STOCKHOLDERS’ EQUITY

 

 

 

Current liabilities

 

$

395

 

Intercompany payables

 

65

 

Other long-term liabilities

 

73

 

Total liabilities not subject to compromise

 

533

 

Liabilities subject to compromise (a)

 

3,449

 

Total stockholders’ equity

 

172

 

Total liabilities and stockholders’ equity

 

$

4,154

 

 


(a) Includes inter-company payables of $1,447 million.

 

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Condensed Combined Statement of Cash Flows

(Debtor-in-Possession)

Year ended December 31, 2009

(In millions)

 

Increase (decrease) to cash

 

 

 

CASH FLOWS FROM OPERATING ACTIVITIES

 

 

 

Net loss

 

$

(293

)

Adjustments to reconcile net loss to net cash used in operating activities:

 

 

 

Impairment of long-lived assets

 

54

 

Depreciation and amortization

 

113

 

Stock-based compensation expense

 

3

 

Changes in estimates related to expected allowable claims

 

73

 

Reorganization items, net

 

34

 

Changes in assets and liabilities, net

 

(64

)

Net cash used in operating activities

 

(80

)

 

 

 

 

CASH FLOWS FROM INVESTING ACTIVITIES

 

 

 

Net proceeds from divestments

 

3

 

Payments for acquisitions, net of cash acquired

 

(5

)

Capital expenditures

 

(34

)

Net cash used in investing activities

 

(36

)

 

 

 

 

CASH FLOWS FROM FINANCING ACTIVITIES

 

 

 

Proceeds from debtor-in-possession facility, net

 

250

 

Payments on credit facility, net

 

(28

)

Payments on long term borrowings

 

(18

)

Payments for debt issuance costs

 

(30

)

Net cash provided by financing activities

 

174

 

 

 

 

 

CASH AND CASH EQUIVALENTS

 

 

 

Change in cash and cash equivalents

 

58

 

Cash and cash equivalents at beginning of period

 

23

 

Cash and cash equivalents at end of period

 

$

81

 

 

4) LIABILITIES SUBJECT TO COMPROMISE AND REORGANIZATION ITEMS, NET

 

As a consequence of the Chapter 11cases, substantially all claims and litigation against the Debtors in existence prior to the filing of the petitions for relief or relating to acts or omissions prior to the filing of the petitions for relief are stayed.  These estimated claims are reflected in the Consolidated Balance Sheet as liabilities subject to compromise as of December 31, 2009.  These amounts represent the Company’s best estimate of known or potential pre-petition liabilities that are probable of resulting in an allowed claim against the Debtors in connection with the Chapter 11 cases and are recorded at the estimated amount of the allowed claim which may be different from the amount for which the liability will be settled.  Such claims remain subject to future adjustments.  Adjustments may result from actions of the Bankruptcy Court, negotiations, rejection or acceptance of executory contracts and real property leases, determination as to the value of any collateral securing claims, proofs of claim or other events.

 

The Bankruptcy Court established October 30, 2009 as the Bar Date for filing proofs of claim against the Debtors.  The Debtors have received approximately 15,300 proofs of claim covering a broad array of areas.  The Company is in the process of evaluating the amounts asserted in and the factual and/or legal basis of the proofs of claim filed against the Debtors.  These proofs of claim may result in additional liabilities, some or all of which may be subject to compromise, and the amounts of which may be material.  See Note — 21 Legal Proceedings and Contingencies for further discussion of the Company’s Chapter 11 claims assessment.

 

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Liabilities subject to compromise consist of the following:

 

 

 

As of

 

(In millions)

 

December 31, 2009

 

6.875% Notes due 2016 (a)

 

$

500

 

7% Notes due July 2009 (a)

 

370

 

6.875% Debentures due 2026 (a)

 

150

 

2007 Credit Facility (a)

 

152

 

Other borrowings

 

3

 

Total debt subject to compromise

 

1,175

 

 

 

 

 

Pension and post-retirement health care liabilities

 

410

 

Accounts payable

 

130

 

Environmental reserves

 

42

 

Litigation reserves

 

125

 

Unrecognized tax benefits and other taxes

 

78

 

Accrued interest expense

 

7

 

Other miscellaneous liabilities

 

35

 

Total liabilties subject to compromise

 

$

2,002

 

 

Reorganization items are presented separately in the Consolidated Statements of Operations on a net basis and represent items realized or incurred by the Company as a direct result of the Debtors’ Chapter 11 cases.

 

The reorganization items, net recorded in the Consolidated Statements of Operations consists of the following:

 

 

 

Year-Ended

 

(In millions)

 

December 31, 2009

 

Professional fees

 

$

60

 

Write-off of debt discounts and premiums (a)

 

24

 

Write-off of debt issuance costs (a)

 

7

 

Write-off of deferred charges related to termination of U.S. accounts receivable facility

 

4

 

Rejections or terminations of lease and other contract agreements (b)

 

9

 

Severance - closure of manufacturing plants and warehouses (b)

 

1

 

Claim settlements (c)

 

(8

)

Total reorganization items, net

 

$

97

 

 


(a)          The carrying value of pre-petition debt has been adjusted to its respective face value as this represents the expected allowable claim in the Chapter 11 cases.  As a result, unamortized debt issuance costs, discounts and premiums were charged to reorganization items, net on the Consolidated Statements of Operations.

(b)         Represents charges for cost savings initiatives for which Bankruptcy Court approval has been obtained or requested.  For additional information see Note 6 — Restructuring and Asset Impairment Activities.

(c)          Represents the difference between the settlement amount of certain pre-petition obligations and the corresponding carrying value of the recorded liabilities.

 

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5) ACQUISITIONS AND DIVESTMENTS

 

Acquisitions

 

GLCC Laurel, LLC

 

On March 12, 2008, the Company purchased the remaining interest in GLCC Laurel, LLC for a note payable of $11 million.  The note was paid in September 2008.  As GLCC Laurel, LLC was already being consolidated by the Company in its financial statements, the purchase price was allocated to reduce the non-controlling interest by $23 million.  The value of the long-lived assets was reduced by $14 million (as the fair value of the assets exceeded the purchase price) with the residual amounts allocated to other assets.

 

Baxenden

 

On February 29, 2008, the Company acquired the remaining stock of Baxenden Chemicals Limited Plc for approximately $26 million.  The purchase price was allocated to goodwill of $9 million; intangible assets of $ 7 million; property, plant, and equipment of $5 million; and other net assets of $5 million.

 

Kaufman

 

On January 31, 2007, the Company acquired the stock of Kaufman Holdings Corporation (“Kaufman”).  In 2007, the Company paid the sellers $160 million plus an additional $5 million for working capital adjustments and transaction costs.  Additionally, a final payment of $5 million was made in 2009 to the sellers in accordance with the sale agreement.

 

The acquired assets and assumed liabilities have been recorded at their fair value and the excess cost of the acquired net assets over their fair value has been recorded as goodwill.  The total purchase price has been allocated to the acquired net tangible and intangible assets and assumed liabilities based upon valuations and estimates of fair value.

 

The total Kaufman purchase price of $170 million included $61 million of goodwill; $58 million of intangible assets; $45 million of net working capital; $42 million of property, plant and equipment and $2 million of other assets offset by $38 million of other long-term liabilities.

 

Discontinued Operations

 

The Company has classified the following transactions as discontinued operations in the Consolidated Statements of Operations for all periods presented.  The Company determined the cash flows associated with the continuation of activities are deemed indirect and the Company evaluated whether it had significant continued involvement in the operations of the disposed businesses.  Accordingly, the Company did not deem its involvement with the disposed businesses subsequent to sale to be significant.

 

Earnings from discontinued operations for periods with activities consists of the following:

 

 

 

2007

 

(In millions)

 

Net
Sales

 

Pre-tax
Earnings
from
Discontinued
Operations

 

Income
Tax
Expense

 

Earnings from
Discontinued
Operations

 

Fluorine

 

$

 49

 

$

14

 

$

(5

)

$

 9

 

Optical Monomers

 

31

 

3

 

 

3

 

EPDM

 

99

 

8

 

(3

)

5

 

OrganoSilicones

 

 

2

 

(1

)

1

 

Total

 

$

179

 

$

27

 

$

(9

)

$

18

 

 

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Fluorine Divestiture

 

On January 31, 2008, the Company completed the sale of its fluorine chemical business located at the Company’s El Dorado, Arkansas facility for an immaterial net loss.  The assets sold consisted of patents and intangible assets of $12 million, inventory of $8 million, fixed assets of $8 million and other current liabilities of $1 million.

 

Optical Monomers Divestiture

 

On October 31, 2007, the Company completed the sale of its optical monomers business, which included its Ravenna, Italy manufacturing facility, for cash proceeds of $24 million.  The Company reported a net of tax loss of $1 million (a loss of $2 million related to the sale of its optical monomers business in discontinued operations and a gain of $1 million related to the sale of certain antioxidants assets in COGS).  The net assets sold included $8 million of accounts receivable, $9 million of inventories, $5 million of intangible assets, $5 million of assets at the Company’s manufacturing facilities and $2 million of current liabilities.

 

EPDM Divestiture

 

On June 29, 2007, the Company completed the sale of its EPDM business, the Celogen® foaming agents product line related to rubber chemicals, and its Geismar, Louisiana facilities for cash proceeds of $137 million, plus $16 million in promissory notes paid in installments between closing and September 30, 2007. The Company reported a net of tax gain of $8 million (a gain of $23 million related to the sale of the EPDM business in discontinued operations and a loss of $15 million related to the sale of foaming agents in loss on sale of business). The assets sold included $23 million of accounts receivable, $36 million of inventories and $63 million of assets at the Company’s manufacturing facilities.  In connection with this sale, the Company entered into certain transitional service and supply agreements for periods initially ranging from 90 days to six months which may be extended at the mutual consent of both parties. Since June 30, 2007, the Company did not have any continuing involvement in the EPDM business.

 

OrganoSilicones Divestiture

 

On July 31, 2003, the Company sold certain assets and assigned certain liabilities of its OrganoSilicones business unit to the Specialty Materials division of General Electric Company (“GE”) and acquired GE’s Specialty Chemicals business.  As a result of this transaction, the Company was to receive quarterly earn-out payments through December of 2006 based on the minimum required payments and additional payments contingent on the combined performance of GE’s existing Silicones business and the OrganoSilicones business that GE acquired from the Company through September of 2006.  The total of such earn-out proceeds was for a minimum of $105 million and a maximum of $250 million, of which the Company received a total of $175 million over the term of the agreement ($9 million in 2007, $54 million in 2006, $63 million in 2005, $40 million in 2004 and $9 million in 2003).

 

Upon the expiration of the performance contingency on September 30, 2006 and the expiration of the earn-out period, the total cumulative additional expected contingent earn-out of $67 million ($46 million, net of taxes) was recognized as a gain on the sale of discontinued operations for the year ended December 31, 2006 in the Consolidated Statement of Operations.  Included in this amount was a receivable of $6 million related to the contingent payout received in 2007.  During the first quarter of 2007, the Company received its final earn-out payment from GE of $9 million.  As a result, the Company recorded a gain on sale of discontinued operations of $3 million ($2 million, net of taxes) for the year ended December 31, 2007 in the Consolidated Statement of Operations. During 2007, the Company also recorded earnings from discontinued operations of $2 million ($1 million, net of taxes) for adjustments related to the sale of the OrganoSilicones business.

 

During 2009, the Company recorded an accrual of $4 million ($3 million, net of taxes) related to the divestiture of its OrganoSilicones business.  This accrual related to a loss contingency for information that became available during 2009.

 

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Other Dispositions

 

Oleochemical Divestiture

 

On February 29, 2008, the Company completed the sale of its oleochemicals business which included the Company’s Memphis, Tennessee facility and recorded a net loss of $26 million.  The assets sold included inventory of $26 million, accounts receivable of $23 million, goodwill of $13 million, net fixed assets of $7 million and intangible assets of $1 million.  The oleochemicals business had revenues of approximately $160 million in 2007.  As the Company does not capture fully absorbed costs, and certain assets and liabilities at the level of an individual product line (such as oleochemicals), cash flows for this business were determined not to be clearly distinguishable from the rest of the Company and therefore the operational results for oleochemicals were not classified as a discontinued operation.

 

Organic Peroxides Divestiture

 

On July 31, 2007, the Company completed the sale of its organic peroxides business located at the Company’s Marshall, Texas facility. As a result, the Company recorded a pre-tax asset impairment charge of $3 million in the quarter ended June 30, 2007, to reduce the carrying value of the property, plant and equipment to be sold to its estimated fair value prior to the sale.  This sale transaction did not have a material impact on the Company’s earnings, financial condition or cash flows.

 

Proposed Divestiture

 

PVC Additives Sale

 

On December 23, 2009, the Company entered into a Share and Asset Purchase Agreement with SK, New York-based private equity concerns focusing on the specialty materials, chemicals and healthcare industries, whereby SK has agreed to acquire the Company’s global PVC additives business.  The sale will include certain assets, the stock of a European subsidiary and the assumption by SK of certain liabilities.

 

On December 23, 2009, the Company filed a motion with the Bankruptcy Court (the “Sale Motion”), pursuant to Section 363 of the Bankruptcy Code, seeking, among other things, approval of an auction process and bidding procedures that would govern the sale of the PVC additives business to SK or another bidder with the highest or otherwise best offer and approval of the sale of the PVC additives business in accordance with the auction process and bidding procedures.  On January 14, 2010, the Bankruptcy Court entered an order (the “Bidding Procedures Order”) establishing an auction process and bidding procedures (the “Auction”) to govern the sale of the PVC additives business.  On January 15, 2010, the Company entered into Amendment No. 3 of the DIP Credit Facility that provided for, among other things, the consent of its DIP lenders to the sale of the PVC additives business.  The lenders under the Amended and Restated DIP Credit Agreement also consented to this transaction.  Pursuant to the Bidding Procedures Order, the Auction was held on February 22, 2010.  At the Auction, Artek Aterian Holding Company and its sponsors, Aterian Investment Partners Distressed Opportunities, LP and Artek Surfin Chemicals Ltd. (collectively, “Artek”), emerged as the bidder with the highest and otherwise best bid for the PVC additives business.

 

On February 23, 2010, pursuant to the Bidding Procedures Order and following the Auction, the Company entered into a Share and Asset Purchase Agreement (“Artek SAPA”) with Artek whereby Artek agreed to acquire the Company’s PVC additives business for cash consideration of $16 million and to assume certain liabilities, including certain pension and environmental liabilities.  The purchase price is subject to certain adjustments including a post-closing net working capital adjustment.  On February 23, 2010, the Bankruptcy Court held a hearing on the Sale Motion pursuant to Section 363 of the Bankruptcy Code and issued an order approving, among other things, the sale of the PVC additives business to Artek.  The transaction is expected to close in the second quarter of 2010.  The Artek SAPA resulted in an incremental $14 million of cash proceeds and favorable sales contract modifications compared to the initial share and asset purchase agreement with SK.

 

The PVC additives business subject to the Artek SAPA had net sales of $236 million in 2009, $374 million in 2008 and $357 million in 2007.

 

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6) RESTRUCTURING AND ASSET IMPAIRMENT ACTIVITIES

 

Restructuring Activities

 

During 2009, the Company obtained approval of the Bankruptcy Court to implement certain cost savings and growth initiatives and filed motions to obtain approval for additional initiatives.  These initiatives included the closure of a manufacturing plant in Ashley, Indiana, the consolidation of warehouses related to its Consumer Performance Products business, the reduction of leased space at two of its U.S. office facilities, and the rejection of various unfavorable real property leases and executory contracts.  As a result of these initiatives, the Company recorded pre-tax charges of $9 million ($4 million was recorded to reorganization items, net for severance and real property lease rejections, $3 million was recorded to depreciation and amortization expense for accelerated depreciation, $1 million was recorded to COGS and $1 million was recorded to SG&A for asset disposals and accelerated asset retirement obligations).

 

On December 11, 2008, the Company announced a worldwide restructuring program to reduce cash fixed costs.  This initiative involved a worldwide reduction in the Company’s professional and administrative staff by approximately 500 people.  The Company recorded a pre-tax severance charge of $26 million for this program during the fourth quarter of 2008 to facility closures, severance and related costs in the Consolidated Statement of Operations.  In 2009, the Company recorded an additional $3 million of pre-tax charges primarily for severance related to this program.

 

On June 4, 2007, the Company announced its plan to close the antioxidant facilities at Pedrengo and Ravenna, Italy, and two intermediate chemical product lines at Catenoy, France.  These actions resulted in the reduction of approximately 190 positions.  The Company recorded pre-tax charges of $49 million during 2007 ($33 million of accelerated depreciation was recorded to depreciation and amortization expense; $11 million primarily for severance was recorded to facility closures, severance and related costs; a $4 million asset impairment charge was recorded to impairment of long-lived assets and $1 million of accelerated asset retirement obligations were recognized in COGS).  In 2008, the Company recorded an additional $1 million of pre-tax charges primarily for severance related to this program.

 

On April 4, 2007, the Company announced the realignment of its business segments, streamlining of the organization, reevaluation of its manufacturing footprint and the redirection of efforts to focus on end-use markets.  In June 2007, the Company identified more than 600 positions for reduction and approved several locations for closure.  The Company recorded pre-tax charges relating to these actions, primarily for severance totaling $28 million in 2007 to facility closures, severance and related costs in the Consolidated Statement of Operations.  In 2008, the Company recorded an additional $1 million of pre-tax charges primarily for severance related to this program.

 

In addition, during 2008 and 2007, the Company recorded pre-tax credits of $2 million and $4 million, respectively, primarily to adjust the reserve for unrecoverable future lease costs at the Tarrytown, NY facility and for other reserves no longer deemed necessary.

 

A summary of the charges and adjustments related to these restructuring programs is as follows:

 

(In millions)

 

Severance
and
Related
Costs

 

Other
Facility
Closure
Costs

 

Total

 

Balance at January 1, 2007

 

$

9

 

10

 

19

 

2007 charge (credit)

 

37

 

(1

)

36

 

Cash payments

 

(24

)

(3

)

(27

)

Non-cash charges and accretion

 

1

 

 

1

 

Balance at December 31, 2007

 

23

 

6

 

29

 

2008 charge (credit)

 

27

 

(1

)

26

 

Cash payments

 

(24

)

(2

)

(26

)

Non-cash charges and accretion

 

3

 

(1

)

2

 

Balance at December 31, 2008

 

29

 

2

 

31

 

Facility closure, severance and related costs

 

2

 

1

 

3

 

Reorganization initiatives, net

 

1

 

3

 

4

 

Cash payments

 

(23

)

(2

)

(25

)

Balance at December 31, 2009

 

$

9

 

4

 

$

13

 

 

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At December 31, 2009, $4 million of the reserve was included in accrued expenses on the Consolidated Balance Sheet and $9 million was recorded in liabilities subject to compromise on the Consolidated Balance Sheet.  At December 31, 2008, the reserve of $31 million was included in accrued expenses.

 

Proposed Restructuring Initiatives

 

On January 25, 2010, the Company’s Board of Directors approved a restructuring plan involving the consolidation and idling of certain assets within the flame retardants business operations in El Dorado, Arkansas.  The restructuring plan was approved by the Bankruptcy Court on February 23, 2010.  The restructuring plan is expected to be completed by the fourth quarter of 2010.  As a result of the restructuring plan, the Company expects to record costs of approximately $40 million, primarily in the first half of 2010, consisting of approximately $35 million in accelerated depreciation of property, plant and equipment and approximately $5 million in other facility-related shutdown costs, which include accelerated recognition of asset retirement obligations, decommissioning of wells and pipelines and severance.  In addition to the aforementioned costs, the Company expects cash costs, including capital costs, to be approximately $20 million primarily in 2010 in order to execute the consolidation of operations into remaining facilities.

 

Asset Impairment Activities

 

In accordance with ASC Topic 350, Intangibles — Goodwill and Other (“ASC 350”) and ASC Topic 360, Property, Plant and Equipment (“ASC 360”), the Company recorded pre-tax charges totaling $104 million, $986 million, and $19 million in 2009, 2008 and 2007, respectively as an impairment of long-lived assets in the Consolidated Statements of Operations, which include the following items:

 

·                  In the fourth quarter of 2009, the Company recorded an impairment of long-lived assets of $7 million primarily related to further reducing the carrying value of property, plant and equipment of its PVC additives business, a component of the Industrial Engineered Products reporting segment, to reflect the revised estimated fair value of the assets.  The decrease in fair value is the result of the definitive agreement entered into with SK Atlas, LLC and SK Capital Partners II, LP (collectively “SK”) in December 2009, whereby they will acquire the PVC additives business from the Company.

 

·                  In the second quarter of 2009, the Company experienced continued year-over-year revenue reductions from the impact of the global recession in the electronic, building and construction industries.  In addition, the Consumer Performance Products segment revenues were impacted by cooler and wetter than normal weather in the northeastern and mid-western regions of the United States.  Based on these factors, the Company reviewed the recoverability of the long-lived assets of its segments in accordance with ASC Section 360-10-35, Property, Plant, and Equipment — Subsequent Measurements (“ASC 360-10-35”).  The Company evaluates the recoverability of the carrying value of its long-lived assets, excluding goodwill, whenever events or changes in circumstances indicate that the carrying value may not be recoverable. The Company realizes that events and changes in circumstances can be more frequent in the course of a U.S. bankruptcy process.  Under such circumstances, the Company assesses whether the projected undiscounted cash flows of its businesses are sufficient to recover the existing unamortized carrying value of its long-lived assets. If the undiscounted projected cash flows are not sufficient, the Company calculates the impairment amount by several methodologies, including discounting the projected cash flows using its weighted average cost of capital and valuation estimates from third parties.  The amount of the impairment is written-off against earnings in the period in which the impairment has been determined in accordance with ASC 360-10-35.

 

For the PVC additives business, a component of the Industrial Engineered Products reporting segment, the carrying value of the long-lived assets was in excess of the undiscounted cash flows.  As a result, the Company recorded a pre-tax impairment charge of $60 million in the second quarter of 2009 to write-down the value of property, plant and equipment, net by $48 million and intangible assets, net by $12 million.  The $60 million charge was included in impairment of long-lived assets in the Consolidated Statements of Operations.

 

Due to the factors cited above, the Company also concluded it was appropriate to perform a goodwill impairment review as of June 30, 2009.  The Company used the updated projections in its long-range plan to compute estimated fair values of its reporting units.  These projections indicated that the estimated fair value of the Consumer Performance Products reporting unit was less than its carrying value.  Based on the Company’s preliminary analysis, an estimated goodwill impairment charge of $37 million was recorded for this reporting unit in the second quarter of 2009 (representing the remaining goodwill in this reporting unit).  The Company finalized its analysis of the goodwill impairment charge in the third quarter of 2009 and no change to the estimated charge was required (see Note 10 - Goodwill and Intangible Assets for further information).

 

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·                  In the fourth quarter of 2008, the Company recorded an impairment of long-lived assets of $665 million related to reducing the carrying value of goodwill in the Company’s Consumer Performance Products, Industrial Performance Products and Industrial Engineered Products segments (see Note 10 — Goodwill and Intangible Assets).

 

·                  In the third quarter of 2008, the Company recorded an impairment of long-lived assets of $1 million related to reducing the carrying value of property, plant and equipment at the Company’s Catenoy, France facility, which was the result of the product line closures previously announced.

 

·                  In the second quarter of 2008, the Company recorded an impairment of long-lived assets of $320 million related to reducing the carrying value of goodwill in the Company’s Consumer Performance Products segment (see Note 10 — Goodwill and Intangible Assets).

 

·                  In the fourth quarter of 2007, the Company recorded an impairment charge of $3 million related to the write-off of construction in progress costs associated with software that will no longer be utilized due to the Company’s plan to consolidate its multiple enterprise resource planning (“ERP”) systems onto a single SAP platform.

 

·                  In the third quarter of 2007, the Company recorded an impairment charge of $9 million, related to the reduction in the value of certain assets at the Company’s Ravenna, Italy facility, which was the result of the closure of the antioxidant facility at this site and the plan to sell the remaining assets at this site as part of the sale of the optical monomers business that was completed in October 2007.

 

·                  In the second quarter of 2007, the Company recorded an impairment charge of $3 million to reduce the carrying value of the property, plant and equipment to be sold to its estimated fair value related to its organic peroxides business located at the Company’s Marshall, Texas facility.  Such sale was completed on July 31, 2007 (see Note 5 — Acquisitions and Divestments for further details).

 

·                  In the second quarter of 2007, the Company recorded an impairment charge of $4 million related to the write-off of construction in progress at certain facilities affected by the restructuring program announced on June 4, 2007.

 

7) SALE OF ACCOUNTS RECEIVABLE

 

At December 31, 2008, the Company had a committed U.S. Facility which provided funding for the sale of up to $100 million of its eligible U.S. receivables to certain purchasers.  On January 23, 2009, the Company entered into the 2009 U.S. Facility with up to $150 million of capacity and a three-year term with certain lenders under its 2007 Credit Facility.  Lenders who participated reduced their commitments to the 2007 Credit Facility pro-rata to their commitments to purchase U.S. eligible accounts receivable under the 2009 U.S. Facility.  At December 31, 2008, $36 million of domestic accounts receivable had been sold under the former U.S. Facility, representing the maximum amount permitted under the terms of this facility, at an average cost of approximately 3.52%.  The former U.S. Facility was terminated upon the effectiveness of the 2009 U.S. Facility.

 

Under the respective U.S. facilities, certain subsidiaries of the Company were able to sell their accounts receivable to a special purpose entity (“SPE”) that was created for the purpose of acquiring such receivables and selling an undivided interest therein to certain purchasers.  In accordance with the receivables purchase agreements, the purchasers were granted an undivided ownership interest in the accounts receivable owned by the SPE.  The amount of such undivided ownership interest will vary based on the level of eligible accounts receivable as defined in the agreement.  In addition, the purchasers retain a security interest in all the receivables owned by the SPE, which was $209 million as of December 31, 2008.  The balance of the unsold receivables owned by the SPE was included in the Company’s accounts receivable balance on the Consolidated Balance Sheet.

 

The 2009 U.S. Facility was terminated on March 23, 2009 as a condition of the Debtors entering into the DIP Credit Facility.  All accounts receivable was were sold back by the purchasers and the SPE to their original selling entity using proceeds of $117 million from the DIP Credit Facility.

 

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Certain of the Company’s European subsidiaries maintained a separate European Facility to sell up to approximately $244 million (€175 million) of the eligible accounts receivable directly to a purchaser as of December 31, 2008.  At December 31, 2008, $67 million of international accounts receivable had been sold under this facility at an average cost of approximately 6.16%.  This facility terminated during the second quarter and there were no outstanding accounts receivable that had been sold as of June 30, 2009.  The availability and access to the European Facility was restricted by the purchaser in late December 2008 in light of the Company’s financial performance.  As a result, the Company was unable to sell additional accounts receivable under this program during the first and second quarters of 2009.  Despite good faith discussions, the Company was unable to conclude an agreement to resume sales of accounts receivable under the European Facility either prior to the Chapter 11 filing or thereafter.  During the second quarter of 2009, with no agreement to restart the European Facility, the remaining balance of the accounts receivable previously sold under this facility was settled and the facility was terminated.

 

The costs associated with these facilities of $2 million, $16 million and $21 million for 2009, 2008, and 2007, respectively, are included in other income (expense), net in the Consolidated Statements of Operations.

 

Additionally, following the termination of the 2009 U.S. Facility, deferred financing costs of approximately $4 million related to this facility were charged to reorganization items, net in the Consolidated Statements of Operations.

 

8) INVENTORIES

 

(In millions)

 

2009

 

2008

 

Finished goods

 

$

350

 

$

401

 

Work in process

 

46

 

49

 

Raw materials and supplies

 

144

 

161

 

 

 

$

540

 

$

611

 

 

Included in the above net inventory balances are inventory obsolescence reserves of approximately $36 million and $31 million at December 31, 2009 and 2008, respectively.

 

9) PROPERTY, PLANT AND EQUIPMENT

 

(In millions)

 

2009

 

2008

 

Land and improvements

 

$

81

 

$

83

 

Buildings and improvements

 

242

 

248

 

Machinery and equipment

 

1,238

 

1,233

 

Information systems and equipment

 

225

 

190

 

Furniture, fixtures and other

 

26

 

30

 

Construction in progress

 

63

 

80

 

 

 

1,875

 

1,864

 

Less: accumulated depreciation

 

1,125

 

1,002

 

 

 

$

750

 

$

862

 

 

Depreciation expense from continuing operations amounted to $134 million, $192 million and $229 million for 2009, 2008 and 2007, respectively.  Depreciation expense from continuing operations includes accelerated depreciation of certain fixed assets associated with the Company’s restructuring programs and the consolidations of its legacy ERP systems of $5 million, $47 million and $70 million for 2009, 2008, and 2007, respectively.

 

Additionally, an impairment charge of $53 million to write-down the value of property, plant and equipment, net was recorded in 2009 related to the Company’s PVC additives business.  Refer to Note 6 — Restructuring and Asset Impairment Activities for further information on asset impairments.

 

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10) GOODWILL AND INTANGIBLE ASSETS

 

Goodwill

 

Goodwill by reportable segment is as follows:

 

 

 

 

 

 

 

Crop

 

 

 

 

 

 

 

Consumer

 

Industrial

 

Protection

 

Industrial

 

 

 

 

 

Performance

 

Performance

 

Engineered

 

Engineered

 

 

 

(In millions)

 

Products

 

Products

 

Products

 

Products

 

Total

 

 

 

 

 

 

 

 

 

 

 

 

 

Goodwill at December 31, 2007

 

$

584

 

275

 

57

 

543

 

$

1,459

 

Accumulated impairments at December 31, 2007

 

 

(8

)

 

(142

)

(150

)

Net Goodwill at December 31, 2007

 

584

 

267

 

57

 

401

 

1,309

 

 

 

 

 

 

 

 

 

 

 

 

 

Impairment charges

 

(540

)

(82

)

 

(363

)

(985

)

Acquisitions and dispositions

 

 

9

 

 

(13

)

(4

)

Foreign currency translation and other

 

(7

)

(23

)

 

(25

)

(55

)

Goodwill at December 31, 2008

 

577

 

261

 

57

 

 

895

 

Accumulated impairments at December 31, 2008

 

(540

)

(90

)

 

 

(630

)

Net Goodwill at December 31, 2008

 

37

 

171

 

57

 

 

265

 

 

 

 

 

 

 

 

 

 

 

 

 

Impairment charges

 

(37

)

 

 

 

(37

)

Foreign currency translation

 

 

7

 

 

 

7

 

Goodwill at December 31, 2009

 

 

268

 

57

 

 

325

 

Accumulated impairments at December 31, 2009

 

 

(90

)

 

 

(90

)

Net Goodwill at December 31, 2009

 

$

 

178

 

57

 

 

$

235

 

 

The Company has elected to perform its annual goodwill impairment procedures for all of its reporting units in accordance with ASC Subtopic 350-20, Intangibles — Goodwill and Other - Goodwill (“ASC 350-20”) as of July 31, or sooner, if events occur or circumstances change that would more likely than not reduce the fair value of a reporting unit below its carrying value.  The Company estimates the fair value of its reporting units utilizing income and market approaches through the application of discounted cash flow and market comparable methods (Level 3 inputs as described in Note 19 — Financial Instruments and Fair Value Measurements).  The assessment is required to be performed in two steps: step one to test for a potential impairment of goodwill and, if potential impairments are identified, step two to measure the impairment loss through a full fair valuing of the assets and liabilities of the reporting unit utilizing the acquisition method of accounting.

 

The Company continually monitors and evaluates business and competitive conditions that affect its operations and reflects the impact of these factors in its financial projections.  If permanent or sustained changes in business or, competitive conditions occur, they can lead to revised projections that could potentially give rise to impairment charges.

 

Year 2009

 

During the quarter ended March 31, 2009, there was continued weakness in the global financial markets, resulting in additional decreases in the valuation of public companies and restricted availability of capital.  Additionally, the Company’s stock price continued to decrease due to constrained liquidity, deteriorating financial performance and the Debtors filing of a petition for relief under Chapter 11 of the Bankruptcy Code.  These events were of sufficient magnitude to the Company to conclude it was appropriate to perform a goodwill impairment review as of March 31, 2009.  The Company used its own estimates of the effects of the macroeconomic changes on the markets it serves to develop an updated view of its projections.  Those updated projections have been used to compute updated estimated fair values of its reporting units.  Based on these estimated fair values used to test goodwill for impairment in accordance with ASC 350-20, the Company concluded that no impairment existed in any of its reporting units at March 31, 2009.

 

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The financial performance of certain reporting units was negatively impacted versus expectations due to the cold and wet weather conditions during the first half of 2009.  This fact along with the continued macro economic factors cited above resulted in the Company concluding it was appropriate to perform a goodwill impairment review as of June 30, 2009.  The Company used the updated projections in their long-range plan to compute estimated fair values of its reporting units.  These projections indicated that the estimated fair value of the Consumer Performance Products reporting unit was less than its carrying value.  Based on the Company’s preliminary analysis, an estimated goodwill impairment charge of $37 million was recorded for this reporting unit in the second quarter of 2009 (representing the remaining goodwill in this reporting unit).  The Company finalized its analysis of the goodwill impairment charge in the third quarter of 2009 and no change to the estimated charge was required.

 

The Company concluded that no additional goodwill impairment existed in any of its reporting units based on the annual review as of July 31, 2009.

 

For the quarters ended September 30, 2009 and December 31, 2009, the Company’s consolidated performance was in line with expectations while the performance of the Company’s Crop Protection Engineered Products reporting unit was below expectations.  However, the longer-term forecasts for this reporting unit are still sufficient to support its level of goodwill.  As such, the Company concluded that no circumstances exist that would more likely than not reduce the fair value of any of its reporting units below their carrying amount and an interim impairment test was not considered necessary as of September 30, 2009 and as of December 31, 2009.

 

Year 2008

 

During the quarter ended June 30, 2008, the Company updated its long-term financial projections for each of its businesses.  The projections for the Consumer Performance Products segment indicated an inability to sustain the level of goodwill associated with that segment.  A goodwill impairment charge of $320 million was recorded in this reporting unit in the second quarter of 2008.

 

The Company concluded that no additional goodwill impairment existed in any of its reporting units based on the annual review as of July 31, 2008.

 

During the third quarter of 2008, significant weakness developed in global financial markets, resulting in decreases in the valuation of public companies and restricted availability of capital.  Further, it appeared that the global economy was entering into a recession.  During this period, the Company’s stock price fell to a value that was at a significant discount to the per share value of the Company’s book value.  These events were of sufficient magnitude for the Company to conclude that it was appropriate to perform a goodwill impairment review as of September 30, 2008.

 

With the speed of events, there was not yet a body of forecast information from which to assess the likely intensity or duration of the recession or quantify the likely impact on the industries the Company serves.  The Company therefore used its own estimates of the effects of the macroeconomic changes on the industries its serves to develop an updated view of its projections.  Those updated projections were used to compute updated estimated fair values of its reporting units.  Based on these estimated fair values used to test goodwill for impairment, the Company concluded that no impairment existed in any of its reporting units at September 30, 2008.

 

The Company saw order volumes decline sharply in November and December of 2008 as its customers experienced, or anticipated, reductions in demand from the industries they serve. These order reductions primarily related to the Company’s Industrial Performance Products and Industrial Engineered Products business segments in electronic, polyolefin, building and construction and general industrial applications.  The Company also adjusted its plant production rates to align with customer demand and its inventory reduction goals. As a result, a significant number of the Company’s facilities were idled during various times in the latter part of the fourth quarter of 2008.

 

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The changes in financial performance during the fourth quarter of 2008 and the outlook for 2009, coupled with continuing adverse equity market conditions that caused a decrease in current market multiples and the Company’s stock price, were of sufficient magnitude for the Company to conclude that it was appropriate to perform a goodwill impairment analysis during the fourth quarter of 2008.  These updated projections, which estimate the effects and timing of the macroeconomic changes on the industries the Company serves, were used to compute updated estimated fair values of its reporting units.  Based on the estimated fair values, the Consumer Performance Products, Industrial Performance Products and Industrial Engineered Products segments indicated an inability to sustain the level of goodwill associated with each segment.  Goodwill impairment charges of $220 million, $82 million and $363 million were recorded in the Consumer Performance Products, Industrial Performance Products and Industrial Engineered Products reporting units, respectively, in the fourth quarter of 2008.

 

Intangible Assets

 

The Company’s intangible assets (excluding goodwill) are comprised of the following:

 

 

 

2009

 

2008

 

(In millions)

 

Gross
Cost

 

Accumulated
Amortization

 

Net
Intangibles

 

Gross
Cost

 

Accumulated
Amortization

 

Net Intangibles

 

Patents

 

$

127

 

$

(49

)

$

78

 

$

137

 

$

(50

)

$

87

 

Trademarks

 

273

 

(61

)

212

 

285

 

(51

)

234

 

Customer relationships

 

152

 

(38

)

114

 

155

 

(35

)

120

 

Production rights

 

45

 

(19

)

26

 

45

 

(15

)

30

 

Other

 

76

 

(32

)

44

 

73

 

(27

)

46

 

Total

 

$

673

 

$

(199

)

$

474

 

$

695

 

$

(178

)

$

517

 

 

The decrease in gross intangible assets since December 31, 2008 is primarily due to the write-off of $19 million related to fully amortized intangibles (offset within accumulated amortization) and a pre-tax impairment charge in the second quarter of 2009 of $12 million to write down the value of intangible assets, partially offset by foreign currency translation.  See Note 6 - Restructuring and Asset Impairment Activities for further information regarding the pre-tax impairment charge.

 

During 2008, the Company acquired the remaining stock of Baxenden Chemicals Limited Plc and accordingly recorded patents of $1 million (weighted average useful life of 7 years), trademarks of $1 million (useful life of 25 years) and customer relationships of $5 million (useful life of 30 years).

 

Amortization expense from continuing operations related to intangible assets including equity investments amounted to $39 million in 2009, $45 million in 2008, and $40 million in 2007.  Estimated amortization expense of intangible assets including equity investments for the next five fiscal years is as follows: $36 million (2010), $36 million (2011), $35 million (2012), $35 million (2013) and $28 million (2014).

 

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11) DEBT

 

The Company’s debt is comprised of the following:

 

(In millions)

 

2009

 

2008

 

 

 

 

 

 

 

6.875 % Notes due 2016, net of unamortized discount of $2 million in 2008, with an effective interest rate of 6.93% in 2008 (a)

 

$

500

 

$

498

 

7% Notes due July 15, 2009, net of unamortized premium of $4 million in 2008, with an effective interest rate of 5.03% in 2008 (a)

 

370

 

374

 

6.875% Debentures due 2026, net of unamortized discount of $24 million in 2008, with an effective interest rate of 7.26% in 2008 (a)

 

150

 

126

 

2007 Credit Facility (a)

 

152

 

180

 

DIP Credit facility

 

250

 

 

Other borrowings (b)

 

8

 

26

 

Total Debt

 

1,430

 

1,204

 

 

 

 

 

 

 

Less: Short-term borrowings

 

(252

)

(3

)

Current portion of long-term debt

 

 

(1,178

)

Liabilities subject to compromise

 

(1,175

)

 

 

 

 

 

 

 

Total Long-Term Debt

 

$

3

 

$

23

 

 


(a)   Outstanding balance is classified as liabilities subject to compromise on the Consolidated Balance Sheet at December 31, 2009.

(b)   $3 million of other borrowings is classified as liabilities subject to compromise on the Consolidated Balance Sheet at December 31, 2009.

 

In March 2009, the carrying value of pre-petition debt was adjusted to its respective face value as this represented the expected allowable claim in the Chapter 11 cases.  As a result, discounts and premiums of $24 million were charged to reorganization items, net on the Consolidated Statements of Operations.

 

The Company’s financial performance deteriorated sharply in the fourth quarter of 2008 resulting in part in the Company’s inability to comply as of December 31, 2008 with the two financial maintenance covenants under its 2007 Credit Facility.  A default under the 2007 Credit Facility would have resulted in cross-defaults under the terms of the Company’s new U.S. accounts receivable facility, the 7% Notes due July 15, 2009 (“2009 Notes”), the 6.875% Notes due 2016 (“2016 Notes”) and the 6.875% Debentures due 2026 (“2026 Debentures”).  In light of the Company’s non-compliance with these financial maintenance covenants for which the Company received a 90-day waiver, and given that it was probable that the Company would not have been in compliance with these covenants after the expiration of the 90-day waiver period and for the balance of 2009, advances under the 2007 Credit Facility and other debt obligations that contain cross-default and acceleration provisions have been recorded as current.  Therefore, during the fourth quarter of 2008, the Company classified its debt obligations under the 2007 Credit Facility, the 2016 Notes and the 2026 Debentures as current liabilities.

 

In February 2008, the Company repurchased $30 million of its outstanding 2009 Notes.  The loss associated with the early extinguishment of the debt was less than $1 million for the year ended December 31, 2008.

 

Debtor-in-Possession Credit Facility

 

On March 18, 2009, the Debtors entered into a $400 million senior secured DIP Credit Facility arranged by Citigroup Global Markets Inc. with Citibank, N.A. as Administrative Agent, subject to approval by the Bankruptcy Court.  On March 20, 2009, the Bankruptcy Court entered an interim order approving the Debtors access to $190 million of the DIP Credit Facility in the form of a $165 million term loan and a $25 million revolving credit facility.  The DIP Credit Facility closed on March 23, 2009 with the drawing of the $165 million term loan.  The initial proceeds were used to fund the termination of the 2009 U.S. Facility, pay fees and expenses associated with the transaction and to fund business operations.

 

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On April 28, 2009, the Company, certain of its subsidiaries that are guarantors under the DIP Credit Facility, the banks, financial institutions and other institutional lenders party to the DIP Credit Facility (the “Lenders”), and Citibank, N.A., as Administrative Agent for the Lenders, entered into Amendment No. 1 to the DIP Credit Facility.  Amendment No. 1 amended the DIP Credit Facility to provide for, among other things, (i) an increase in the outstanding amount of inter-company loans the Debtors could make to the non-debtor foreign subsidiaries of the Company from $8 million to $40 million; (ii) a reduction in the required level of borrowing availability under the minimum availability covenant; and (iii) the elimination of the requirement to pay additional interest expense if a specified level of accounts receivable financing was not available to the Company’s European subsidiaries.  On April 29, 2009, the Bankruptcy Court granted final approval of the DIP Credit Facility, as amended pursuant to Amendment No. 1 thereto.  On May 4, 2009, the Company drew the $85 million balance of the $250 million term loan and used the proceeds together with cash on hand to fund the $86 million “roll up” of certain outstanding secured amounts owed to certain lenders under the 2007 Credit Facility as approved by the final order.

 

The DIP Credit Facility is comprised of the following:  (i) a $250 million non-amortizing term loan; (ii) a $64 million revolving credit facility; and (iii) an $86 million revolving credit facility representing the “roll-up” of certain outstanding secured amounts owed to lenders under the prior 2007 Credit Facility who made commitments under the DIP Credit Facility.  In addition, a sub-facility for letters of credit (“Letters of Credit”) in an aggregate amount of $50 million was available under the unused commitments of the revolving credit facilities.

 

On July 13, 2009, the Company and the parties to the DIP Credit Facility entered into Amendment No. 2 to the DIP Credit Facility subject to approvals by the Bankruptcy Court and the Company’s Board of Directors which approvals were obtained on July 14 and July 15, 2009, respectively.  Amendment No. 2 amended the DIP Credit Facility to provide for, among other things, an option by the Company to extend the maturity of the DIP Credit Facility for two consecutive three month periods subject to the satisfaction of certain conditions.  Prior to Amendment No. 2, the DIP Credit Facility matured on the earlier of 364 days from the first borrowing, the effective date of a Plan or the date of termination in whole of the Commitments (as defined in the DIP Credit Facility).

 

On January 15, 2010, the Company entered into Amendment No. 3 of the DIP Credit Facility that provided for, among other things, the consent of our DIP lenders to the sale of the PVC additives business.

 

On February 9, 2010, the Bankruptcy Court gave interim approval of the Amended and Restated DIP Credit Agreement by and among the Debtors, Citibank N.A. and the other lenders party thereto.  The Amended and Restated DIP Credit Agreement provides for a first priority and priming secured revolving and term loan credit commitment of up to an aggregate of $450 million.  The Amended and Restated DIP Credit Agreement consists of a $300 million term loan and a $150 million revolving credit facility.  The proceeds of the term loan under the Amended and Restated DIP Credit Agreement were used to, among other things, refinance the obligations outstanding under the DIP Credit Facility and provide working capital for general corporate purposes.  The Amended and Restated DIP Credit Agreement provided a substantial reduction in the Company’s financing costs through interest rate reductions and avoidance of the extension fees that would have been payable under the DIP Credit Facility in February and May 2010.  The Amended and Restated DIP Credit Agreement closed on February 12, 2010 with the drawings of the $300 million term loan.  On February 18, 2010, the Bankruptcy Court entered a final order providing full access to the Amended and Restated DIP Credit Agreement.  The Amended and Restated DIP Credit Agreement matures on the earlier of 364 days after the closing, the effective date of a Plan or the date of termination in whole of the Commitments (as defined in the Amended and Restated DIP Credit Agreement).

 

The Amended and Restated DIP Credit Agreement, as did the DIP Credit Facility, is secured by a super-priority lien on substantially all of the Company’s U.S. assets, including (i) cash; (ii) accounts receivable; (iii) inventory; (iv) machinery, plant and equipment; (v) intellectual property; (vi) pledges of the equity of first tier subsidiaries; and (vii) pledges of debt and other instruments.

 

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Availability of credit under the Amended and Restated DIP Credit Agreement, as did the DIP Credit Facility, is equal to (i) the lesser of (a) the Borrowing Base (as defined below) and (b) the effective commitments under the DIP Credit Facility minus (ii) the aggregate amount of the DIP Loans and any undrawn or unreimbursed Letters of Credit.  Borrowing Base is the sum of (i) 80% of the Debtors’ eligible accounts receivable, plus (ii) the lesser of (a) 85% of the net orderly liquidation value percentage (as defined in the DIP Credit Facility) of the Debtors’ eligible inventory and (b) 75% of the cost of the Debtors’ eligible inventory, plus (iii) $275 million ($125 million under the DIP Credit Facility), less certain reserves determined in the discretion of the Administrative Agent to preserve and protect the value of the collateral.  As of December 31, 2009, extensions of credit outstanding under the DIP Credit Facility consisted of the $250 million term loan and Letters of Credit of $19 million.

 

Borrowings under the DIP Credit Facility term loans and the $64 million revolving facility bore interest at a rate per annum equal to, at the Company’s election, (i) 6.5% plus the Base Rate (defined as the higher of (a) 4%; (b) Citibank N.A.’s published rate; or (c) the Federal Funds rate plus 0.5%) or (ii) 7.5% plus the Eurodollar Rate (defined as the higher of (a) 3% or (b) the current LIBOR rate adjusted for reserve requirements).  Borrowings under the $86 million revolving facility bore interest at a rate per annum equal to, at the Company’s election, (i) 2.5% plus the Base Rate or (ii) 3.5% plus the Eurodollar Rate.  Additionally, the Company paid an unused commitment fee of 1.5% per annum on the average daily unused portion of the revolving facilities and a letter of credit fee on the average daily balance of the maximum daily amount available to be drawn under Letters of Credit equal to the applicable margin above the Eurodollar Rate applicable for borrowings under the applicable revolving DIP Credit Facility.  Certain fees were payable to the lenders upon the reduction or termination of the commitment and upon the substantial consummation of a Plan as defined in the DIP Credit Facility including an exit fee payable to the Lenders of 2% of “roll-up” commitments and 3% of all other commitments.  These fees were paid upon the funding of the term loan under the Amended and Restated DIP Credit Agreement.

 

Borrowings under the Amended and Restated DIP Credit Agreement term loan bear interest at a rate per annum equal to, at the Company’s election, (i) 3.0% plus the Base Rate (defined as the higher of (a) 3%; (b) Citibank N.A.’s published rate; or (c) the Federal Funds rate plus 0.5%) or (ii) 4.0% plus the Eurodollar Rate (defined as the higher of (a) 2% or (b) the current LIBOR rate adjusted for reserve requirements).  Borrowings under the $150 million revolving facility bear interest at a rate per annum equal to, at the Company’s election, (i) 3.25% plus the Base Rate or (ii) 4.25% plus the Eurodollar Rate.  Additionally, the Company pays an unused commitment fee of 1.0% per annum on the average daily unused portion of the revolving facilities and a letter of credit fee on the average daily balance of the maximum daily amount available to be drawn under Letters of Credit equal to the applicable margin above the Eurodollar Rate applicable for borrowings under the applicable revolving 2007 Credit Facility.

 

The obligations of the Company as borrower under the Amended and Restated DIP Credit Agreement, as did the DIP Credit Facility, are guaranteed by the Company’s U.S. subsidiaries who are Debtors in the Chapter 11 cases, which, together with the Company, own substantially all of the Company’s U.S. assets.  The obligations must also be guaranteed by each of the Company’s subsidiaries that become party to the Chapter 11 cases, subject to specified exceptions.

 

All amounts owing by the Company and the guarantors under the Amended and Restated DIP Credit Agreement, as did the DIP Credit Facility, and certain hedging arrangements and cash management services are secured, subject to a carve-out as set forth in the Amended and Restated DIP Credit Agreement (the “Carve-Out”), for professional fees and expenses (as well as other fees and expenses customarily subject to such Carve-Out), by (i) a first priority perfected pledge of (a) all notes owned by the Company and the guarantors and (b) all capital stock owned by the Company and the guarantors (subject to certain exceptions relating to their respective foreign subsidiaries) and (ii) a first priority perfected security interest in all other assets owned by the Company and the guarantors, in each case, junior only to liens as set forth in the Amended and Restated DIP Credit Agreement and the Carve-Out.

 

The Amended and Restated DIP Credit Agreement, as did the DIP Credit Facility, requires the Company to meet certain financial covenants including the following: (a) minimum cumulative monthly earnings before interest, taxes, and depreciation (“EBITDA”), after certain adjustments, on a consolidated basis; (b) a maximum variance of the weekly cumulative cash flows of the Debtors, compared to an agreed upon forecast; (c) minimum borrowing availability of $20 million; and (d) maximum quarterly capital expenditures.  In addition, the Amended and Restated DIP Credit Agreement contains covenants which, among other things, limit the incurrence of additional debt, operating leases, issuance of capital stock, issuance of guarantees, liens, investments, disposition of assets, dividends, certain payments, mergers, change of business, transactions with affiliates, prepayments of debt, repurchases of stock and redemptions of certain other indebtedness and other matters customarily restricted in such agreements.  As of December 31, 2009, the Company was in compliance with the covenant requirements of the DIP Credit Facility.

 

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The Amended and Restated DIP Credit Agreement contains events of default, including, among others, payment defaults and breaches of representations and warranties, (such as non-compliance with covenants and the existence of a material adverse effect (as defined in the agreement)).

 

Other Debt Obligations

 

The Chapter 11 filing constituted an event of default under, or otherwise triggered repayment obligations with respect to, several of the debt instruments and agreements relating to direct and indirect financial obligations of the Debtors (collectively “Pre-petition Debt”).  All obligations under the Pre-petition Debt have become automatically and immediately due and payable.  The Debtors believe that any efforts to enforce the payment obligations under the Pre-petition Debt have been stayed as a result of the Chapter 11 cases.  As a result, interest accruals and payments for the unsecured Pre-petition Debt have ceased as of the petition date.  The amount of contractual interest expense not recorded in 2009 was approximately $63 million.  The Pre-petition Debt as of December 31, 2009 consisted of $500 million of 2016 Notes, $370 million of 2009 Notes, $150 million of 2026 Debentures (collectively the “Notes”), $152 million due in 2010 under the 2007 Credit Facility and $3 million of other borrowings.  Pursuant to the final order of the Bankruptcy Court approving the DIP Credit Facility, the Debtors have acknowledged the pre-petition secured indebtedness associated with the 2007 Credit Facility to be no less than $139 million (now $53 million after the “roll-up” in connection with the Company’s entry into the DIP Credit Facility).

 

The 2007 Credit Facility is guaranteed by certain U.S. subsidiaries of the Company (the “Domestic Subsidiary Guarantors”).  Pursuant to a 2007 Credit Facility covenant, the Company and the Domestic Subsidiary Guarantors were, in June of 2007, required to provide a security interest in the equity of their first tier subsidiaries (limited to 66% of the voting stock of first-tier foreign subsidiaries).  Under the terms of the indentures for the Notes, the Company was required to provide security for the Notes on an equal and ratable basis if (and for so long as) the principal amount of secured debt exceeded certain thresholds related to the Company’s assets.  The thresholds varied under each of the indentures.  In order to avoid having the Notes become equally and ratably secured with the 2007 Credit Facility obligations, the lenders agreed to limit the amount secured by the pledged equity to the maximum amount that would not require the Notes to become equally and ratably secured (the “Maximum Amount”).  In connection with the amendment and waiver agreement dated December 30, 2008, the Company and the Domestic Subsidiary Guarantors entered into a Second Amended and Restated Pledge and Security Agreement.  In addition to the prior pledge of equity granted to secure the 2007 Credit Facility obligations, the Company and the Domestic Subsidiary Guarantors granted a security interest in their inventory.  The value of this security interest continues to be limited to the Maximum Amount.

 

Prior to December 30, 2008, borrowings under the 2007 Credit Facility incurred interest at the EURIBO Rate (as defined in the 2007 Credit Facility agreement) plus a margin ranging from 0% to 1.6%.  A facility fee was payable on unused commitments at a rate ranging from 0.125% to 0.4%.  During the waiver period, the margin added to calculate interest rates increased from 0.60% to 2.60% per annum for base rate advances and from 1.60% to 3.60% per annum for EURIBO Rate advances.  Additionally, the unused commitment fee increased from 0.40% to 1.00% per annum.

 

Borrowings under the 2007 Credit Facility at December 31, 2009 were $152 million.  During the second quarter of 2009, borrowings under the 2007 Credit Facility were reduced by $86 million following the entry of the final order of the DIP Credit Facility by the Bankruptcy Court approving the “roll-up” of these advances.  Further, following the drawing of certain letters of credit issued under the 2007 Credit Facility, borrowings increased during 2009 by $49 million.

 

The Company has standby letters of credit and guarantees with various financial institutions the majority of which were issued under the 2007 Credit Facility.  Any additional drawings of letter of credits issued under the 2007 Credit Facility will be classified as liabilities subject to compromise in the Consolidated Balance Sheet.  At December 31, 2009, the Company had $52 million of outstanding letters of credit and guarantees primarily related to liabilities for environmental remediation, vendor deposits, insurance obligations and European value added tax obligations.  The outstanding letters of credit include $33 million issued under the 2007 Credit Facility and are pre-petition liabilities and $19 million issued under the DIP Credit Facility letter of credit sub-facility.  The Company also had $17 million of third party guarantees at December 31, 2009 for which it has reserved $2 million at December 31, 2009, which represents the probability weighted fair value of these guarantees.

 

Maturities

 

At December 31, 2009, the scheduled maturities of debt not subject to compromise primarily related to borrowings under the DIP Credit Facility are as follows: 2010 - $252 million; 2011 - $0 million; 2012 - $1 million; 2013 - $0 million; 2014 - $1 million and thereafter $0 million.

 

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The Amended and Restated DIP Credit Agreement closed on February 12, 2010 with the drawing of the $300 million term loan.  The proceeds from the term loan under the Amended and Restated DIP Credit Agreement were used among other things, to refinance the obligations outstanding under the DIP Credit Facility and provide working capital for general corporate purposes.  The Amended and Restated DIP Credit Agreement matures on the earlier of 364 days after the closing, the effective date of a Plan or the date of termination in whole of the Commitments (as defined in the Amended and Restated DIP Credit Agreement).

 

Debt maturities exclude $1,175 million of liabilities subject to compromise as the Company cannot accurately forecast the future level and timing of the repayments given the inherent uncertainties associated with the Chapter 11 cases.

 

12) LEASES

 

At December 31, 2009, minimum rental commitments, primarily for buildings, land and equipment under non-cancelable operating leases, net of sublease income, amounted to $17 million (2010), $10 million (2011), $8 million (2012), $6 million (2013), $6 million (2014), $32 million (2015 and thereafter) and $79 million in the aggregate.  Sublease income is not significant in future periods.  Rental expenses under operating leases were $31 million (2009), $31 million (2008), and $34 million (2007), net of sublease income of $1 million (2008) and $10 million (2007).

 

Future minimum rental commitments exclude real property leases that have been rejected with Bankruptcy Court approval on or before December 31, 2009.

 

Future minimum lease payments under capital leases at December 31, 2009 were not significant.

 

Real estate taxes, insurance and maintenance expenses generally are obligations of the Company and, accordingly, are not included as part of rental payments.  It is expected that in the normal course of business, leases that expire will be renewed or replaced by similar leases.

 

13) INCOME TAXES

 

The components of earnings (loss) from continuing operations before income taxes and the income tax provision (benefit) are as follows:

 

(In millions)

 

2009

 

2008

 

2007

 

 

 

 

 

 

 

 

 

Pre-tax (Loss) Earnings from Continuing Operations:

 

 

 

 

 

 

 

Domestic

 

$

(256

)

$

(721

)

$

(77

)

Foreign

 

(28

)

(277

)

44

 

 

 

$

(284

)

$

(998

)

$

(33

)

 

 

 

 

 

 

 

 

Income Tax Provision (Benefit)

 

 

 

 

 

 

 

Domestic

 

 

 

 

 

 

 

Current

 

$

(3

)

$

4

 

$

(6

)

Deferred

 

(22

)

(82

)

(7

)

 

 

$

(25

)

$

(78

)

$

(13

)

Foreign

 

 

 

 

 

 

 

Current

 

$

8

 

$

43

 

$

33

 

Deferred

 

22

 

8

 

(16

)

 

 

$

30

 

$

51

 

$

17

 

Total

 

 

 

 

 

 

 

Current

 

$

5

 

$

47

 

$

27

 

Deferred

 

 

(74

)

(23

)

 

 

$

5

 

$

(27

)

$

4

 

 

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The provision (benefit) for income taxes from continuing operations differs from the Federal statutory rate for the following reasons:

 

(In millions)

 

2009

 

2008

 

2007

 

Income tax benefit at the U.S. statutory rate

 

$

(99

)

$

(349

)

$

(12

)

Antitrust legal settlements

 

1

 

2

 

4

 

Foreign rate differential

 

40

 

24

 

1

 

State income taxes, net of federal benefit

 

1

 

(1

)

7

 

Tax audit settlements

 

 

 

12

 

Valuation allowances

 

100

 

44

 

(1

)

U.S. tax on foreign earnings

 

(1

)

(11

)

28

 

Nondeductible reorganizational expenses

 

15

 

 

 

Nondeductible expenses, / (nonincludable income) other

 

(1

)

(3

)

1

 

Post-petition interest expense

 

(22

)

 

 

Goodwill

 

 

291

 

 

Income tax credits

 

(7

)

1

 

(4

)

Tax law changes

 

 

(1

)

(10

)

Surrender of insurance policies

 

 

 

7

 

Taxes attributable to prior periods

 

(21

)

(15

)

(26

)

Other, net

 

(1

)

(9

)

(3

)

Actual income tax provision (benefit)

 

$

5

 

$

(27

)

$

4

 

 

Deferred taxes are recorded based on differences between the book and tax basis of assets and liabilities using currently enacted tax rates and regulations. The components of the deferred tax assets and liabilities are as follows:

 

(In millions)

 

2009

 

2008

 

 

 

Deferred tax assets:

 

 

 

 

 

 

 

Pension and other post-retirement liabilities

 

$

211

 

$

203

 

 

 

Net operating loss carryforwards

 

229

 

168

 

 

 

Other accruals

 

58

 

77

 

 

 

Tax credit carryforwards

 

77

 

72

 

 

 

Accruals for environmental remediation

 

38

 

31

 

 

 

Inventories and other

 

31

 

23

 

 

 

Financial instruments

 

3

 

6

 

 

 

Total deferred tax assets

 

647

 

580

 

 

 

Valuation allowance

 

(380

)

(191

)

 

 

Net deferred tax assets after valuation allowance

 

267

 

389

 

 

 

 

 

 

 

 

 

 

 

Deferred tax liabilities:

 

 

 

 

 

 

 

Foreign earnings of subsidiaries

 

(153

)

(178

)

 

 

Property, plant and equipment

 

(67

)

(108

)

 

 

Intangibles

 

(32

)

(18

)

 

 

Other

 

(17

)

(94

)

 

 

Total deferred tax liabilities

 

(269

)

(398

)

 

 

Net deferred tax liability after valuation allowance

 

$

(2

)

$

(9

)

 

 

 

Net current and non-current deferred taxes from each tax jurisdiction are included in the following accounts:

 

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(In millions)

 

2009

 

2008

 

 

 

Net current deferred taxes

 

 

 

 

 

 

 

Other current assets

 

$

27

 

$

10

 

 

 

Other current liabilities

 

 

(34

)

 

 

Net non-current deferred taxes

 

 

 

 

 

 

 

Other assets

 

59

 

58

 

 

 

Other liabilities

 

(62

)

(43

)

 

 

Liabilities subject to compromise

 

(26

)

 

 

 

 

The Company had valuation allowances related to U.S. operations of $310 million, $153 million and $69 million at December 31, 2009, 2008 and 2007, respectively.  The Company had valuation allowances related to foreign operations of $70 million, $38 million and $17 million at December 31, 2009, 2008 and 2007, respectively.  A valuation allowance has been provided for deferred tax assets where it is more likely than not these assets will expire before the Company is able to realize their benefit.  Of the $189 million change in the total valuation allowance during 2009, $142 million was recorded to the income tax provision in the Consolidated Statements of Operations and $47 million was recorded to other comprehensive income in the Consolidated Balance Sheet.  Of the $105 million change in the total valuation allowance during 2008 $44 million was recorded to the income tax provision in the Consolidated Statements of Operations and $56 million and $5 million was recorded to other comprehensive income and goodwill, respectively, in the Consolidated Balance Sheet.  The change in the valuation allowance was primarily related to management’s determination that the realization of its deferred tax assets is not more likely then not.  This valuation allowance will be maintained until it is more likely than not that remaining deferred assets will be realized.  When this occurs, the Company’s income tax expense will be reduced by a decrease in its valuation allowance, which could have a significant impact on the Company’s future earnings.

 

At December 31, 2009, the Company had gross federal, state, and foreign net operating loss (“NOL”) carryforwards of $385 million, $960 million, and $435 million, respectively.  The Company also had federal and state tax credit carryforwards of $74 million and $3 million, respectively.  State and foreign NOL’s and credits expire 2010-2029, federal credits expire 2010-2029 and federal NOL’s expire 2022-2029.

 

At December 31, 2008, the Company had gross federal, state, and foreign NOL carryforwards of $245 million, $812 million and $169 million, respectively.  The Company also has federal and state tax credits carry forwards of $68 million and $3 million, respectively.

 

The Company considers earnings of certain foreign subsidiaries to be indefinitely invested in their operations.  At December 31, 2009, such earnings amounted to $490 million.

 

The Company also has not recognized a deferred tax liability for the difference between the book basis and tax basis of investments in the common stock of foreign subsidiaries.  Such differences relate primarily to the unremitted earnings of both Witco’s and Great Lakes’ foreign subsidiaries prior to their mergers with the Company.  The basis difference in subsidiaries of Witco, acquired on September 1, 1999, is approximately $238 million and the basis difference in subsidiaries of Great Lakes, acquired on July 1, 2005, is approximately $67 million.  Estimating the tax liability that would arise if these earnings were repatriated is not practicable at this time.

 

During the year ended December 31, 2008, the Company recorded an increase to its liability for unrecognized tax benefits of approximately $19 million.  During the year ended December 31, 2009, the Company recorded a decrease to its liability for unrecognized tax benefits of approximately $9 million.  In accordance with ASC 740, the Company recognizes interest and penalties related to unrecognized tax benefits as a component of income tax expense.

 

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The beginning and ending amount of unrecognized tax benefits reconciles as follows:

 

(In millions)

 

2009

 

2008

 

2007

 

Balance, January 1

 

$

85

 

$

66

 

$

56

 

 

 

 

 

 

 

 

 

Gross increases for tax positions taken during current year

 

2

 

16

 

 

Gross increases for tax positions taken during a prior period

 

45

 

29

 

21

 

Gross decreases for tax positions taken during a prior period

 

(44

)

(12

)

(10

)

Gross decreases due to bankruptcy claims adjustment

 

(5

)

 

 

Decreases from the expiration of the statute of limitations

 

(1

)

(7

)

(1

)

Settlements / payments

 

(8

)

(5

)

 

Foreign currency impact

 

2

 

(2

)

 

 

 

 

 

 

 

 

 

Balance, December 31

 

$

76

 

$

85

 

$

66

 

 

The Company recognized $1 million, $3 million and $4 million of interest related to unrecognized tax benefits within tax expense in its Consolidated Statements of Operations in 2009, 2008 and 2007, respectively.  The Company also recognized in its Consolidated Balance Sheets at December 31, 2009 and 2008 a total amount of $12 million and $11 million of interest, respectively, related to unrecognized tax benefits.

 

The Company and its subsidiaries file income tax returns in the U.S., various U.S. states and certain foreign jurisdictions.  The Company has completed its federal examination through December 31, 2005.  The tax years 2006-2008 remain open to examination.

 

Foreign and United States jurisdictions have statutes of limitations generally ranging from 3 to 5 years.  The Company has a number of state, local and foreign examinations currently in process.  Major foreign exams in process include Canada, the Netherlands and the United Kingdom.

 

The Company believes it is reasonably possible that its unrecognized tax benefits may decrease by less than $1 million within the next year.  This reduction may occur due to the statute of limitations expirations or conclusion of examinations by tax authorities.  The Company further expects that the amount of unrecognized tax benefits will continue to change as the result of ongoing operations, the outcomes of audits, and the expiration of the statute of limitations.  This change is not expected to have a significant impact on the results of operations or the financial condition of the Company.

 

14) EARNINGS (LOSS) PER COMMON SHARE AND CAPITAL STOCK

 

The computation of basic earnings (loss) per common share is based on the weighted average number of common shares outstanding.  The computation of diluted earnings (loss) per common share is based on the weighted average number of common and common share equivalents outstanding.  The computation of diluted earnings (loss) per share equals the basic earnings (loss) per common share calculation since common stock equivalents were antidilutive due to losses from continuing operations.  The Company had no common stock equivalents in 2009 and 2008 for purposes of computing diluted earnings (loss) per share.   Common stock equivalents amounted to 0.5 million in 2007.

 

The weighted average common shares outstanding are 242.9 million, 242.3 million and 241.6 million for the years ended December 31, 2009, 2008 and 2007, respectively.

 

The shares of common stock underlying the Company’s outstanding stock options of 6.8 million, 12.7 million and 6.3 million at December 31, 2009, 2008 and 2007, respectively, were excluded from the calculation of diluted earnings (loss) per share because the exercise prices of the stock options were greater than or equal to the average price of the common shares as of such dates.  These options could be dilutive if the average share price increases and is greater than the exercise price of these options.  The Company’s performance-based restricted stock units (“RSUs”) of 0.5 million, 1.2 million and 1.5 million at December 31, 2009, 2008 and 2007, respectively, were also excluded from the calculation of diluted earnings (loss) per share because the specified performance criteria for the vesting of these RSUs had not yet been met.  These RSUs could be dilutive in the future if the specified performance criteria are met.

 

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The Company is authorized to issue 500 million shares of $0.01 par value common stock.  There were 254.4 million and 254.1 million shares issued at December 31, 2009 and 2008, respectively, of which 11.5 million were held as treasury stock at December 31, 2009 and 2008.

 

The Company is authorized to issue 0.3 million shares of $0.10 par value preferred stock, none of which are outstanding.  On September 3, 1999, the Company declared a dividend distribution of one Preferred Share Purchase Right (“Rights”) on each outstanding share of common stock.  These Rights entitle stockholders to purchase one one-hundredth of a share of a new series of junior participating preferred stock at an exercise price of $100.  The Rights are only exercisable if a person or group acquires 15% or more of the Company’s common stock or announces a tender offer which, if successful, would result in ownership of 15% or more of the Company’s common stock.

 

15) ACCUMULATED OTHER COMPREHENSIVE (LOSS) INCOME

 

An analysis of the Company’s comprehensive (loss) income for the years ended 2009, 2008 and 2007 are as follows:

 

(In millions)

 

2009

 

2008

 

2007

 

Net (loss) earnings

 

$

(292

)

$

(971

)

$

5

 

Other comprehensive (loss) income, net of tax:

 

 

 

 

 

 

 

Foreign currency translation adjustments

 

51

 

(191

)

144

 

Unrecognized pension and other post-retirement benefit costs

 

(78

)

(186

)

53

 

Change in fair value of derivatives

 

1

 

(1

)

7

 

Comprehensive (loss) income

 

(318

)

(1,349

)

209

 

Comprehensive income attributable to the non-controlling interest

 

(1

)

 

(10

)

Comprehensive (loss) income attributable to Chemtura Corporation

 

$

(319

)

$

(1,349

)

$

199

 

 

The components of accumulated other comprehensive loss, net of tax at December 31, 2009 and 2008 is as follows:

 

(In millions)

 

2009

 

2008

 

 

 

Foreign currency translation adjustment

 

$

114

 

$

63

 

 

 

Unrecognized pension and other post retirement benefit costs

 

(348

)

(270

)

 

 

Change in fair value of derivatives

 

 

(1

)

 

 

Accumulated other comprehensive (loss) income

 

$

(234

)

$

(208

)

 

 

 

Reclassifications from other comprehensive (loss) income to COGS related to the Company’s natural gas price swap contracts aggregated to a $2 million pre-tax loss, $1 million pre-tax loss and $10 million pre-tax loss during 2009, 2008 and 2007, respectively.

 

16) STOCK INCENTIVE PLANS

 

The Company utilizes various employee stock-based compensation plans.  Awards under these plans are granted to eligible officers, management employees and non-employee directors.  Awards may be made in the form of incentive stock options, non-qualified stock options, stock appreciation rights, restricted stock and/or RSUs.  Under the plans, the Company issues additional shares of common stock upon the exercise of stock options or the vesting of RSUs.

 

All future issuances of shares of common stock under the Company’s stock-based compensation plans have been postponed as a result of the Chapter 11 cases.  Accordingly, the Company urges that appropriate caution be exercised with respect to existing and future investments in any of these securities.  Although the shares of the Company’s common stock continue to trade on the Pink Sheets, the trading prices may have little or no relationship to the actual recovery, if any, by the holders under any eventual Bankruptcy Court-approved Plan.  The opportunity for any recovery by holders of the Company’s common stock under such Plan is uncertain as all creditors’ claims must be met in full, with interest before value can be attributed to the common stock and, therefore, the shares of the Company’s common stock and certain employee stock based compensation plans, may be cancelled without any compensation pursuant to such Plan.

 

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Description of the Plans

 

The Company has five plans that have been utilized to issue stock-based compensation awards to officers, management employees and non-employee directors, the 1988 Long-Term Incentive Plan (“1988 Plan”), the 1993 Stock Option Plan for Non-Employee Directors (“1993 Stock Option Plan”), the 1998 Long-Term Incentive Plan (“1998 Plan”), the 2001 Employee Stock Option Plan (“2001 Plan”) and the 2006 Chemtura Corporation Long-Term Incentive Plan (“2006 Plan”).  The 1988 Plan, the 1993 Stock Option Plan, the 1998 Plan and the 2001 Plan are closed to future equity grants.  The 2006 Plan permits the grant of various forms of stock-based compensation awards, including among other things, incentive stock options, non-qualified stock options, stock appreciation rights, restricted stock and RSUs.  The 2006 Plan provides for the issuance of a maximum of 10.5 million shares, of which 4.0 million have been granted.  Shares granted under the 2006 Plan pursuant to awards other than stock options and stock appreciation rights are limited to one-third of the total maximum number of shares available for award under the 2006 Plan.  Non-qualified and incentive stock options may be granted under the 2006 plan at prices equal to the fair market value of the underlying common shares on the date of the grant.  All outstanding stock options will expire not more than ten years from the date of the grant.

 

On July 27, 2009, the Organization, Compensation and Governance Committee of the Board of Directors (the “Committee”) adopted the Emergence Incentive Plan (“EIP”), subject to the approval of the Bankruptcy Court, which approval was received on July 28, 2009.  The EIP provides the opportunity for participants to earn an award that will be granted upon the Company’s emergence from Chapter 11 in the form of time-based RSUs and/or stock options, if feasible, and/or in cash.  The form of consideration will be determined by the Company’s Board of Directors upon emergence from Chapter 11.  The number of employees included in the EIP and the size of the award pool are based upon specific consolidated EBITDA levels achieved during the twelve month period that will immediately precede the Company’s emergence from Chapter 11.  The maximum award pool could amount to $17 million.  No awards have been granted under the EIP since the Company has not emerged from Chapter 11.

 

Total stock-based compensation expense, including amounts for RSUs and stock options, was $3 million, $5 million and $10 million for the years ended December 31, 2009, 2008 and 2007, respectively.  Stock-based compensation expense was primarily reported in SG&A.  Approximately 80% of the compensation expense related to stock options was allocated to the operating segments in 2009, 2008 and 2007.  All other stock-based compensation expense has been allocated to Corporate.

 

Stock Option Plans

 

In February 2008 and December 2008, the Company’s Board of Directors approved the grant of stock options covering 2.7 million and 0.3 million shares, respectively, with an exercise price equal to the fair market value of the underlying common stock at the date of grant. These options vest ratably over a four year period.

 

In February 2007 and April 2007 the Board of Directors approved the grant of stock options covering 1.7 million and 0.1 million shares, respectively, with an exercise price equal to the fair market value of the underlying common stock at the date of grant.  These options vest ratably over a four year period.

 

The Company uses the Black-Scholes option-pricing model to determine the compensation expense related to stock options.  The Company has elected to recognize compensation cost for stock option awards granted equally over the requisite service period for each separately vesting tranche, as if multiple awards were granted.  Using this method, the weighted average fair value of stock options granted during the years ended December 31, 2008 and 2007 was $3.38 and $5.40, respectively.  No stock options were granted in 2009. The Black-Scholes option-pricing model requires the use of various assumptions.  The following table presents the weighted average assumptions used:

 

 

 

Year Ended December 31,

 

 

 

2009

 

2008

 

2007

 

Dividend yield

 

N/A

 

2.3

%

1.7

%

Expected volatility

 

N/A

 

46

%

48

%

Risk-free interest rate

 

N/A

 

3.2

%

4.6

%

Expected life (in years)

 

N/A

 

6

 

6

 

 

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The weighted average expected life of six years for the 2008 and 2007 grants reflects the simplified method, which defines the expected life as the average of the contractual term of the options and the weighted average vesting period for all option tranches. The Company continues to use the simplified method because there is insufficient data to develop a justifiable expected term.  Expected volatility for the 2008 and 2007 option grants is based primarily on historical volatility over the six years prior to the option grant date.

 

Changes during 2009, 2008 and 2007 in shares under option are summarized as follows:

 

 

 

 

 

 

 

 

 

Weighted

 

 

 

 

 

 

 

 

 

 

 

Average

 

Aggregate

 

 

 

 

 

 

 

 

 

Remaining

 

Intrinsic

 

 

 

Price Per Share

 

Shares

 

Contractual

 

Value

 

 

 

Range

 

Average

 

(in millions)

 

Life

 

(in millions)

 

Outstanding at 1/1/07

 

$

 5.85-26.41

 

$

 11.77

 

15.2

 

 

 

 

 

Granted

 

7.54-12.06

 

11.95

 

1.9

 

 

 

 

 

Exercised

 

5.85-11.26

 

7.85

 

(0.9

)

 

 

$

 3

 

Lapsed

 

5.85-26.41

 

16.56

 

(4.6

)

 

 

 

 

Outstanding at 12/31/07

 

5.85-21.74

 

10.19

 

11.6

 

5.4

 

2

 

Granted

 

1.50-8.71

 

7.97

 

3.1

 

 

 

 

 

Exercised

 

5.85-8.34

 

8.13

 

(0.1

)

 

 

 

Lapsed

 

5.85-21.74

 

11.27

 

(2.7

)

 

 

 

 

Outstanding at 12/31/08

 

1.50-21.74

 

9.38

 

11.9

 

5.6

 

 

Lapsed

 

5.85-21.74

 

9.22

 

(5.5

)

 

 

 

 

Outstanding at 12/31/09

 

$

 1.50-15.89

 

$

 9.52

 

6.4

 

5.7

 

$

 

 

 

 

 

 

 

 

 

 

 

 

 

Exercisable at 12/31/07

 

$

 5.85-21.74

 

$

 9.71

 

8.7

 

 

 

 

 

Exercisable at 12/31/08

 

$

 5.85-21.74

 

$

 9.54

 

8.2

 

 

 

 

 

Exercisable at 12/31/09

 

$

 1.50-15.89

 

$

 10.05

 

4.4

 

4.6

 

$

 

 

During the year ended December 31, 2009 and 2008, the Company had 6.5 million and 5.4 million shares available for grant respectively.

 

Total remaining unrecognized compensation cost associated with unvested stock options at December 31, 2009 was $2 million, which will be recognized over the weighted average period of approximately one year.

 

Restricted Stock Plans

 

In February 2008, the Board of Directors granted long-term incentive awards of 0.4 million time-based RSUs, which will vest three and a half years from the date of grant.  The Board of Directors also granted in February 2008 long-term incentive awards in the form of performance-based RSU’S for the 2008 to 2010 performance period.  The RSUs vest on February 1, 2011 upon the achievement of certain levels of cumulative consolidated EBITDA during the three year performance period.  EBITDA is adjusted to exclude certain categories of income and expense as defined in the award.  The awards are for a maximum of 0.8 million shares.

 

In February 2007 and February 2008, 0.1 million RSUs were granted to non-employee directors, which are to be settled upon termination of service from the Board of Directors.

 

In February 2007, the Board of Directors granted long-term incentive awards of 0.1 million time-based RSUs, which vest three and a half years from the date of grant.  The Board of Directors also granted in February 2007 long-term incentive awards in the form of performance-based RSUs for the 2007 to 2009 performance period.  The RSUs vest upon the achievement of certain levels of cumulative, consolidated EBITDA during the three year performance period.  EBITDA is adjusted to exclude certain categories of income or expense as defined in the award.  The awards are for a maximum of 0.5 million shares.  In April 2007, the Board of Directors granted additional performance based RSUs for the 2007 to 2009 performance period for a maximum of 0.1 million shares.  The RSUs for the 2007 to 2009 performance period were cancelled as the performance criteria was not achieved.

 

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In December 2007, the Board of Directors granted long-term incentive awards of 0.1 million time-based RSUs, which vest ratably on the first, second and third anniversary of the grant.

 

The fair value of RSUs without market conditions is determined based on the number of shares granted and the quoted closing price of the Company’s stock at the date of grant. To determine the fair value of RSUs with market conditions, the Company uses the Monte Carlo simulation method.  The Company’s determination of the fair value of RSUs with market conditions on the date of grant is affected by its stock price as well as assumptions regarding a number of highly complex and subjective variables, including expected volatility and risk-free interest rate.  If other reasonable assumptions are used, the results may differ.

 

The fair value of all RSUs with market conditions is amortized on a straight-line vesting basis over the derived service periods.  In the case of accelerated vesting based on the market performance of the Company’s common stock, the compensation costs related to the vested awards that have not previously been amortized are recognized upon vesting.

 

RSUs award activity for the years ended December 31, 2009, 2008 and 2007 is as follows:

 

 

 

 

 

Weighted

 

 

 

 

 

 

 

Average

 

Aggregate

 

 

 

Shares

 

Grant Date

 

Fair Value

 

 

 

(in millions)

 

Fair Value

 

(in millions)

 

Unvested RSU awards, January 1, 2007

 

2.3

 

$

8.70

 

 

 

Granted

 

1.0

 

11.25

 

 

 

Vested

 

(0.4

)

9.69

 

$

3

 

Canceled or expired

 

(0.7

)

10.21

 

 

 

Unvested RSU awards, December 31, 2007

 

2.2

 

9.24

 

17

 

Granted

 

1.3

 

8.57

 

 

 

Vested

 

(0.4

)

11.55

 

2

 

Canceled or expired

 

(1.1

)

8.90

 

 

 

Unvested RSU awards, December 31, 2008

 

2.0

 

8.58

 

3

 

Canceled or expired

 

(0.8

)

7.00

 

 

 

Unvested RSU awards, December 31, 2009

 

1.2

 

$

9.51

 

$

2

 

 

Total remaining unrecognized compensation expense associated with unvested RSUs at December 31, 2009 was $1 million, which will be recognized over the weighted average period of approximately one year.

 

Tax Benefits of Stock-Based Compensation Plans

 

Prior to the adoption ASC 718, any benefit the Company received from tax deductions resulting from the exercise of stock options and RSUs was presented in the cash flow from operations section of the Consolidated Statements of Cash Flows. ASC 718 requires the benefits of tax deductions in excess of grant-date fair value be presented in the cash flow from financing section of the Consolidated Statements of Cash Flows.  The Company did not obtain any cash tax benefit associated with shares exercised during the year ended December 31, 2009, 2008 and 2007 as the Company’s taxable income has been offset by net operating loss carry forwards and foreign tax credits. Cash proceeds received from option exercises during the years ended December 31, 2008 and 2007 were $1 million and $7 million, respectively.

 

The Company has an Employee Stock Purchase Plan (“ESPP”).  The ESPP permits eligible employees to annually elect to have up to 10% of their compensation withheld for the purchase of shares of the Company’s common stock at 85% of the average of the high and low sale prices on the date of purchase, up to a maximum of twenty five thousand dollars.  As of December 31, 2009, 0.5 million shares of common stock were available for future issuance under the ESPP.  The ESPP was suspended upon the Company’s Chapter 11 filing.

 

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Table of Contents

 

17) PENSION AND OTHER POST-RETIREMENT PLANS

 

The Company has several defined benefit and defined contribution pension plans covering substantially all of its domestic employees and certain international employees.  Benefits under the defined benefit plans are primarily based on the employees’ years of service and compensation during employment.  Effective January 1, 2006, the Company eliminated future earnings benefits to participants of its domestic defined benefit plans for non-bargained employees. All active non-bargained employees would subsequently earn benefits under defined contribution plans for all service incurred on or after January 1, 2006. The Company’s funding policy for the defined benefit plans is based on contributions at the minimum annual amounts required by law plus such amounts as the Company may deem appropriate.  Contributions for the defined con tribution plans are determined as a percentage of the covered employee’s salary.  Plan assets consist of publicly traded securities and investments in commingled funds administered by independent investment advisors.

 

International employees are covered by various pension benefit arrangements, some of which are considered to be defined benefit plans for financial reporting purposes.  Assets of these plans are comprised primarily of equity investments, fixed-income investments and insurance contracts.  Benefits under these plans are primarily based upon levels of compensation.  Funding policies are based on legal requirements, tax considerations and local practices.

 

The Company also provides health and life insurance benefits for substantially all of its active domestic employees and certain retired and international employees.  These plans are generally not prefunded and are paid by the Company as incurred.

 

The Company adopted the balance sheet recognition provisions of ASC 715 as of December 31, 2006.  The Company adopted the change to the December 31 measurement date (from November) in 2008 and adjusted beginning retained earnings by $1 million before tax ($1 million net of taxes) as of January 1, 2008 accordingly.

 

Benefit Obligations

 

 

 

Defined Benefit Pension Plans

 

 

 

 

 

 

 

Qualified

 

International and

 

Post-Retirement

 

 

 

Domestic Plans

 

Non-Qualified Plans

 

Health Care Plans

 

(In millions)

 

2009

 

2008

 

2009

 

2008

 

2009

 

2008

 

Change in projected benefit obligation:

 

 

 

 

 

 

 

 

 

 

 

 

 

Projected benefit obligation at beginning of year

 

$

826

 

$

817

 

$

366

 

$

488

 

$

155

 

$

157

 

Effect of change in asset measurement date

 

 

(1

)

 

1

 

 

 

Service cost

 

1

 

1

 

3

 

4

 

1

 

1

 

Interest cost

 

50

 

49

 

22

 

25

 

8

 

9

 

Plan participants’ contributions

 

 

 

1

 

1

 

 

 

Actuarial (gains) losses

 

57

 

19

 

23

 

(21

)

9

 

6

 

Foreign currency exchange rate

 

 

 

30

 

(97

)

2

 

(4

)

Benefits paid

 

(60

)

(59

)

(21

)

(20

)

(16

)

(14

)

Plan amendments

 

 

 

 

 

(9

)

 

Curtailments

 

 

 

 

(6

)(a)

 

 

Settlements

 

 

 

(3

)(b)

(9

)(b)

 

 

Projected benefit obligation at end of year

 

$

874

 

$

826

 

$

421

 

$

366

 

$

150

 

$

155

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Accumulated benefit obligation at end of year

 

$

873

 

$

824

 

$

410

 

$

355

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Weighted-average year-end assumptions used to determine benefit obligations:

 

 

 

 

 

 

 

 

 

 

 

 

 

Discount rate

 

5.70

%

6.00

%

5.56

%

5.82

%

5.44

%

6.01

%

Rate of compensation increase

 

4.00

%

4.00

%

3.20

%

3.17

%

 

 

 

 

Rate of increase in the per capita cost of covered health care benefits

 

 

 

 

 

 

 

 

 

7.73

%

7.64

%

 


(a)              A curtailment for international non-qualified plans was incurred due to the elimination of future benefit accruals for plans.

(b)             Settlements are related to the impact of the Company’s restructuring programs on affected employees.

 

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Table of Contents

 

A 7.73% weighted-average rate of increase in the per capita cost of covered health care benefits was assumed for the accumulated post-retirement benefit obligation as of December 31, 2009.  The rate was assumed to decrease gradually to a weighted average rate of 5.0% over approximately the next 6 to 10 years.  Assumed health care cost trend rates have a significant effect on the post-retirement benefit obligation reported for the health care plans.  A one percentage point increase in assumed health care cost trend rates would increase the accumulated post-retirement benefit obligation by $7 million for health care benefits as of December 31, 2009.  A one percentage point decrease in assumed health care cost trend rates would decrease the accumulated post-retirement benefit obligation by $6 million for health care benefits as of December 31, 2009.

 

Plan Assets

 

 

 

Defined Benefit Pension Plans

 

 

 

 

 

 

 

Qualified

 

International and

 

Post-Retirement

 

 

 

Domestic Plans

 

Non-Qualified Plans

 

Health Care Plans

 

(In millions)

 

2009

 

2008

 

2009

 

2008

 

2009

 

2008

 

Change in plan assets:

 

 

 

 

 

 

 

 

 

 

 

 

 

Fair value of plan assets at beginning of year

 

$

630

 

$

773

 

$

186

 

$

297

 

$

 

$

 

Effect of change in asset measurement date

 

 

 

 

9

 

 

 

Actual return on plan assets

 

55

 

(90

)

30

 

(44

)

 

 

Foreign currency exchange rate changes

 

 

 

23

 

(69

)

 

 

Employer contributions

 

 

6

 

13

 

22

 

15

 

14

 

Plan participants’ contributions

 

 

 

1

 

1

 

 

 

Benefits paid

 

(60

)

(59

)

(20

)

(21

)

(15

)

(14

)

Settlements

 

 

 

(3

)(a)

(9

)(a)

 

 

Fair value of plan assets at end of year

 

$

625

 

$

630

 

$

230

 

$

186

 

$

 

$

 

 


(a)  Settlements are primarily related to the impact of the Company’s restructuring programs on affected employees.

 

The Company’s pension plan assets are managed by outside investment managers.  Assets are monitored monthly to ensure they are within the range of parameters as set forth by the Company.  The Company’s investment strategy with respect to pension assets is to achieve the expected rate of return within an acceptable or appropriate level of risk.  The Company’s investment strategy is designed to promote diversification, to moderate volatility and to attempt to balance the expected return with risk levels. The target allocations for qualified domestic plans are 50% equity securities, 45% fixed income securities and 5% to all other types of investments.  The target allocations for international pension plans are 62% equity securities, 36% fixed income securities and 2% to all other types of investments.  Equity securities include Chemtura’s common stock in the amount of $7 million as of December 31, 2008.  The Plans’ investment in Chemtura stock was sold during 2009.

 

The fair values of the Chemtura Corporation’s defined benefit pension plan assets at December 31, 2009, by asset category are as follows:

 

 

 

Fair Value Measurements at December 31, 2009

 

 

 

Defined Benefit Pension Plans

 

 

 

Qualified Domestic Plans

 

International and Non-Qualified Plans

 

(In millions)

 

Total

 

Quoted
Prices in
Active
Markets for
Identical
Assets
(Level 1)

 

Significant
Observable
Inputs
(Level 2)

 

Significant
Unobservable
Inputs
(Level 3)

 

Total

 

Quoted
Prices in
Active
Markets for
Identical
Assets
(Level 1)

 

Significant
Observable
Inputs
(Level 2)

 

Significant
Unobservable
Inputs
(Level 3)

 

Equity securities:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

U.S.equities (a)

 

$

65

 

$

65

 

$

 

$

 

$

 

$

 

$

 

$

 

International equities (a)

 

59

 

59

 

 

 

 

 

 

 

Pooled equity (b)

 

230

 

190

 

40

 

 

143

 

17

 

126

 

 

Preferred stock

 

1

 

 

1

 

 

 

 

 

 

Fixed income securities:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

U.S. government bonds (c)

 

98

 

 

98

 

 

 

 

 

 

International government bonds (c)

 

 

 

 

 

1

 

 

1

 

 

U.S. corporate bonds (d)

 

125

 

 

125

 

 

 

 

 

 

International corporate bonds (d)

 

25

 

 

25

 

 

1

 

 

1

 

 

Pooled fixed income funds (e)

 

 

 

 

 

83

 

 

83

 

 

Private equity & other insturments (f)

 

 

 

 

 

1

 

 

 

1

 

Money market funds (g)

 

22

 

22

 

 

 

 

 

 

 

Cash & cash equivalents

 

 

 

 

 

1

 

1

 

 

 

 

 

$

625

 

$

336

 

$

289

 

$

 

$

230

 

$

18

 

$

211

 

$

1

 

 

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Table of Contents

 


(a)         U.S. and international equities are comprised of shares of common stock in various sized U.S. and international companies from a diverse set of industries.  Common stock is valued at the closing price reported on the U.S. and international exchanges where the security is actively traded.

(b)         Pooled equity funds include mutual and collective funds that invest primarily in marketable equity securities of various sized companies in a diverse set of industries in various regions of the world.   Shares of publicly traded mutual funds are valued at the closing price reported on the U.S. and international exchanges where the underlying securities are actively traded.  Units of collective funds are valued at the per unit value determined by the fund manager, which in based on market price of the underlying securities.

(c)         U.S. and international government bonds include U.S. treasury, municipal and agency obligations and international government debt.  Such instruments are valued at quoted market prices for those instruments or on institutional bid valuations.

(d)        U.S. and international corporate bonds from a diverse set of industries and regions.  Such instruments are valued using similar securities in active markets and observable data or broker or dealer quotations.

(e)         Pooled fixed income funds are fixed income funds that invest primarily in corporate and government bonds.  Such instruments are valued using similar securities in active markets and observable data or broker or dealer quotations.

(f)           Private equity and other instruments include instruments for which there are significant unobservable inputs.  The decrease in the fair value of these assets was less than $1 million during 2009 and primarily relates to payments.

(g)        Money market funds primarily includes high-grade money market instruments with short maturities (less than 90 days).

 

Funded Status

 

The funded status at the end of the year, and the related amounts recognized on the statement of financial condition, are as follows:

 

 

 

Defined Benefit Pension Plans

 

 

 

 

 

 

 

Qualified

 

International and

 

Post-Retirement

 

 

 

Domestic Plans

 

Non-Qualified Plans

 

Health Care Plans

 

(In millions)

 

2009

 

2008

 

2009

 

2008

 

2009

 

2008

 

Funded status, end of year:

 

 

 

 

 

 

 

 

 

 

 

 

 

Fair value of plan assets

 

$

625

 

$

630

 

$

230

 

$

186

 

$

 

$

 

Benefit obligations

 

874

 

826

 

421

 

366

 

150

 

155

 

Net amount recognized

 

$

(249

)

$

(196

)

$

(191

)

$

(180

)

$

(150

)

$

(155

)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Amounts recognized in the statement of financial position at the end of year consist of:

 

 

 

 

 

 

 

 

 

 

 

 

 

Noncurrent assets

 

$

 

 

1

 

1

 

 

 

Current liability

 

 

 

 

(5

)

(9

)

(1

)

(13

)

Noncurrent liability

 

 

(196

)

(158

)

(172

)

(16

)

(142

)

Liabilities subject to compromise

 

 

(249

)

 

 

 

(29

)

 

 

 

(133

)

 

 

Net amount recognized

 

$

(249

)

$

(196

)

$

(191

)

$

(180

)

$

(150

)

$

(155

)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Amounts recognized in accumulated other comprehensive loss consist of:

 

 

 

 

 

 

 

 

 

 

 

 

 

Net actuarial loss/(gain)

 

$

343

 

$

288

 

$

63

 

$

54

 

$

50

 

$

44

 

Prior service cost/(credit)

 

1

 

2

 

 

 

(42

)

(39

)

 

 

$

344

 

$

290

 

$

63

 

$

54

 

$

8

 

$

5

 

 

The estimated amounts that will be amortized from accumulated other comprehensive loss into net periodic benefit cost in 2010 are as follows:

 

(In millions)

 

Qualified
Domestic
Plans

 

International
and Non-
Qualified
Plans

 

Other
Post-
Retirement
Health Care Plans

 

Actuarial (gain)/loss

 

$

7

 

$

1

 

$

3

 

Prior service (credit)/cost

 

 

 

(4

)

Total

 

$

7

 

$

1

 

$

(1

)

 

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Table of Contents

 

The current liabilities positions are included in accrued expenses on the Company’s Consolidated Balance Sheets and the non-current liabilities positions are shown as pension and post-retirement health care liabilities.  Domestic liabilities are included in liabilities subject to compromise.

 

The Company made no discretionary contributions to its domestic qualified pension plans in 2009 and $6 million of discretionary contributions in 2008. The Company’s funding assumptions for its domestic pension plans assume no significant change with regards to demographics, legislation, plan provisions, or actuarial assumptions or methods to determine the estimated funding requirements. The Pension Protection Act, which was passed in 2006, extends interest rate relief for qualified domestic pension plans until 2008, at which time a new methodology for determining required funding amounts will be phased in.  The Company contributed approximately $28 million and $20 million to its international pension, domestic non-qualified pension and post retirement plans in 2009 and 2008, respectively.  There were no discretionary payments for the international plans during 2009 and 2008.

 

The projected benefit obligation and fair value of plan assets for pension and post-retirement plans with a projected benefit obligation in excess of plan assets at December 31, 2009 and 2008 were as follows:

 

(In millions)

 

2009

 

2008

 

Projected benefit obligation in excess of plan assets at end of year:

 

 

 

 

 

Projected benefit obligation

 

$

1,436

 

$

1,339

 

Fair value of plan assets

 

845

 

808

 

 

The projected benefit obligation, accumulated benefit obligation and fair value of plan assets for pension and post-retirement plans with an accumulated benefit obligation in excess of plan assets at December 31, 2009 and 2008 were as follows:

 

(In millions)

 

2009

 

2008

 

Accumulated benefit obligation in excess of plan assets at end of year:

 

 

 

 

 

Projected benefit obligation

 

$

1,286

 

$

1,179

 

Accumulated benefit obligation

 

1,274

 

1,167

 

Fair value of plan assets

 

845

 

803

 

 

Expected Cash Flows

 

Information about the expected cash flows for the domestic qualified defined benefit plans, international and non-qualified defined benefit plans and post-retirement health care plans are as follows:

 

 

 

Defined Benefit Pension Plans

 

 

 

(in millions)

 

Qualified
Domestic Plans

 

International and
Non-Qualified
Plans

 

Post-Retirement
Health Care
Plans

 

Expected Employer Contributions:

 

 

 

 

 

 

 

2010

 

$

 

$

17

 

$

14

 

 

 

 

 

 

 

 

 

Expected Benefit Payments (a):

 

 

 

 

 

 

 

2010

 

59

 

19

 

14

 

2011

 

58

 

19

 

14

 

2012

 

59

 

21

 

14

 

2013

 

59

 

22

 

13

 

2014

 

59

 

25

 

13

 

2015-2019

 

303

 

132

 

59

 

 


(a)         The expected benefit payments are based on the same assumptions used to measure the Company’s benefit obligation at the end of the year and include benefits attributable to estimated future employee service.

 

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Table of Contents

 

Net Periodic Cost

 

 

 

Defined Benefit Pension Plans

 

 

 

 

 

 

 

 

 

Qualified

 

International and

 

Post-Retirement

 

 

 

Domestic Plans

 

Non-Qualified Plans

 

Health Care Plans

 

(In millions)

 

2009

 

2008

 

2007

 

2009

 

2008

 

2007

 

2009

 

2008

 

2007

 

Components of net periodic benefit cost (credit):

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Service cost

 

$

 

$

1

 

$

1

 

$

3

 

$

4

 

$

7

 

$

 

$

1

 

$

1

 

Interest cost

 

50

 

49

 

46

 

22

 

25

 

25

 

9

 

9

 

9

 

Expected return on plan assets

 

(56

)

(63

)

(62

)

(18

)

(21

)

(20

)

 

 

 

Amortization of prior service cost

 

 

 

 

 

 

 

(6

)

 

 

Recognized actuarial (gains) losses

 

5

 

7

 

7

 

1

 

1

 

4

 

2

 

2

 

2

 

Curtailment gain recognized

 

 

 

 

 

(6

)

(1

)

 

(3

)

(3

)

Settlement loss recognized

 

 

 

 

 

2

 

 

 

 

 

Other

 

 

 

 

 

1

 

1

 

1

 

 

 

Net periodic benefit cost (credit)

 

$

(1

)

$

(6

)

$

(8

)

$

8

 

$

6

 

$

16

 

$

6

 

$

9

 

$

9

 

 

 

 

Defined Benefit Plans

 

 

 

 

 

 

 

 

 

Qualified

 

International and

 

Post-Retirement

 

 

 

Domestic Plans

 

Non-Qualified Plans

 

Health Care Plans

 

 

 

2009

 

2008

 

2007

 

2009

 

2008

 

2007

 

2009

 

2008

 

2007

 

Weighted-average assumptions used to determine net cost:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Discount rate

 

6.00

%

6.00

%

5.63

%

5.90

%

5.46

%

4.68

%

6.04

%

5.87

%

5.46

%

Expected return on plan assets

 

7.75

%

8.50

%

8.50

%

7.50

%

7.50

%

7.36

%

 

 

 

 

 

 

Rate of compensation increase

 

4.00

%

4.00

%

4.00

%

3.60

%

3.22

%

3.08

%

 

 

 

 

 

 

 

The expected return on pension plan assets is based on our investment strategy, historical experience, and our expectations for long term rates of return.  The Company determines the long-term rate of return assumptions for the domestic and international pension plans based on its investment allocation between various asset classes.  The expected rate of return on plan assets is derived by applying the expected returns on various asset classes to the Company’s target asset allocation.  The expected returns are based on the expected performance of the various asset classes and are further supported by historical investment returns. The Company utilized a weighted average expected long-term rate of 7.75% on all domestic assets and a weighted average rate of 7.50% for the international plan assets for the year ended December 31, 2009.

 

Assumed health care cost trend rates have a significant effect on the service and interest cost components reported for the health care plans. A one percentage point increase in assumed health care cost trend rates increases the service and interest cost components of net periodic post-retirement health care benefit cost by less than $1 million for 2009.  A one percentage point decrease in assumed health care cost trend rates decreases the service and interest cost components of net periodic post-retirement health care benefit cost by less than $1 million for 2009.

 

The Company’s cost of its defined contribution plans was $13 million for 2009 and $18 million for 2008 and 2007.

 

18) DERIVATIVE INSTRUMENTS AND HEDGING ACTIVITIES

 

The Company’s activities expose its earnings, cash flows and financial condition to a variety of market risks, including the effects of changes in foreign currency exchange rates, interest rates and energy prices.  The Company maintained a risk management strategy that used derivative instruments to mitigate risk against foreign currency movements and to manage energy price volatility.  In accordance with ASC Topic 815, Derivatives and Hedging (“ASC 815”), the Company recognizes in accumulated other comprehensive loss (“AOCL”) any changes in the fair value of all derivatives designated as cash flow hedging instruments.  The Company does not enter into derivative instruments for trading or speculative purposes.

 

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Table of Contents

 

The Company used price swap contracts as cash flow hedges to convert a portion of its forecasted natural gas purchases from variable price to fixed price purchases.  These contracts were designated as hedges of a portion of the Company’s forecasted natural gas purchases, and these contracts involve the exchange of payments over the life of the contracts without an exchange of the notional amount upon which the payments are based.  The differential paid or received as natural gas prices change is reported in AOCL.  These amounts are subsequently reclassified into COGS when the related inventory layer is sold.  These contracts have been terminated by the counterparties due to the Company’s Chapter 11 cases and have been classified as liabilities subject to compromise.  As of the termination date, the contracts were deemed to be effective and the Company has maintained hedge accounting given that the forecasted hedge transactions are probable.  At December 31, 2009, the Company had no outstanding price swaps since the contracts expired in December 2009.  At December 31, 2008, the Company had outstanding price swaps with an aggregate notional amount of approximately $6 million, based on the contract price and outstanding quantities of 910 million BTU’s at December 31, 2008.

 

All price swap contracts have been entered into with major financial institutions.  The risk associated with these transactions is the cost of replacing these agreements at current market rates in the event of default by the counterparties.  Management believes the risk of incurring such losses is remote.  In the fourth quarter of 2007, the Company ceased the purchase of additional price swap contracts as a cash flow hedge of forecasted natural gas purchases and established fixed price contracts with physical delivery with its natural gas vendor.  All price swap contracts have matured as of December 31, 2009.

 

The Company has exposure to changes in foreign currency exchange rates resulting from transactions entered into by the Company and its foreign subsidiaries in currencies other than their local currency (primarily trade payables and receivables).  The Company is also exposed to currency risk on intercompany transactions (including intercompany loans).  The Company manages these transactional currency risks on a consolidated basis, which allows it to net its exposure.  The Company has traditionally purchased foreign currency forward contracts, primarily denominated in Euros, British Pound Sterling, Canadian dollars, Mexican Pesos and Australian dollars to manage its transaction exposure.  These contracts are generally recognized in other income (expense), net to offset the impact of valuing recorded foreign currency trade payables, receivables and intercompany transactions.  The Company has not designated these derivatives as hedges, although it believes these instruments reduce the Company’s exposure to foreign currency risk.  The aggregate notional amount of these contracts at December 31, 2008 was approximately $520 million.  However, as a result of the changes in the Company’s financial condition, it no longer has financing arrangements that provide for the capacity to purchase foreign currency forward contracts or hedging instruments to continue its prior practice.  As a result, the Company’s ability to hedge changes in foreign currency exchange rates resulting from transactions was limited beginning in the first quarter of 2009.  The net effect of the realized and unrealized gains and losses on these derivatives and the underlying transactions resulted in a pre-tax loss of $23 million, a pre-tax gain of $25 million and a pre-tax gain of $11 million in 2009, 2008 and 2007, respectively.

 

The following table summarizes the fair value amounts of the Company’s derivative instruments by location on the balance sheet for the years ended December 31, 2009 and 2008:

 

 

 

Asset Derivatives

 

Liability Derivatives

 

 

 

 

 

2009

 

2008

 

 

 

2009

 

2008

 

(In millions)

 

Balance Sheet Classification

 

Fair Value

 

Fair Value

 

Balance Sheet Classification

 

Fair Value

 

Fair Value

 

Derivatives designated as hedging instruments:

 

 

 

 

 

 

 

 

 

 

 

 

 

Commodity contracts

 

 

 

 

 

 

 

Accrued expenses

 

$

 

$

(2

)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Derivatives not designated as hedging instruments:

 

 

 

 

 

 

 

 

 

 

 

 

 

Foreign exchange contracts

 

Other current assets

 

$

 

$

58

 

Accrued expenses

 

 

(24

)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Total derivatives

 

 

 

$

 

$

58

 

 

 

$

(2

)

$

(26

)

 

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Table of Contents

 

The following table summarizes the effect of derivative instruments on the Company’s Consolidated Statements of Operations for the years ended December 31, 2009 and 2008:

 

Derivatives in Cash
Flow Hedging

 

Gain (Loss) Recognized in OCI
(Effective Portion)

 

Classification of Derivative
Gain (Loss) Reclassified from
Accumulated OCI into Income

 

Gain (Loss) Reclassified from
Accumulated OCI into Income
(Effective Portion)

 

Relationships

 

2009

 

2008

 

(Effective Portion)

 

2009

 

2008

 

Commodity contracts

 

 

(2

)

Cost of goods sold

 

(2

)

(1

)

 

Derivatives Not
Designated as Hedging

 

Classification of Gain (Loss)

 

Amount of Gain (Loss)
Recognized in Income

 

 

 

 

 

Relationships

 

Recognized in Income

 

2009

 

2008

 

 

 

 

 

Foreign exchange contracts

 

Other income (expense)

 

(26

)

(39

)

 

 

 

 

 

19) FINANCIAL INSTRUMENTS AND FAIR VALUE MEASUREMENTS

 

Financial Instruments

 

The carrying amounts for cash and cash equivalents, accounts receivable, other current assets, accounts payable and other current liabilities, excluding liabilities subject to compromise, approximate their fair value because of the short-term maturities of these instruments.  The fair value of debt is based primarily on quoted market values.  For debt that has no quoted market value, the fair value is estimated by discounting projected future cash flows using the Company’s incremental borrowing rate.  The fair value of the foreign currency forward contracts is the amount at which the contracts could be settled based on current spot rates.  The fair value of price swap contracts is the amount at which the contracts could be settled based on independent quotes.

 

The following table presents the carrying amounts and estimated fair values of material financial instruments used by the Company in the normal course of its business:

 

 

 

2009

 

2008

 

 

 

Carrying

 

Fair

 

Carrying

 

Fair

 

(In millions)

 

Amount

 

Value

 

Amount

 

Value

 

 

 

 

 

 

 

 

 

 

 

Total debt

 

$

(1,430

)

$

(1,459

)

$

(1,204

)

$

(850

)

Foreign currency forward contracts

 

$

 

$

 

$

34

 

$

34

 

Price swap contracts

 

$

 

$

 

$

(2

)

$

(2

)

 

Total debt includes liabilities subject to compromise with a carrying amount of $1.2 billion (fair value of $1.2 billion).

 

Fair Value Measurements

 

Effective January 1, 2008, the Company adopted the provisions of guidance now codified under ASC 820 with respect to its financial assets and liabilities that are measured at fair value within the financial statements on a recurring basis.  ASC 820 specifies a hierarchy of valuation techniques based on whether the inputs to those valuation techniques are observable or unobservable.  Observable inputs reflect market data obtained from independent sources, while unobservable inputs reflect the Company’s market assumptions.  The fair value hierarchy specified by ASC 820 is as follows:

 

·                 Level 1 — Quoted prices in active markets for identical assets and liabilities.

·                 Level 2 — Quoted prices for similar assets and liabilities in active markets, quoted prices for identical or similar assets and liabilities in markets that are not active or other inputs that are observable or can be corroborated by observable market date.

·                 Level 3 — Unobservable inputs that are supported by little or no market activity and that are significant to the fair value of the assets and liabilities.

 

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Table of Contents

 

The following table presents the Company’s assets and liabilities that are measured and carried at fair value on a recurring basis.

 

 

 

2009

 

2008

 

(In millions)

 

Level 1

 

Level 2

 

Level 1

 

Level 2

 

Assets

 

 

 

 

 

 

 

 

 

Derivative instruments (a)

 

$

 

$

 

$

 

$

58

 

Investments held in trust related to a nonqualified deferred compensation plan (b)

 

1

 

 

1

 

 

Assets at fair value

 

$

1

 

$

 

$

1

 

$

58

 

 

 

 

 

 

 

 

 

 

 

Liabilities

 

 

 

 

 

 

 

 

 

Derivative instruments (a)

 

$

 

$

 

$

 

$

26

 

Deferred compensation liability (b)

 

1

 

 

1

 

 

Liabilities at fair value

 

$

1

 

$

 

$

1

 

$

26

 

 


(a)         Derivative instruments include foreign currency forward contracts and commodity price swaps.  These fair values were measured based upon quoted prices for similar assets and liabilities in active markets.

(b)        Represents the deferral of compensation, the Company’s match and investment earnings related to the Company’s Supplemental Savings Plan. These securities are considered general assets of the Company until distributed to the participant and are included in other assets in the Consolidated Balance Sheets. A corresponding liability is included in liabilities subject to compromise at December 31, 2009 and other liabilities at December 31, 2008 in the Consolidated Balance Sheets. Quoted market prices were used to determine fair values of the investments held in a trust with a third-party brokerage firms.

 

Level 3 fair value measurements are utilized by the Company in its impairment reviews of Goodwill (see Note 10 — Goodwill and Intangible Assets).  Fair value measurements of benefit plan assets included in net benefit plan liabilities are discussed in Note 17 — Pension and Other Post-Retirement Plans.

 

20) ASSET RETIREMENT OBLIGATIONS

 

The Company applies the provisions of guidance now codified under ASC Topic 410, Asset Retirements and Environmental Obligations (“ASC 410”), which require companies to make estimates regarding future events in order to record a liability for asset retirement obligations in the period in which a legal obligation is created.  Such liabilities are recorded at fair value, with an offsetting increase to the carrying value of the related long-lived assets.  The fair value is estimated by discounting projected cash flows over the estimated life of the assets using the Company’s credit adjusted risk-free rate applicable at the time the obligation is initially recorded.  In future periods, the liability is accreted to its present value and the capitalized cost is depreciated over the useful life of the related asset.  The Company also adjusts the liability for changes resulting from revisions to the timing or the amount of the original estimate.  Upon retirement of the long-lived asset, the Company either settles the obligation for its recorded amount or incurs a gain or loss.

 

The Company’s asset retirement obligations include estimates for all asset retirement obligations identified for its worldwide facilities.  The Company’s asset retirement obligations are primarily the result of legal obligations for the removal of leasehold improvements and restoration of premises to their original condition upon termination of leases at approximately 22 facilities, legal obligations to close approximately 95 brine supply, brine disposal, waste disposal, and hazardous waste injection wells and the related pipelines at the end of their useful lives, and decommissioning and decontamination obligations that are legally required to be fulfilled upon closure of approximately 37 of the Company’s manufacturing facilities.

 

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The following is a summary of the change in the carrying amount of the asset retirement obligations during 2009 and 2008, the net book value of assets related to the asset retirement obligations at December 31, 2009 and 2008 and the related depreciation expense recorded in 2009 and 2008.

 

(In millions)

 

2009

 

2008

 

Asset retirement obligation balance at beginning of year

 

$

23

 

$

26

 

Liabilities assumed (includes purchase accounting adjustments)

 

 

2

 

Accretion expense — cost of goods sold (a)

 

4

 

4

 

Payments

 

(2

)

(8

)

Foreign currency translation

 

1

 

(1

)

Asset retirement obligation balance at end of year

 

$

26

 

$

23

 

 

 

 

 

 

 

Net book value of asset retirement obligation assets at end of year

 

$

2

 

$

2

 

 

 

 

 

 

 

Depreciation expense

 

$

1

 

$

1

 

 


(a) The 2009 and 2008 accretion expense included $1 million and $3 million, respectively, primarily due to the acceleration of the recognition of asset retirement obligations for several of the Company’s leased sites and manufacturing facilities resulting from revisions to the estimated lease termination or closure dates.

 

At December 31, 2009, $9 million of the asset retirement obligation balance was included in accrued expenses, $15 million was included in other liabilities and $2 million was included in liabilities subject to compromise on the Consolidated Balance Sheet.  At December 31, 2008, $7 million was included in accrued expenses and $16 million was included in other liabilities on the Consolidated Balance Sheet.

 

21) LEGAL PROCEEDINGS AND CONTINGENCIES

 

The Company is involved in claims, litigation, administrative proceedings and investigations of various types in a number of jurisdictions.  A number of such matters involve, or may involve, claims for a material amount of damages and relate to or allege environmental liabilities, including clean-up costs associated with hazardous waste disposal sites, natural resource damages, property damage and personal injury.  As a result of the Chapter 11 cases, substantially all pre-petition litigation and claims against the Debtors have been stayed.  Accordingly, unless indicated otherwise, each case described below is stayed.

 

Chapter 11 Claims Assessment

 

The Bankruptcy Court established October 30, 2009 as the Bar Date.  Under certain limited circumstances, some creditors may be permitted to file proofs of claim after the Bar Date.  Accordingly, it is possible that not all potential proofs of claim were filed as of the filing of this Annual Report.

 

As of March 5, 2010, the Debtors have received approximately 15,300 proofs of claim covering a broad array of areas.  Approximately 8,000 proofs of claim have been asserted in “unliquidated” amounts or contain an unliquidated component that are treated as being asserted in “unliquidated” amounts.  Excluding proofs of claim in “unliquidated” amounts, the aggregate amount of proofs of claim filed totaled approximately $23.6 billion.  The table below summarizes the proofs of claim by type and amount (in millions) as of the filing of this Annual Report.

 

Claim Type

 

No. of Claims

 

Amount

 

Environmental

 

254

 

$

247

 

Litigation

 

10,742

 

9,361

 

PBGC

 

324

 

13,634

 

Employee, Benefits & Wages

 

1,115

 

43

 

Bond

 

32

 

152

 

Trade

 

1,985

 

154

 

503(b)(9)

 

68

 

6

 

Other

 

783

 

41

 

Total

 

15,303

 

$

23,638

 

 

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The Company is in the process of evaluating the amounts asserted in and the factual and legal basis of the proofs of claim filed against the Debtors.  Based upon the Company’s initial review and evaluation, which is continuing, a significant number of proofs of claim are duplicative and/or legally or factually without merit.  As to those claims, the Company has filed or intends to file objections with the Bankruptcy Court.  On February 23, 2010, in response to the Company’s omnibus objections filed on February 2, 2010 to approximately 4,300 proofs of claim, the Bankruptcy Court expunged 4,147 proofs of claim totaling approximately $46 million.  Since the Bar Date and as of March 5, 2010, 883 proofs of claim have been withdrawn totaling approximately $12 million.  The Pension Benefit Guaranty Corporation (“PBGC”) filed 324 proofs of claim totaling $13.6 billion.  The Company believes that these proofs of claim are duplicative as 12 proofs of claim have been filed against each of the 27 Debtors.   Excluding the duplicative proofs of claim, the PBGC filed 12 proofs of claim totaling approximately $500 million.

 

The Company has recognized $73 million as changes in estimates related to expected allowable claims in liabilities subject to compromise in the Consolidated Financial Statements.  As the Debtors complete the process of evaluating and/or resolving the proofs of claim, appropriate adjustments to the Consolidated Financial Statements will be made.  Adjustments may also result from actions of the Bankruptcy Court, settlement negotiations, rejection of executory contracts and real property leases, determination as to the value of any collateral securing claims and other events.  For additional information on liabilities subject to compromise, see Note 4 — Liabilities Subject to Compromise and Reorganization Items, Net in the Notes to Consolidated Financial Statements.

 

Environmental Liabilities

 

The Company is involved in environmental matters of various types in a number of jurisdictions.  A number of such matters involve claims for material amounts of damages and relate to or allege environmental liabilities, including clean up costs associated with hazardous waste disposal sites and natural resource damages.  As part of the Chapter 11 cases, the Debtors expect to retain responsibility for environmental cleanup liabilities relating to currently owned or operated sites (i.e., sites that remain part of the Debtors’ estate) and discharge in the Chapter 11 cases liabilities relating to formerly owned or operated sites and third-party sites (i.e., sites that are no longer or never were part of the Debtors’ estate).  To that end, on November 3, 2009, the Debtors initiated an Adversary Proceeding against the United States and various States seeking a ruling from the Bankruptcy Court that the Debtors’ liabilities with respect to formerly owned or operated sites and third-party sites are dischargeable in the Chapter 11 cases.  On January 19, 2010, the Debtors filed an amended complaint.  In view of the issues of law raised in the pleadings, estimates relating to environmental liabilities with respect to formerly owned or operated sites and third-party sites, or offers made to settle such liabilities, are classified as liabilities subject to compromise in the Company’s Consolidated Balance Sheet.  See Note 4 — Liabilities Subject to Compromise and Reorganization Items, Net.

 

Each quarter, the Company evaluates and reviews estimates for future remediation and other costs to determine appropriate environmental reserve amounts.  For each site where the cost of remediation is probable and reasonably estimable, the Company determines the specific measures that are believed to be required to remediate the site, the estimated total cost to carry out the remediation plan, the portion of the total remediation costs to be borne by the Company and the anticipated time frame over which payments toward the remediation plan will occur. At sites where the Company expects to incur ongoing operation and maintenance expenditures, the Company accrues on an undiscounted basis for a period of generally 10 years those costs which the Company believes are probable and reasonably estimable.  In addition, where settlement offers have been extended to resolve an environmental liability as part of the Chapter 11 cases, the amounts of those offers have been accrued and are reflected in the Consolidated Balance sheet as liabilities subject to compromise.  See Note 4 — Liabilities Subject to Compromise and Reorganization Items, Net.

 

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The total amount accrued for such environmental liabilities as of December 31, 2009 and December 31, 2008, was $122 million and $107 million, respectively.  At December 31, 2009 and December 31, 2008, $16 million and $12 million, respectively, of these environmental liabilities were reflected as accrued expenses, $64 million and $95 million, respectively, were reflected as other liabilities and as of December 31, 2009, $42 million was classified as liabilities subject to compromise on the Consolidated Balance Sheets.  The Company estimates that environmental liabilities could range up to $164 million at December 31, 2009.  The Company’s accruals for environmental liabilities include estimates for determinable clean-up costs.  The Company recorded a pre-tax charge of $20 million in 2009, $5 million in 2008 and $4 million in 2007, to increase its environmental liabilities and made payments of $9 million in 2009 and $15 million in 2008 for clean-up costs, which reduced its environmental liabilities.  At certain sites, the Company has contractual agreements with certain other parties to share remediation costs.  The Company has a receivable of $12 million at December 31, 2009 and December 31, 2008 to reflect probable recoveries.  At a number of these sites, the extent of contamination has not yet been fully investigated or the final scope of remediation is not yet determinable. The Company intends to assert all meritorious legal defenses and will pursue other equitable factors that are available with respect to these matters. However, the final cost of clean-up at these sites could exceed the Company’s present estimates, and could have, individually or in the aggregate, a material adverse effect on the Company’s financial condition, results of operations or cash flows.  The Company’s estimates for environmental remediation liabilities may change in the future should additional sites be identified, further remediation measures be required or undertaken, current laws and regulations be modified or additional environmental laws and regulations be enacted, and as negotiations with respect to certain sites continue or as certain liabilities relating to such sites are resolved as part of the Chapter 11 cases.

 

The Comprehensive Environmental Response, Compensation and Liability Act of 1980, as amended (“CERCLA”), and comparable state statutes, impose strict liability upon various classes of persons with respect to the costs associated with the investigation and remediation of waste disposal sites.  Such persons are typically referred to as “Potentially Responsible Parties” or PRPs.  The Company and several of its subsidiaries have been identified by federal, state or local governmental agencies or by other PRPs, as a PRP at various locations in the United States.  Because in certain circumstances these laws have been construed to authorize the imposition of joint and several liability, the Environmental Protection Agency (“EPA”) and comparable state agencies could seek to recover all costs involving a waste disposal site from any one of the PRPs for such site, including the Company, despite the involvement of other PRPs.  In many cases, the Company is one of a large number of PRPs with respect to a site.  In a few instances, the Company is the sole or one of only a handful of PRPs performing investigation and remediation.  Where other financially responsible PRPs are involved, the Company expects that any ultimate liability resulting from such matters will be apportioned between the Company and such other parties.  The Company presently anticipates that many, if not all, of the Debtors’ CERCLA and comparable liabilities with respect to pre-petition activities and relating to third-party waste sites will be resolved as part of the Chapter 11 cases.  In addition, the Company is involved with environmental remediation and compliance activities at some of its current and former sites in the United States and abroad.  The more significant of these matters are described below.  As discussed above, the Debtors presently intend to retain environmental clean up responsibility at currently owned or operated sites and discharge in the Chapter 11 cases liabilities relating to formerly owned or operated sites and third-party sites.

 

Governmental Investigation Alleging Violations of Environmental Laws

 

Conyers - Clean Air Act Investigation — The U.S. EPA is investigating alleged violations of law by the Company arising out of the General Duty Clause of the Clean Air Act, the emergency release notification requirements of CERCLA and/or the Emergency Planning and Community Right to Know Act, and the Clean Water Act and is seeking a penalty and other relief in excess of one hundred thousand dollars. The Company intends to assert all meritorious legal defenses to these alleged violations and will continue to assess relevant facts and attempt to negotiate an acceptable resolution with the EPA. The Company does not believe that the resolution of this matter will have a material adverse effect on the Company’s financial condition, results of operation or cash flows.

 

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Litigation and Claims

 

Tricor

 

This case involves two related properties in Bakersfield, California; the Oildale Refinery (the “Refinery”) and the Mt. Poso Tank Farm (“Mt. Poso”). The Refinery and Mt. Poso were previously owned and operated by a division of Witco Corp., a predecessor of the Company. In 1997, the Refinery and portions of Mt. Poso were sold to Golden Bear Acquisition Corp. Under the terms of sale, Witco retained certain environmental obligations with respect to the Refinery and Mt. Poso. Golden Bear operated the refinery for several years before filing bankruptcy in 2001. Tricor Refining LLC (“Tricor”) purchased the Refinery and related assets out of bankruptcy. In 2004, Tricor commenced an action against the Company alleging that the Company failed to comply with its obligations under an environmental agreement that was assumed by Tricor when it acquired the assets of Golden Bear.

 

The case was bifurcated and in July 2007, the California Superior Court, Kern County, entered an interlocutory judgment finding liability against the Company based on breach of contract.  Thereafter, Tricor elected to terminate the contract and seek monetary damages in the amount of $31 million (plus attorneys fees) based on the alleged cost of cleaning up the Refinery.  The damages phase of the trial began in November 2008 and the testimony phase of the trial was completed on March 16, 2009.  The Company calculated cleanup costs at approximately $2 million.  Post-trial briefing of the case was stayed by the Chapter 11 cases, but the stay was subsequently lifted by stipulation of the parties and approval of the Bankruptcy Court.  Briefing was concluded on November 3, 2009.  On January 28, 2010, the California Superior Court rendered a judgment awarding damages to Tricor in the amount of approximately $3 million including interest and costs.  Tricor did not seek damages with respect to Mt. Poso, and the parties have entered into a tolling agreement relating to this aspect of the case.  The California Court’s decision relieved Tricor of any obligation to take title to any portion of Mt. Poso.  While Tricor has a right to appeal, the Company does not believe that the resolution of this matter will have a material adverse effect on the Company’s results of operations, financial condition or cash flows.

 

Conyers

 

The Company and certain of its former officers and employees were named as defendants in five putative state class action lawsuits filed in three counties in Georgia and one putative class action lawsuit filed in the United States District Court for the Northern District of Georgia pertaining to the fire at the Company’s Conyers, Georgia warehouse on May 25, 2004.  Of the five putative state class actions, two were voluntarily dismissed by the plaintiffs, leaving three such lawsuits, all of which are now pending in the Superior Court of Rockdale County, Georgia.  These remaining putative state class actions, as well as the putative class action pending in federal district court, seek recovery for economic and non-economic damages allegedly arising from the fire.  Punitive damages are sought in the Davis case in Rockdale County, Georgia and in the Martin case in the United States District Court for the Northern District of Georgia.  The Martin case also seeks a declaratory judgment to reform certain settlements, as well as medical monitoring and injunctive relief.

 

The Company was also named as a defendant in fifteen lawsuits filed by individual or multi-party plaintiffs in the Georgia and Federal courts pertaining to the May 25, 2004 fire at its Conyers, Georgia warehouse.  Eight of these lawsuits remain.  The plaintiffs in these remaining lawsuits seek recovery for economic and non-economic damages, including punitive damages in five of the eight remaining lawsuits.  One of the lawsuits, the Diana Smith case, was filed in the United States District Court for the Northern District of Georgia against the Company, as well as the City of Conyers and Rockdale County, and included allegations similar to those in the other lawsuits noted above, but adding claims for alleged civil rights violations, federal Occupational Safety and Health Administration violations, Georgia Racketeer Influenced and Corrupt Organizations Act violations, criminal negligence, reckless endangerment, false imprisonment, and kidnapping, among other claims.  The federal law claims were dismissed with prejudice and the state law claims were dismissed without prejudice.  The Court has also dismissed without prejudice the plaintiffs’ claims against the City of Conyers and Rockdale County. The Diana Smith case was subsequently refiled.  In 2008, the Company moved to dismiss certain of the refiled claims.  The court granted the Company’s motion in March of 2008.  Plaintiffs have appealed the dismissal of these claims.  The remainder of the plaintiffs’ claims are proceeding.

 

The Debtors are currently in discussions with the claimants to resolve their claims amicably.  In addition, at the time of the fire, the Company maintained, and continues to maintain, property and general liability insurance.  The Company believes that its general liability policies will adequately cover any third-party claims and legal and processing fees in excess of the amounts that were recorded through December 31, 2009.

 

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Albemarle Corporation

 

In May 2002, Albemarle Corporation filed two complaints against the Company in the United States District Court for the Middle District of Louisiana, one alleging that the Company infringed three process patents held by Albemarle Corporation relating to bromine vacuum tower technology, and the other alleging that the Company infringed or contributed to or induced the infringement of a patent relating to the use of decabromodiphenyl ethane as a flame retardant in thermoplastics. On a motion by the Company and over Albemarle’s objection, the cases were consolidated.  In addition, the Company filed a counterclaim with the District Court in the flame retardant cases, alleging, among other things, that the Albemarle patent is invalid or was obtained as a result of inequitable conduct from the United States Patent and Trademark Office.  In March 2004, Albemarle amended its consolidated complaint to add additional counts of patent infringement and trade secret violations.  On October 25, 2005, Albemarle filed a complaint against the Company and Great Lakes Chemical Corporation in the United States District Court for the Middle District of Louisiana alleging that the Company and Great Lakes infringed a recently granted U.S. patent held by Albemarle relating to a decabromodiphenyl ethane “wet cake” intermediate product.  On December 24, 2009, the Company and Abemarle reached a settlement agreement whereby each company granted cross-licenses to the other with respect to each other’s decabromodiphenyl ethane products, as well as other terms and conditions.  On January 21, 2010, the settlement was approved by the Bankruptcy Court.  On January 29, 2010, the two complaints in the Middle District of Louisiana were dismissed with prejudice.  This matter is now concluded.

 

Diacetyl Litigation

 

Beginning in 2004, food industry factory workers began alleging that exposure to diacetyl, a butter flavoring ingredient widely used in the food industry between 1982 and 2005, caused respiratory illness.  Product liability actions were filed throughout the United States alleging that diacetyl was defectively designed and manufactured and that diacetyl manufacturers and distributors had failed to properly warn the end users of diacetyl’s dangers.  Currently, there are eighteen diacetyl lawsuits pending against the Company and/or Chemtura Canada Co./Cie (“Chemtura Canada”), a wholly-owned subsidiary, among others.

 

On June 17, 2009, the Company filed an Adversary Proceeding in the Bankruptcy Court seeking to extend the automatic stay to Chemtura Canada, a non-debtor, and Citrus & Allied Essences, Ltd. (“Citrus”), Chemtura Canada’s exclusive reseller in North America, in connection with all current and future product liability actions involving diacetyl.  The Bankruptcy Court granted the Company’s request for a temporary restraining order on June 23, 2009.  The Company also filed a motion seeking to transfer existing diacetyl-related claims against the Company, Chemtura Canada and Citrus to the U.S. District Court for the Southern District of New York, with the goal of resolving the diacetyl litigation as effectively and expeditiously as possible.  That motion was granted by Order dated January 22, 2010 and the District Court referred all transferred and consolidated claims to the Bankruptcy Court for resolution.

 

The Company believes that it and Chemtura Canada have significant insurance coverage with respect to these claims, subject to various self-insured retentions, limits and terms of coverage.  The first layer carriers who issued “occurrence” based policies to the Company and Chemtura Canada, which policies should provide coverage for these diacetyl claims, are all American International Group (“AIG”) companies.  AIG has reserved its rights to deny coverage under those policies with respect to the Company and Chemtura Canada.  On February 4, 2010, AIG filed a lawsuit against Chemtura Canada and Zurich Insurance Company in the Supreme Court of New York seeking, among other things, a declaration relieving AIG of its coverage obligations with respect to Chemtura Canada.  In addition, AIG filed a motion to lift the automatic stay seeking to add the Company to its state court lawsuit so that AIG could seek a determination of its coverage obligations as to the Company.  The Company has opposed that motion.  On February 25, 2010, Chemtura Canada filed a notice of removal of the AIG lawsuit to the US District Court for the Southern District of New York.  On March 3, 2010, the Company and Chemtura Canada filed an Adversary Proceeding in the Bankruptcy Court against AIG, seeking a declaration of AIG’s obligations to indemnify and defend both Chemtura and Chemtura Canada, subject to various self-insured retentions, limits and terms of coverage.  While the Company believes that the issues concerning insurance coverage for these matters should be resolved in the Bankruptcy Court, no determination has yet been made by the court concerning which action shall proceed or in which such action will proceed.

 

The diacetyl claims could, either individually or in the aggregate, have a material adverse effect on the Company’s financial condition, results of operations or cash flows.  The Company has developed a range of the estimated loss for diacetyl-related claims.  As of December 31, 2009, the Company has recorded a liability related to these claims at the minimum of this range.

 

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Biolab UK

 

This matter involves a criminal prosecution by United Kingdom (“UK”) authorities against Biolab UK Limited (“Biolab UK”) arising out of a September 4, 2006 fire at Biolab UK’s warehouse in Andoversford Industrial Estate near Cheltenham.  The exact cause of the fire has not been determined.  In this matter, it is alleged that the fire caused a water main at the warehouse to melt, and that the combination of contaminated fire suppression water and water from the melted water main overloaded the facility’s water containment system, causing that water to flow off the warehouse property and into the River Coln, a public river.  The event is alleged to have caused a fish kill and environmental damage.  The fire is also alleged to have caused a plume of smoke to travel from the facility, resulting in the evacuation of nearby residences and businesses, as well as a small property damage claim which has been resolved, and one personal injury claim which is pending.  On July 14, 2009, the UK Environmental Agency (“EA”) commenced a criminal action against Biolab UK.  The EA brought 5 charges, one charge alleging pollution of controlled waters (the River Coln) in violation of the Water Resources Act 1991 (“WRA”), a strict liability statute, and four charges alleging various violations of the Control of Major Accident Hazards Regulations 1999 (“COMAH”).  This matter is currently pending in the Magistrate’s Court in Gloucester County.  The Company is defending this action, and expert evaluation is currently in progress.

 

Each quarter the Company evaluates and reviews pending claims and litigation to determine the amount, if any, that should be accrued with respect to such matters.  As of December 31, 2009 and December 31, 2008, the Company’s accrual for probable and reasonably estimable liabilities in the legal proceedings described above is immaterial.  In addition, the related receivable to reflect probable insurance recoveries is also immaterial.

 

The Company intends to assert all meritorious legal defenses and will pursue other equitable factors that are available with respect to these matters.  The resolution of the legal proceedings now pending or hereafter asserted against the Company could require the Company to pay costs or damages in excess of its present estimates, and as a result could, either individually or in the aggregate, have a material adverse effect on the Company’s financial condition, results of operations or cash flows.

 

In addition to the matters referred to above, the Company is subject to routine litigation in connection with the ordinary course of its business.  These routine matters have not had a material adverse effect on the Company, its business or financial condition in the past, and the Company does not expect these litigations, individually or in the aggregate, to have a material adverse effect on its business or its financial condition in the future, but it can give no assurance that such will be the case.

 

Antitrust Investigations and Related Matters

 

Rubber Chemicals

 

On May 27, 2004, the Company pled guilty to one-count charging the Company with participating in a combination and conspiracy to suppress and eliminate competition by maintaining and increasing the price of certain rubber chemicals sold in the United States and elsewhere during the period July 1995 to December 2001.  The U.S. federal district court imposed a fine of $50 million, payable in six annual installments, without interest, beginning in 2004.  In light of the Company’s cooperation with the U.S. Department of Justice (“DOJ”), the court did not impose any period of corporate probation.  On May 28, 2004, the Company pled guilty to one count of conspiring to lessen competition unduly in the sale and marketing of certain rubber chemicals in Canada.  The Canadian federal court imposed a sentence requiring the Company to pay a fine of CDN $9 million (approximately U.S. $7 million), payable in six annual installments, without interest, beginning in 2004.  The Company paid (in U.S. dollars) $2 million in 2005, $7 million in 2006, $12 million in 2007 and $17 million in 2008.  A reserve of $10 million was included in liabilities subject to compromise at December 31, 2009 and a reserve of $18 million was included in accrued expenses at December 31, 2008.  On May 26, 2009, the U.S. District Court for the Northern District of California signed a joint stipulation and order modifying the fine and the payment schedule for the final installment of $16 million of the original $50 million due to be paid on May 27, 2009.  Under the court’s order, the Company will pay a total of $10 million in four installments: $2.5 million on or before June 30, 2009; $2.5 million on or before December 31, 2009; $2.5 million on or before June 30, 2010; and $2.5 million on or before December 31, 2010.  The Company also negotiated an agreement with Canadian authorities whereby the Company would pay a total of CDN $1.8 million (approximately U.S. $1.6 million) in satisfaction of the outstanding amount on the Canadian fine according to the following schedule:  CDN $450,000 (approximately U.S. $390,000) on or before June 30, 2009; CDN $450,000 (approximately U.S. $390,000) on or before December 31, 2009; CDN $450,000 (approximately U.S. $390,000) on or before June 30, 2010; and CDN $450,000 (approximately U.S. $390,000) on or before December 31, 2010.  After receiving Bankruptcy Court approval, the Company paid the first and second installments of $5 million and CDN $0.9 million (approximately U.S. $0.8 million) in July 2009 and December 2009.

 

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European Union (“EU”) Investigations

 

The Company and certain of its subsidiaries (collectively referred to as the “Company” in this paragraph) were subjects of an investigation conducted by the European Commission (“EC”) with respect to possible antitrust violations relating to the sale and marketing of various classes of heat stabilizers. Such investigations concerned anticompetitive practices, including price fixing and customer or market allocations, undertaken by the Company and certain of its officers and employees.  The Company cooperated with the EC’s investigation.  As a result, the Company received from the EC written assurances of conditional amnesty with respect to certain classes of heat stabilizers. The assurances of amnesty were conditioned upon several factors, including continued cooperation with the EC.  The Company continued to actively cooperate with the EC regarding the heat stabilizer investigation.  On November 11, 2009, the EC issued a final decision, imposing fines totaling €173 million (approximately $260 million) on ten different companies that were found to have engaged in illegal cartel activities between 1987 and 2001, and confirming that the Company, although found to have participated in the cartel, would not be subject to any fine as a result of the immunity granted to the Company.  This matter is now concluded.

 

Civil Lawsuits

 

The actions described below under “U.S. Civil Antitrust Actions” are in various procedural stages of litigation. Although the actions described below have not had a material adverse impact on the Company, the Company cannot predict the outcome of any of those actions. The Company will seek cost-effective resolution of the various pending and threatened legal proceedings against the Company; however, the resolution of any civil claims now pending or hereafter asserted against the Company could have a material adverse effect on the Company’s financial condition, results of operations or cash flows.  The Company has established as of December 31, 2009 reserves for all direct and indirect purchaser claims, as further described below.

 

U.S. Civil Antitrust Actions

 

Direct and Indirect Purchaser Lawsuits - The Company, individually or together with its subsidiary Uniroyal Chemical Company, Inc., now merged into Chemtura Corporation (referred to as “Uniroyal” for the purpose of the descriptions below), and other companies, are defendants in various proceedings filed in state and federal courts, as described below.

 

Federal Lawsuits - The Company and certain of its subsidiaries are defendants in two lawsuits pending in the federal courts.  One of these suits is a Massachusetts indirect purchaser claim premised upon violations of state law.  The suit was originally filed in Massachusetts state court in May 2005 as an indirect purchaser action, and was subsequently removed to the United States District Court, District of Massachusetts.  The complaint initially related to purchases of any product containing rubber and urethane products, defined to include EPDM, nitrile rubber and urethanes, but is now limited to urethanes only.  On September 12, 2008, the Company received final court approval of a settlement agreement covering this action.  The other suit, described separately below under the sub-heading “Bandag,” was originally filed as a direct purchaser suit on June 29, 2006 in the United States District Court, Middle District of Tennessee and was subsequently transferred to the United States District Court, Northern District of California.  In both of these actions, and in all actions pending in state courts (further described below), the plaintiffs seek, among other things, treble damages, costs (including attorneys’ fees) and injunctive relief preventing further violations of the improper conduct alleged in the complaint.  Neither of these federal suits is expected to have a material adverse effect on the Company’s financial condition, results of operations or cash flows.

 

Bandag - This suit was originally brought by Bridgestone Americas Holding, Inc, Bridgestone Firestone North American Tire, LLC, and Pirelli Tire, LLC (all of whom have since settled) along with the remaining plaintiff, Bandag Incorporated (n/k/a/ Bridgestone Bandag, LLC), with respect to purchases of rubber chemicals from the Company, Uniroyal and several of the world-wide leading suppliers of rubber chemicals.  This suit alleges that the Company and Uniroyal, along with other rubber chemical manufacturers, conspired to fix the prices of rubber chemicals, and to divide the rubber chemicals markets in violation of Section 1 of the Sherman Act.  Bandag Incorporated, a designer and manufacturer of tire re-treading, directly purchased from the Company and from the other defendants to this suit, and in doing so, claims to have paid artificially inflated prices for rubber chemicals. Bandag has requested treble damages, costs (including attorneys’ fees) and such other relief as the court may deem appropriate.  The Company has agreed to utilize binding arbitration to try the claims at issue in this action.  The arbitration hearings were held on March 4 through March 6, 2009.  On May 5, 2009, the Bankruptcy Court entered an order modifying the automatic stay to allow the arbitration to proceed in order to liquidate the amount of this pre-petition claim.  On July 28, 2009, the arbitration panel issued its decision, awarding Bandag damages in the amount of $8 million and attorneys’ fees in the amount of $6 million.  On September 4, 2009, the District Court for the Northern District of California confirmed the arbitration panel’s award and entered a judgment against the Company in the amount of $14 million.  This judgment is subject to compromise in the Company’s Chapter 11 cases.

 

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State Lawsuits - The Company, individually or together with Uniroyal, are defendants in certain indirect purchaser antitrust class action lawsuits filed in state courts involving the sale of urethanes and urethane chemicals.  The complaints in these actions principally allege that the defendants conspired to fix, raise, maintain or stabilize prices for urethanes and urethane chemicals, sold in the United States in violation of certain antitrust statutes and consumer protection and unfair or deceptive practices laws of the relevant jurisdictions and that this caused injury to the plaintiffs who paid artificially inflated prices for such products as a result of such alleged anticompetitive activities.  There are currently 13 state complaints pending.  On September 12, 2008, the Company received final court approval of a settlement agreement covering one of these actions.  In addition, on December 23, 2008, the Company received preliminary court approval of a settlement agreement covering the remaining 12 complaints, all of which are pending in a coordinated proceeding in the Superior Court of the State of California for the County of San Francisco.  None of these state lawsuits individually or in the aggregate are expected to have a material adverse effect on the Company financial condition, results of operations or cash flows.

 

Australian Civil Antitrust Matters

 

On September 27, 2007, the Company and one of its subsidiaries (collectively referred to as the “Company” in this paragraph) were sued in the Federal Court of Australia for alleged price fixing violations with respect to the sale of rubber chemicals in Australia.  The applicant filed an amended Statement of Claim on November 21, 2008.  The Company’s application to have the amended Statement of Claim struck was granted on November 6, 2009.  The applicant has lodged an application for leave to appeal that decision which is scheduled to be heard on March 4, 2010.  The Company has also lodged an application to have the proceeding dismissed on the basis that, at this stage, there is no statement of claim before the Federal Court.  The Company’s application is scheduled to be heard on February 10, 2010.  The Company does not expect this matter to have a material adverse effect on its financial condition, results of operations or cash flows.

 

Federal Securities Class Action

 

The Company, certain of its former officers and directors (the “Crompton Individual Defendants”), and certain former directors of the Company’s predecessor Witco Corp. are defendants in a consolidated class action lawsuit, filed on July 20, 2004, in the United States District Court, District of Connecticut (the “Federal District Court”), brought by plaintiffs on behalf of themselves and a class consisting of all purchasers or acquirers of the Company’s stock between October 1998 and October 2002 (the “Federal Securities Class Action”).  The consolidated amended complaint principally alleges that the Company and the Crompton Individual Defendants caused the Company to issue false and misleading statements that violated the federal securities laws by reporting inflated financial results resulting from an alleged illegal, undisclosed price-fixing conspiracy.  The putative class includes former Witco Corp. shareholders who acquired their securities in the Crompton-Witco merger pursuant to a registration statement that allegedly contained misstated financial results.  The complaint asserts claims against the Company and the Crompton Individual Defendants under Section 11 of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 promulgated thereunder.  Plaintiffs also assert claims for control person liability under Section 15 of the Securities Act of 1933 and Section 20 of the Securities Exchange Act of 1934 against the Crompton Individual Defendants. The complaint also asserts claims for breach of fiduciary duty against certain former directors of Witco Corp. for actions they allegedly took as Witco Corp. directors in connection with the Crompton-Witco merger. The plaintiffs seek, among other things, unspecified damages, interest, and attorneys’ fees and costs. The Company and the Crompton Individual Defendants filed a motion to dismiss the complaint on September 17, 2004 and the former directors of Witco Corp. filed a motion to dismiss the complaint in February 2005.  On November 28, 2008, the parties signed a settlement agreement (the “November 2008 Settlement Agreement”).  The Federal District Court granted preliminary approval of the November 2008 Settlement Agreement on December 12, 2008 and scheduled a June 12, 2009 final approval hearing which hearing was subsequently rescheduled for November 11, 2009.  The November 2008 Settlement Agreement provided for payment by or on behalf of defendants of $21 million.

 

On September 17, 2009, the Federal District Court entered an order cancelling the final approval hearing of the November 2008 Settlement Agreement due to the automatic stay resulting from Chapter 11 cases.  The Federal District Court also denied on December 31, 2009 the motions to dismiss the complaint filed by the Company, the Crompton Individual Defendants and the former directors of Witco Corp.  The motions to dismiss were denied without prejudice to renew following resolution of the Chapter 11 cases.  In October 2009, the Bankruptcy Court issued an Order authorizing the Company to enter into a settlement stipulation requiring the return of $9 million that the Company transferred to the plaintiffs prior to its Chapter 11 filing in connection with the November 2008 Settlement Agreement (the “Pre-Petition Payment”).  The Company entered into such settlement stipulation, and $9 million was returned to the Company.  On October 20, 2009, the Federal District Court granted defendants’ uncontested motion to extend their time to respond to the complaint in the Federal Securities Class Action until twenty-one days after a Plan for the Company confirmed in the Chapter 11 cases becomes effective.

 

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Legal Accruals

 

At December 31, 2009, the Company had an accrual of $125 million which was classified as liabilities subject to compromise for the litigation and claims described above and at December 31, 2008, the Company had an accrual of $30 million which was classified as accrued expenses, relating to the remaining U.S. direct and indirect purchaser lawsuits, and the federal securities class action lawsuit described under “Federal Securities Class Action.”  The Company periodically reviews its accruals as additional information becomes available, and may adjust its accruals based on actual settlement offers and other later occurring events.

 

The reserve activity for antitrust related litigation is summarized as follows:

 

 

 

 

 

 

 

 

 

Civil Case
Reserves

 

 

 

Governmental Reserves

 

U.S. Civil

 

(In millions)

 

U.S. DOJ
Fines

 

Canada
Federal
Fines

 

Total U.S
and Canada
Fines

 

and
Securities
Matters

 

Balance January 1, 2007

 

$

37

 

$

6

 

$

43

 

$

102

 

Antitrust costs, excluding legal fees

 

 

 

 

24

 

Payments

 

(10

)

(2

)

(12

)

(83

)

Accretion - Interest

 

2

 

 

2

 

 

Foreign currency translation

 

 

1

 

1

 

 

Balance December 31, 2007

 

29

 

5

 

34

 

43

 

Antitrust costs, excluding legal fees

 

 

 

 

7

 

Payments

 

(14

)

(3

)

(17

)

(20

)

Accretion - Interest

 

1

 

 

1

 

 

Balance December 31, 2008

 

16

 

2

 

18

 

30

 

Antitrust costs, excluding legal fees

 

(2

)

 

(2

)

6

 

Payments

 

(5

)

(1

)

(6

)

 

Balance December 31, 2009

 

$

9

 

$

1

 

$

10

 

$

36

 

 

Other

 

The Company is routinely subject to other civil claims, litigation and arbitration, and regulatory investigations, arising in the ordinary course of its business, as well as in respect of its divested businesses. Some of these claims and litigations relate to product liability claims, including claims related to the Company’s current products and asbestos-related claims concerning premises and historic products of its corporate affiliates and predecessors. The Company believes that it has strong defenses to these claims. These claims have not had a material impact on the Company to date and the Company believes the likelihood that a future material adverse outcome will result from these claims is remote. However, the Company cannot be certain that an adverse outcome of one or more of these claims would not have a material adverse effect on its financial condition, results of operations or cash flows.

 

Internal Review of Customer Incentive, Commission and Promotional Payment Practices

 

The Company is in the process of reviewing various customer incentive, commission and promotional payment practices of the Crop Protection Engineered Products segment in its Europe, Middle East and Africa region, with particular emphasis on certain Central Asian countries that are considered part of that region.  The review is being conducted under the oversight of the Audit Committee of the Board of Directors and with the assistance of outside counsel and forensic accounting consultants.  While the review is not yet complete, substantial progress has been made, but it has not yet been possible to determine whether all such practices or payments were consistent with applicable U.S. or international laws and regulations that apply to these operations. The Company cannot currently predict the timing or the outcome of this review, nor can it reasonably estimate the likelihood, nature or amount of monetary or other sanctions, if any, that might be imposed should the review identify that certain payments were inconsistent with applicable laws or regulations.  The Company believes that there is no matter connected with this review that would lead to a material change to the financial statements included in this report on Form 10-K.

 

Guarantees

 

The Company has standby letters of credit and guarantees with various financial institutions.  At December 31, 2009 and 2008, the Company had $64 million and $107 million, respectively, of outstanding letters of credit and guarantees primarily related to its liabilities for environmental remediation, vendor deposits, insurance obligations and European value added tax (VAT) obligations.

 

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The Company has applied the disclosure provisions of ASC Topic 460, Guarantees (“ASC 460”), to its agreements that contain guarantee or indemnification clauses.  The Company is a party to several agreements pursuant to which it may be obligated to indemnify a third party with respect to certain loan obligations of joint venture companies in which the Company has an equity interest.  These obligations arose to provide initial financing for a joint venture start-up, fund an acquisition and/or provide project capital.  Such obligations mature through February 2015.  In the event that any of the joint venture companies were to default on these loan obligations, the Company would indemnify the other party up to its proportionate share of the obligation based upon its ownership interest in the joint venture.  At December 31, 2009, the maximum potential future principal and interest payments due under these guarantees were $17 million and $1 million, respectively.  In accordance with ASC 460, the Company has accrued $2 million in reserves, which represents the probability weighted fair value of these guarantees at December 31, 2009. The reserve has been included in long-term liabilities on the Consolidated Balance Sheet at December 31, 2009 with an offset to the investment included in other assets.

 

The Company also has a customer guarantee, in which the Company has contingently guaranteed certain debt obligations of one of its customers.  The amount of this guarantee was $2 million at December 31, 2009 and December 31, 2008.  Based on past experience and on the underlying circumstances, the Company does not expect to have to perform under this guarantee.

 

 

At December 31, 2009, unconditional purchase obligations were insignificant.  Unconditional purchase obligations exclude liabilities subject to compromise as the Company cannot accurately forecast the future level and timing of the repayments given the inherent uncertainties associated with the Chapter 11 cases.

 

In the ordinary course of business, the Company enters into contractual arrangements under which the Company may agree to indemnify a third party to such arrangement from any losses incurred relating to the services they perform on behalf of the Company or for losses arising from certain events as defined within the particular contract, which may include, for example, litigation, claims or environmental matters relating to the Company’s past performance.  For any losses that the Company believes are probable and which are estimable, the Company has accrued for such amounts in its Consolidated Balance Sheets.

 

22) BUSINESS SEGMENTS

 

The Company evaluates a segment’s performance based on several factors, of which the primary factor is operating profit (loss).  In computing operating profit (loss) by segment, the following items have not been deducted:  (1) general corporate expense; (2) amortization; (3) facility closures, severance and related costs; (4) antitrust costs; (5) certain accelerated depreciation; (6) loss on sale of business; (7) impairment of long-lived assets; and (8) changes in estimates related to expected allowable claims.  These items have been excluded from the Company’s presentation of segment operating profit (loss) because they are not reported to the chief operating decision maker for purposes of allocating resources among reporting segments or assessing segment performance.  The accounting policies of the reporting segments are the same as those described in Note 2 — Basis of Presentation and Summary of Significant Accounting Policies included herein.

 

Effective for the quarter ended March 31, 2009, the Company made component realignments within its reporting segments, which were also renamed.  These modifications reflect the changes to its organizational structure announced on January 19, 2009.  The renamed reporting segments are: Consumer Performance Products, Industrial Performance Products, Crop Protection Engineered Products and Industrial Engineered Products.  Industrial Engineered Products is the former Polymer Additives segment excluding the Company’s antioxidant product line and Industrial Performance Products is the former Performance Specialties segment now including the Company’s antioxidant product line.  The Other segment has been eliminated and absorbed into the Industrial Performance Products and Industrial Engineered Products segments.  The presentation of the Consumer Products and Crop Protection segments is unchanged.  Prior period segment data has been restated to conform to the current period presentation.

 

Consumer Performance Products

 

Consumer Performance Products are performance chemicals that are sold to consumers for in-home and outdoor use.  Consumer Performance Products include a variety of a) branded recreational water purification products sold through local dealers and large retailers to assist consumers in the maintenance of their pools and spas and b) branded cleaners and degreasers sold primarily through mass merchants to consumers for home cleaning.

 

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Industrial Performance Products

 

Industrial Performance Products are engineered solutions of customers’ specialty chemical needs.  Industrial Performance Products include petroleum additives that provide detergency, friction modification and corrosion protection in motor oils, greases, refrigeration and turbine lubricants; castable urethane prepolymers engineered to provide superior abrasion resistance and durability in many industrial and recreational applications; polyurethane dispersions and urethane prepolymers used in various types of coatings such as clear floor finishes, high-gloss paints and textiles treatments; and antioxidants that improve the durability and longevity of plastics used in food packaging, consumer durables, automotive components and electrical components.  These products are sold directly to manufacturers and through distribution channels.

 

Crop Protection Engineered Products

 

Crop Protection Engineered Products develops, supplies, registers and sells agricultural chemicals formulated for specific crops in various geographic regions for the purpose of enhancing quality and improving yields.  The business focuses on specific target markets in six major product lines: seed treatments, fungicides, miticides, insecticides, growth regulators and herbicides.  These products are sold directly to growers and to major distributors in the agricultural sector.

 

Industrial Engineered Products

 

Industrial Engineered Products are chemical additives designed to improve the performance of polymers in their end-use applications.  Industrial Engineered Products include brominated performance products, flame retardants, fumigants, organometallics and PVC additives.  The products are sold across the entire value chain ranging from direct sales to monomer producers, polymer manufacturers, compounders and fabricators, fine chemical manufacturers and oilfield service companies to industry distributors.

 

General Corporate Expense and Other Charges

 

General corporate expense includes costs and expenses that are of a general corporate nature or managed on a corporate basis, including amortization expense.  These costs are primarily for corporate administration services net of costs allocated to the business segments, costs related to corporate headquarters and management compensation plan expenses for executives and corporate managers.  Facility closures, severance and related costs are primarily for severance costs related to the Company’s cost savings initiatives.  The antitrust costs are primarily for settlements and legal costs associated with antitrust investigations and related civil lawsuits.  Accelerated depreciation relates to certain assets affected by the Company’s restructuring programs, divestitures and legacy ERP systems.  The loss on sale of business in 2008 relates primarily to the sale of the oleochemicals business and the loss in 2007 relates primarily to the sale of the Celogen® product line.  Impairment of long-lived assets in 2009 is related to reducing the carrying value of goodwill and intangibles in the Consumer Performance Products segment and property, plant and equipment, net and intangible assets, net in the Industrial Engineered Products segment.  Impairment of long-lived assets in 2008 is related primarily to reducing the carrying value of goodwill in the Consumer Performance Products, Industrial Performance Products and Industrial Engineered Products segments.  The impairment of long-lived assets in 2007 includes impairments associated with the sale of the Company’s Marshall, Texas facility, the write-off of construction in progress associated with certain facilities affected by the 2007 restructuring programs, the reduction in the value of certain assets at the Company’s Ravenna, Italy facility and write-off of construction in progress software costs that no longer will be utilized.  Changes in estimates related to expected allowable claims relates to adjustments to liabilities subject to compromise (primarily legal and environmental reserves) as a result of the proofs of claim evaluation process.  Corporate assets are principally cash and cash equivalents, intangible assets (including goodwill) and other assets (including deferred tax assets) maintained for general corporate purposes.

 

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A summary of business data for the Company’s reportable segments for the years 2009, 2008 and 2007 is as follows:

 

Information by Business Segment

(In millions)

 

 

 

2009

 

2008

 

2007

 

Net Sales

 

 

 

 

 

 

 

Consumer Performance Products

 

$

457

 

$

516

 

$

567

 

Industrial Performance Products

 

999

 

1,465

 

1,513

 

Crop Protection Engineered Products

 

332

 

394

 

352

 

Industrial Engineered Products

 

753

 

1,171

 

1,315

 

Net Sales

 

$

2,541

 

$

3,546

 

$

3,747

 

 

 

 

2009

 

2008

 

2007

 

Operating (Loss) Profit

 

 

 

 

 

 

 

 

 

 

Consumer Performance Products

 

$

63

 

$

50

 

$

62

 

Industrial Performance Products

 

91

 

105

 

140

 

Crop Protection Engineered Products

 

42

 

78

 

58

 

Industrial Engineered Products

 

(11

)

17

 

36

 

Segment Operating Profit

 

185

 

250

 

296

 

 

 

 

 

 

 

 

 

General corporate expense

 

(56

)

(53

)

(52

)

Amortization

 

(39

)

(45

)

(40

)

Change in useful life of property, plant and equipment

 

 

(32

)

(40

)

Facility closures, severance and related costs

 

(3

)

(26

)

(36

)

Antitrust costs

 

(10

)

(12

)

(35

)

Loss on sale of business

 

 

(25

)

(15

)

Impairment of long-lived assets

 

(104

)

(986

)

(19

)

Changes in estimates related to expected allowable claims

 

(73

)

 

 

Total Operating (Loss) Profit

 

(100

)

(929

)

59

 

 

 

 

 

 

 

 

 

Interest expense

 

(70

)

(78

)

(87

)

Other (expense) income, net

 

(17

)

9

 

(5

)

Reorganization items, net

 

(97

)

 

 

 

 

 

 

 

 

 

 

Loss from continuing operations before income taxes

 

$

(284

)

$

(998

)

$

(33

)

 

 

 

2009

 

2008

 

2007

 

Depreciation and Amortization

 

 

 

 

 

 

 

Consumer Performance Products

 

$

13

 

$

11

 

$

13

 

Industrial Performance Products

 

41

 

44

 

47

 

Crop Protection Engineered Products

 

8

 

7

 

4

 

Industrial Engineered Products

 

68

 

91

 

103

 

 

 

130

 

153

 

167

 

Corporate

 

43

 

84

 

102

 

Total continuing operations

 

173

 

237

 

269

 

Discontinued operations

 

 

 

6

 

 

 

$

173

 

$

237

 

$

275

 

 

 

 

2009

 

2008

 

2007

 

Equity Income (Loss)

 

 

 

 

 

 

 

Industrial Performance Products

 

(1

)

2

 

2

 

Industrial Engineered Products

 

1

 

2

 

1

 

 

 

$

 

$

4

 

$

3

 

 

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Table of Contents

 

 

 

2009

 

2008

 

2007

 

Segment Assets

 

 

 

 

 

 

 

Consumer Performance Products

 

$

272

 

$

270

 

$

292

 

Industrial Performance Products

 

717

 

744

 

834

 

Crop Protection Engineered Products

 

311

 

229

 

189

 

Industrial Engineered Products

 

631

 

744

 

803

 

 

 

1,931

 

1,987

 

2,118

 

Discontinued operations

 

 

 

22

 

Corporate

 

1,187

 

1,070

 

2,276

 

 

 

$

3,118

 

$

3,057

 

$

4,416

 

 

 

 

2009

 

2008

 

2007

 

Capital Expenditures

 

 

 

 

 

 

 

Consumer Performance Products

 

$

4

 

$

6

 

$

7

 

Industrial Performance Products

 

16

 

27

 

27

 

Crop Protection Engineered Products

 

8

 

4

 

4

 

Industrial Engineered Products

 

19

 

51

 

64

 

 

 

47

 

88

 

102

 

Corporate

 

9

 

33

 

13

 

Total continuing operations

 

56

 

121

 

115

 

Discontinued operations

 

 

 

2

 

 

 

$

56

 

$

121

 

$

117

 

 

 

 

2009

 

2008

 

2007

 

Equity Method Investments

 

 

 

 

 

 

 

Industrial Performance Products

 

$

19

 

$

21

 

$

16

 

Crop Protection Engineered Products

 

2

 

2

 

2

 

Industrial Engineered Products

 

8

 

14

 

11

 

 

 

29

 

37

 

29

 

Corporate

 

 

 

4

 

 

 

$

29

 

$

37

 

$

33

 

 

Information by Geographic Area

(In millions)

 

Net sales are based on location of customer.

 

 

 

2009

 

2008

 

2007

 

Net sales

 

 

 

 

 

 

 

United States

 

$

1,195

 

$

1,611

 

$

1,878

 

Canada

 

43

 

76

 

103

 

Latin America

 

135

 

190

 

158

 

Europe/Africa

 

799

 

1,141

 

1,103

 

Asia/Pacific

 

369

 

528

 

505

 

 

 

$

2,541

 

$

3,546

 

$

3,747

 

 

 

 

2009

 

2008

 

2007

 

Property, Plant and Equipment

 

 

 

 

 

 

 

United States

 

$

422

 

$

523

 

$

603

 

Canada

 

59

 

53

 

63

 

Latin America

 

16

 

12

 

28

 

Europe/Africa

 

219

 

246

 

300

 

Asia/Pacific

 

34

 

28

 

38

 

 

 

$

750

 

$

862

 

$

1,032

 

 

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23) SUMMARIZED UNAUDITED QUARTERLY FINANCIAL DATA

 

 

 

2009

 

(In millions, except per share data)

 

First

 

Second

 

Third

 

Fourth

 

Net sales

 

$

517

 

$

687

 

$

681

 

$

656

 

Gross profit

 

$

99

 

$

152

 

$

168

 

$

175

 

 

 

 

 

 

 

 

 

 

 

AMOUNTS ATTRIBUTABLE TO CHEMTURA CORPORATION COMMON SHAREHOLDERS:

 

 

 

 

 

 

 

 

 

(Loss) earnings from continuing operations, net of tax

 

$

(94

)

$

(118

)

$

12

 

$

(90

)

Loss on sale of discontinued operations, net of tax

 

 

 

(4

)

1

 

Net (loss) earnings attributable to Chemtura Corporation

 

$

(94

)(a)

$

(118

)(b)

$

8

(c)

$

(89

)(d)

 

 

 

 

 

 

 

 

 

 

EARNINGS (LOSS) PER SHARE - BASIC AND DILUTED - ATTRIBUTABLE TO CHEMTURA CORPORATION (h):

 

 

 

 

 

 

 

 

 

(Loss) earnings from continuing operations, net of tax

 

$

(0.39

)

$

(0.49

)

$

0.05

 

$

(0.36

)

Loss on sale of discontinued operations, net of tax

 

 

 

(0.02

)

 

Net (loss) earnings attributable to Chemtura Corporation

 

$

(0.39

)

$

(0.49

)

$

0.03

 

$

(0.36

)

 

 

 

2008

 

 

 

First

 

Second

 

Third

 

Fourth

 

Net sales

 

$

909

 

$

1,023

 

$

924

 

$

690

 

Gross profit

 

$

184

 

$

248

 

$

193

 

$

111

 

 

 

 

 

 

 

 

 

 

 

Net (loss) earnings attributable to Chemtura Corporation

 

$

(21

)(e)

$

(273

)(f)

$

11

 

$

(690

)(g)

 

 

 

 

 

 

 

 

 

 

EARNINGS (LOSS) PER SHARE - BASIC AND DILUTED - ATTRIBUTABLE TO CHEMTURA CORPORATION (h):

 

 

 

 

 

 

 

 

 

Net (loss) earnings attributable to Chemtura Corporation

 

$

(0.09

)

$

(1.13

)

$

0.05

 

$

(2.84

)

 


(a)         The net loss for the first quarter of 2009 included pre-tax charges for reorganization items, net of $40 million, facility closures of $3 million and antitrust costs of $2 million.

(b)        The net loss for the second quarter of 2009 included pre-tax charges for asset impairments of $97 million ($48 million for property, plant and equipment and $12 million for intangible assets, net in the Industrial Engineered Products segment and $37 million relating to goodwill in the Consumer Performance Products segment), antitrust costs of $8 million and reorganization item, net of $6 million.

(c)         Earnings from continuing operations for the third quarter of 2009 included pre-tax charges for reorganization items, net of $20 million.

(d)        The net loss for the fourth quarter of 2009 included pre-tax charges for changes in estimates related to expected allowable claims of $73 million, reorganization items, net of $31 million and impairment of long lived assets of $7 million relating primarily to property, plant and equipment for the Industrial Engineered Products segment.

(e)         The net loss for the first quarter of 2008 included pre-tax charges for loss on sale of business related to oleochemicals of $23 million.

(f)           The net loss for the second quarter of 2008 included pre-tax charges for goodwill impairment of $320 million relating to the Consumer Performance Products segment and antitrust costs of $11 million.

(g)        The net loss for the fourth quarter of 2008 included pre-tax charges for goodwill impairment of $665 million relating to the Consumer Performance Products, Industrial Performance Products and Industrial Engineered Products segments, and facility closure of $26 million.

(h)        The sum of the earnings per common share for the four quarters may not equal the total earnings per common share for the full year due to quarterly changes in the average number of shares outstanding.

 

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Report of Independent Registered Public Accounting Firm

 

The Board of Directors and Stockholders

Chemtura Corporation:

 

We have audited the accompanying consolidated balance sheets of Chemtura Corporation and subsidiaries (Debtor-In Possession) (the “Company”) as of December 31, 2009 and 2008, and the related consolidated statements of operations, stockholders’ equity, and cash flows for each of the years in the three-year period ended December 31, 2009.  In connection with our audits of the consolidated financial statements, we also have audited the financial statement Schedule II, Valuation and Qualifying Accounts.  We also have audited Chemtura Corporation’s internal control over financial reporting as of December 31, 2009, based on criteria established in Internal Control  — Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO). The Company’s management is responsible for these consolidated financial statements and financial statement schedule, for maintaining effective internal control over financial reporting, and for its assessment of the effectiveness of internal control over financial reporting, included in the accompanying Management’s Annual Report on Internal Control over Financial Reporting (Item 9A(b)). Our responsibility is to express an opinion on these consolidated financial statements and financial statement schedule and an opinion on the Company’s internal control over financial reporting based on our audits.

 

We conducted our audits in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audits to obtain reasonable assurance about whether the financial statements are free of material misstatement and whether effective internal control over financial reporting was maintained in all material respects. Our audits of the consolidated financial statements included examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, and evaluating the overall financial statement presentation.  Our audit of internal control over financial reporting included obtaining an understanding of internal control over financial reporting, assessing the risk that a material weakness exists, and testing and evaluating the design and operating effectiveness of internal control based on the assessed risk.  Our audits also included performing such other procedures as we considered necessary in the circumstances. We believe that our audits provide a reasonable basis for our opinions.

 

A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of the company’s assets that could have a material effect on the financial statements.

 

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

 

In our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the financial position of Chemtura Corporation and subsidiaries as of December 31, 2009 and 2008, and the results of their operations and their cash flows for each of the years in the three-year period ended December 31, 2009, in conformity with U.S. generally accepted accounting principles.   Also, in our opinion, the related financial statement schedule, when considered in relation to the basic consolidated financial statements taken as a whole, presents fairly, in all material respects the information set forth therein.  Also, in our opinion, Chemtura Corporation maintained, in all material respects,  effective internal control over financial reporting as of December 31, 2009, based on criteria established in Internal Control—Integrated Framework issued by COSO.

 

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The accompanying consolidated financial statements and financial statement schedule have been prepared assuming that the Company will continue as a going concern. As discussed in Note 1 to the consolidated financial statements, on March 18, 2009, Chemtura Corporation and 26 of its subsidiaries organized in the United States filed for relief under Chapter 11 of Title 11 of the United States Bankruptcy Code and there are uncertainties inherent in the bankruptcy process.  The Company also has suffered recurring losses from continuing operations.  These factors raise substantial doubt about the Company’s ability to continue as a going concern. Management’s plans in regard to these matters are also described in Note 1. The consolidated financial statements and financial statement schedule do not include any adjustments that might result from the outcome of this uncertainty.

 

As discussed in Note 2 to Notes to Consolidated Financial Statements, the Company, due to the adoption of new accounting principles, in 2009, changed its method of accounting for fair value measurements for non-financial assets and liabilities, and non-controlling interests; in 2008, changed its method of accounting for fair value measurements for financial assets and liabilities; and in 2007, changed its method of accounting for uncertainty in income taxes.

 

/s/ KPMG LLP

 

Stamford, Connecticut

March 12, 2010

 

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Item 9.  Changes in and Disagreements With Accountants on Accounting and Financial Disclosure

 

Not applicable.

 

Item 9A.  Controls and Procedures

 

(a) Disclosure Controls and Procedures

 

As of December 31, 2009, our management, including our Chief Executive Officer (“CEO”) and Chief Financial Officer (“CFO”), have conducted an evaluation of the effectiveness of the design and operation of our disclosure controls and procedures pursuant to Rule 13a-15(e) and Rule 15d-15(e) under the Securities Exchange Act of 1934, as amended.  Based on that evaluation, our CEO and CFO concluded that our disclosure controls and procedures as of December 31, 2009 were effective.

 

(b) Management’s Annual Report on Internal Control Over Financial Reporting

 

Our management is responsible for establishing and maintaining adequate internal control over financial reporting, as such term is defined in Rule 13a-15(f) under the Securities Exchange Act of 1934, as amended.  Under the supervision of management and with the participation of our management, including our CEO and CFO, we conducted an evaluation of the effectiveness of our internal control over financial reporting as of December 31, 2009 based on the framework in Internal Control-Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission.  Based on our evaluation, we concluded that our internal control over financial reporting was effective as of December 31, 2009.

 

KPMG LLP, the independent registered public accounting firm that audited the financial statements included in this Annual Report on Form 10-K, has issued an attestation report, which is included elsewhere within this Form 10-K, on the effectiveness of Chemtura’s internal control over financial reporting.

 

(c) Remediation of Previously Disclosed Material Weakness

 

As of December 31, 2008, management identified that the Company did not provide adequate oversight to ensure a timely and effective review of its income tax accounts.  In particular, the Company did not maintain effective monitoring of key review controls in its income tax process.  This deficiency resulted in the failure to detect breakdowns in its review controls over the intra-period tax allocation process and the appropriate balance sheet classification of deferred income taxes and led to a material misstatement in the Company’s income tax accounts in its preliminary financial statements as of December 31, 2008 that were included in its press release dated February 25, 2009.  These misstatements were corrected prior to the filing of the 2008 Annual Report on Form 10-K.

 

As a result of the material weakness described above, management concluded that our internal control over financial reporting was not effective as of December 31, 2008.

 

During 2009, management took various actions to strengthen internal controls and improve its disclosure controls over its income tax accounts.  As a result, we remediated the previously reported material weakness by performing the following remediation activities:

 

·                 Implemented additional procedures that include strengthened review procedures over the tax accounts and additional interim review procedures at September 30, 2009 to ensure early identification of year end issues.

·                 Assigned additional resources to our tax department, including additional tax consultants.

·                 Enhanced accounting and tax training for the US and international teams.

 

With the implementation of the above measures, the Company believes that it has improved internal controls over financial reporting and that our internal control over financial reporting was effective as of December 31, 2009.

 

(d) Changes in Internal Control over Financial Reporting

 

Other than the remediation of the 2008 material weakness addressed under Item 9A. (c) above, there were no changes in the Company’s internal control over financial reporting that occurred in the fourth quarter ended December 31, 2009, that has materially affected, or is reasonably likely to materially affect, the Company’s internal control over financial reporting.

 

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Item 9B.  Other Information

 

Not Applicable.

 

PART III.

 

Item 10.  Directors, Executive Officers and Corporate Governance

 

Except as set forth herein, the information requested by this item will be filed with the SEC as an amendment to this Form 10-K in accordance with General Instruction G (3).

 

EXECUTIVE OFFICERS OF THE REGISTRANT

 

The executive officers of Chemtura Corporation are as follows:

 

Craig A. Rogerson, 53, has served as Chairman, President and Chief Executive Officer of the Company since December 2008.  Previously, Mr. Rogerson served as President, Chief Executive Officer and director of Hercules Incorporated from December 2003 until its acquisition by Ashland, Incorporated on November 13, 2008.

 

Chet H. Cross, 51, has served as Executive Vice President and Group President - Engineered Products since January 2010.  From December 2008 to January 2010, Mr. Cross was Vice President of Operations of Ashland Inc’s Ashland Hercules Water Technologies division.  Previously, Mr. Cross served for over 20 years with Hercules Incorporated in a variety of positions of increasing responsibility, most recently as General Manager of Hercules’ Americas pulp and paper business and President of Hercules Canada.

 

David G. Dickey, 40, has served as Executive Vice President and Group President - Performance Products since January 2009 and previously served as Chief Functional and Services Officer from December 2007 to December 2008.  Mr. Dickey joined Chemtura in March 2006 as Vice President, Global Supply Chain, Non-Manufacturing.  Previously, Mr. Dickey served as General Manager for Carrier, a division of United Technologies Corporation.

 

Stephen C. Forsyth, 54, has served as Executive Vice President and Chief Financial Officer since April 2007.  Mr. Forsyth was also Treasurer from June 2007 to November 2008.  Previously, Mr. Forsyth served for 26 years with Hexcel Corporation in a variety of executive capacities, most recently as Executive Vice President and Chief Financial Officer.

 

Billie S. Flaherty, 52, has served as Senior Vice President, General Counsel and Secretary since January 2009.  Previously, Ms. Flaherty served as Associate General Counsel for Chemtura, having joined the Company in October 2005.  Prior to joining Chemtura, she served as Vice President, Environmental, Health and Safety for Pitney Bowes Inc.

 

Kevin V. Mahoney, 55, has served as Senior Vice President and Corporate Controller since October 2006.  Previously, Mr. Mahoney spent 18 years with American Express Company, most recently as Senior Vice President of Corporate Reporting, responsible for financial reporting globally.

 

Alan M. Swiech, 51, has served as Senior Vice President, Human Resources since January 2009.  Previously Mr. Swiech served as Vice President, Human Resources for Chemtura, having joined the Company in April 2006.  Prior to joining Chemtura Mr. Swiech served as Vice President - Administration for Akebono Corporation NA, and President of AMAK LLC.

 

Carol V. Anderson, 45, has served as Vice President and Treasurer since November 2008.  Since joining Chemtura in 2000, Ms. Anderson has served as Director of Treasury Operations and most recently as Assistant Treasurer.  Prior to joining Chemtura, Ms. Anderson spent 14 years with International Paper Company in various international financial functions.

 

Raymond E. Dombrowski, 55, has served as Chief Restructuring Officer since March 2009 responsible for overseeing restructuring activities and communicating Chemtura’s restructuring progress to the board of directors, creditor groups and other interested parties.  Mr. Dombrowski is a managing director with Alvarez & Marsal North America, LLC with more than 15 years of financial restructuring experience.

 

There is no family relationship between any of such officers, and there is no arrangement or understanding between any of them and any other person pursuant to which any such officer was selected as an officer.

 

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Item 11. Executive Compensation

 

The information requested by this item will be filed with the SEC as an amendment to this Form 10-K in accordance with General Instruction G (3).

 

Item 12.  Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

 

The information requested by this item will be filed with the SEC as an amendment to this Form 10-K in accordance with General Instruction G (3).

 

Item 13.  Certain Relationships and Related Transactions, and Director Independence

 

The information requested by this item will be filed with the SEC as an amendment to this Form 10-K in accordance with General Instruction G (3).

 

Item 14.  Principal Accountant Fees and Services

 

The information requested by this item will be filed with the SEC as an amendment to this Form 10-K in accordance with General Instruction G (3).

 

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PART IV.

 

Item 15.  Exhibits and Financial Statement Schedules

 

(a)  The following documents are filed as part of this report:

 

1.               Financial statements and Report of Independent Registered Public Accounting Firm, as required by Item 8 of this form.

 

(i)     Consolidated Statements of Operations for the years ended December 31, 2009, 2008, and 2007;

(ii)    Consolidated Balance Sheets as of December 31, 2009 and 2008;

(iii)   Consolidated Statements of Cash Flows for the years ended December 31, 2009, 2008, and 2007;
(iv)   Consolidated Statements of Stockholders’ Equity for the years ended December 31, 2009, 2008 and 2007;

(v)    Notes to Consolidated Financial Statements; and

(vi)   Report of Independent Registered Public Accounting Firm.

 

2.               Financial Statement Schedule II, Valuation and Qualifying Accounts, required by Regulation S-X is included herein.

 

3.               The following exhibits are either filed herewith or incorporated herein by reference to the respective reports and registration statements identified in the parenthetical clause following the description of the exhibit:

 

Exhibit No.

 

Description

3(i)(a)

 

Amended and Restated Certificate of Incorporation of the Registrant dated September 1, 1999 (incorporated by reference to Exhibit 3(i)(a) to the Registrant’s Form 10-K for the fiscal year ended December 31, 2001 (“2001 Form 10-K”)).

 

 

 

3(i)(b)

 

Certificate of Amendment of Amended and Restated Certificate of Incorporation of the Registrant dated April 27, 2000 (incorporated by reference to Exhibit 3(i)(b) to the Registrant’s 2001 Form 10-K).

 

 

 

3(i)(c)

 

Certificate of Change of Location of Registered Office and of Registered Agent dated May 18, 2000 (incorporated by reference to Exhibit 3(i)(c) to the Registrant’s 2001 Form 10-K).

 

 

 

3(i)(d)

 

Certificate of Amendment of Amended and Restated Certificate of Incorporation of the Registrant dated July 1, 2005 (incorporated by reference to Exhibit 4.1 to the Registrant’s Form 8-K dated July 1, 2005 (“July 1, 2005 8-K”)).

 

 

 

3(i)(e)

 

Certificate of Amendment of Amended and Restated Certificate of Incorporation of the Registrant dated May 2, 2006 (incorporated by reference to Exhibit 3(i)(e) to the Registrant’s Form 10-Q for the period ended March 31, 2006 (“March 31, 2006 10-Q”)).

 

 

 

3(ii)

 

By-laws of the Registrant (incorporated by reference to Exhibit 3(ii) to the Registrant’s March 31, 2006 10-Q).

 

 

 

3(iii)

 

Amendment to the By-laws of the Registrant (incorporated by reference to Exhibit 3(ii) to the Registrant’s Form 8-K dated April 30, 2007 (“April 30, 2007 8-K”)).

 

 

 

4.1

 

Indenture, dated as of February 1, 1993, between Witco Corporation and The Chase Manhattan Bank, N.A. relating to $150 million of 6.875% debentures due 2026 (incorporated by reference to Exhibit 4.1 to the Registrant’s Form 10-K for the fiscal year ended December 31, 2008, as amended (“2008 Form 10-K/A”)).

 

 

 

4.2

 

Indenture, dated as of July 16, 1999, between Great Lakes Chemical Corporation and The First National Bank of Chicago relating to $400 million of 7% notes due July 15, 2009 (incorporated by reference to Exhibit 4.2 to the 2008 Form 10-K/A).

 

 

 

4.3

 

Rights Agreement, dated as of September 2, 1999, by and between the Registrant and ChaseMellon Shareholder Services, L.L.C., as Rights Agent (incorporated by reference to Exhibit 4.1 to the Registrant’s Form 8-A dated September 28, 1999).

 

 

 

4.4

 

Form of First Supplemental Indenture, dated February 1, 1996, by and among Witco Corporation, Chase Manhattan Bank, N.A., the Initial Trustee, and Fleet National Bank of Connecticut, the Note Trustee, relating to the 6 1/8% Notes due 2006 and 6 7/8% Notes due 2026 (incorporated by reference to Exhibit 4.4 to the 2008 Form 10-K/A).

 

 

 

4.5

 

Second Supplemental Indenture, dated as of August 5, 2004, between Crompton Corporation and U.S. Bank, National Association, to the 1993 Indenture (incorporated by reference to Exhibit 4.4 of the Company’s Registration Statement on Form S-4 Registration Number 333-119641, filed on October 8, 2004 (“2004 Form S-4”)).

 

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4.6

 

Fourth Supplemental Indenture, dated as of July 1, 2005. to the Indenture dated as of February 1, 1993, among the Registrant, the Guarantors signatory thereto, Manufacturers and Traders Trust Company, as trustee, and U.S. Bank National Association, as Trustee (incorporated by reference to Exhibit 10.4 to the Registrant’s July 1, 2005 Form 8-K (“July 1, 2005 8-K”)).

 

 

 

4.7

 

Indenture, dated as of August 16, 2004, among Crompton Corporation, the Guarantors listed on Schedule A thereto, Wells Fargo Bank, National Association, as trustee and Deutsche Bank Trust Company Americas as Note Custodian, Paying Agent and Registrar, relating to the Registrant’s 9 7/8% Senior Notes due 2012 (incorporated by reference to Exhibit 4.5 of the 2004 S-4).

 

 

 

4.8

 

Indenture, dated as of August 16, 2004, among Crompton Corporation, the Guarantors listed on Schedule A thereto, Wells Fargo Bank, National Association, as trustee and Deutsche Bank Trust Company Americas as Note Custodian, Paying Agent and Registrar, relating to the Registrant’s Senior Floating Rate Notes due 2010 (incorporated by reference to Exhibit 4.6 of the 2004 S-4).

 

 

 

4.9

 

Supplemental Indenture dated as of May 31, 2005, by and between Crompton Corporation and Wells Fargo Bank, National Association, as Trustee, relating to Crompton Corporation Senior Floating Rate Notes due 2010 (incorporated by reference to Exhibit 4.1 to the Registrant’s Form 8-K dated June 1, 2005 (“June 1, 2005 8-K”).

 

 

 

4.10

 

Supplemental Indenture dated as of May 31, 2005, by and between Crompton Corporation and Wells Fargo Bank, National Association, as Trustee, relating to Crompton Corporation 9 7/8% Senior Notes due 2012 (incorporated by reference to Exhibit 4.2 to the June 1, 2005 8-K).

 

 

 

4.11

 

Indenture dated as of April 24, 2006, by and among the Registrant as Issuer, the Guarantors named therein and Wells Fargo Bank, N.A., as Trustee relating to the Registrant’s 6.875% Notes due 2016 (incorporated by reference to Exhibit 10.1 to the Registrant’s March 31, 2006 Form 10-Q).

 

 

 

4.12

 

Supplemental Indenture, dated as of February 11, 2009, among GLCC LAUREL, LLC, BIOLAB COMPANY STORE, LLC and BIOLAB FRANCHISE COMPANY, LLC, each an indirect subsidiary of Registrant, and Wells Fargo Bank, N.A., as Trustee (incorporated by reference to Exhibit 10.61 to Registrant’s Form 10-K for the fiscal year ended December 31, 2008 (“2008 Form 10-K”)).

 

 

 

4.13

 

Supplemental Indenture, dated as of July 1, 2005, to the Indenture dated as of July 16, 1999, among Great Lakes Chemical Corporation, the Registrant, the Guarantors signatory thereto and J.P. Morgan Trust Company, National Association, as Trustee (incorporated by reference to Exhibit 10.5 to the July 1, 2005 8-K).

 

 

 

10.1

 

Supplement No. 1, dated as of March 26, 2004, to the Security Agreement dated as of December 21, 2001, among the Registrant, various subsidiaries of the Registrant, and Citicorp USA, Inc., as Collateral Agent (incorporated by reference to Exhibit 10.3 to the Registrant’s Form 10-Q for the period ended March 31, 2004).

 

 

 

10.2

 

Credit Agreement, dated as of August 16, 2004, among Crompton Corporation, the Lenders from time to time party thereto, Deutsche Bank AG, Cayman Islands Branch, as Deposit Bank and Deutsche Bank AG New York Branch, as Administrative Agent (incorporated by reference to Exhibit 10.43 to the 2004 Form S-4).

 

 

 

10.3

 

Security Agreement, dated as of August 16, 2004, among Crompton Corporation, certain of its subsidiaries from time to time party thereto and Deutsche Bank AG New York Branch as Collateral Agent (incorporated by reference to Exhibit 10.47 of the 2004 Form S-4).

 

 

 

10.4

 

Pledge Agreement, dated as of August 16, 2004, among Crompton Corporation, certain of its subsidiaries from time to time party thereto and Deutsche Bank AG New York Branch, as Pledgee (incorporated by reference to Exhibit 10.48 to the 2004 Form S-4).

 

 

 

10.5

 

Subsidiaries Guaranty, dated as of August 16, 2004, among certain subsidiaries of Crompton Corporation and Deutsche Bank AG New York Branch, as Administrative Agent (incorporated by reference to Exhibit 10.49 of the 2004 form S-4).

 

 

 

10.6+

 

Form of Supplemental Savings Plan, effective January 1, 2005, by and between the Registrant and various key management personnel (incorporated by reference to Exhibit 10.1 to the February 28, 2005 8-K).

 

 

 

10.7+

 

2005 Crompton Corporation Short-Term Incentive Plan, effective January 1, 2005 (incorporated by reference to Exhibit 10.1 to the Registrant’s Form 8-K dated April 27, 2005).

 

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10.8

 

Credit Agreement, dated as of July 1, 2005, among the Registrant, the Lenders listed therein, Citibank, N.A., as Agent, and Bank of America, N.A., as Syndication Agent (incorporated by reference to Exhibit 10.1 to the Registrant’s Form 8-K dated July 1, 2005 (“July 1, 2005 8-K”)).

 

 

 

10.9

 

Amendment No. 1 to the Credit Agreement by and among the Registrant, various lenders and Citibank, N.A., as Agent, dated as of December 12, 2005 (the “2005 Credit Agreement”) (incorporated by reference to Exhibit 10.1 to the Registrant’s Form 8-K dated December 15, 2005 (“December 15, 2005 8-K”)).

 

 

 

10.10

 

Amended and Restated Credit Agreement by and among the Registrant, various lenders and Citibank, N.A., as Agent, dated as of December 12, 2005 (incorporated by reference to Exhibit 10.2 to the December 15, 2005 8-K).

 

 

 

10.11

 

Amendment No. 2, dated as of December 31, 2005, to the 2005 Credit Agreement by and among the Registrant, various lenders and Citibank N.A., as Agent, dated as of July 1, 2005, as amended and restated by Amendment No. 1 dated as of December 12, 2005 (incorporated by reference to Exhibit 10.1 to the Registrant’s Form 8-K dated February 15, 2006).

 

 

 

10.12

 

Amendment No. 3, dated as of December 31, 2005, to the Credit Agreement by and among the Registrant, various lenders and Citibank N.A., as Agent, dated as of July 1, 2005, as amended and restated by Amendment No. 1 dated as of December 12, 2005 (incorporated by reference to Exhibit 10.1 to the Registrant’s Form 8-K dated March 20, 2006.)

 

 

 

10.13+

 

Chemtura Corporation 2006 Long-Term Incentive Plan, effective April 27, 2006 (incorporated by reference to Exhibit 10.1 to the Registrant’s April 27, 2006 Form 8-K).

 

 

 

10.14

 

Form of Amendment No. 4 to the Credit Agreement by and among the Registrant, various lenders and Citibank, N.A., as Agent, dated as of May 9, 2006 (incorporated by reference to Exhibit 10.1 to the Registrant’s May 26, 2006 Form 8-K).

 

 

 

10.15+

 

Employment Agreement dated as of June 13, 2006, by and between the Registrant and Robert L. Wood (incorporated by reference to Exhibit 10.1 to the Registrant’s June 19, 2006 Form 8-K).

 

 

 

10.16

 

Form of Amendment No. 5 to the Credit Agreement by and among the Registrant, various lenders and Citibank, N.A., as Agent, dated as of December 14, 2006 (incorporated by reference to Exhibit 10.1 to the Registrant’s December 15, 2006 Form 8-K).

 

 

 

10.17

 

Form of Amendment No. 6 to the Credit Agreement by and among the Registrant, various lenders and Citibank, N.A., as Agent, dated as of February 27, 2007 (incorporated by reference to Exhibit 10.1 to the Registrant’s February 28, 2007 Form 8-K).

 

 

 

10.18+

 

Employment of Stephen C. Forsyth was accompanied by a sign-on bonus, performance-based restricted stock, restricted stock grant, stock options, participation in the Management Incentive Plan, Key Executive and Key Employee Severance Plan, Supplemental Savings Plan, and the “Flexperq” Program (incorporated by reference to the Registrant’s April 9, 2007 Form 8-K (“April 9, 2007 8-K”)).

 

 

 

10.19+

 

2007-2009 Chemtura Corporation Long-Term Incentive Plan, effective March 28, 2007 (incorporated by reference to Exhibit 10.2 to the March 29, 2006 Form 8-K).

 

 

 

10.20+

 

Agreement dated November 28, 2007 by and between the Registrant and David G. Dickey, (incorporated by reference to Exhibit 10.84 to the Registrant’s Form 10-K for the fiscal year ended December 31, 2007 (“2007 10-K”)).

 

 

 

10.21+

 

Separation Agreement and General Release dated January 21, 2008, by and between Gary P. Yeaw and the Registrant (incorporated by reference to Exhibit 99.1 to the Registrant’s January 23, 2008 Form 8-K (“January 23, 2008 8-K”)).

 

 

 

10.22+

 

2008 Chemtura Corporation Management Incentive Program, effective February 28, 2008 (incorporated by reference to Exhibit 10.1 to the Registrant’s March 3, 2008 Form 8-K (“March 3, 2008 8-K”)).

 

 

 

10.23+

 

2008-2010 Chemtura Corporation Long-Term Incentive Plan, effective February 28, 2008 (incorporated by reference to Exhibit 10.2 to the March 3, 2008 8-K).

 

 

 

10.24+

 

The Board of Directors of the Registrant adopted a new compensation schedule (dated as of October 28, 2008) for non-employee members of the Board of Directors, (reported the Registrant’s October 31, 2008 Form 8-K (“October 31, 2008 8-K”)).

 

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10.25

 

Amendment Number 1 to Receivables Purchase Agreement (dated as of May 31, 2007), (incorporated by reference to Exhibit 10.86 to the Registrant’s September 30, 2006 Form 10-Q (“September 30, 2006 10-Q”)).

 

 

 

10.26

 

Letter Agreement Regarding Receivables Purchase Agreement (dated as of May 31, 2007) (incorporated by reference to Exhibit 10.87 to the September 30, 2006 10-Q).

 

 

 

10.27

 

Amendment Number 2 to Amended and Restated Receivables Purchase Agreement (dated as of June 28, 2007), (incorporated by reference to Exhibit 10.88 to the September 30, 2006 10-Q).

 

 

 

10.28

 

First Amendment, dated as of May 31, 2007 to Fourth Amended and Restated Receivables Sale Agreement Dated as of September 28, 2006, (incorporated by reference to Exhibit 10.89 to the September 30, 2006 10-Q).

 

 

 

10.29

 

Amendment No. 2 to Fourth Amended and Restated Receivables Sale Agreement (dated as of June 28, 2007), (incorporated by reference to Exhibit 10.90 to the September 30, 2006 10-Q).

 

 

 

10.30

 

Third Amendment, dated as of August 31, 2007 to Fourth Amended and Restated Receivables Sale Agreement Dated as of September 28, 2006, (incorporated by reference to Exhibit 10.91 to the September 30, 2006 10-Q).

 

 

 

10.31+

 

Employment Agreement dated as of December 8, 2008, by and between the Registrant and Craig A. Rogerson (incorporated by reference to Exhibit 10.86 to the Registrant’s December 9, 2008 Form 8-K (“December 9, 2008 8-K”)).

 

 

 

10.32+

 

Separation Agreement and General Release, dated as of December 8, 2008, by and between Mr. Robert L. Wood and the Registrant (incorporated by reference to Exhibit 99.1 to the Registrant’s December 16, 2008 Form 8-K (“December 16, 2008 8-K”)).

 

 

 

10.33+

 

Separation Agreement and General Release dated January 19, 2009, by and between Lynn A. Schefsky and the Registrant (incorporated by reference to Exhibit 99.1 to the Registrant’s February 5, 2009 Form 8-K (“February 5, 2009 8-K”)).

 

 

 

10.34

 

Sixth Amendment and Waiver Agreement, dated as of December 30, 2008, to the Fourth Amended and Restated Receivables Sale Agreement dated as of September 28, 2006, by and among Crompton & Knowles Receivables Corporation, as seller (“Seller”), Chemtura Corporation, as the initial collection agent, The Royal Bank of Scotland plc (as successor to ABN AMRO Bank N.V.), as agent, and various other banks and liquidity providers (incorporated by reference to Exhibit 10.1 to the Registrant’s December 30, 2008 Form 8-K/A filed on January 2, 2009 (“December 30, 2008 8-K/A”)).

 

 

 

10.35

 

Form of Amended and Restated Supplemental Savings Plan, effective January 1, 2009, by and between the Registrant and various eligible employees (incorporated by reference to Exhibit 10.1 to the January 2, 2009 8-K)).

 

 

 

10.36

 

Form of Receivables Purchase Agreement, dated as of January 23, 2009, by and among Registrant, as Seller, Registrant as the Servicer, Citicorp USA, Inc., as Agent, Citigroup Global Markets Inc., as Arranger and The Royal Bank of Scotland Plc, as Syndication Agent (incorporated by reference to Exhibit 10.92 to the Registrant’s January 27, 2009 Form 8-K (“January 27, 2009 8-K”)).

 

 

 

10.37

 

Form of Receivables Sale Agreement, dated as of January 23, 2009, by and among Registrant, Great Lakes Chemical Corporation, GLCC Laurel, LLC, and BioLab, Inc. as Sellers, Chemtura Receivables LLC, as Buyer, Registrant as Buyer’s Servicer, and Citicorp USA, Inc., as Agent, (incorporated by reference to Exhibit 10.93 to the Registrant’s January 27, 2009 Form 8-K (“January 27, 2009 8-K”)).

 

 

 

10.38

 

Addendum, dated as of February 13, 2009, to Separation Agreement and General Release, dated as of December 8, 2008, by and between Mr. Robert L. Wood and the Registrant (Separation Agreement and General Release incorporated by reference to Exhibit 99.1 to the Registrant’s December 16, 2008 Form 8-K (“December 16, 2008 8-K”)).

 

 

 

10.39

 

Amended and Restated Pledge Agreement from the pledgors referred to therein to Citibank, N.A., as agent, dated as of July 31, 2007 (incorporated by reference to Exhibit 10.2 to the Registrant’s Form 8-K dated August 6, 2007 (“August 6, 2007 8-K”)).

 

 

 

10.40

 

Amendment No. 1, dated as of September 30, 2007, to the Amended and Restated Credit Agreement dated as of July 31, 2007, with its lenders (incorporated by reference to Exhibit 10.1 to the Registrant’s Form 8-K dated November 5, 2007 (“November 5, 2007 8-K”)).

 

132



Table of Contents

 

10.41

 

Waiver and Amendment No. 2, dated as of December 30, 2008, to the Amended and Restated Credit Agreement dated July 31, 2007 (the “2007 Credit Agreement”) with Citibank, N.A., as agent, and the other lenders and agents party thereto )incorporated by reference to Exhibit 10.2 to the Registrant’s December 30, 2008 Form 8-K/A filed on January 2, 2009 (“December 30, 2008 8-K/A”), previously filed with the referenced report on Form 8-K filed by Registrant on December 31, 2008.

 

 

 

10.42

 

Second Amended and Restated Pledge and Security Agreement, dated as of December 30, 2008, among Chemtura Corporation, certain domestic subsidiaries of Chemtura Corporation, and Citibank, N.A., as agent (incorporated by reference to Exhibit 10.3 to the December 30, 2008 8-K/A).

 

 

 

10.43+

 

Chemtura Corporation Supplemental Savings Plan (incorporated by reference to Exhibit 10.1 to the Registrant’s January 2, 2009 Form 8-K).

 

 

 

10.44

 

Receivables Purchase Agreement dated as of January 23, 2009 (incorporated by reference to Exhibit 10.92 to the Registrant’s January 26, 2009 Form 8-K (“January 26, 2009 8-K”)).

 

 

 

10.45

 

Receivables Sales Agreement dated as of January 23, 2009 (incorporated by reference to Exhibit 10.93 to the January 26, 2009 8-K).

 

 

 

10.46

 

Separation Agreement and General Release, dated as of January 19, 2009, between Chemtura Corporation and Lynn A. Schefsky (incorporated by reference to Exhibit 99.1 to the Registrant’s February 5, 2009 Form 8-K).

 

 

 

10.47+

 

2009 Chemtura Corporation Management Incentive Program (incorporated by reference to Exhibit 10.1 to the Registrant’s March 10, 2009 Form 8-K).

 

 

 

10.48+

 

Chemtura Corporation Executive and Key Employee Severance Plan (incorporated by reference to Exhibit 10.1 to the Registrant’s March 13, 2009 Form 8-K).

 

 

 

10.49

 

Senior Secured Superpriority Debtor-in-Possession Credit Agreement, dated as of March 18, 2009 (incorporated by reference to Exhibit 10.1 to the Registrant’s Form 10-Q for the period ended March 31, 2009 (“March 31, 2009 10-Q”).

 

 

 

10.50

 

Amendment No. 1, dated as of April 29, 2009, to the Senior Secured Superpriority Debtor-in-Possession Credit Agreement, dated as of March 18, 2009 (incorporated by reference to Exhibit 10.2 to the March 31, 2009 10-Q”)).

 

 

 

10.51

 

Letter Agreement, dated March 18, 2009, between the Company and Alvarez & Marsal North America, LLC (incorporated by reference to Exhibit 10.3 to the March 31, 2009 10-Q).

 

 

 

10.52

 

Separation Agreement and General Release, dated as of July 1, 2009, between Chemtura Corporation and Robert Wedinger (incorporated by reference to Exhibit 99.1 to the Registrant’s July 9, 2009 Form 8-K).

 

 

 

10.53

 

Amendment No. 2, dated as of July 13, 2009, to the Senior Secured Superpriority Debtor-in-Possession Credit Agreement, dated as of March 18, 2009 (incorporated by reference to Exhibit 10.1 to the Registrant’s July 16, 2009 Form 8-K).

 

 

 

10.54

 

2009 Chemtura Corporation Management Incentive Program (incorporated by reference to Exhibit 10.1 to the Registrant’s Form 10-Q for the period ended June 30, 2009).

 

 

 

10.55

 

Share and Asset Purchase Agreement, dated December 23, 2009, among Chemtura Corporation, SK Atlas, LLC and SK Capital Partners II, LP (incorporated by reference to Exhibit 2.1 to the Registrant’s December 23, 2009 Form 8-K).

 

 

 

10.56

 

Senior Secured Superpriority Debtor-in-Possession Credit Agreement, dated as of March 18, 2009, including Schedules and Exhibits (incorporated by reference to Exhibit 10.1 to the Registrant’s Form 10-Q for the period ended September 30, 2009).

 

 

 

10.57

 

Amendment No. 3, dated as of January 15, 2010, to the Senior Secured Superpriority Debtor-in Possession Credit Agreement, dated as of March 18, 2009.*

 

 

 

10.58

 

Share and Asset Purchase Agreement between Chemtura Corporation and SK Atlas, LLC and SK Capital Partners II, LLP, dated December 15, 2010.*

 

133



Table of Contents

 

10.59

 

Amended and Restated Senior Secured Superpriority Debtor-in-Possession Credit Agreement, dated February 4, 2010.*

 

 

 

10.60

 

Share and Asset Purchase Agreement by and among Artek Aterian Holding Company, LLC, Aterian Investment Partners Distressed Opportunities, LP, Artek Surfin Chemicals Ltd. and Chemtura Corporation, dated February 23, 2010 (incorporated by reference to Exhibit 2.1 to the Registrant’s February 24, 2010 Form 8-K).

 

 

 

18

 

Independent Registered Public Accounting Firm’s Preferability Letter concerning the change in the measurement date for the Company’s defined benefit and other post-retirement benefit plans from December 31 to November 30 (incorporated by reference to Exhibit 18 to the Registrant’s 2005 Form 10-K).

 

 

 

21

 

Subsidiaries of the Registrant.*

 

 

 

23

 

Consent of Independent Registered Public Accounting Firm. *

 

 

 

24

 

Form of Power of Attorney from directors and executive officers of the Registrant authorizing signature of this report.* (Original on file at principal executive offices of Registrant).

 

 

 

31.1

 

Certification of Periodic Financial Reports by the Registrant’s Chief Executive Officer (Section 302).*

 

 

 

31.2

 

Certification of Periodic Financial Reports by the Registrant’s Chief Financial Officer (Section 302).*

 

 

 

32.1

 

Certification of Periodic Financial Reports by the Registrant’s Chief Executive Officer (Section 906).*

 

 

 

32.2

 

Certification of Periodic Financial Reports by the Registrant’s Chief Financial Officer (Section 906).*

 


*   Copies of these Exhibits are filed with this Annual Report on Form 10-K.

 

+  This Exhibit is a compensatory plan, contract or arrangement in which one or more directors or executive officers of the Registrant participate.

 

PLEASE NOTE:  Readers should not rely upon any covenants, representations, or warranties that may be contained in agreements or other documents filed as Exhibits to, or incorporated by reference in, this Annual Report on Form 10-K.  Any such covenants, representations, or warranties may have been qualified or superseded in separate schedules or exhibits not filed with or incorporated by reference herein, may reflect the parties’ negotiated risk allocation in the particular transaction, may be qualified by materiality standards that differ from those applicable for securities law purposes, and may not be true as of the date of this Annual Report on Form 10-K or any other date and may be subject to waivers by any or all of the parties.  Where exhibits and schedules to agreements filed or incorporated by reference as Exhibits hereto are not included in these exhibits, such exhibits and schedules to agreements are not included or incorporated by reference herein.

 

134



Table of Contents

 

SIGNATURES

 

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

 

 

CHEMTURA CORPORATION

 

 

(Registrant)

 

 

 

Date: March 12, 2010

 

By:

/s/ Stephen C. Forsyth

 

 

Stephen C. Forsyth

 

 

Executive Vice President and Chief Financial Officer

 

 

Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the date indicated.

 

Name

 

Title

Craig A. Rogerson *

 

Chairman of the Board, President, Chief Executive Officer and Director (Principal Executive Officer)

 

 

 

Stephen C. Forsyth

 

Executive Vice President and Chief Financial Officer (Principal Financial Officer)

 

 

 

Kevin V. Mahoney

 

Senior Vice President and Corporate Controller (Principal Accounting Officer)

 

 

 

Nigel D. T. Andrews*

 

Director

 

 

 

James W. Crownover*

 

Director

 

 

 

Martin M. Hale*

 

Director

 

 

 

Roger L. Headrick*

 

Lead Director

 

 

 

Burton M. Joyce*

 

Director

 

 

 

Bruce F. Wesson*

 

Director

 

 

 

John K. Wulff*

 

Director

 

 

Date:  March 12, 2010

*By:

/s/ Stephen C. Forsyth

 

Stephen C. Forsyth

 

as attorney-in-fact

 

135



Table of Contents

 

Schedule II

 

Valuation and Qualifying Accounts

(In millions of dollars)

 

 

 

 

 

Additions

 

 

 

 

 

 

 

 

 

Balance at

 

charged to

 

 

 

 

 

Balance

 

 

 

beginning

 

costs and

 

 

 

 

 

at end

 

 

 

of year

 

expenses

 

Deductions

 

Other

 

of year

 

2009:

 

 

 

 

 

 

 

 

 

 

 

Allowance for doubtful accounts

 

$

26

 

5

 

(2

)(a)

3

(c)

32

 

Reserve for customer rebates

 

21

 

27

 

(31

)(b)

2

(c)

19

 

 

 

 

 

 

 

 

 

 

 

 

 

2008:

 

 

 

 

 

 

 

 

 

 

 

Allowance for doubtful accounts

 

$

32

 

3

 

(4

)(a)

(5

)(c)

26

 

Reserve for customer rebates

 

27

 

30

 

(36

)(b)

 

21

 

 

 

 

 

 

 

 

 

 

 

 

 

2007:

 

 

 

 

 

 

 

 

 

 

 

Allowance for doubtful accounts

 

$

32

 

4

 

(7

)(a)

3

(c)

32

 

Reserve for customer rebates

 

29

 

45

 

(48

)(b)

1

(c)

27

 

 

 

 

 

 

 

 

 

 

 

 

 

 


(a)   Represents primarily accounts written off as uncollectible (net of recoveries).

(b)   Represents primarily payment to the customers.

(c)   Represents primarily the translation effect of balances denominated in foreign currencies.

 

136


 

EX-10.57 2 a09-35975_1ex10d57.htm EX-10.57

Exhibit 10.57

 

AMENDMENT NO. 3 TO THE
CREDIT AGREEMENT

 

 

Dated as of January 15, 2010

 

AMENDMENT NO. 3 TO THE CREDIT AGREEMENT (this “Amendment”) among Chemtura Corporation, a Delaware corporation (the “Borrower”), the guarantors party thereto (the “Guarantors”), the banks, financial institutions and other institutional lenders party to the Credit Agreement referred to below (collectively, the “Lenders”) and Citibank, N.A., as administrative agent (the “Administrative Agent”) for the Lenders.

 

PRELIMINARY STATEMENTS:

 

(1)           The Borrower, the Guarantors, the Lenders and the Administrative Agent have entered into the Senior Secured Superpriority Debtor-in-Possession Credit Agreement dated as of March 18, 2009 (as heretofore amended or otherwise modified, the “Credit Agreement”).  Capitalized terms not otherwise defined in this Amendment have the same meanings as specified in the Credit Agreement.

 

(2)           The Borrower has requested that the Lenders amend certain provisions of the Credit Agreement.  The Lenders party hereto are, on the terms and conditions stated below, willing to grant the request of the Borrower.

 

SECTION 1.           Amendments to the Credit Agreement.  The Credit Agreement is, effective as of the date hereof and subject to the satisfaction of the applicable conditions precedent set forth in Section 2 of this Amendment, hereby amended as follows:

 

(a)   Section 1.01 of the Credit Agreement is hereby amended by inserting the following new definitions in the appropriate alphabetical position:

 

Albemarle Settlement and Cross License” means, collectively, (a) the mutual release by the Borrower and Great Lakes Chemical Corporation (“GLCC”), on the one hand, and Albemarle Corporation, on the other hand, of claims and counterclaims raised or that could be raised (i) in Albemarle Corporation v. Great Lakes Chemical Corporation, Civil Action Nos. 02-505-JVP-DLD and 02-506-JVP-DLD, consolidated, pending on the Third Amendment Effective Date in the United States District Court for the Middle District of Louisiana; (ii) in Albemarle Corporation v. Chemtura Corporation and Great Lakes Chemical Corporation, Civil Action No. 05-1239-JJB-SCR, pending on the Third Amendment Effective Date in the United States District Court for the Middle District of Louisiana; and (iii) in Chemtura Corporation v. Albemarle Corporation, Civil Action No. 3:09cv143-JRS, pending on the Third Amendment Effective Date in the United States District Court for the Eastern District of Virginia, (iv) in controversies relating to the Borrower’s and GLCC’s concerns that former employees of the Borrower or GLCC made available to Albemarle certain of the Borrower’s and/or GLCC’s trade secrets, confidential information and/or know-how, and/or (v) under U.S. Patent Numbers 4,719096, 4,725,425, 4,978518, 5,008,477, 5,030,778, 5,053,447, 5,077,334, 5,124,496, 5,302,768, 5,387,636, 5,457,248 and 6,958,423; and (b) the grant by the Borrower and/or GLCC to Albemarle Corporation of a nonexclusive, fully paid-up, royalty-free, irrevocable, world-wide license

 



 

to manufacture, use, sell, offer for sale and import FM 2100 or any other products under the claims of U.S. Patent Number 5,457,248 and its respective foreign counterparts and continuations, including reissue patents, reexamined patents, as well as all of the applications to which this patent claims priority, the patents claiming priority from it, including continuation applications, continuation-in-part applications, CPA and RCE applications, divisional applications, and any patent that issues from a patent application that is subject to this clause (b), in consideration of the grant by Albemarle Corporation of certain licenses to the Borrower and GLCC with respect to certain of Albemarle Corporation’s intellectual property, in each case on substantially the terms set forth in the Settlement and Cross-License Agreement signed on December 24, 2009 among Albemarle Corporation, the Borrower and GLCC.

 

PVC Additives Sale” means the sale of all or substantially all of the assets of the business of the Borrower and its Subsidiaries known as the “PVC Additives business”, consisting primarily of (a) the ownership interest in Chemtura Vinyl Additives GmbH (“Chemtura Vinyl”) and (b) certain assets used in the manufacture and distribution of tin and mixed metal stabilizers and related intermediates, organic based stabilizers, epoxidized soybean oil, liquid phosphate esters, chemical foaming agents and impact modifiers, as engaged in by the Borrower at its Taft, Louisiana facility and by Chemtura Vinyl to (a) SK Atlas, LLC and certain of its affiliates on substantially the terms set forth in (or on terms taken as a whole more favorable to the Borrower than those set forth in) the Share and Asset Purchase Agreement dated as of December 23, 2009 among SK Atlas, LLC, SK Capital Partners II, LP and the Borrower or (b) another third-party purchaser, in each case pursuant to auction procedures approved by the Bankruptcy Court, for consideration consisting of cash and/or the assumption of certain liabilities by the buyer thereof.

 

Third Amendment” means Amendment No. 3 to this Agreement dated as of January 15, 2010 by and among the Borrower, the Guarantors and the Lenders party thereto.

 

Third Amendment Effective Date” means the “Effective Date” as defined in the Third Amendment.

 

(b)   Section 5.02(a) of the Credit Agreement is hereby amended by (i) deleting the “and” immediately preceding clause (ix) thereof and (ii) adding immediately prior to the “.” at the end thereof the following new clause (x):

 

“; and (x) the Albemarle Settlement and Cross License, so long as the same is approved by the Bankruptcy Court”.

 

(c)   Section 5.02(h) of the Credit Agreement is hereby amended by (i) deleting the “and” immediately preceding clause (xv) thereof and (ii) adding immediately prior to the “.” at the end thereof the following new clauses (xvi) and (xvii):

 

“; (xvi) the PVC Additives Sale, so long as the same is approved by the Bankruptcy Court; and (xvii) the Albemarle Settlement and Cross License, so long as the same is approved by the Bankruptcy Court”.

 

2



 

SECTION 2.           Conditions to Effectiveness.

 

(a)   This Amendment shall become effective as of the date first above written (the “Effective Date”) when, and only when the Administrative Agent shall have received counterparts of this Amendment executed by the Borrower, each Guarantor and the Required Lenders or, as to any such Lenders, advice satisfactory to the Administrative Agent that such Lender has executed this Amendment.

 

(b)   This Amendment is subject to the provisions of Section 10.01 of the Credit Agreement.

 

SECTION 3.           Reference to and Effect on the Credit Agreement and the Loan Documents.  (a)  On and after the effectiveness of this Amendment, each reference in the Credit Agreement to “this Agreement”, “hereunder”, “hereof” or words of like import referring to the Credit Agreement, and each reference in the Notes and each of the other Loan Documents to “the Credit Agreement”, “thereunder”, “thereof” or words of like import referring to the Credit Agreement, shall mean and be a reference to the Credit Agreement, as further amended by this Amendment.

 

(b)   The Credit Agreement and the Notes and each of the other Loan Documents, as specifically amended by this Amendment, are and shall continue to be in full force and effect and are hereby in all respects ratified and confirmed.

 

(c)   The execution, delivery and effectiveness of this Amendment shall not, except as expressly provided herein, operate as a waiver of any right, power or remedy of any Lender or the Administrative Agent under the Credit Agreement or any other Loan Document, nor constitute a waiver of any provision of the Credit Agreement or any other Loan Document.

 

SECTION 4.           Costs and Expenses.  The Borrower agrees to pay within 10 Business Days of demand all reasonable costs and expenses of the Administrative Agent in connection with the preparation, execution, delivery and administration, modification and amendment of this Amendment and the other instruments and documents to be delivered hereunder in accordance with the terms of Section 10.04 of the Credit Agreement.

 

SECTION 5.           Execution in Counterparts.  This Amendment may be executed in any number of counterparts and by different parties hereto in separate counterparts, each of which when so executed shall be deemed to be an original and all of which taken together shall constitute but one and the same agreement.  Delivery of an executed counterpart of a signature page to this Amendment by telecopier shall be effective as delivery of a manually executed counterpart of this Amendment.

 

SECTION 6.           Governing Law.  This Amendment shall be governed by, and construed in accordance with, the laws of the State of New York.

 

[Remainder of Page Intentionally Left Blank]

 

3



 

IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed by their respective officers thereunto duly authorized, as of the date first above written.

 

 

CHEMTURA CORPORATION

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

A & M CLEANING PRODUCTS, LLC

 

AQUA CLEAR INDUSTRIES, LLC

 

ASCK, INC.

 

ASEPSIS, INC.

 

BIOLAB TEXTILE ADDITIVES, LLC

 

BIO-LAB, INC.

 

CNK CHEMICAL REALTY CORPORATION

 

CROMPTON COLORS INCORPORATED

 

CROMPTON HOLDING CORPORATION

 

CROMPTON MONOCHEM, INC.

 

GREAT LAKES CHEMICAL CORPORATION

 

GREAT LAKES CHEMICAL GLOBAL, INC.

 

GT SEED TREATMENT, INC.

 

HOMECARE LABS, INC.

 

ISCI, INC.

 

LAUREL INDUSTRIES HOLDINGS, INC.

 

KEM MANUFACTURING CORPORATION

 

MONOCHEM, INC.

 

NAUGATUCK TREATMENT COMPANY

 

RECREATIONAL WATER PRODUCTS, INC.

 

UNIROYAL CHEMICAL COMPANY LIMITED (DELAWARE)

 

WEBER CITY ROAD LLC

 

WRL OF INDIANA, INC.

 

 

 

By:

 

 

 

Name:

 

 

Title:

 



 

 

SIGNATURE PAGE TO AMENDMENT NO. 3 TO THE CREDIT AGREEMENT, DATED AS OF THE DATE FIRST WRITTEN ABOVE, AMONG CHEMTURA CORPORATION, THE GUARANTORS PARTY THERETO, THE VARIOUS LENDERS PARTY THERETO AND CITIBANK. N.A., AS ADMINISTRATIVE AGENT

 

 

 

BIOLAB COMPANY STORE, LLC

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

BIOLAB FRANCHISE COMPANY, LLC

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

GLCC LAUREL, LLC

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 



 

SIGNATURE PAGE TO AMENDMENT NO. 3 TO THE CREDIT AGREEMENT, DATED AS OF THE DATE FIRST WRITTEN ABOVE, AMONG CHEMTURA CORPORATION, THE GUARANTORS PARTY THERETO, THE VARIOUS LENDERS PARTY THERETO AND CITIBANK. N.A., AS ADMINISTRATIVE AGENT

 

 

 

Accepted and agreed:

 

 

 

 

 

CITIBANK, N.A.,
as Administrative Agent and as a Lender

 

 

 

By:

 

 

Name:

 

Title:

 

 



 

SIGNATURE PAGE TO AMENDMENT NO. 3 TO THE CREDIT AGREEMENT, DATED AS OF THE DATE FIRST WRITTEN ABOVE, AMONG CHEMTURA CORPORATION, THE GUARANTORS PARTY THERETO, THE VARIOUS LENDERS PARTY THERETO AND CITIBANK. N.A., AS ADMINISTRATIVE AGENT

 

 

 

Accepted and agreed:

 

 

 

                                                                                              

,

 

as a Lender

 

 

 

 

 

By:

 

 

 

Name:

 

Title:

 

 


EX-10.58 3 a09-35975_1ex10d58.htm EX-10.58

Exhibit 10.58

 

SHARE AND ASSET PURCHASE AGREEMENT

 

by and among

 

SK Atlas, LLC

 

SK Capital Partners II, LP

 

and

 

Chemtura Corporation

 

 


 

December 23, 2009

 



 

TABLE OF CONTENTS

 

 

 

Page

 

 

 

ARTICLE 1

DEFINITIONS AND CONSTRUCTION

1

Section 1.1

Definitions

1

Section 1.2

Additional Defined Terms

9

Section 1.3

Construction

12

 

 

 

ARTICLE 2

THE TRANSACTION

12

Section 2.1

Sale and Purchase of Shares and Purchased Assets

12

Section 2.2

Excluded Assets

13

Section 2.3

Assumed Liabilities

15

Section 2.4

Excluded Liabilities

16

Section 2.5

Consideration

17

Section 2.6

Post-Closing Adjustment Net Working Capital Adjustment

18

Section 2.7

Allocation of Purchase Price

20

Section 2.8

Closing

21

Section 2.9

Closing Deliveries

21

Section 2.10

Certain Foreign Purchased Assets

23

 

 

 

ARTICLE 3

REPRESENTATIONS AND WARRANTIES OF THE SELLER

24

Section 3.1

Organization and Good Standing

24

Section 3.2

Authority and Enforceability

24

Section 3.3

No Conflict

24

Section 3.4

Capitalization and Ownership

25

Section 3.5

Financial Statements

25

Section 3.6

Operation of the Business

26

Section 3.7

Absence of Certain Changes and Events

26

Section 3.8

Personal Property

27

Section 3.9

Real Property

27

Section 3.10

Intellectual Property

28

Section 3.11

Contracts

29

Section 3.12

Tax Matters

30

Section 3.13

Employee Benefit Matters

31

Section 3.14

Employment and Labor Matters

31

Section 3.15

Environmental, Health and Safety Matters

32

Section 3.16

Governmental Authorizations

33

 

i



 

TABLE OF CONTENTS

(continued)

 

 

 

Page

 

 

 

Section 3.17

Compliance with Laws

33

Section 3.18

Permits

34

Section 3.19

Legal Proceedings

34

Section 3.20

Insurance

34

Section 3.21

Brokers Fees

34

Section 3.22

REACH

34

Section 3.23

Disclaimer of Other Representations and Warranties

34

 

 

 

ARTICLE 4

REPRESENTATIONS AND WARRANTIES OF THE PURCHASER

35

Section 4.1

Organization and Good Standing

35

Section 4.2

Authority and Enforceability

35

Section 4.3

No Conflict

35

Section 4.4

Legal Proceedings

36

Section 4.5

Investment Intent

36

Section 4.6

Brokers Fees

36

Section 4.7

Financial Capacity

36

Section 4.8

Independent Investigation

36

 

 

 

ARTICLE 5

COVENANTS

37

Section 5.1

Access and Investigation

37

Section 5.2

Operation of the Business

37

Section 5.3

Bankruptcy Actions

39

Section 5.4

Exclusivity; No Solicitation of Transactions

39

Section 5.5

Consents and Filings

40

Section 5.6

Supplements to Disclosure Schedules

41

Section 5.7

Assignment of Contracts; Cure of Defaults

41

Section 5.8

Financing

41

Section 5.9

Confidentiality

41

Section 5.10

Public Announcements

42

Section 5.11

Further Actions

43

Section 5.12

Indemnification and Insurance

43

Section 5.13

Bulk Transfer Laws

43

Section 5.14

Designated Affiliate

43

Section 5.15

Use of Seller’s Name; Seller Marks

43

 

ii



 

TABLE OF CONTENTS

(continued)

 

 

 

Page

 

 

 

Section 5.16

Refunds and Remittances

44

Section 5.17

Litigation Support

44

Section 5.18

Intercompany Accounts

45

Section 5.19

Assistance with Preparation of Financial Statements

45

Section 5.20

Trade Accounts Payable, Shared Accounts Payable and Accrued Payroll and Benefits

45

Section 5.21

Certain Commercial Arrangements

45

Section 5.22

German Corporate Group Arrangements

46

Section 5.23

Restrictive Covenants

47

Section 5.24

Transition Services Agreement

49

Section 5.25

REACH

50

 

 

 

ARTICLE 6

CONDITIONS PRECEDENT TO OBLIGATION TO CLOSE

50

Section 6.1

Conditions to the Obligation of the Purchaser

50

Section 6.2

Conditions to the Obligation of the Seller

51

 

 

 

ARTICLE 7

TERMINATION

51

Section 7.1

Termination Events

51

Section 7.2

Effect of Termination

52

Section 7.3

Certain Effects of Termination

53

 

 

 

ARTICLE 8

INDEMNIFICATION

54

Section 8.1

Indemnification by the Seller

54

Section 8.2

Indemnification by the Purchaser

54

Section 8.3

Claim Procedure

54

Section 8.4

Survival

55

Section 8.5

Limitations on Liability

56

Section 8.6

Exclusive Remedy

56

 

 

 

ARTICLE 9

TAX MATTERS

57

Section 9.1

Liability and Indemnification for Taxes

57

Section 9.2

Tax Return Filing; Audit Responsibilities

58

Section 9.3

Cooperation

59

Section 9.4

No Code Section 338 Election

59

 

 

 

ARTICLE 10

EMPLOYEE MATTERS

59

Section 10.1

Employees

59

 

iii



 

TABLE OF CONTENTS

(continued)

 

 

 

Page

 

 

 

Section 10.2

Defined Benefit Plans

61

Section 10.3

Defined Contribution Plan

62

Section 10.4

Welfare Arrangements

62

Section 10.5

WARN Act

62

Section 10.6

No Third-Party Beneficiaries

63

Section 10.7

Negotiations with Employees

63

 

 

 

ARTICLE 11

ENVIRONMENTAL MATTERS

63

Section 11.1

Indemnification by the Seller

63

Section 11.2

Survival

63

Section 11.3

Limitations on Liability

64

Section 11.4

Procedure for Indemnification For Environmental Losses

66

Section 11.5

Taft Air Issue

69

 

 

 

ARTICLE 12

GENERAL PROVISIONS

69

Section 12.1

Notices

69

Section 12.2

Amendment

70

Section 12.3

Specific Performance

70

Section 12.4

Waiver and Remedies

71

Section 12.5

Entire Agreement

71

Section 12.6

Assignment, Successors and No Third Party Rights

71

Section 12.7

Severability

71

Section 12.8

Exhibits and Schedules

71

Section 12.9

Interpretation

72

Section 12.10

Expenses

72

Section 12.11

Governing Law

72

Section 12.12

Limitation on Liability

72

Section 12.13

Jurisdiction and Service of Process

72

Section 12.14

Waiver of Jury Trial

72

Section 12.15

No Joint Venture

73

Section 12.16

Counterparts

73

 

iv



 

Exhibits

 

 

 

 

 

Exhibit A

 

Deposit Agreement

Exhibit B

 

Bill of Sale

Exhibit C

 

Assignment and Assumption Agreement

Exhibit D

 

Share Transfer Agreement

Exhibits E-1, E-2 and E-3

 

IP Assignments and IP License Agreement

Exhibit F

 

Transition Services Agreement

Exhibit G

 

TBT Supply Agreement

Exhibit H

 

TOT Supply Agreement

Exhibit I

 

TPP/LPE Supply Agreement

Exhibit J

 

Ciba Environmental Indemnity Assignment

Exhibit K

 

Bidding Procedures Order

Exhibit L

 

Approval Order

 

i



 

SHARE AND ASSET PURCHASE AGREEMENT

 

This Share and Asset Purchase Agreement (the “Agreement”) is made as of December 23, 2009, by and among Chemtura Corporation, a Delaware corporation (the “Seller”), SK Atlas, LLC, a Delaware limited liability company (the “Purchaser”) and SK Capital Partners II, LP, a Delaware limited liability company (“SK”).  Capitalized terms used in this Agreement shall have the meanings given to such terms in Article 1.

 

The Seller and the Acquired Company (as defined below) are engaged in the Business.  This Agreement contemplates the sale and transfer to the Purchaser of certain of the assets and liabilities relating to the Business, including the shares of the capital stock of the Acquired Company.

 

The Seller and certain of its Subsidiaries have filed voluntary petitions initiating cases under Chapter 11 of the Bankruptcy Code in the Bankruptcy Court and intend that the transactions contemplated by this Agreement, insofar as they relate to the Purchased Assets and the Assumed Liabilities, shall be implemented through the filing of the Sale Motion, subject to better and higher bids, pursuant to Section 363 of the Bankruptcy Code seeking approval of the transactions contemplated by this Agreement.

 

NOW, THEREFORE, intending to be legally bound and in consideration of the mutual provisions set forth in this Agreement and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties agree as follows:

 

ARTICLE 1
DEFINITIONS AND CONSTRUCTION

 

Section 1.1             Definitions.  For the purposes of this Agreement and the Ancillary Agreements:

 

Accrued Payroll and Benefits Adjustment Payment” means an amount equal to the outstanding payroll and benefits to be paid to Employees or their benefit provider(s) for services rendered through the Closing Date, which amount the Purchaser has received written notice of at least five (5) Business Days prior to the Closing Date.

 

Acquired Company” means Chemtura Vinyl Additives GmbH, a company duly organized and existing in accordance with the laws of the Federal Republic of Germany, registered with the commercial register of the local court (Amtsgericht) Darmstadt under HRB 61629.

 

Acquired Company Employee” means any individual who, as of the Closing Date, is an employee of the Acquired Company.

 

Affiliate” means, with respect to a specified Person, a Person that directly, or indirectly through one or more intermediaries, controls, is controlled by or is under common control with, the specified Person.  For purposes of this definition, the term “control” (including the terms “controlling,” “controlled by” and “under common control with”) means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a Person, whether through the ownership of voting securities, by contract or otherwise.

 

Affiliated Group” means a group of corporations with which the Acquired Company has filed consolidated, combined, unitary or similar Tax Returns.

 



 

Alternative Transaction” means, in accordance with the Bid Procedures Order or such other bidding procedures order or other order as may be approved by the Bankruptcy Court, the sale, transfer, lease or other disposition, whether through an asset sale, stock sale, merger or similar transaction, of all or substantially all the Purchased Assets or the Shares in a transaction or series of transactions with a party or parties other than the Purchaser.

 

Ancillary Agreements” means, collectively, the Deposit Agreement, the Bill of Sale, the Assignment and Assumption Agreement, the Share Transfer Agreement, the IP Assignments, the Transition Services Agreement, the TBT Supply Agreement, the TOT Supply Agreement, the Weston 705 Supply Agreement, the IP License Agreement, the TPP/LPE Supply Agreement, the TNPP Supply Agreement and the Isopetronate HL-44 Toll Manufacturing Agreement.

 

Antitrust Laws” means any antitrust, competition or trade regulatory Laws.

 

Bankruptcy Code” means 11 U.S.C. Section 101, et. seq., as it may be amended during the Case.

 

Bankruptcy Court” means the United States Bankruptcy Court for the Southern District of New York, or any other court having jurisdiction over the Case from time to time.

 

Bankruptcy Court Orders means the Bidding Procedures Order and the Approval Order.

 

Base Working Capital” means an amount equal to the sum of (i) €24,363,000 for the Acquired Company (as converted to U.S. dollars based on the euro foreign exchange reference rate published in the Wall Street Journal on the Closing Date) and (ii) $35,432,930 for the Business (other than the Acquired Company).

 

Business” means the design, manufacture, assembly, marketing, sale and distribution of tin and mixed metal stabilizers, organic based stabilizers (OBS), epoxidized soybean oil, liquid phosphite esters, chemical foaming agents and impact modifiers, and related intermediates of each of the foregoing, as engaged in by the Seller at its Taft, Louisiana facility, and by the Acquired Company, in each case prior to the Closing.

 

Business Day” means any day other than Saturday, Sunday or any day on which banking institutions in New York, New York are closed either under applicable Law or action of any Governmental Authority.

 

Case” means the bankruptcy case arising from the filing under Chapter 11 of the Bankruptcy Code of the Seller and certain of its Subsidiaries, jointly administered as Case No. 09-11233 in the Bankruptcy Court.

 

Cash Equivalents” means checks, money orders, marketable securities, short-term instruments, prepaid expenses (except prepayments for the Prepaid Inventory), security deposits and other cash equivalents, funds in time and demand deposits or similar accounts and any evidence of indebtedness issued or guaranteed by any Governmental Authority.

 

Ciba” means Ciba Spezialitätenchemie Lampertheim GmbH (or its successors in interest).

 

2



 

Ciba Basic Agreement” means that certain swap agreement between Ciba, the Seller (at that time named Witco Corporation) and the Share Selling Affiliate (at that time named Witco GmbH), dated May 29, 1998.

 

Claims” means any charges, mortgages, pledges, security interests, escrows, options, rights of first refusal, indentures, security agreements or other encumbrances, claims, agreements, arrangements or commitments of any kind or character and whether or not relating in any way to credit or the borrowing of money.

 

Closing Net Working Capital” means (a) the sum of (i) the Accounts Receivable plus the notes and trade accounts receivable of the Acquired Company, and (ii) the Inventory, the Prepaid Inventory plus the inventory of the Acquired Company, minus (b) the accounts payable and other current liabilities of the Acquired Company, in each case calculated as of the close of business on the Closing Date, in accordance with the Calculation Principles and with the line items contained in the sample of the Final Closing Net Working Capital set forth in Schedule 2.6(h).

 

Code” means the Internal Revenue Code of 1986, as amended from time to time, or any successor statute.  Any reference herein to a particular provision of the Code shall mean, where appropriate, the corresponding provision in any successor statute.

 

Consignment Raw Material Inventory” means inventory physically present at any Real Property of the Business, which is owned by a third party subject to purchase on consignment by the Business.

 

Contract” means any contract, agreement, lease, license, commitment, understanding, franchise, warranty, guaranty, mortgage, note, bond or other instrument or consensual obligation that is legally binding.

 

Cure Costs” means the amount to cure any payment or other default under any Included Contract assumed by the Purchaser pursuant to Section 365 of the Bankruptcy Code.

 

Designated Affiliate” means an Affiliate of the Purchaser which is designated by the Purchaser as the purchaser of the Acquired Company and such designation (a) is reasonably acceptable to the Seller, (b) does not impede or delay in any way the ability of the parties to close the transactions contemplated by this Agreement, (c) does not directly or indirectly prejudice or increase the costs (including any Taxes) to the Seller or the Share Selling Affiliate and (d) is made in accordance with Section 5.14.  The Purchaser acknowledges and agrees that any delay in any attempt to make such a designation will be considered in determining whether such designation is made in compliance with clauses (b) and (c) of this definition.

 

Employee” means any individual who, as of the Closing Date, is an employee of the Seller, or an Affiliate of the Seller (other than the Acquired Company) on the date hereof or hired after the date hereof, who performs services primarily on behalf of the Business.  An individual who would otherwise satisfy this definition but who is absent from active employment on the Closing Date on account of vacation, sick leave, disability leave, leave under any local Law which preserves employment or reemployment rights for the individual, or any other similar reason, shall nonetheless be an “Employee” hereunder.

 

Encumbrance” means (a) any lien, mortgage, deed of trust, deed to secure debt, pledge, restriction on transfer, proxy and voting or other agreement, claim, charge, security interest,

 

3



 

easement, right of way, encroachment, servitude, right of first option, right of fast refusal, preemptive right or similar restriction, or other encumbrance, option or defect on title of every type and description, whether imposed by law, agreement, understanding or otherwise, including all liens, encumbrances, and interests in property as set forth in Section 363 of the Bankruptcy Code, (b) violations of set-back requirements or similar violations, or (c) any other issues related to title, survey or zoning with respect to the Real Property; but does not include (u) carrier’s, warehousemen’s, mechanic’s, materialman’s and other similar liens with respect to amounts that are not yet due and payable or that are being contested in good faith, (v) liens for Taxes that are not yet due and payable or that are being contested in good faith, (w) liens securing rental payments under capital lease arrangements, (x) restrictions on the transferability of securities arising under applicable securities Laws (to the extent enforceable pursuant to applicable bankruptcy Law), (y) restrictions arising under applicable zoning and other land use Laws that do not, individually or in the aggregate, have a material adverse effect on the present use or occupancy of the property subject thereto, or (z) defects, easements, rights of way, restrictions, covenants, claims, subleases or similar items relating to real property that do not, individually or in the aggregate, have a material adverse effect on the present use or occupancy of the real property subject thereto.

 

Environmental Law” means any Law concerning (a) the treatment, disposal, emission, discharge, Release or threatened Release of, or exposure to, any Hazardous Material or (b) the protection of health (including worker health and safety) and the environment (including natural resources, air and surface or subsurface land or waters).

 

ERISA” means the Employee Retirement Income Security Act of 1974.

 

European Trade Accounts Payable Adjustment Payment” means an amount equal to the outstanding European Trade Accounts Payable which are not past due, which amount the Purchaser has received written notice of at least one (1) Business Day prior to the Closing Date.

 

Final Order” means an order of the Bankruptcy Court or other court of competent jurisdiction:  (a) as to which no appeal, notice of appeal, motion to amend or make additional findings of fact, motion to alter or amend judgment, motion for rehearing or motion for new trial, request for stay, motion or petition for reconsideration, application or request for review, or other similar motion, application, notice or request (collectively, a “Challenge”) has been timely filed, or, if any of the foregoing has been timely filed, it has been disposed of in a manner that upholds and affirms the subject order in all respects without the possibility for further Challenge thereon; (b) as to which the time for instituting or filing a Challenge shall have expired; and (c) as to which no stay is in effect.

 

GAAP” means United States generally accepted accounting principles.

 

Governmental Authority” means any (a) nation, region, state, county, city, town, village, district or other jurisdiction, (b) federal, state, local, municipal, foreign or other government, (c) governmental or quasi-governmental authority of any nature (including any governmental agency, branch, department or other entity and any court or other tribunal), (d) multinational organization exercising judicial, legislative or regulatory power or (e) body exercising, or entitled to exercise, any administrative, executive, judicial, legislative, police, regulatory or taxing authority or power of any nature of any federal, state, local, municipal, foreign or other government.

 

4



 

Governmental Authorization” means any approval, consent, ratification, waiver, license, permit, registration or other authorization issued or granted by any Governmental Authority.

 

Hazardous Material” means any waste, chemical, material or other substance that is listed, defined, designated or classified as hazardous, radioactive or toxic or a pollutant or a contaminant under any Environmental Law, including any mixture or solution thereof, and including petroleum and all derivatives thereof, asbestos or asbestos-containing materials in any form or condition, polychlorinated biphenyls and any other waste, chemical, material or other substance in any amount or concentration that is regulated or for which liability can be imposed under any Environmental Law.

 

Initial Consideration” means the sum of the Initial Cash Consideration, the Trade Accounts Payable Adjustment Payment, the European Trade Accounts Payable Adjustment Payment, the Shared Accounts Payable Adjustment Payment, the Accrued Payroll and Benefits Adjustment Payment and the Assumed Liabilities.

 

Intellectual Property” means all of the following anywhere in the world and all legal rights, title or interest in the following arising under Law: (a) all patents and applications for patents and all related reissues, reexaminations, divisions, renewals, extensions, provisionals, continuations and continuations in part; (b) all copyrights, copyright registrations and copyright applications, copyrightable works and all other corresponding rights; (c) all mask works, mask work registrations and mask work applications and all other corresponding rights; (d) all trade dress and trade names, logos, Internet addresses and domain names, trademarks and service marks and related registrations and applications, including any intent to use applications, supplemental registrations and any renewals or extensions, all other indicia of commercial source or origin and all goodwill associated with any of the foregoing; (e) all inventions (whether patentable or unpatentable and whether or not reduced to practice), know how, technology, technical data (including lab notebooks), trade secrets, confidential business information, manufacturing and production processes and techniques, product formulations, chemical formulations, research and development information, REACH reformulation data and results, experimentation data and results, product development information and application data sheets including testing procedures, financial, marketing and business data, pricing and cost information, business and marketing plans, advertising and promotional materials, customer, distributor, reseller and supplier lists and information including pricing terms and history, correspondence, records, and other documentation, and other proprietary information of every kind; (f) all computer software (including source and object code), firmware, development tools, algorithms, files, records, technical drawings and related documentation, process flow diagrams, material of construction information, bill of materials, piping and information diagrams, front end engineering and design (FEED) studies, material safety data sheets (MSDS) and tech service data, data and manuals; (g) all strategy and marketing data and marketing studies, advertisements, trade ads and tradeshow materials; (h) all databases and data collections, including customer contact data and customer call reports; and (i) all other intellectual property rights.

 

Intermediate Products” means those products that are the subject of the Supply Agreements.

 

IRS” means the United States Internal Revenue Service and, to the extent relevant, the United States Department of Treasury.

 

Judgment” means any order, injunction, judgment, decree, ruling, assessment or arbitration award of any Governmental Authority or arbitrator.

 

5



 

Knowledge” or “Known” means, with respect to the Seller, the actual knowledge, following reasonable inquiry (which shall consist of the level of inquiry set forth in Section 1.1(a) of the Seller Disclosure Schedule), of any of the executive officers or senior managerial employees of the Seller listed in Section 1.1(a) of the Seller Disclosure Schedule.

 

Known Environmental Liability” means any Liability under Environmental Laws related to the Taft, Louisiana facility arising from (a) any Proceeding pending or threatened on or before the date hereof, (b) any Release of or any exposure of any Person to any Hazardous Materials at, on, in, to, from or under the Owned Real Property identified on or before the date hereof, including the subsequent migration of such Hazardous Materials from the Owned Real Property, (c) any environmental fact or condition that occurred or existed and is identified on or before the date hereof, and (d) any violation of Environmental Law or Environmental Authorization by the Business or Seller that occurred on or before the date hereof, until such violation is resolved pursuant to the terms of Article 11, in each case of (a) through (d), only to the extent identified on Schedule 1.1(a).

 

Law” means any federal, state, local, municipal, foreign, international, multinational, or other constitution, law (including common law), statute, treaty, rule, regulation, ordinance or code.

 

Liability” means any liability or obligation, whether known or unknown, absolute or contingent, accrued or unaccrued, liquidated or unliquidated, due or to become due.

 

Loss” means any direct and actual Liabilities, losses, damages, Judgments, fines, penalties, costs or expenses (including reasonable attorney’s or other professional fees and expenses) but excluding any special, incidental, indirect, exemplary, punitive or consequential damages (including lost profits, loss of revenue or lost sales, or amounts calculated as a multiple of earnings, profits, revenue, sales or other measure).

 

Material Adverse Effect” means any event, change, circumstance, effect or other matter that has a material adverse effect on the financial condition, results of operations or business prospects of the Business, taken as a whole; provided, however, that none of the following, either alone or in combination, will constitute, or be considered in determining whether there has been, a Material Adverse Effect:  any event, change, circumstance, effect or other matter resulting from or related to (i) any outbreak or escalation of war or major hostilities or any act of terrorism, (ii) changes in Laws, GAAP or enforcement or interpretation thereof, (iii) changes that generally affect the industries and markets in which the Business operates, (iv) changes in financial markets, general economic conditions (including prevailing interest rates, exchange rates, commodity prices and fuel costs) or political conditions, (v) any failure, in and of itself, of the Business to meet any published or internally prepared projections, budgets, plans or forecasts of revenues, earnings or other financial performance measures or operating statistics (it being understood that the facts and circumstances underlying any such failure that are not otherwise excluded from the definition of a “Material Adverse Effect” may be considered in determining whether there has been a Material Adverse Effect), (vi) any action taken or failed to be taken pursuant to or in accordance with this Agreement or at the request of, or consented to by, the Purchaser, or (vii) the execution or delivery of this Agreement, the consummation of the transactions contemplated by this Agreement or the public announcement or other publicity with respect to any of the foregoing.

 

6



 

Person” means an individual or an entity, including a corporation, share company, limited liability company, partnership, trust, association or other business or investment entity, or any Governmental Authority.

 

Petition Date” means March 18, 2009.

 

Post-Closing Period” means any taxable period or portion of a period that begins after the Closing Date.

 

Pre-Closing Period” means any taxable period or portion of a period that ends on or before the Closing Date, including that portion of any Straddle Period ending on the Closing Date.

 

Prepaid Inventory” means goods not received by the Business on or before the Closing Date that have been paid for by the Seller on or before the Closing Date.

 

Proceeding” means any action, arbitration, audit, examination, investigation, hearing, litigation or suit (whether civil, criminal, administrative, judicial or investigative, whether formal or informal, and whether public or private) commenced, brought, conducted or heard by or before, or otherwise involving, any Governmental Authority or arbitrator.

 

Purchaser Deemed Entity Value” means $38,000,000.

 

Purchaser Intermediate Products” means those products that are the subject of the Supply Agreements and which were sold by the Business at any time from January 1, 2008 until the Closing Date.

 

Real Property” means, collectively, the Owned Real Property, the Acquired Company Owned Real Property and the Acquired Company Leased Real Property.

 

Release” means the release, spill, emission, leaking, pumping, pouring, emptying, escaping, dumping, injection, deposit, disposal, discharge, dispersal, leaching or migrating of any Hazardous Material into the environment.

 

Remediation” and “Remediate” mean investigation, testing, analysis, monitoring, risk assessment, removal, remedial action, cleanup, installation and implementation of institutional, engineering or other controls, and any other actions reasonably necessary to address or resolve a Release of Hazardous Material.

 

Retained Business Product” means any product manufactured and sold by the Seller or any of its Affiliates from January 1, 2008 until the Closing Date and which relate to Seller’s Antioxident/Ultra Violet Stabilizer business, Petroleum Additives business or Organometallic Specialties business but shall explicitly exclude any products exclusively manufactured by the Business on or before Closing.

 

Schedule” means the Seller Disclosure Schedule or the SAPA Disclosure Schedule, as the context requires.

 

Seller Intermediate Products” means those products that are the subject of the Supply Agreements and which were sold by the Seller’s Antioxident/Ultra Violet Stabilizer business or its Organometallic Specialties business at any time from January 1, 2008 until the Closing Date.

 

7



 

Seller Plan” means any Contract, plan, commitment, fund or program maintained, sponsored, owed, adopted, contributed to, or followed by the Seller, any Selling Affiliate, the Acquired Company or any of their respective Affiliates, providing compensation (other than salary), benefits, pension, retirement, superannuation, profit sharing, stock bonus, stock option, stock purchase, phantom or stock equivalent, bonus, incentive, deferred compensation, hospitalization, medical, dental, vision, vacation, life insurance, death benefit, sick pay, disability, severance, termination indemnity, redundancy pay, educational assistance, holiday pay, housing assistance, moving expense reimbursement, fringe benefit or similar employee benefits to Employees or Acquired Company Employees Company and former directors, officers, employees or agents employed or formerly employed or otherwise retained or formerly retained primarily in the operation of the Business or by the Acquired Company, but excluding (a) any Contract, plan, fund or program required to be maintained by the Laws of the jurisdiction in which the Employee or Acquired Company Employee is working and (b) any governmental plan or program requiring the mandatory payment of social insurance Taxes or similar contributions to a governmental fund with respect to the wages of an employee.

 

Share Selling Affiliate” means Chemtura Organometallics GmbH, a company duly organized and existing in accordance with the laws of the Federal Republic of Germany, registered with the commercial register of the local court (Amtsgericht) Hamm under HRB 4711.

 

Shared Accounts Payable Adjustment Payment” means an amount equal to $200,000.

 

Shared Intellectual Property” means registered trademarks used by the Business and also used by the Seller or any Affiliate of the Seller in the ordinary course of business and all other Intellectual Property used by both the Seller or any Affiliate of the Seller and by the Business, and not used exclusively by the Business, which are retained by the Seller and its relevant Affiliates and licensed to the Purchaser pursuant to Exhibit E-3.

 

Shares” means all of the issued and outstanding capital stock of the Acquired Company.

 

Straddle Period” means any taxable period that begins before and ends after the Closing Date.

 

Subsidiary” means, with respect to a specified Person, any corporation or other Person of which securities or other interests having the power to elect a majority of that corporation’s or other Person’s board of directors or similar governing body, or otherwise having the power to direct the business and policies of that corporation or other Person (other than securities or other interests having such power only upon the happening of a contingency that has not occurred) are held by the specified Person or one or more of its Subsidiaries.

 

Supply Agreements” means the TBT Supply Agreement, the TOT Supply Agreement, the TPP/LPE Supply Agreement, the Weston 705 Supply Agreement, the Isopetronate HL-44 Supply Agreement and the TNPP Supply Agreement.

 

Taft Air Issue” means any emissions from and operational parameters of Emission Point No. 001-05GP (Thermal Oxidizer UB-1300 Control Device) in excess of emission limits or operational requirements established by any Governmental Authorization or Environmental Law.

 

Tax” means (a) any federal, state, local, foreign or other tax, charge, fee, duty (including customs duty), levy or assessment, including any income, gross receipts, net proceeds, alternative or add-on minimum, corporation, ad valorem, turnover, real property, personal property (tangible

 

8



 

or intangible), sales, use, franchise, excise, escheat, abandoned or unclaimed property, VAT, stamp, leasing, lease, user, transfer, fuel, excess profits, profits, occupational, premium, interest equalization, windfall profits, severance, license, registration, payroll, environmental, capital stock, capital duty, disability, estimated, gains, wealth, welfare, employee’s income withholding, other withholding, unemployment or social security or other tax of whatever kind (including any fee, assessment or other charges in the nature of or in lieu of any tax) that is imposed by any Governmental Authority, (b) any interest, fines, penalties or additions resulting from, attributable to, or incurred in connection with any items described in this paragraph or any related contest or dispute and (c) any Liability for the Taxes of another Person.

 

Tax Attributes” means any net operating loss, net capital loss, investment tax credit, foreign tax credit, charitable deduction or any other tax credit or tax attribute that could be carried forward or back to reduce Taxes (including deductions and credits relating to alternative minimum Taxes).

 

Tax Contest” means an audit, claim, dispute or controversy relating to Taxes.

 

Tax Return” means any report, return, declaration, claim for refund, or information return or statement related to Taxes, including any schedule or attachment thereto, and including any amendment thereof, required to be filed with a Governmental Authority.

 

Trade Accounts Payable Adjustment Payment” means an amount equal to $7,156,610.

 

Unknown Environmental Liability” means any Liability under Environmental Laws related to the Taft, Louisiana facility (excluding any Known Environmental Liability) arising from (a) any Release of or any exposure of any Person to any Hazardous Materials at, on, in, to, from or under the Owned Real Property that occurred on or before the Closing Date, including the subsequent migration of such Hazardous Materials from the Owned Real Property, (b) any environmental fact or condition that occurred or existed on or before the Closing Date; (c) any violation of Environmental Law or Environmental Authorization by the Business or the Seller that occurred on or before the Closing Date, until such violation is resolved pursuant to the terms of Article 11; or (d) any Proceeding asserted in response to (a) through (c) above.

 

VAT” means any value-added Tax, goods and services Tax or similar Tax, including such Tax as may be levied in accordance with (but subject to derogation from) EEC Directive 77/388/EEC.

 

WARN Act” means the Worker Adjustment and Retraining Notification Act of 1988, and any similar foreign, state or local Law.

 

Section 1.2             Additional Defined Terms.  For purposes of this Agreement and the Ancillary Agreements, the following terms have the meanings specified in the indicated Section of this Agreement:

 

Defined Term

 

Section

Accounts Receivable

 

2.1(b)(ii)

Accrued Payroll and Benefits

 

2.4(e)

Acquired Company Intellectual Property

 

3.10

Acquired Company Leased Real Property

 

3.9(b)

Acquired Company Real Property

 

3.9(a)

Adjustment Calculation

 

2.6(a)

 

9



 

Defined Term

 

Section

Adjustment Notice

 

2.6(a)

Affiliate Indemnified Party

 

5.12

Agreement

 

Preamble

Approval Notification

 

11.4(f)

Approval Order

 

5.3(a)

Assignment and Assumption Agreement

 

2.9(a)(ii)

Assumed Liabilities

 

2.3

Bankruptcy Avoidance Actions

 

2.2(m)

Bidding Procedures Order

 

5.3(a)

Bill of Sale

 

2.9(a)(i)

Bonus Payments

 

10.1(e)

Breakup Fee

 

7.2(b)

Business Information

 

5.9(b)

Business Intellectual Property Rights

 

3.10

Calculation Principles

 

2.6(a)

Chosen Court

 

12.13

Ciba Environmental Indemnity Assignment

 

2.9(a)(xiii)

Claim Notice

 

8.3(a)

Closing

 

2.8

Closing Allocation Schedule

 

2.7(a)

Closing Date

 

2.8

Commitment Letters

 

4.7

Confidentiality Agreement

 

5.9(a)

Continuation Period

 

10.1(c)

Controlling Party

 

8.3(d)

Control Notice

 

11.4(b)

Deposit Agent

 

2.5(b)(i)

Deposit Agreement

 

2.5(b)(i)

Deposit Amount

 

2.5(b)(i)

Dispute Notice

 

2.6(c)(ii)

Dispute Notification

 

11.4(f)

Environmental Authorizations

 

3.15(a)

Environmental Claim

 

11.4(a)

Environmental Claim Notice

 

11.4(a)

Environmental Response Action

 

11.4(b)

Environmental Investigation

 

11.3(b)

Environmental Losses

 

11.3(b)

Environmental Response Action

 

11.4(b)

Environmental Response Action Proposal

 

11.4(e)

European Trade Accounts Payable

 

2.4(c)

Excluded Assets

 

2.2

Excluded Intellectual Property

 

2.2(h)

Excluded Liabilities

 

2.4

Final Cash Consideration

 

2.5(a)

Final Closing Net Working Capital

 

2.6(a)

Financial Statements

 

3.5

German GAAP Financial Statements

 

5.22(b)

Governmental Antitrust Authority

 

5.5(a)

Initial Allocation Schdule

 

2.7(a)

Included Contracts

 

2.1(b)(iii)

 

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Defined Term

 

Section

Income Statement

 

3.5

Indemnified Party

 

8.3(a)

Indemnifying Party

 

8.3(a)

Independent Accounting Firm

 

2.6(f)

Independent Consultant

 

11.4(g)

Initial Allocation Schedule

 

2.7(a)

Initial Cash Consideration

 

2.5(a)

Inventory

 

2.1(b)(i)

Inventory Cap

 

2.6(b)

IP Assignments

 

2.9(a)(v)

IP License Agreement

 

2.9(a)(v)

Isopetronate HL-44 Toll Manufacturing Agreement

 

5.21

Known Environmental Liability Indemnity Period

 

11.2(b)

Known Environmental Liability Losses

 

11.1(b)

Known Losses Termination Date

 

11.2(b)

Latin American Purchased Assets

 

2.10(d)

Lease

 

3.9(b)

Loss Compensation Claim

 

5.22(b)

Marked Assets

 

5.15(b)

Material Contracts

 

3.11(a)

New Defined Benefit Plan

 

10.2(a)

Non-Controlling Party

 

8.3(d)

Off-Site Liabilities

 

2.4(k)

Other Purchased Assets

 

2.10(a)

Owned Real Property

 

2.1(b)(v)

Pension Plan

 

10.2(a)

Plan Assets Amount

 

10.2(b)

Profit Transfer Claim 2009

 

5.22(b)

Purchase Price

 

2.5(a)

Purchased Assets

 

2.1(b)

Purchased Intellectual Property

 

2.1(b)(vi)

Purchaser

 

Preamble

Purchaser Indemnified Parties

 

8.1

Regulation

 

3.22

Reimbursement

 

7.2(b)

Sale Motion

 

5.3(a)

Savings Plan

 

10.3(a)

Seller

 

Preamble

Seller Disclosure Schedule

 

Article 3

Seller Indemnified Parties

 

8.2

Seller Information

 

5.15(f)

Seller Marks

 

5.15(a)

September ‘09 Net Assets Statement

 

3.5

Share Transfer Agreement

 

2.9(a)(iii)

Shared Accounts Payable

 

2.4(d)

SK

 

Preamble

TBT Supply Agreement

 

2.9(a)(x)

TOT Supply Agreement

 

2.9(a)(xi)

TNPP Supply Agreement

 

5.21(a)

TPP/LPE Supply Agreement

 

2.9(a)(xii)

 

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Defined Term

 

Section

Third Party Claim

 

8.3(b)

Third Party Environmental Claim

 

11.3(b)

Threshold

 

8.5(a)(ii)

Trade Accounts Payable

 

2.4(b)

Transferred Employee

 

10.1(b)

Transfer Taxes

 

9.1(e)

Transferred Employee

 

10.1(b)

Transferred Former Employee

 

10.1(c)

Transition Services Agreement

 

2.9(a)(ix)

Unknown Environmental Liability Indemnity Period

 

10.2(a)

Unknown Environmental Liability Losses

 

11.1(a)

Unknown Losses Termination Date

 

11.2(a)

Welfare Plan

 

10.4

Weston 705 Supply Agreement

 

5.21

 

Section 1.3             Construction.  Any reference in this Agreement to an “Article,” “Section,” “Exhibit” or “Schedule” refers to the corresponding Article, Section, Exhibit or Schedule of or to this Agreement, unless the context indicates otherwise.  The table of contents and the headings of Articles and Sections are provided for convenience only and are not intended to affect the construction or interpretation of this Agreement.  All words used in this Agreement are to be construed to be of such gender or number as the circumstances require.  The words “including,” “includes,” or “include” are to be read as listing non-exclusive examples of the matters referred to, whether or not words such as “without limitation” or “but not limited to” are used in each instance.  Where this Agreement states that a party “shall”, “will” or “must” perform in some manner or otherwise act or omit to act, it means that the party is legally obligated to do so in accordance with this Agreement.  Any reference to a statute is deemed also to refer to any amendments or successor legislation as in effect at the relevant time.  Any reference to a Contract or other document as of a given date means the Contract or other document as amended, supplemented and modified from time to time through such date.

 

ARTICLE 2

THE TRANSACTION

 

Section 2.1             Sale and Purchase of Shares and Purchased Assets.

 

(a)           In accordance with the provisions of this Agreement, at the Closing, the Seller will cause the Share Selling Affiliate to sell and transfer to the Designated Affiliate and the Purchaser will cause its Designated Affiliate to purchase and acquire from the Share Selling Affiliate, all of the Shares, free and clear of all Claims.

 

(b)           In accordance with the provisions of this Agreement and except as set forth in Section 2.2, at the Closing, the Seller will, and the Seller will cause the Seller Affiliates (solely with respect to any inventory or receivables of the Business located in Europe or Latin America as set forth in Section 2.10) to, sell, convey, assign, transfer and deliver to the Purchaser, free and clear of all Encumbrances, and the Purchaser will purchase and acquire from the Seller and such Seller Affiliate, if applicable, all of the right, title and interest of the Seller and such Seller Affiliate, if applicable, in and to all of the following assets (collectively, the “Purchased Assets”):

 

(i)            all finished goods inventory, goods-in-transit, raw materials and work-in-process and packaging materials used or held for use solely and exclusively in the

 

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Business including those on consignment or held in the possession of any third party (the “Inventory”);

 

(ii)           all trade accounts receivable and other rights to payment from third-party customers of the Business to the extent allocable to the Business and not to the Seller or its Affiliates’ unrelated operations, and the full benefit of all security for such accounts receivable or rights to payment, including all trade accounts receivable representing amounts receivable in respect of goods shipped or products sold or services rendered to customers of the Business and all other accounts or notes receivable to the extent allocable to the Business and the full benefit of all security for such accounts or notes (the “Accounts Receivable”);

 

(iii)          all of the rights of the Seller under all Contracts exclusively relating to the Business , including those Contracts set forth on Schedule 2.1(b)(iii) (collectively, the “Included Contracts”);

 

(iv)          all machinery, equipment, furniture, office supplies, motor vehicles, spare parts, maintenance, repair and overhaul (MRO) inventories, tools, and other items of tangible personal property used or held for use by the Seller exclusively in the Business, and the related interests of the Seller therein;

 

(v)           (A) the real property set forth on Schedule 2.1(b)(v)(A) (collectively, the “Owned Real Property”);

 

(vi)          all Intellectual Property owned by the Seller and used exclusively by the Business, including the Intellectual Property set forth on Schedule 2.1(b)(vi) (collectively, the “Purchased Intellectual Property”);

 

(vii)         all goodwill of the Seller exclusively relating to the Business or the Purchased Assets, other than goodwill associated with the corporate name of the Seller;

 

(viii)        to the extent transferable under applicable Law, all Governmental Authorizations held by the Seller to the extent necessary for and exclusively relating to the operation of the Business;

 

(ix)           to the extent transferable under applicable Law, all books, records, studies, reports, files and papers, exclusively used in the Business (and copies of all books, records, files and papers used both in the Business and in other Seller operations) to the extent used in the Business, including all advertising materials, client and customer lists, supplier and vendor lists, purchase orders, sales and purchase invoices, production reports, health and safety studies, toxicology studies, personnel and employment records, and financial and accounting records other than the corporate books and records of the Seller;

 

(x)            all of the Seller’s claims, rights, credits, causes of action, defenses and rights of set-off against third parties relating to or arising from any of the Purchased Assets or Assumed Liabilities, including unliquidated rights under manufacturers’ and vendors’ warranties; and

 

(xi)           all of the Seller’s Prepaid Inventory.

 

For purposes of clarity, the Purchased Assets do not include the Shares or any assets of the Acquired Company, it being understood that the Designated Affiliate will acquire all of the Shares pursuant to Section 2.1(a).

 

Section 2.2             Excluded Assets.  Notwithstanding the terms of Section 2.1 the Seller will not sell, convey, assign, transfer or deliver to the Purchaser, and the Purchaser will not purchase or acquire, and the Purchased Assets do not include, any assets other than the Purchased

 

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Assets, including any assets to related to the Seller’s other business lines and any of the following assets (the “Excluded Assets”):

 

(a)           all cash and Cash Equivalents;

 

(b)           all assets, business lines, properties located at the real property set forth on Schedule 2.2(b);

 

(c)           all minute books, records, stock ledgers, Tax records and all other materials that the Seller is required by Law to retain;

 

(d)           the shares of the capital stock of the Seller and all of the Seller’s or any of its Affiliate’s ownership interest in any Person (other than the Acquired Company);

 

(e)           all insurance policies, binders and claims and rights thereunder and proceeds thereof;

 

(f)            all rights under all Contracts of the Seller other than the Included Contracts, including the shared Contracts set forth on Schedule 2.2(f);

 

(g)           all rights to refunds, credits or similar benefits relating to Taxes and other governmental charges of whatever nature attributable to the Pre-Closing Period;

 

(h)           all intellectual property rights of the Seller and its Affiliates other than the Purchased Intellectual Property, including the Shared Intellectual Property (the “Excluded Intellectual Property”);

 

(i)            all real property and rights in respect of real property, other than as described in Section 2.1(b)(v);

 

(j)            other than the rights to receive the services pursuant to the terms of the Transition Services Agreement, all rights to receive services and benefits of the kind provided to the Business by the Seller or any Affiliate of the Seller, either directly or indirectly through third-party service providers, prior to the Closing Date, including (A) computer and information processing services, (B) finance, accounting and payroll services, (C) facilities management services (including environmental, health and safety), (D) treasury services (including banking, insurance, administration, taxation and internal audit), (E) general and administrative services, (F) executive and management services, (G) legal services, (H) human resources services, (I) risk management services, (J) group purchasing services, (K) corporate marketing, strategy and development services, (L) corporate travel and aircraft services and (M) investor relation services;

 

(k)           all rights in connection with and assets of any Seller Plan, except as otherwise expressly provided in Article 10;

 

(l)            all intercompany receivables, loans and investments (i) between Seller or any of its Subsidiaries, on the one hand, and Seller or any of its Subsidiaries, on the other hand, or (ii) required to be settled in accordance with Section 5.19;

 

(m)          any and all avoidance or other causes of action arising under Sections 510, 544 through 550 and 553 of the Bankruptcy Code or under similar state laws (collectively, the “Bankruptcy Avoidance Actions”);

 

(n)           all rights arising under any Excluded Liability;

 

(o)           all assets and other rights relating to the Business sold or otherwise transferred or disposed of during the period from the date of this Agreement through and including the Closing Date, in any event in accordance with the provisions of this Agreement; and

 

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(p)           all rights of the Seller or any of its Affiliates under this Agreement or any of the Ancillary Agreements to which the Seller or any of its Affiliates is a party.

 

For purposes of clarity, the Excluded Assets do not include the Shares or any assets of the Acquired Company.

 

Section 2.3             Assumed Liabilities.  In accordance with the provisions of this Agreement, at the Closing, subject to Article 11, the Purchaser will assume and pay or perform and discharge when due any and all of the Liabilities of the Seller to the extent relating to the Business or the Purchased Assets, whether arising on, prior to or following the Closing Date, in each case other than the Excluded Liabilities (the “Assumed Liabilities”).  Subject to Article 11, the Assumed Liabilities include the following:

 

(a)           To the extent reflected in the Final Closing Net Working Capital, all Liabilities arising after the filing by the Seller of the Case and prior to the Closing, including all Liabilities reserved or accrued within the “Other Accrued Expenses” line item for the Taft facility on the Final Closing Net Working Capital (other than (i) Taxes for any Pre-Closing Period or otherwise allocated to the Pre-Closing Period pursuant to Section 9.1(c), (ii) the Trade Accounts Payable, (iii) the European Trade Accounts Payable, (iv) the Shared Accounts Payable and (v) the Accrued Payroll and Benefits);

 

(b)           all Liabilities for Taxes imposed on the Purchaser pursuant to Section 9.1 or otherwise allocated to the Post-Closing Period pursuant to Section 9.1(c);

 

(c)           all Liabilities of the Seller and the Selling Affiliates arising on, prior to or following the Closing Date under the Included Contracts and the Governmental Authorizations included in the Purchased Assets, including payment of the Cure Costs;

 

(d)           all pension obligations, accrued vacation and sick time relating to the employment of Transferred Employees on or prior to the Closing Date and all Liabilities relating to the employment of the Transferred Employees arising after the Closing Date;

 

(e)           all Liabilities arising out of or relating to the termination by the Seller in connection with the transactions contemplated by this Agreement of, or failure by the Purchaser to hire, any Employees, including any Liabilities to provide benefits or severance with respect to any Employee or any of their dependents, beneficiaries and joint annuitants and any Liabilities arising under the WARN Act and any other Laws requiring notification to or consultation with Employees or their representatives as a result of the transactions contemplated by this Agreement;

 

(f)            all Liabilities assumed by the Purchaser and its Affiliates pursuant to Article 10;

 

(g)           all Liabilities associated with the Owned Real Property first arising on or following the Closing Date;

 

(h)           all Liabilities relating to or arising out of Environmental Laws or Hazardous Materials, including, except as provided in Article 11, any Known Environmental Liability and any Unknown Environmental Liability, relating to the Business, the Purchased Assets, or the Owned Real Property, arising on, prior to or following the Closing Date, other than the Off-Site Liabilities (as defined below);

 

(i)            all Liabilities with respect to any return, rebate, recall, warranty or similar liabilities relating to products of the Business;

 

(j)            all Liabilities associated with the Consignment Raw Material Inventory; and

 

15



 

(k)           all other Liabilities arising out of, relating to or incurred in connection with the Business or the Purchased Assets following the Closing Date, including (i) the operation of the Business after the Closing Date, (ii) the use by the Purchaser or its permitted licensees of Purchased Intellectual Property and (iii) any other condition arising following the Closing Date with respect to the Purchased Assets.

 

For purposes of clarity, the Assumed Liabilities do not include any Liabilities of the Acquired Company, all of which will remain Liabilities of the Acquired Company before, on and after Closing.

 

Section 2.4             Excluded Liabilities.  Notwithstanding any other provision of this Agreement or any other writing to the contrary, the Purchaser and its Designated Affiliates are assuming only the Assumed Liabilities and are not assuming any other Liability of the Seller or any Selling Affiliate of whatever nature, whether presently in existence or arising hereafter.  Such Liabilities include the following (the “Excluded Liabilities”):

 

(a)           any Liability for Taxes of the Seller or any Affiliate of the Seller arising or related to any pre-Closing period or attributable to the Business or the Purchased Assets for a Pre-Closing Period or otherwise allocated to a Pre-Closing Period pursuant to Section 9.1(c) (but specifically excluding (i) Taxes, if any, imposed on the Seller or any Affiliate or the Seller and arising out of the operation of the Business or with respect to the Purchased Assets after the Closing Date, and (ii) Taxes imposed on the Purchaser pursuant to Section 9.1);

 

(b)           all trade accounts payable to third parties and other accrued expenses for the procurement of goods and services arising from the conduct of the Business after the Petition Date and prior to the Closing (the “Trade Accounts Payable”);

 

(c)           all trade accounts payable to third parties and other accrued expenses for the procurement of goods and services arising from the conduct of Seller Affiliates located in Europe or Asia (other than the Acquired Company) after the Petition Date and prior to the Closing that are attributable to the Business (the “European Trade Accounts Payable”)

 

(d)           all shared accounts payable to third parties for the procurement of goods and services arising from the conduct of both the Business and the Seller or any Affiliate of the Seller after the Petition Date and prior to the Closing (the “Shared Accounts Payable”);

 

(e)           all accrued payroll and accrued benefits relating to the employment of Transferred Employees on or prior to the Closing Date (the “Accrued Payroll and Benefits”);

 

(f)            any Liability arising in connection with any Seller Plan, other than those Liabilities assumed by the Purchaser and its Affiliates pursuant to Article 10;

 

(g)           any Liability arising out of or related to any Excluded Asset;

 

(h)           all intercompany payables, loans and investments (i) between Seller or any of its Subsidiaries, on the one hand, and Seller or any of its Subsidiaries, on the other hand, or (ii) required to be settled in accordance with Section 5.19; and

 

(i)            all Encumbrances of which the Purchased Assets are being sold free and clear under the Approval Order;

 

16



 

(j)            any Proceedings set forth in Schedule 2.4(j) or filed after the date hereof relating exclusively to pre-Closing activity of the Business (other than a Proceeding to the extent relating to Assumed Liabilities);

 

(k)           all Liabilities arising out of or relating to the off-site transportation, handling, treatment, storage or disposal of any Hazardous Material (other than migration of a Hazardous Material from any Owned Real Property) or the arrangement for the same by or on behalf of the Seller, its Affiliates or their respective predecessors in connection with the Purchased Assets or the operation of the Business at the Taft, Louisiana facility prior to Closing (the “Off-Site Liabilities”); and

 

(l)            all Liabilities relating to the employment of employees and former employees of the Business who are not Transferred Employees.

 

For purposes of clarity, the Excluded Liabilities do not include any Liabilities of the Acquired Company, all of which will remain Liabilities of the Acquired Company before, or and after Closing.

 

Section 2.5             Consideration.

 

(a)           The consideration for the Purchased Assets and the Shares (the “Purchase Price”) consists of (a) two million fifty six thousand dollars (U.S. $2,056,000) in cash (the “Initial Cash Consideration”), subject to adjustment in accordance with Section 2.6 (the Initial Cash Consideration, as adjusted, the “Final Cash Consideration”), (b) the Trade Accounts Payable Adjustment Payment, (c) the European Trade Accounts Payable Adjustment Payment, (d) the Shared Accounts Payable Adjustment Payment, (e) the Accrued Payroll and Benefits Adjustment Payment and (f) the assumption of the Assumed Liabilities, including the on-site environmental and pension Liabilities assumed pursuant to Section 2.3.

 

(b)           The Initial Cash Consideration, the Trade Accounts Payable Adjustment Payment, the European Trade Accounts Payable Adjustment Payment, the Shared Accounts Payable Adjustment Payment and the Accrued Payroll and Benefits Adjustment Payment shall be paid as follows:

 

(i)            within five (5) Business Days after the date hereof, in accordance with the deposit agreement (the form of which is attached as Exhibit A hereto, the “Deposit Agreement”), the Purchaser will deliver to Wells Fargo Bank, National Association, as deposit agent (the “Deposit Agent”), five hundred thousand dollars (U.S. $500,000) (such amount, together with the interest and income thereon, the “Deposit Amount”), to be held in an interest-bearing account by the Deposit Agent and to be distributed in accordance with the terms of the Deposit Agreement;

 

(ii)           at the Closing, the Purchaser shall pay, by wire transfer of immediately available funds in U.S. dollars, the Initial Cash Consideration, plus fifty percent (50%) of the aggregate amount of the Trade Accounts Payable Adjustment Payment and the Shared Accounts Payable Adjustment Payment, plus the Accrued Payroll and Benefits Adjustment Payment, plus any applicable Transfer Taxes imposed on, or required to be remitted by, the Seller or any applicable Subsidiary or Subsidiaries as a result of the transactions contemplated hereby, less the Deposit Amount, to an account or accounts designated by the Seller, such designation to be made in writing at least three (3) Business Days prior to the Closing Date;

 

(iii)          on the Business Day following the 15th day following the Closing Date, the Purchaser shall pay, by wire transfer of immediately available funds in U.S.

 

17



 

dollars, an amount equal to fifty percent (50%) of the European Trade Accounts Payable Adjustment Payment; and

 

(iv)          on the Business Day following the 30th day following the Closing Date, the Purchaser shall pay, by wire transfer of immediately available funds in U.S. dollars, an amount equal to fifty percent (50%) of the aggregate amount of the Trade Accounts Payable Adjustment Payment, the European Trade Accounts Payable Adjustment Payment and the Shared Accounts Payable Adjustment Payment.

 

Section 2.6             Post-Closing Closing Net Working Capital Adjustment.

 

(a)           Within ninety (90) days after the Closing Date, the Seller will prepare and deliver to the Purchaser a written notice (the “Adjustment Notice”) containing (i) the Seller’s calculation of the Closing Net Working Capital (the “Final Closing Net Working Capital”) and (ii) the Seller’s calculation of the amount of any payments required pursuant to Section 2.6(h) (the “Adjustment Calculation”).  The Final Closing Net Working Capital and the Adjustment Calculation, if any, shall be set forth in U.S. dollars after any applicable portion thereof has been converted from euros at the euro foreign exchange reference rate published in the Wall Street Journal on the Closing Date.  The Adjustment Notice will be prepared in accordance with the accounting methods and practices set forth in Schedule 2.6(a) (the “Calculation Principles”).

 

(b)           The parties agree that, for purposes of calculating the Final Closing Net Working Capital, the value of the Inventory shall be capped at an amount (the “Inventory Cap”) equal to fifty million dollars ($50,000,000); provided, however, that the Seller and the Purchaser shall negotiate in good faith prior to Closing to seek to agree a methodology for adjusting the Inventory Cap upwards or downwards, and to set forth such agreement on a Schedule 2.6(b), based on fluctuations in the prices of (i) the metal tin, as quoted on the London Metal Exchange, (ii) soy bean oil, as quoted on the Chicago Board of Trade, and (iii) Butadiene, as quoted from Chemical Market Associates, Inc.  If prior to Closing Seller determines in good faith that it is in the interest of the Business to pre-buy raw materials for the manufacture of Inventory, Seller shall so notify Purchaser and Seller and Purchaser shall negotiate in good faith to increase the Inventory Cap as appropriate, to reflect the Closing Date impact of such pre-buy on the Closing Date Inventory.  Any dispute relating to the new Inventory Cap shall be resolved in accordance with Section 2.6(f).

 

(c)           During the preparation of the Adjustment Notice, the Purchaser will, and will cause each of its Affiliates to, (i) provide the Seller and the Seller’s representatives with full access to the books, records, facilities and employees of the Business, (ii) provide the Seller, within thirty (30) days after the Closing Date, with normal month-end closing financial information for the period ending as of the close of business on the Closing Date and (iii) reasonably cooperate with the Seller and the Seller’s representatives, including by providing on a timely basis all information reasonably necessary or useful in preparing the Adjustment Notice.

 

(d)           Within forty-five (45) days after delivery of the Adjustment Notice, the Purchaser will either:

 

(i)            agree in writing with the Adjustment Calculation, in which case such calculation will be final and binding on the parties for purposes of Section 2.6(h); or

 

(ii)           dispute the Adjustment Calculation by delivering to the Seller a written notice (a “Dispute Notice”) setting forth in reasonable detail the basis for each such disputed item and certifying that all such disputed items are being disputed in good faith.

 

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During the review of the Adjustment Notice, the Seller will, and will cause each of its Affiliates to, (i) provide the Purchaser and the Purchaser’s representatives with full access to the supporting documentation used to prepare the Adjustment Notice, and (ii) reasonably cooperate with the Purchaser and the Purchaser’s representatives, including by providing on a timely basis all information reasonably necessary or useful in reviewing the Adjustment Notice.  For purposes of this Section 2.6(d), the Purchaser may not deliver a Dispute Notice unless the aggregate value of all such disputed items exceeds five hundred thousand dollars ($500,000).

 

(e)           If the Purchaser fails to take either of the foregoing actions within forty-five (45) days after delivery of the Adjustment Notice, and the Seller and each of its Affiliates have provided the Purchaser with all reasonably requested supporting documentation to review the Adjustment Notice within such forty-five (45) day period, then the Purchaser will be deemed to have irrevocably accepted the Adjustment Calculation, in which case, the Adjustment Calculation will be final and binding on the parties for purposes of Section 2.6(h).

 

(f)            If the Purchaser timely delivers a Dispute Notice to the Seller, then the Purchaser and the Seller will attempt in good faith, for a period of thirty (30) days, to agree on the Adjustment Calculation for purposes of Section 2.6(h).  Any resolution by the Purchaser and the Seller during such 30-day period as to any disputed items will be final and binding on the parties for purposes of Section 2.6(h).  If the Purchaser and the Seller do not resolve all disputed items by the end of thirty (30) days after the date of delivery of the Dispute Notice, then the Purchaser and the Seller will submit the remaining items in dispute to Ernst & Young, LLP for resolution, or if that firm is unwilling or unable to serve, the Purchaser and the Seller will engage another mutually agreeable independent accounting firm of recognized national standing, which firm is not the regular auditing firm of the Purchaser or the Seller.  If the Purchaser and the Seller are unable to jointly select such independent accounting firm within ten (10) days after such 30-day period, the Purchaser, on the one hand, and the Seller, on the other hand, will each select an independent accounting firm of recognized national standing and such selected accounting firms will select a third independent accounting firm of recognized national standing, which firm is not the regular auditing firm of the Purchaser or the Seller; provided, however, that if either the Purchaser, on the one hand, or the Seller, on the other hand, fail to select such independent accounting firm during this 10-day period, then the parties agree that the independent accounting firm selected by the other party will be the independent accounting firm selected by the parties for purposes of this Section 2.6 (such selected independent accounting firm, whether pursuant to this sentence or the preceding sentence, the “Independent Accounting Firm”).  The Purchaser and the Seller will instruct the Independent Accounting Firm to render its determination with respect to the items in dispute in a written report that specifies the conclusions of the Independent Accounting Firm as to each item in dispute and the resulting Adjustment Calculation.  The Purchaser and the Seller will each use their commercially reasonable efforts to cause the Independent Accounting Firm to render its determination within thirty (30) days after referral of the items to such firm or as soon thereafter as reasonably practicable.  The Independent Accounting Firm’s determination of the Adjustment Calculation as set forth in its report will be final and binding on the parties for purposes of Section 2.6(h).  The Seller will revise the calculation of the Final Closing Net Working Capital as appropriate to reflect the resolution of the items in dispute pursuant to this Section 2.6(f).  The fees and expenses of the Independent Accounting Firm will be shared by the Purchaser and the Seller in inverse proportion to the relative amounts of the disputed amount determined to be for the account of the Purchaser and the Seller, respectively.

 

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(g)           For purposes of complying with this Section 2.6, the Purchaser and the Seller (i) may mutually agree in writing to extend any time restriction set forth herein in ten (10) day increments, (ii) will furnish to each other and to the Independent Accounting Firm such work papers and other documents and information relating to the disputed items as the Independent Accounting Firm may request and are available to that party (or its independent public accountants) and (iii) will be afforded the opportunity to present to the Independent Accounting Firm any material related to the disputed items and to discuss the items with the Independent Accounting Firm.

 

(h)           If the Final Closing Net Working Capital as finally determined pursuant to this Section 2.6 is less than Base Working Capital, then the Seller will pay to the Purchaser the amount of such difference in cash plus interest thereon (calculated based on the actual number of days elapsed in a year consisting of 365 days) from the Closing Date through and including the date of such payment at a rate of six percent (6%) per annum.  If the Final Closing Net Working Capital as finally determined pursuant to this Section 2.6 is greater than the Base Working Capital, then the Purchaser will pay to the Seller the amount of such difference in cash plus interest thereon (calculated based on the actual number of days elapsed in a year consisting of 365 days) from the Closing Date through and including the date of such payment at a rate of six percent (6%) per annum.  For purposes of clarity, a sample of the Final Closing Net Working Capital as of September 30, 2009, as determined in accordance with the Calculation Principles, is set forth in Schedule 2.6(h).

 

(i)            Any payment to the Purchaser pursuant to Section 2.6(h) will be effected by wire transfer of immediately available funds from the Seller to an account designated by the Purchaser, and any payment to the Seller pursuant to Section 2.6(h) will be effected by wire transfer of immediately available funds to an account designated by the Seller.  Such payments will be made within five (5) Business Days following the final determination of the Final Closing Net Working Capital in accordance with this Section 2.6.

 

(j)            The purpose of this Section 2.6 is to determine the final consideration to be paid by the Purchaser under this Agreement.  Any payment made pursuant to this Section 2.6 will be treated by the parties for all purposes as an adjustment to the consideration and will not be subject to offset for any reason.

 

Section 2.7             Allocation of Purchase Price.

 

(a)           At least twenty (20) Business Days prior to the Closing, the Seller and the Purchaser shall have agreed to allocate the Initial Cash Consideration, the Trade Accounts Payable Adjustment Payment, the European Trade Accounts Payable Adjustment Payment, the Shared Accounts Payable Adjustment Payment and the Accrued Payroll and Benefits Adjustments Payment among the Shares on the one hand and the Purchased Assets on the other hand, and to set forth such allocation on a Schedule 2.7(a) (the “Initial Allocation Schedule”).  The cash amounts allocated on Schedule 2.7(a) shall not be adjusted after the date thereof, except to take into account any adjustment to the Initial Cash Consideration in accordance with this Agreement. Prior to Closing and consistently with Schedule 2.7(a), the Seller and the Purchaser shall in good faith agree how to allocate the Initial Consideration (taking into account Assumed Liabilities to the extent they are included in the amount realized for income tax purposes) among the Shares and the Purchased Assets consistent with the principles set forth on Schedule 2.7(a), and such agreement shall be set forth on a schedule to be delivered at or prior to Closing (the “Closing Allocation Schedule”). The Purchaser shall initially propose the content of the Closing Allocation Schedule and if the Purchaser does so, such proposal shall be subject to the Seller’s review and reasonable objection, to be resolved by good-faith negotiations

 

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between the Purchaser and the Seller.  Except as otherwise required by Law or pursuant to a “determination” under Section 1313(a) of the Code (or any comparable provision of state, local or foreign Law), Purchaser and Seller agree to act, and to cause their Affiliates to act, in accordance with the allocations contained in the Closing Allocation Schedule, for all Tax purposes and that neither of them will (or will permit its Affiliates to) take any position inconsistent therewith in any Tax Returns or similar filings (including IRS Form 8594 or any similar form required to be filed under state, local or foreign Law), any refund claim, litigation, audit or otherwise.  The Purchaser and the Seller each agree to provide the other party with any additional information reasonably required to complete and file IRS Form 8594 (or any similar form required to be filed under state, local or foreign Law) and with completed copies of such forms.  Each party will, subject to confidentiality obligations, provide to the other party a copy of any appraisal obtained by such party in connection with the allocation under this Section 2.7. Where a confidentiality obligation would otherwise prohibit a party from so providing a copy of any such appraisal, such party shall use its commercially reasonable efforts to obtain a waiver of such confidentiality obligations.

 

Section 2.8             Closing.   The closing of the transactions contemplated by this Agreement (the “Closing”) will take place at the offices of Baker & McKenzie LLP, 1114 Avenue of the Americas, New York, New York 10036, at 10:00 a.m., local time, on the last Business Day of the calendar month in which the later of the following occurs: (i) thirty (30) Business Days following the approval of the Approval Order or (ii) the date in which the last of the conditions set forth in Article 6 has been satisfied or waived (other than those conditions that by their nature can only be satisfied at the Closing), or at such other time and place as the Seller and the Purchaser may agree in writing.  The date on which the Closing actually occurs is referred to in this Agreement as the “Closing Date.”  For all purposes under this Agreement and each of the Ancillary Agreements, all matters at Closing will be considered to take place simultaneously, no delivery of any document will be deemed complete until all transactions and deliveries of documents are completed, and the Closing will be deemed to have occurred at 12:01 a.m., Eastern Standard Time, on the Closing Date irrespective of the actual occurrence of the Closing at any particular time on the Closing Date.

 

Section 2.9             Closing Deliveries.

 

(a)           At the Closing, the Seller will deliver or cause to be delivered to the Purchaser, for itself and as agent for the Designated Affiliates:

 

(i)            a bill of sale in the form of Exhibit B (the “Bill of Sale”), duly executed by the Seller;

 

(ii)           an assignment and assumption agreement in the form of Exhibit C (the “Assignment and Assumption Agreement”), duly executed by the Seller;

 

(iii)          a share sale and transfer agreement in respect of the Shares in the form of Exhibit D (the “Share Transfer Agreement”), duly executed and notarized by the Share Selling Affiliate;

 

(iv)          such deeds, documents, instruments and actions as are necessary or appropriate to effect the valid sale and transfer of  the Shares to the Purchaser or its Designated Affiliate, duly executed by the Share Selling Affiliate, and/or the managing director or the Acquired Company, as required pursuant to German Law;

 

(v)           assignments of all Purchased Intellectual Property in the forms of Exhibit E-1 and E-2 (collectively, the “IP Assignments”) and License of Shared Intellectual Property in the form of Exhibit E-3 (the “IP License Agreement”), duly executed by the Seller;

 

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(vi)          for each parcel of Owned Real Property, a recordable warranty deed or such other appropriate document or instrument of transfer in accordance with local custom, each in form and substance reasonably satisfactory to the Purchaser and its counsel and executed by the Seller;

 

(vii)         a certificate, dated as of the Closing Date, executed by the Seller confirming the satisfaction of the conditions specified in Section 6.1(a) and 6.1(b);

 

(viii)        the resignations of the managing directors of the Acquired Company set forth on Schedule 2.9(a)(viii), to the extent that such resignations have been requested in writing by the Purchaser not less than two (2) Business Days prior to Closing;

 

(ix)           a transition services agreement in the form of Exhibit F (the “Transition Services Agreement”), duly executed by the Seller;

 

(x)            a supply agreement in the form of Exhibit G (the “TBT Supply Agreement”), duly executed by the Seller;

 

(xi)           a supply agreement in the form of Exhibit H (the “TOT Supply Agreement”), duly executed by the Seller;

 

(xii)          a supply agreement in the form of Exhibit I (the “TPP/LPE Supply Agreement”), duly executed by the Seller;

 

(xiii)         an assignment of the environmental indemnity from Ciba contained in the Ciba Basic Agreement in the form of Exhibit J (the “Ciba Environmental Indemnity Assignment”);

 

(xiv)        a copy of the Approval Order; and

 

(xv)         evidence that notice of termination of the Acquired Company’s participation in the domination and profit and loss pooling agreements has been made in accordance with German Law.

 

(b)           At the Closing, the Purchaser will, for itself and as agent for its Designated Affiliate, deliver or cause to be delivered to the Seller, for itself and as agent for the Share Selling Affiliate:

 

(i)            the Initial Cash Consideration, fifty percent (50%) of the aggregate amount of the Trade Accounts Payable Adjustment Payment and the Shared Accounts Payable Adjustment Payment, and the Accrued Payroll and Benefits Adjustment Payment by wire transfer of immediately available funds in U.S. dollars in the amount and manner specified in Section 2.5(b);

 

(ii)           the Assignment and Assumption Agreement, duly executed by the Purchaser;

 

(iii)          the Bill of Sale, duly executed by the Purchaser;

 

(iv)          the Share Transfer Agreement, duly executed and notarized by the Purchaser or its Designated Affiliate, as applicable;

 

(v)           the IP Assignments, if any, that call for a signature by the Purchaser and/or its Designated Affiliates, duly executed by the Purchaser and/or such Designated Affiliates, as applicable, and the IP License Agreement, duly executed by the Purchaser;

 

(vi)          a certificate, dated as of the Closing Date, duly executed by the Purchaser confirming the satisfaction of the conditions specified in Sections 6.2(a) and 6.2(b);

 

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(vii)         the Transition Services Agreement, duly executed by the Purchaser;

 

(viii)        the TBT Supply Agreement, duly executed by the Purchaser;

 

(ix)           the TOT Supply Agreement, duly executed by the Purchaser;

 

(x)            the TPP/LPE Supply Agreement, duly executed by the Purchaser; and

 

(xi)           the Ciba Environmental Indemnity Assignment, duly executed by the Acquired Company.

 

Section 2.10           Certain Foreign Purchased Assets.

 

(a)           The Seller shall cause all Purchased Assets currently located in Europe and Asia (other than Included Contracts with any Seller Affiliate other than the Seller, which shall be assigned directly to the Purchaser  at Closing ) (the “Other Purchased Assets”) to be transferred to the Acquired Company prior to the Closing.

 

(b)           The Seller shall cause the book value of the Other Purchased Assets in the books and records of the Acquired Company immediately after the transfer pursuant to Section 2.10(a) above to be equal to the book value of the Other Purchased Assets as set forth in the books and records of the relevant Seller Affiliates immediately prior to such transfer.

 

(c)           To the extent that any VAT is payable by the Acquired Company in respect of the transfers to it of the Other Purchased Assets prior to Closing, the Seller shall cause the Acquired Company to pay such VAT upon transfer to the relevant Governmental Authority or the relevant transferor Seller Affiliate for payment to the relevant Government Authority, and the Seller shall thereupon pay or cause to be paid to the Acquired Company at or prior to Closing an amount equal to the aggregate amount of all such VAT payments made by the Acquired Company. Following Closing, the Purchaser shall cause the Acquired Company to reimburse to the Seller, or as the Seller may direct in writing, an amount equal to such VAT payments within five (5) Business Days after the receipt by the Acquired Company of credit or repayment from the applicable Governmental Authority in respect of the relevant VAT.

 

(d)           All Purchased Assets currently located in Latin America (the “Latin American Purchased Assets”) shall be sold by the Seller or a Seller Affiliate to the Purchaser, except that if the Purchaser instead requests in writing that such Latin American Purchased Assets be assigned to a Purchaser Affiliate, the Seller shall transfer such assets to such Purchaser Affiliate at the Closing or as soon as practicable thereafter. The Purchaser shall take such steps as are necessary to be able to, or to cause a Purchaser Affiliate to be able to, take title to the Latin American Purchased Assets at, or as soon as practicable after, Closing. The parties acknowledge and agree that (i) transfer of title to the Latin American Purchased Assets may not, for reasons of local Law and regulation, occur at the Closing, (ii) any such delay will not affect the Initial Consideration payable at Closing, and (iii) the parties will take such steps as are necessary to transfer title to the Latin American Purchased Assets, to the extent the same is not transferred at Closing, to the Purchaser or its designated Affiliate as soon as practicable after Closing.

 

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ARTICLE 3

REPRESENTATIONS AND WARRANTIES OF THE SELLER

 

The Seller represents and warrants to the Purchaser as follows, except as set forth on the disclosure schedule delivered by the Seller to the Purchaser concurrently with the execution and delivery of this Agreement and dated as of the date of this Agreement (the “Seller Disclosure Schedule”):

 

Section 3.1             Organization and Good Standing.  Each of the Seller and the Acquired Company is a corporation duly organized, validly existing and in good standing (to the extent such concept is applicable in the relevant jurisdiction) under the Laws of the jurisdiction of its organization, and has all requisite corporate power and authority to conduct its business as presently conducted.

 

Section 3.2             Authority and Enforceability.

 

(a)           Upon entry of the Approval Order and subject to it becoming a Final Order, the Seller will have all requisite corporate power and authority to execute and deliver this Agreement and to perform its obligations under this Agreement.  The execution, delivery and performance of this Agreement and the consummation of the transactions contemplated by this Agreement by the Seller have been duly authorized by all necessary corporate action on the part of the Seller.  Upon entry of the Approval Order and subject to it becoming a Final Order, and assuming the due authorization, execution and delivery of this Agreement by the Purchaser, this Agreement will constitute the valid and binding obligation of the Seller, enforceable against the Seller in accordance with its terms, subject to (i) Laws of general application relating to bankruptcy, insolvency and the relief of debtors and (ii) Laws governing specific performance, injunctive relief and other equitable remedies.

 

(b)           Subject to the entry of the Approval Order and such other authorization as may be required by the Bankruptcy Court and assuming the due authorization, execution and delivery of the Ancillary Agreements by the Purchaser and/or the Designated Affiliates and the other parties thereto, (i) the execution, delivery and performance of each Ancillary Agreement and the consummation of the transactions contemplated thereby by the Seller and the Share Selling Affiliate party thereto have been duly authorized by all necessary corporate action on the part of the Seller and the Share Selling Affiliate and (ii) and at the Closing each Ancillary Agreement to which the Seller or the Share Selling Affiliate is a party will constitute the valid and binding obligation of the Seller or the Share Selling Affiliate that is party thereto, enforceable against the Seller or the Share Selling Affiliate in accordance with its terms, subject to (A) Laws of general application relating to bankruptcy, insolvency and the relief of debtors and (B) Laws governing specific performance, injunctive relief and other equitable remedies.

 

Section 3.3             No Conflict.  Except as set forth on Section 3.3 of the Seller Disclosure Schedule and subject to entry of the Approval Order, except for the requirements of applicable Antitrust Law, neither the execution, delivery and performance of this Agreement by the Seller and any Ancillary Agreement by the Seller or the Share Selling Affiliate party thereto, nor the consummation by the Seller of the transactions contemplated by this Agreement, will (a) conflict with or violate the certificate of incorporation or bylaws or other applicable charter or organizational documents of the Seller, the Share Selling Affiliate or the Acquired Company, (b) result in a breach or default under, or create in any Person the right to terminate, cancel, accelerate or modify, or require any notice, consent or waiver under, any Material Contract, (c) violate any Law or Judgment applicable to the Seller, the Share Selling Affiliate or the Acquired

 

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Company (to the extent it relates exclusively to the Business), the Business or the Purchased Assets, (d) require the Seller, the Share Selling Affiliate or the Acquired Company to obtain any Governmental Authorization or make any filing with any Governmental Authority, or (e) result in the creation of an Encumbrance on any of the Purchased Assets.

 

Section 3.4             Capitalization and Ownership.

 

(a)           Section 3.4(a) of the Seller Disclosure Schedule sets forth an accurate and complete list of all the issued and outstanding shares of the capital stock of the Acquired Company. Section 3.4(a) of the Seller Disclosure Schedule includes an up-to-date excerpt from the commercial register and no material filings to the commercial register have been made, or should have been made, that have not been registered. The Shares represent all of the issued and outstanding shares of the capital stock of the Acquired Company.  The Share Selling Affiliate is the sole record holder and beneficial owner of all of the Shares, free and clear of all Encumbrances, in the respective amounts set forth in Section 3.4(a) of the Seller Disclosure Schedule.  Upon payment in full of the Purchase Price, good and valid title to the Shares will pass to the Purchaser (or its Designated Affiliate), free and clear of any Encumbrances, and with no restrictions on the voting rights or other incidents of record and beneficial ownership of such Shares.  All of the Shares are duly authorized, validly issued, fully paid and nonassessable.  There are no Contracts to which the Share Selling Affiliate or any other Person, is a party or bound with respect to the voting (including voting trusts or proxies) of the Shares.  Other than the Shares, there are no outstanding or authorized options, warrants, rights, agreements or commitments to which the Acquired Company is a party or which are binding upon the Acquired Company providing for the issuance or redemption of any shares of the Acquired Company’s capital stock.

 

(b)           The Acquired Company does not own or have any rights to acquire, directly or indirectly, any capital stock or other equity interests of any Person.

 

(c)           No bankruptcy, insolvency or dissolution proceedings are applied for, pending or, to the Seller’s Knowledge, threatened with respect to the Acquired Company or the Share Selling Affiliate. Neither the Acquired Company nor the Share Selling Affiliate is required under the Laws of its jurisdiction of organization to file for bankruptcy, insolvency or dissolution.

 

Section 3.5             Financial Statements.  The Seller has made available to the Purchaser copies of the unaudited pro forma statement of net assets and liabilities (the “September ‘09 Net Assets Statement”) of the Business as at September 30, 2009 and the unaudited pro forma consolidated statement of income (the “Income Statement”, together with the September ‘09 Net Assets Statement, the “Financial Statements”) of the Business for the period ended September 30, 2009, in each case prepared in accordance with GAAP as set forth in Section 3.5 of the Seller Disclosure Schedule and consistent with the Calculation Principles.  The Financial Statements were prepared based on the Seller’s normal quarter end closing procedures, which are consistent in all material respects with normal year end closing procedures, other than preparation of footnotes.  The Financial Statements (i) were prepared in accordance with GAAP from the books and records of the Seller and Business and (ii) fairly present, in all material respects, the assets to be sold, the liabilities to be assumed and the revenues and direct expenses of the Business as of the dates and for the periods indicated herein, except as otherwise indicated in the Financial Statements and Calculation Principles.  Notwithstanding any reference in the Financial Statements to the inclusion of certain assets to be sold and liabilities to be transferred, the only assets to be sold are the Purchased Assets and the Shares and only the liabilities to be assumed by the Purchaser are the Assumed Liabilities.

 

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There are no material known liabilities, whether actual or contingent, arising out of the Business other than (i) future obligations under the Included Contracts, (ii) liabilities set forth on the Financial Statements or incurred in the ordinary course of the Business since September 30, 2009, (iii) liabilities listed on Section 3.5 of the Seller Disclosure, and (iv) liabilities that, individually or in the aggregate, do not have a Material Adverse Effect.

 

Section 3.6             Operation of the Business.  Except as set forth on Section 3.6 of the Seller Disclosure Schedule, the Seller has conducted the Business only through the Seller and the Acquired Company and not through any Subsidiary or Affiliate (other than the Acquired Company) of the Seller and no part of the Business is operated by the Seller through any Person other than the Seller and the Acquired Company. Since the date of the Financial Statements, the Seller has operated only in ordinary course of business (other than as impacted by the Bankruptcy) and has not disposed of any material assets set forth in the Financial Statements other than sales of inventory in ordinary course of the Business.

 

Section 3.7             Absence of Certain Changes and Events.  From the date of the Financial Statements to the date of this Agreement, there has not been any Material Adverse Effect.  Without limiting the generality of the foregoing, since the date of the Financial Statements, there has not been any:

 

(a)           amendment or authorization of any amendment to the articles of incorporation or bylaws or other applicable charter or organizational documents of the Seller or the Acquired Company in a manner that could be expected to delay or otherwise interfere with the consummation of the transactions contemplated by this Agreement;

 

(b)           declaration, setting aside or payment of any dividend or other distribution (other than in cash) in respect of the capital stock of the Acquired Company;

 

(c)           except as set forth on Section 3.7(c) of the Seller Disclosure Schedule, sale, lease, license, pledge or other disposition of, or Encumbrance on, any of the properties or assets of the Acquired Company or the Seller used or held for use in connection with, necessary for or relating to the Business (other than sales of inventory for fair consideration and in the ordinary course of the Business);

 

(d)           acquisition of any properties or assets that are material to the Business individually or in the aggregate, except purchases of inventory for fair consideration and in the ordinary course of the Business;

 

(e)           damage to, or destruction or loss of, any of the properties or assets of the Acquired Company or of the Seller used or held for use in connection with, necessary for or relating to the Business with an aggregate value in excess of two hundred and fifty thousand ($250,000), whether or not covered by insurance;

 

(f)            settlement or compromise with a value in excess of one hundred thousand ($100,000) in connection with any Proceeding involving the Seller and the Acquired Company and arising in connection with the operation of the Business or otherwise relating to the Business, the Purchased Assets or the Assumed Liabilities;

 

(g)           except as set forth on Section 3.7(g) of the Seller Disclosure Schedule, rejection, termination, expiration or adverse amendment to any Material Contract,

 

(h)           except as set forth on Section 3.7(h) of the Seller Disclosure Schedule, capital expenditure or other expenditure with respect to property, plant or equipment used in or held for use in connection with, necessary for or relating to the Business in excess of two hundred and fifty thousand ($250,000) individually or one million ($1,000,000) in the aggregate;

 

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(i)            change in the Seller’s accounting principles, methods or practices or investment practices in connection with or relating to the Business, including any changes as were necessary to conform with GAAP;

 

(j)            material acceleration or delay in the payment of accounts payable or other Liabilities or in the collection of notes or accounts receivable in connection with or relating to the Business; or

 

(k)           agreement by the Seller, whether in writing or otherwise, to do any of the foregoing.

 

Section 3.8             Personal Property.

 

(a)           After giving effect to the entry of the Approval Order and subject to it becoming a Final Order, the Seller has good and marketable title to, or in the case of leased assets, valid leasehold interests in, all of the tangible personal property included in the Purchased Assets, and the Acquired Company has good and marketable title to, or in the case of leased assets, valid leasehold interests in, all of their tangible personal property, free and clear of all Encumbrances.

 

(b)           Except as set forth on Section 3.8 of the Seller Disclosure Schedule, the Purchased Assets and the assets of the Acquired Company, taken as a whole, constitute all of the assets used exclusively in the Business and constitute all of the assets that are necessary to conduct the Business as conducted immediately prior to Closing (except assets sold, cash disposed of, accounts receivable collected, prepaid expenses realized, Contracts fully performed, properties or assets replaced by equivalent or superior properties or assets, in each case in the ordinary course of the Business, employees not to be hired by the Purchaser, the Excluded Assets and any assets to be made available under the Transition Services Agreement).

 

(c)           Each tangible asset included in the Purchased Assets is in all material respects in satisfactory operating condition and repair, ordinary wear and tear excepted, is suitable for the purposes for which it is being used by the Seller or the Acquired Company and has been maintained in accordance with normal industry practice.

 

Section 3.9             Real Property.

 

(a)           Section 3.9(a) of the Seller Disclosure Schedule sets forth an accurate and complete list (by street address and current owner) (i) of all real property in which the Acquired Company has fee title (or equivalent) interest (collectively, the “Acquired Company Real Property”) and (ii) of all Owned Real Property.  Section 3.9(a) of the Seller Disclosure Schedule includes up-to-date excerpts from the land register for each parcel of the Acquired Company Real Property.  After giving effect to the entry of the Approval Order and subject to it becoming a Final Order, the current owner has good and marketable title in fee simple to each parcel of Acquired Company Real Property and each parcel of Owned Real Property, free and clear of any Encumbrance.

 

(b)           The Seller has no leasehold interest in any real property related to the Business.  Section 3.9(b) of the Seller Disclosure Schedule sets forth an accurate and complete description (by street address of the subject leased real property, the date and term of the lease, the name of the parties thereto and the aggregate annual rent payable thereunder) (i) of all real property that is leased by the Acquired Company (collectively, the “Acquired Company Leased Real Property”).  The Acquired Company holds valid leasehold interests in the Acquired Company Leased Real Property, free and clear of any Encumbrances.  The Seller has made available to the Purchaser complete copies of the

 

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leases, together with any amendments thereto, in effect as of the date hereof relating to the Acquired Company Leased Real Property (collectively, the “Leases” and each a “Lease”) and there has not been any sublease or assignment entered into by the Acquired Company in respect of the Leases.  Each Lease is enforceable as to the Acquired Company and, to the Seller’s Knowledge, the other party thereto, in accordance with its terms except to the extent it has previously expired in accordance with its terms and subject to (i) Laws of general application relating to bankruptcy, insolvency and the relief of debtors, and (ii) rules of Law governing specific performance, injunctive relief and other equitable remedies.  All material obligations and conditions under the Leases to be performed to date by the Acquired Company and, to the Seller’s Knowledge, the landlords thereunder have been satisfied.

 

(c)           Except as set forth on Section 3.9(c) of the Seller Disclosure Schedule, the Seller and the Acquired Company are in peaceful and undisturbed possession of the Real Property, and there are no contractual or legal restrictions or other Encumbrances that preclude or restrict the ability of the Seller and the Acquired Company to use the Real Property for the purposes for which it is currently being used or in order to affect the transactions contemplated by this Agreement.  Neither the Seller nor the Acquired Company has subleased, licensed or otherwise granted to any Person the right to use or occupy any portion of the Real Property, and neither the Seller nor the Acquired Company has received notice, of any claim of any Person to the contrary.

 

(d)           Use of the Real Property for the various purposes for which it is presently being used is permitted as of right under applicable zoning Laws and is not subject to “permitted non-conforming” use or structure classifications.  The Real Property is supplied with utilities and other services necessary for the operation of the Business and each parcel of Real Property abuts on and has direct vehicular access to an improved public road or access to an improved public road via a permanent, irrevocable appurtenant easement improved with a road benefiting the parcel of Real Property.

 

Section 3.10           Intellectual PropertySection 3.10 of the Seller Disclosure Schedule sets forth all registered Purchased Intellectual Property (including registration applications) that the Seller owns or otherwise has the right to use in its operation of the Business and all registered Intellectual Property that the Acquired Company owns or otherwise has the right to use in its operation of the Business as presently conducted (together with all unregistered Intellectual Property that the Acquired Company owns or otherwise has the right to use in its operation of the Business as presently conducted, the “Acquired Company Intellectual Property” and together with the Purchased Intellectual Property, the “Business Intellectual Property Rights”).  To the Seller’s Knowledge, none of the activities or business presently conducted by the Business infringes or violates, or constitutes a misappropriation of, any Intellectual Property rights of any Person.  The Business Intellectual Property Rights are not subject to any Encumbrance (other than an Encumbrance that will be removed and stricken as against the Purchased Assets pursuant to the Approval Order), and are not subject to any restrictions or limitations regarding use or disclosure other than pursuant to a written license agreement set forth on Section 3.10 of the Seller Disclosure Schedule.  Since the date of the Financial Statements, neither the Seller nor the Acquired Company has received written notification from any third party alleging that the Seller or Acquired Company infringes any Intellectual Property of such third party. To the Knowledge of Seller, no third party is infringing, misappropriating or otherwise conflicting with any of the Business Intellectual Property Rights. No compensation claims under any employee invention Laws are pending or, to the Seller’s Knowledge, threatened in respect of the Business Intellectual Property Rights.

 

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Section 3.11           Contracts.

 

(a)           Section 3.11(a) of the Seller Disclosure Schedule sets forth an accurate and complete list as of the date hereof of each written Included Contract to which the Seller is a party and each written Contract to which the Acquired Company is a party, which:

 

(i)            is for the purchase or sale of materials, supplies, goods, equipment or services that involves the payment by or to the Seller or the Acquired Company of more than two hundred and fifty thousand ($250,000) over the life of the Contract;

 

(ii)           is for capital expenditures in excess of one hundred thousand ($100,000);

 

(iii)          is a mortgage, indenture, guarantee, loan or credit agreement, security agreement or other Contract relating to indebtedness for borrowed money, other than accounts receivables and payables in the ordinary course of the Business, and in each case having an outstanding principal amount in excess of one hundred thousand ($100,000);

 

(iv)          is a material license or other material Contract under which the Seller or the Acquired Company has obtained a license to use the Intellectual Property of another Person (except for any license implied by the sale of a product and perpetual, paid-up licenses for commonly available software programs with a value of less than fifty thousand ($50,000) under which the Seller or the Acquired Company is the licensee);

 

(v)           is a material employment Contract that is not terminable by the Seller or the Acquired Company without penalty or further payment and without more than sixty (60) days’ notice;

 

(vi)          is a material contract that provides for the Seller or the Acquired Company to act as a distributor, dealer, sales representative or authorized service Person;

 

(vii)         is a material Contract that limits or purports to limit the ability of the Business or the Acquired Company to compete in any line of business or with any Person or in any geographic area;

 

(viii)        is a material Contract between or among the Business (as conducted through the Seller or the Acquired Company, as applicable), on the one hand, and the Seller or the Acquired Company or their respective Affiliates, on the other hand; or

 

(ix)           is entered into with a Governmental Authority.

 

The Contracts listed in Section 3.11(a) of the Seller Disclosure Schedule are referred to in this Agreement as the “Material Contracts.”

 

(b)           The Seller has made available to the Purchaser an accurate and complete copy of each Material Contract.  With respect to each such Material Contract, neither the Seller nor the Acquired Company party to the Material Contract, nor, to the Seller’s Knowledge, any other party to the Material Contract is in material breach or material default under the Material Contract.  Each Material Contract is enforceable as to the Seller or the Acquired Company party thereto and, to the Seller’s Knowledge, the other party thereto, in accordance with its terms except to the extent it has previously expired in accordance with its terms and subject to (i) Laws of general application relating to bankruptcy, insolvency and the relief of debtors, and (ii) rules of Law governing specific performance, injunctive relief and other equitable remedies.

 

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(c)           Section 3.11(c) of the Seller Disclosure Schedule sets forth a list of Contracts with third parties relating to the Business which are not Included Contracts because they are shared with other Seller operations, but would have otherwise been considered Material Contracts pursuant to Section 3.11(a).

 

(d)           Section 3.11(d) of the Seller Disclosure Schedule identifies which Material Contracts require third party consent to assign in accordance with their terms, subject to the provisions of the Bankruptcy Code in respect thereof or, with respect to Material Contracts involving the Acquired Company, require third party consent in connection with a stock transfer or other change of control.

 

Section 3.12           Tax Matters.

 

(a)           All material Tax Returns required to be filed by the Seller with respect to the Purchased Assets or by the Acquired Company have been timely filed and all such Tax Returns are true, complete and accurate in all material respects.  All material Taxes due and payable by the Seller with respect to the Purchased Assets, or by the Acquired Company whether or not shown on such Tax Returns, have been paid, except for any payments by the Seller which have been stayed by the filing of the Case under Section 362 of the Bankruptcy Code.  No Governmental Authority has proposed formally in writing to make or has made any material adjustment with respect to Taxes primarily attributable to the Purchased Assets or such Tax Returns of the Acquired Company.  The Acquired Company does not have any Liability for any Tax obligation of any other taxpayer, including any obligation under any Tax sharing agreement.  The Seller has made available to the Purchaser accurate and complete copies of all Tax Returns filed by the Seller with respect to the Purchased Assets and all Tax Returns filed by the Acquired Company for the years ended December 31, 2006, 2007 and 2008, respectively.

 

(b)           All material Taxes that the Acquired Company is required by Law to withhold or collect, and all material Taxes that the Seller is required by Law to withhold or collect in respect of Taxes primarily relating to the Purchased Assets, have been properly withheld or collected, and, to the extent required by applicable Law, have been paid over to the proper Governmental Authority.

 

(c)           No audits or other Proceedings are pending or being conducted, nor has the Seller or the Acquired Company received any written notice from any Governmental Authority that any such audit or other Proceeding is pending or, to the Seller’s Knowledge, threatened in any case with respect to Taxes attributable to the Purchased Assets or the Acquired Company.  Neither the Seller nor the Acquired Company has waived any statute of limitations with respect to Taxes or agreed to an extension of time with respect to a Tax assessment or deficiency in any case with respect to Taxes attributable to the Purchased Assets or the Acquired Company, which waiver or extension of time is currently outstanding.

 

(d)           The Acquired Company (i) is a disregarded entity for U.S. federal income Tax purposes, (ii) is not, and has never been, a passive foreign investment company within the meaning of Section 1296 of the Code, and (iii) is not, and has never been, engaged in the conduct of a trade or business within the United States within the meaning of Section 864(b) of the Code.

 

(e)           This Section 3.12 constitutes the sole and exclusive representations and warranties of the Seller with respect to any matters relating to Taxes.

 

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Section 3.13           Employee Benefit Matters.

 

(a)           Section 3.13(a) of the Seller Disclosure Schedule sets forth an accurate and complete list of all Seller Plans.

 

(b)           The Seller has made available to the Purchaser an accurate written summary of each Seller Plan.

 

(c)           No Proceeding with respect to the administration or the investment of the assets of any Seller Plan (other than routine claims for benefits) is pending or, the Seller’s Knowledge, threatened.  All contributions, including all social security contributions, required to be made by the Seller or the Acquired Company to each Seller Plan under the terms of such Seller Plan or applicable Law have been timely made.  Each Seller Plan materially complies and is operated in accordance with the requirements of applicable Law.

 

(d)           Section 3.13(d) of the Seller Disclosure Schedule sets forth an accurate and complete list of: (i) any employment, severance and change of control agreement with any executive officer or other senior managerial employee of the Acquired Company (A) the benefits of which are contingent upon the occurrence of a transaction involving the Acquired Company of the nature of the transactions contemplated by this Agreement (either alone or upon termination of employment following such transactions), or (B) providing any guarantee of employment or compensation; and (ii) any agreement or plan binding upon the Acquired Company, including, any Seller Plan, any of the benefits of which will be increased, or the vesting of the benefits of which will be accelerated, by the consummation of the transactions contemplated by this Agreement (either alone or upon the termination of employment following such transactions).

 

(e)           Each Seller Plan that intended to be tax-qualified under Code Section 401(a) has received a favorable determination or opinion letter from the IRS that it is qualified under Code Section 401(a)  and that its related trust is exempt from federal income Tax under Section 501(a) of the Code.  To Seller’s Knowledge, no event has occurred or circumstance exists that could reasonably be expected to give rise to disqualification or loss of Tax-exempt status of any such Seller Plan or trust.

 

(f)            With respect to the Chemtura Corporation Retirement Plan, the Seller has made available to the Purchaser correct and complete copies of the two (2) most recent annual valuations as certified by Seller’s actuaries and the certified financial audit prepared for the most recently filed Form 5500 annual return/report by the auditors of such plan.

 

(g)           This Section 3.13 constitutes the sole and exclusive representations and warranties of the Seller with respect to any matters relating to employee benefits.

 

Section 3.14           Employment and Labor Matters.

 

(a)           Section 3.14(a) of the Seller Disclosure Schedule sets forth an accurate and complete list of all Employees and Acquired Company Employees as of the date of this Agreement, along with the position of such Persons.

 

(b)           Except as set forth on Section 3.14(b) of the Seller Disclosure Schedule, neither the Seller nor the Acquired Company is a party to or bound by any collective bargaining agreement applicable to, and, to the Seller’s Knowledge, no petition has been filed or Proceedings instituted by, any Employee or Acquired Company Employee or group of Employees or Acquired Company Employees with any labor relations board seeking recognition of a bargaining representative.  The Acquired Company has a works

 

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council. There is no organizational effort currently being made or, to the Seller’s Knowledge, threatened by or on behalf of any labor union to organize any Employees or Acquired Company Employees.  There is no labor strike, picketing, slowdown, lockout, employee grievance process or other work stoppage or labor dispute pending or, to the Seller’s Knowledge, threatened between the Seller or the Acquired Company, on the one hand, and any of its Employees or Acquired Company Employees, on the other hand, except for such disputes with individual Employees or Acquired Company Employees arising in the ordinary course of the Business.  The Seller and the Acquired Company are in compliance with all applicable Laws pertaining to the employment of their Employees and Acquired Company Employees, including all such Laws relating to fair employment practices, equal employment opportunities, prohibited discrimination and other similar employment activities, except where the failure to so comply would not have a Material Adverse Effect.

 

(c)           There is no Proceeding pending or, to the Seller’s Knowledge, threatened against or affecting the Seller or the Acquired Company relating to the alleged violation by the  Seller or the Acquired Company (or their directors or officers) of any Law pertaining to labor relations or employment matters in connection with the Business.  There has within the two (2) years prior to the date of this Agreement been no complaint, claim or charge of discrimination filed or, to the Seller’s Knowledge, threatened, against any member of the Seller Group with the Equal Employment Opportunity Commission or any other Governmental Authority in connection with the Business.

 

(d)           Since December 31, 2008, the Seller has not implemented any plant closing or layoff of employees in connection with the Business that could implicate the WARN Act or similar legislation in other jurisdictions of the Business.

 

(e)           Except as set forth on Section 3.14(e) of the Seller Disclosure Schedule, all the Employees of the Business are employees “at-will” and no Employee is employed pursuant to a written employment agreement.

 

(f)            This Section 3.14 constitutes the sole and exclusive representations and warranties of the Seller with respect to any matters relating to employment and labor matters.

 

Section 3.15           Environmental, Health and Safety Matters.

 

(a)           With respect to the Business, the Purchased Assets and the Owned Real Property, except as set forth on Section 3.15(a) of the Seller Disclosure Schedule: (i) to the Seller’s Knowledge, the Seller is in material compliance with all applicable Environmental Laws and all Governmental Authorizations required of the Seller under Environmental Laws (“Environmental Authorizations”) to conduct the Business as presently conducted including the obligations imposed on the Business under Regulation (EC) 1907/2006 governing the registration of chemicals in the European Union; (ii) the Seller has not received any written notice stating that the conduct of the Business or the condition of any Owned Real Property or Purchased Assets is or may be currently in violation of any Environmental Law or that Seller may have a liability under Environmental Laws with respect to the Business, the Purchased Assets, or the Owned Real Property; (iii) no Proceeding is pending or, to the Seller’s Knowledge, threatened against the Seller that alleges a violation by or Liability of the Seller under any applicable Environmental Laws or Environmental  Authorizations; (iv) to the Seller’s Knowledge, there have been no Releases at, to, from, in, on, to or under the Purchased Assets or Owned Real Property in violation of Environmental Laws or Environmental Authorizations or that could reasonably be expected to result in Liability under Environmental Laws; (v) the Seller holds all Environmental

 

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Authorizations required to be held by the Seller in connection with the Business, the Purchased Assets and the Owned Real Property; and (vi) Section 3.15(a)(vi) of the Seller Disclosure Schedule sets forth an accurate and complete list of all Environmental Authorizations held by the Seller in connection with the Business, the Purchased Assets and the Owned Real Property.

 

(b)           Except as set forth on Section 3.15(b) of the Seller Disclosure Schedule: (i) to the Seller’s Knowledge, the Acquired Company is in material compliance with all applicable Environmental Laws and all Environmental Authorizations; (ii) neither the Seller nor the Acquired Company has received any written notice stating that the Acquired Company is or may be currently in violation of or have a Liability under any Environmental Law; (iii) no Proceeding is pending or, to the Seller’s Knowledge or the Knowledge of the Acquired Company, threatened against the Acquired Company that alleges a violation by or Liability of the Acquired Company under any applicable Environmental Laws or Environmental  Authorizations; (iv) to the Seller’s Knowledge or the Knowledge of the Acquired Company, there have been no Releases at, to, from, in, on, to or under the Acquired Company Real Property or Acquired Company Leased Property in violation of Environmental Laws or Environmental Authorizations or that could reasonably be expected to result in Liability under Environmental Laws; (v) the Acquired Company holds all Environmental Authorizations required to be held by the Acquired Company; and (vi) Section 3.15(b)(vi) of the Seller Disclosure Schedule sets forth an accurate and complete list of all Environmental Authorizations held by the Acquired Company.

 

(c)           This Section 3.15 constitutes the sole and exclusive representations and warranties of the Seller with respect to any matters relating to Environmental Laws.

 

Section 3.16           Governmental Authorizations.   The Seller and the Acquired Company have all material Governmental Authorizations that are necessary for them to conduct the Business in the manner in which it is presently conducted.  The Seller and the Acquired Company are in compliance in all material respects with all material Governmental Authorizations that are necessary for them to conduct the Business in the manner in which it is presently conducted.  The Seller and the Acquired Company have not received any public grants or subsidies from any Governmental Authority, and there are no public grants or subsidies that are repayable by the Acquired Company to any Governmental Authority.

 

Section 3.17           Compliance with Laws.

 

(a)           Except as set forth on Section 3.17(a) of the Seller Disclosure Schedule, the Seller and the Acquired Company, and the conduct of the Business by the Seller and the Acquired Company, are in material compliance with all Laws applicable to the conduct of the Business or the ownership or use of the Purchased Assets or the assets of the Acquired Company. Neither the Seller nor the Acquired Company has received at any time since December 31, 2006 any notice or other communication from any Governmental Authority or any other Person regarding any actual, alleged or potential violation of, or failure to comply with, any applicable Law, Judgment or Governmental Authorization, or any actual or threatened revocation, withdrawal, suspension, cancellation, termination or modification of any Governmental Authorization in connection with the conduct of the Business or the ownership or use of any of its properties or assets used or held for use in connection with, necessary for or relating to the Business.

 

(b)           Section 3.17(b) of the Seller Disclosure Schedule sets forth an accurate and complete list of all material Judgments to which the Business, any of the properties or assets used or held for use in connection with, necessary for or relating to the

 

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Business, or the Acquired Company or the Seller in connection with the Business is or has been subject within the three (3) years prior to the date of this Agreement.

 

Section 3.18           PermitsSection 3.18 of the Seller Disclosure Schedule sets forth a complete list of all material permits and all pending applications therefore obtained by the Seller in connection with the operation of the Business or the Purchased Assets.  As of the date of this Agreement, each such permit is valid and in full force and effect, and is not subject to any pending or, to the Knowledge of the Seller, threatened administrative or judicial proceeding to revoke, cancel, suspend or declare such permit invalid in any respect.

 

Section 3.19           Legal ProceedingsSection 3.19 of the Seller Disclosure Schedule sets forth a complete list of all outstanding Proceedings against the Seller or any Affiliate of the Seller relating to the Business or the Acquired Company.  There is no Proceeding pending or, to the Seller’s Knowledge, threatened against the Acquired Company or against the Seller with respect to the Business or any Purchased Asset that, if adversely determined, would have a Material Adverse Effect.

 

Section 3.20           Insurance.  The Acquired Company maintains, and through the Closing will continue to maintain, in full force and effect, policies of insurance against fire, theft and other casualties, and covering such other Liabilities and business risks and properties of the Acquired Company.  A list and brief description of such policies, including the policy number, the coverage, names of insurance carrier, principal amount or limit, annual premium and date of expiration of each policy is set forth in Section 3.20 of the Seller Disclosure Schedule.

 

Section 3.21           Brokers Fees.  None of the Seller, any Affiliate of the Seller or the Acquired Company has incurred any Liability to pay any fees or commissions to any broker, finder or agent in connection with any of the transactions contemplated by this Agreement for which the Purchaser would become liable or obligated.

 

Section 3.22           REACHSection 3.22 of the Seller Disclosure Schedule sets forth a complete and accurate list of all of chemical substances that (a) the Seller in respect of the Business and (b) the Acquired Company, have pre-registered under Regulation (EC) 1907/2006 governing the registration of chemicals in the European Union (the “Regulation”).  Each of the Seller and the Acquired Company has pre-registered by the due date any substance which is placed on the market in the European Union and comprises or is incorporated in products manufactured by the Business and which falls within the definition of a “phase in substance” under the Regulation.

 

Section 3.23           Disclaimer of Other Representations and Warranties.  The representations and warranties set forth in this Article 3 are the only representations and warranties made by the Seller with respect to the Business, the Purchased Assets, the Assumed Liabilities, the Shares, the Acquired Company or any other matter relating to the transactions contemplated by this Agreement.  Except as specifically set forth in this Article 3, (a) the Seller is selling the Purchased Assets and the Shares to the Purchaser “as is” and “where is” and with all faults, and makes no warranty, express or implied, as to any matter whatsoever relating to the Business, the Purchased Assets, the Assumed Liabilities, the Shares, the Acquired Company or any other matter relating to the transactions contemplated by this Agreement including as to (i) merchantability or fitness for any particular use or purpose, (ii) the operation of the Business by the Purchaser after the Closing in any manner or (iii) the probable success or profitability of the Business after the Closing, and (b) none of the Seller, the Acquired Company, any of their Affiliates, or any of their respective officers, directors, employees, agents, representatives or stockholders will have, or will be subject to, any Liability or indemnification obligation to the Purchaser or any other Person resulting from the distribution to the Purchaser or its Affiliates or representatives of, or the Purchaser’s use of, any information relating to the Business, the

 

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Acquired Company or any other matter relating to the transactions contemplated by this Agreement, including any descriptive memoranda, summary business descriptions or any information, documents or material made available to the Purchaser or its Affiliates or representatives, whether orally or in writing, in certain “data rooms,” management presentations, functional “break-out” discussions, responses to questions submitted on behalf of the Purchaser or in any other form in expectation of the transactions contemplated by this Agreement.

 

ARTICLE 4
REPRESENTATIONS AND WARRANTIES OF THE PURCHASER

 

The Purchaser represents and warrants to the Seller as follows:

 

Section 4.1             Organization and Good Standing.  The Purchaser and any Designated Affiliate is a corporation or other legal entity duly organized, validly existing and in good standing under the Laws of its jurisdiction of organization, and has all requisite corporate power and authority to conduct its business as it is presently conducted.

 

Section 4.2             Authority and Enforceability.  The Purchaser has all requisite corporate power and authority to execute and deliver this Agreement and the Purchaser and any Designated Affiliate have all requisite corporate power and authority to execute and deliver each Ancillary Agreement to which it is a party and to perform its respective obligations under this Agreement and each such Ancillary Agreement.  The execution, delivery and performance of this Agreement and each Ancillary Agreement to which the Purchaser and any Designated Affiliate is a party and the consummation of the transactions contemplated hereby and thereby have been duly authorized by all necessary action on the part of the Purchaser and such Designated Affiliate party thereto.  The Purchaser has duly and validly executed and delivered this Agreement and, on or prior to the Closing, the Purchaser and any Designated Affiliate will have duly and validly executed and delivered each Ancillary Agreement to which it is a party.  Assuming the due authorization, execution and delivery of this Agreement and the Ancillary Agreements by the Seller and the other parties thereto, this Agreement constitutes, and at the Closing each Ancillary Agreement to which the Purchaser or any Designated Affiliate is a party will constitute, the valid and binding obligation of the Purchaser and any Designated Affiliate, enforceable against the Purchaser and any Designated Affiliate in accordance with its terms, subject to (a) Laws of general application relating to bankruptcy, insolvency and the relief of debtors and (b) Laws governing specific performance, injunctive relief and other equitable remedies.

 

Section 4.3             No Conflict.  Upon entry of the Approval Order and subject to it becoming a Final Order, except for the requirements of applicable Antitrust Laws, and except in any case that would not have a material adverse effect on the ability of the Purchaser to perform its obligations under this Agreement or on the ability of the Purchaser to consummate the transactions contemplated by this Agreement, neither the execution, delivery and performance by the Purchaser of this Agreement and by the Purchaser or any Designated Affiliate of any Ancillary Agreement to which the Purchaser or any Designated Affiliate is a party, nor the consummation by the Purchaser or any Designated Affiliate of the transactions contemplated by this Agreement, will (a) conflict with or violate the certificate of incorporation, bylaws or other applicable charter or organizational documents of the Purchaser or any Designated Affiliate, (b) result in a breach or default under or create in any Person the right terminate, cancel, accelerate or modify, or require any notice, consent or waiver under, any Contract to which the Purchaser or any Designated Affiliate is a party or by which the Purchaser or any Designated Affiliate is bound, in any case with or without due notice or lapse of time or both, (c) result in the imposition of any lien or other encumbrance on any of the assets of the Purchaser or any Designated Affiliate, (d) violate any Law or Judgment applicable to the Purchaser or any Designated Affiliate

 

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or (e) require the Purchaser or any Designated Affiliate to obtain any Governmental Authorization or make any filing with any Governmental Authority.

 

Section 4.4             Legal Proceedings.  There is no Proceeding pending or, to the Purchaser’s knowledge, threatened against the Purchaser or any Designated Affiliate that questions or challenges the validity of this Agreement or that may prevent, delay, make illegal or otherwise interfere with the ability of the Purchaser or any Designated Affiliate to consummate any of the transactions contemplated by this Agreement.

 

Section 4.5             Investment Intent.  The Purchaser and any Designated Affiliate are acquiring the Shares for the Purchaser’s and the Designated Affiliate’s own account and investment purposes and are not acquiring the Shares with a view to, or for sale in connection with, any distribution thereof within the meaning of any securities Laws.

 

Section 4.6             Brokers Fees.  Neither the Purchaser nor any Designated Affiliate nor any Person acting on their behalf has incurred any Liability to pay any fees or commissions to any broker, finder or agent in connection with any of the transactions contemplated by this Agreement.

 

Section 4.7             Financial Capacity.   The Purchaser has immediately available cash in an amount sufficient to pay the Purchase Price or, if some or all of the Purchase Price will be obtained from external financing sources, the Purchaser has delivered to the Seller executed commitments, including bridge commitments (collectively, the “Commitment Letters”), if necessary, for all such funds, in form and substance satisfactory to the Seller, and the Purchaser will have available as of the Closing Date (either from its immediately available cash or from the financing contemplated by the Commitment Letters, or a combination thereof) funds sufficient to pay the Purchase Price.  The Purchaser knows of no circumstance or condition that it expects will prevent the availability at the Closing of the requisite financing to consummate the transactions contemplated by this Agreement on the terms set forth in this Agreement.

 

Section 4.8             Independent Investigation.  The Purchaser has conducted its own independent investigation, review and analysis of the business, operations, assets, liabilities, results of operations, financial condition and prospects of the Business and the Acquired Company as it has deemed appropriate, which investigation, review and analysis was done by the Purchaser and its Affiliates and representatives.  The Purchaser hereby acknowledges and agrees that (a) other than the representations and warranties set forth in Article 3, none of the Seller, the Share Selling Affiliate, the Acquired Company, any of their Affiliates, or any of their respective officers, directors, employees, agents, representatives or stockholders make or have made any representation or warranty, express or implied, at law or in equity, as to any matter whatsoever relating to the Business, the Purchased Assets, the Assumed Liabilities, the Shares, the Acquired Company or any other matter relating to the transactions contemplated by this Agreement including as to (i) merchantability or fitness for any particular use or purpose, (ii) the operation of the Business by the Purchaser after the Closing in any manner or (iii) the probable success or profitability of the Business after the Closing, and (b) none of the Seller, the Share Selling Affiliate, the Acquired Company, any of their Affiliates, or any of their respective officers, directors, employees, agents, representatives or stockholders will have or will be subject to any Liability or indemnification obligation to the Purchaser or any other Person resulting from the distribution to the Purchaser or its Affiliates or representatives of, or the Purchaser’s use of, any information relating to the Business, the Acquired Company or any other matter relating to the transactions contemplated by this Agreement, including any descriptive memoranda, summary business descriptions or any information, documents or material made available to the Purchaser or its Affiliates or representatives, whether orally or in writing, in certain “data rooms,” management presentations, functional “break-out” discussions, responses to questions submitted

 

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on behalf of the Purchaser or in any other form in expectation of the transactions contemplated by this Agreement.

 

ARTICLE 5

COVENANTS

 

Section 5.1             Access and Investigation.

 

(a)           Until the Closing and upon reasonable advance notice from the Purchaser, the Seller will, and will cause the Acquired Company to, allow the Purchaser and its representatives reasonable access during normal business hours and without unreasonable interference with the operation of the Business to (a) such materials and information about the Business and the properties of the Business and the Acquired Company as the Purchaser may reasonably request and (b) specified members of management of the Business as the parties may reasonably agree. The foregoing covenant will not require the Seller to provide the Purchaser or its representatives with access to any document or other communication that the Seller believes in good faith may be subject to any contractual confidentiality obligation or that may be covered by any attorney-client, work product or similar legal privilege or to permit the Purchaser or its representatives to conduct any Phase II or other invasive environmental testing procedures, including conducting soil, ground water, air emissions or other testing relating to any of the assets, property or facilities of the Seller or the Acquired Company.

 

(b)           Without the prior written consent of the Seller, which may be withheld for any reason or no reason, the Purchaser shall not contact any suppliers to, or customers of, the Business or any Employees or Acquired Company Employees in connection with or pertaining to any subject matter of this Agreement or the Ancillary Agreements.

 

Section 5.2             Operation of the Business.

 

Unless otherwise ordered by the Bankruptcy Court sua sponte or on motion by a third party, and provided that no provision of this Section 5.2 shall require the Seller to make any payment to any of its creditors with respect to any amount owed to such creditors on the Petition Date or which would otherwise violate the Bankruptcy Code, until the Closing, except as otherwise set forth in this Agreement or the Seller Disclosure Schedule or as otherwise consented to by the Purchaser (which consent will not be unreasonably withheld, conditioned or delayed), the Seller will, and will cause the Acquired Company to:

 

(a)           conduct the Business in the ordinary course of the Business in all material respects, taking into account that the Seller is in bankruptcy proceedings and use its commercially reasonable efforts to keep available the services of the Employees and Acquired Company Employees and to preserve the Business’ relationships with its customers and others doing business with it;

 

(b)           not amend the articles of incorporation or bylaws or other applicable charter or organizational documents of the Acquired Company;

 

(c)           not issue, sell or pledge additional shares of the capital stock of the Acquired Company or securities convertible into any such shares, or any options, warrants or rights to acquire any such shares or other convertible securities;

 

(d)           not purchase, redeem or otherwise acquire any outstanding shares of the capital stock of the Acquired Company;

 

(e)           not declare, set aside or pay any dividend or other distribution in respect of the capital stock of the Acquired Company, other than in cash;

 

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(f)            not incur any indebtedness for borrowed money of the Acquired Company or that constitutes an Assumed Liability, in either case in amounts in excess of one hundred thousand ($100,000) individually or five hundred thousand ($500,000) in the aggregate;

 

(g)           not reject, terminate, permit to expire (to the extent the Seller is able to prevent such expiration by giving notice to renew to the relevant counterparty) or adversely amend any Material Contract;

 

(h)           not settle or compromise with a value in excess of one hundred thousand ($100,000) in connection with any Proceeding involving the Seller or arising in connection with the operation of the Business or otherwise relating to the Business, the Purchased Assets or the Assumed Liabilities;

 

(i)            except as set forth on Schedule 5.2(i), not incur any capital expenditure or other expenditure with respect to property, plant or equipment used in or held for use in connection with, necessary for or relating the Business in excess of two hundred and fifty thousand ($250,000) individually or one million ($1,000,000) in the aggregate;

 

(j)            not waive or release any right or claim of a material value to the Business other than in the ordinary course of the Business;

 

(k)           not sell, lease, license, pledge or otherwise dispose of, or permit any Encumbrance on, any of the properties or assets of the Acquired Company or the Seller used or held for use in connection with, necessary for or relating to the Business (other than sales of inventory for fair consideration and in the ordinary course of the Business);

 

(l)            not (i) acquire, by merger or consolidation with, or by purchase of all or a substantial portion of the assets or stock of, or by any other manner, any business or entity, by the Acquired Company or which would constitute a Purchased Asset or Assumed Liability, or (ii) enter into any joint venture, partnership or other similar arrangement for the conduct of the Business;

 

(m)          not materially change the remuneration or terms of employment of any Employee or Acquired Company Employee other than (A) in the ordinary course of the Business, (B) as required by Law or (C) for retention, incentive and similar payments relating to the consummation of the transactions contemplated by this Agreement that will be paid by the Seller prior to or on the Closing Date;

 

(n)                not make, revoke or change any Tax election, adopt or change any Tax accounting method or period, file any amended Tax Return or settle any Tax claim or assessment, in each case with respect to the Acquired Company or the Business, that, individually or in the aggregate, are material to the Acquired Company or the Business;

 

(o)                not change the Seller’s accounting principles, methods or practices or investment practices in connection with or relating to the Business, other than changes that are necessary to conform with GAAP or, in the case of the Acquired Company, German generally accepted accounting principles;

 

(p)                not take any action to accelerate the payment of accounts receivable or delay the billing or payment of accounts payable, outside of the ordinary course of business consistent with past practice;

 

(q)           not effect any material change in the practices of (i) ordering supplies and raw materials or (ii) manufacturing work in process or finished goods Inventory beyond the normal requirements of the Business to meet ordinary customer demands taking into account current Inventory levels for such product; provided, however,

 

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that if the Seller determines in good faith that it is in the best interest of the Business to make such change prior to the Closing, the Seller shall so notify the Purchaser in writing prior to making such change and the Purchaser shall not unreasonably withhold or delay its consent for these purposes; or

 

(r)            not agree in writing to take any of the action or actions prohibited by any of the foregoing clauses (b) through (q).

 

Section 5.3             Bankruptcy Actions.

 

(a)           Prior to or within five (5) Business Days after the execution of this Agreement, the Seller shall file with the Bankruptcy Court a motion (the “Sale Motion”) seeking, among other things, entry of (i) an order approving (A) the bidding protections described and/or set forth in Section 7.2 of this Agreement or otherwise set forth in the Sale Motion, and (B) certain bidding procedures for alternative offers for the Shares and Purchased Assets, which proposed order shall be substantially in the form of Exhibit K hereto (the “Bidding Procedures Order”), and (ii) an order approving this Agreement and the transactions contemplated thereby (including the sale of the Purchased Assets to the Purchaser free and clear of all Encumbrances) should the purchase offer made by this Agreement constitute the highest and best offer for the Shares and Purchased Assets pursuant to the Bidding Procedures Order, which order shall be substantially in the form of Exhibit L hereto (the “Approval Order”); provided, however, that the Bidding Procedures Order and the Approval Order may include changes and amendments as agreed to by the Seller and the Purchaser.

 

(b)           The Seller shall provide Purchaser with advance drafts of all Bankruptcy Court filings relating to the Sale Motion and shall comply with the notice requirements set forth in the Bidding Procedures Order for providing notice of the entry of the Bidding Procedures Order and the hearing on the Approval Order.  The Seller shall promptly provide the Purchaser with copies of all communications from the Bankruptcy Court or third parties relating to the Sale Motion..

 

(c)           The Purchaser shall use its reasonable best efforts to assist the Seller in obtaining entry of the Bankruptcy Court Orders, including providing testimony as required at any hearing before the Bankruptcy Court.

 

Section 5.4             Exclusivity; No Solicitation of Transactions.

 

(a)           The Seller represents that, other than the transactions contemplated by this Agreement, neither the Seller nor any of its Affiliates is party to or bound by any agreement with respect to a possible merger, sale, restructuring, refinancing or other disposition of all or any material part of the Business or the Purchased Assets or the Shares.

 

(b)           Prior to the entry of the Bidding Procedures Order on the Bankruptcy Courts docket, the Seller agrees that it shall not (i) execute an agreement with respect to an Alternative Transaction or (ii) except as provided in this Agreement, seek or support Bankruptcy Court approval of a motion or order inconsistent in any material respect with the transactions contemplated in this Agreement.  The Seller agrees that it shall not, and shall cause its Affiliates not to, directly or indirectly, through any officer director, employee, agent, professional or advisor, solicit any bid with respect to an Alternative Transaction or participate in any negotiations or discussions with respect to any Alternative Transaction except as contemplated by the Bidding Procedures Order; provided, however, that nothing herein shall preclude the Seller from taking any action in the Case seeking to sell, pursuant to the process contemplated by the Bidding Procedures Order, the Purchased Assets.

 

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(c)           Purchaser acknowledges that the Seller will solicit bids from other prospective purchasers for the sale of the Purchased Assets, on terms and conditions substantially the same in all respects to this Agreement and in accordance with the procedures set forth in the proposed Bidding Procedures Order prior to entry thereof on the Bankruptcy Court’s docket, or pursuant to the Bidding Procedures Order after entry thereof on the Bankruptcy Court’s docket.  For the avoidance of doubt, prior to the entry of the Bidding Procedures Order on the Bankruptcy Court’s docket, the Seller shall not execute an agreement with respect to an Alternative Transaction.

 

Section 5.5             Consents and Filings.

 

(a)           Subject to the terms and conditions of this Agreement, and except with respect to approval by the Bankruptcy Court, each of the parties will use their respective commercially reasonable efforts (i) to take promptly, or cause to be taken, all actions, and to do promptly, or cause to be done, all things necessary, proper or advisable to consummate and make effective the transactions contemplated by this Agreement and (ii) as promptly as practicable after the date of this Agreement, to obtain all Governmental Authorizations (including Environmental Authorizations) from, and make all filings with, all Governmental Authorities (including any other national antitrust authorities with mandatory pre-merger filing requirements that are deemed by the Seller and the Purchaser, after consulting with one another, to be applicable to the transactions contemplated by this Agreement (each “Governmental Antitrust Authority”)), and to obtain all other consents, waivers, approvals and other authorizations from, all other third parties, that are necessary or advisable in connection with the authorization, execution and delivery of this Agreement and the consummation of the transactions contemplated by this Agreement.

 

(b)           The Seller and the Purchaser agree to file with the applicable Governmental Antitrust Authority, as soon as reasonably practicable following the date of this Agreement, any filings or similar information submissions required under applicable antitrust or other competition Laws of jurisdictions outside of the United States of America, including the Federal Republic of Germany.  Notwithstanding the foregoing, the Purchaser will be solely responsible for all filing fees due under the HSR Act and any non-US applicable Laws in connection with the filings described above and neither the Seller nor any of its Affiliates will have any Liability with respect to the payment of such filing fees.

 

(c)           The Seller and the Purchaser will promptly notify the other of any communication it or any of its Affiliates receives from any Governmental Antitrust Authority relating to the transactions contemplated by this Agreement, and will permit the other party to review in advance any proposed communication by such party to any Governmental Antitrust Authority.  Neither party will agree to participate in any meeting with any Governmental Antitrust Authority in respect of any filings, investigation or other inquiry unless it consults with the other party in advance and, to the extent permitted by such Governmental Antitrust Authority, gives the other party the opportunity to attend and participate at such meeting.  The Seller and the Purchaser will coordinate and cooperate fully with each other in exchanging such information and providing such assistance as the other party may reasonably request in connection with the foregoing and in seeking early termination of any applicable waiting periods including under the HSR Act.  The Seller and the Purchaser will provide each other with copies of all correspondence, filings or communications between them or any of their representatives, on the one hand, and any Governmental Antitrust Authority or members of its staff, on the other hand, with respect to this Agreement and the transactions contemplated by this Agreement.

 

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Section 5.6             Supplements to Disclosure Schedules.   The Seller shall promptly, from time to time prior to the Closing by written notice to the Purchaser, supplement the Seller Disclosure Schedule or add a schedule to the Seller Disclosure Schedule (such added schedule to be deemed a supplement hereunder) in order to disclose any matter which, if occurring prior to the date of this Agreement, would have been required to be set forth or described in the Seller Disclosure Schedule or to correct any inaccuracy or breach in the representations and warranties made by the Seller in this Agreement.  Subject to this Section 5.6, none of such supplements to the Seller Disclosure Schedule will be deemed to cure the representations and warranties to which such matters relate with respect to satisfaction of the conditions set forth in Section 6.1(a) or otherwise affect any other term or condition contained in this Agreement; provided, however, that unless the Purchaser will have delivered a notice of termination with respect to such matter as contemplated by Section 7.1(b) (to the extent the Purchaser is entitled to deliver such notice pursuant to Section 7.1(b)) within fifteen (15) Business Days of the receipt by the Purchaser of any supplement to the Seller Disclosure Schedule pursuant to this Section 5.6, then the Purchaser will have waived any and all rights to terminate this Agreement pursuant to Section 7.1(b) or otherwise arising out of or relating to the contents of such supplement and the resulting breach or breaches of the representations and warranties and the Purchaser will be deemed to have accepted the contents of such supplement for all purposes of this Agreement.

 

Section 5.7             Assignment of Contracts; Cure of Defaults.

 

(a)           The Seller and the Purchaser shall use commercially reasonable efforts to have included in the Approval Order an authorization for the Seller to assume the Included Contracts and assign to the Purchaser all Included Contracts.

 

(b)           Subject to entry of the Approval Order and it becoming a Final Order, at the Closing the Purchaser shall at its expense cure any and all Cure Costs with respect to the Included Contracts that will be transferred to the Purchaser at Closing as and in the amounts required by the Bankruptcy Court to assume and assign the Included Contracts under Section 365 of the Bankruptcy Code; provided, however, that, notwithstanding the foregoing, the Purchaser shall be responsible for such cure whether such defaults occur or arise prior to or after commencement of the Case.

 

Section 5.8             Financing.   Notwithstanding anything contained in this Agreement to the contrary, the Purchaser expressly acknowledges and agrees that the Purchaser’s obligations under this Agreement are not conditioned in any manner whatsoever upon the Purchaser or any Designated Affiliate obtaining any financing.  The Purchaser will keep the Seller apprised of all developments or changes relating to the financing contemplated by the Commitment Letters.  In the event that the Commitment Letters cease to be in full force and effect at any time or the lenders party thereto indicate any unwillingness to provide the financing contemplated thereby, or for any reason the Purchaser otherwise no longer believes in good faith that it or any Designated Affiliate will be able to obtain the financing contemplated thereby, then the Purchaser will promptly notify the Seller and use best efforts to obtain replacement financing arrangements or commitment letters as soon as reasonably practicable.  The Purchaser will not, and will not permit any of its Subsidiaries or Affiliates to, without the prior written consent of the Seller, take any action or enter into any transaction, including any merger, acquisition, joint venture, lease or other Contract or debt or equity financing that would reasonably be expected to impair, delay or prevent the financing contemplated by the Commitment Letters.

 

Section 5.9             Confidentiality.

 

(a)           The parties agree to continue to abide by that certain Confidentiality Agreement between the Seller and the Purchaser dated August 12, 2009 (the “Confidentiality Agreement”), which will survive until the Closing, at which time the

 

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Confidentiality Agreement will terminate; provided, however, that if this Agreement is, for any reason, terminated prior to the Closing, the Confidentiality Agreement will continue in full force and effect in accordance with its terms; provided, further, that the Confidentiality Agreement shall not apply to the Seller’s obligations under Section 5.3 of this Agreement and any ancillary actions necessary to effectuate the transaction contemplated in this Agreement.

 

(b)           After the Closing, the Seller will, and will cause its Affiliates to, hold in confidence, unless compelled to disclose by judicial or administrative process or by other requirements of Law, all non-public documents and information to the extent relating to the Business (the “Business Information”), except to the extent that such Business Information (i) must be disclosed in connection with the obligations of the Seller or its Affiliates pursuant to this Agreement and the Ancillary Agreements, (ii) can be shown to have been in the public domain through no fault of the Seller or any of its Affiliates or (iii) was later lawfully acquired by the Seller or any of its Affiliates from sources other than those related to its prior ownership of the Business.  Notwithstanding the foregoing, in no event will this Section 5.9(b) limit or otherwise restrict the right of the Seller or any of its Affiliates to disclose such Business Information (w) to its and its Affiliates’ respective directors, officers, employees, agents and advisors to the extent reasonably required to facilitate the negotiation, execution, delivery or performance of this Agreement and the Ancillary Agreements, (x) to any Governmental Authority or arbitrator to the extent reasonably required in connection with any Proceeding, (y) in connection with its indemnification obligations under this Agreement, including the defense of any Third Party Claim, and (z) as permitted in accordance with Section 5.10.

 

(c)           After the Closing, the Purchaser will, and will cause its Affiliates to, hold in confidence, unless compelled to disclose by judicial or administrative process or by other requirements of Law, all Seller Information, except to the extent that such Seller Information (i) must be disclosed in connection with the obligations of the Purchaser or its Affiliates pursuant to this Agreement and the Ancillary Agreements, (ii) can be shown to have been in the public domain through no fault of the Purchaser or any of its Affiliates or (iii) was later lawfully acquired by the Purchaser or any of its Affiliates from sources other than those related to the transactions contemplated by this Agreement.  Notwithstanding the foregoing, in no event will this Section 5.9(c) limit or otherwise restrict the right of the Purchaser or any of its Affiliates to disclose such Seller Information (w) to its and its Affiliates’ respective directors, officers, employees, agents and advisors to the extent reasonably required to facilitate the negotiation, execution, delivery or performance of this Agreement and the Ancillary Agreements, (x) to any Governmental Authority or arbitrator to the extent reasonably required in connection with any Proceeding, (y) in connection with its indemnification obligations under this Agreement, including the defense of any Third Party Claim, and (z) as permitted in accordance with Section 5.10.

 

Section 5.10           Public Announcements.  Prior to the Closing, each party agrees not to issue any press release or make any other public announcement relating to this Agreement without the prior written approval of the other party, unless required by applicable securities Law, securities listing standards (in the reasonable opinion of counsel to the disclosing party), the applicable provisions of the Bankruptcy Code, or the Bankruptcy Court, in which case the non-disclosing party will, to the extent permitted by Law, have the right to review such press release or other announcement prior to issuance, distribution or publication; provided, however, that each party acknowledges that the Seller shall take the bankruptcy actions described in Section 5.3; provided, further, that the parties have agreed that the Seller shall be entitled to issue a press release on signing of this Agreement in a form that has been reviewed by the Purchaser prior to

 

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the date hereof.  Notwithstanding the foregoing, the Seller shall be entitled to issue communications to its employees (including the employees of the Business) and to customers and suppliers of the Business, informing them of the transaction contemplated by this Agreement.

 

Section 5.11           Further Actions.  Subject to the other express provisions of this Agreement, upon the request of either party to this Agreement, the other party will execute and deliver such other documents, instruments and agreements as the requesting party may reasonably require for the purpose of carrying out the intent of this Agreement and the transactions contemplated by this Agreement.

 

Section 5.12           Indemnification and Insurance.  The Purchaser will not, for a period of six (6) years after the Closing, take or permit any action to alter or impair any exculpatory or indemnification provisions now existing in the certificate of incorporation or bylaws or other applicable charter or organizational documents of the Acquired Company for the benefit of any individual who served as a director or officer of the Acquired Company at any time prior to the Closing (each an “Affiliate Indemnified Party”), except for any changes which may be required to conform with changes in applicable Law and any changes which do not affect the application of such provisions to acts or omissions of such individuals prior to the Closing.

 

Section 5.13           Bulk Transfer Laws.  The Purchaser hereby waives compliance by the Seller and/or the Share Selling Affiliate with any applicable bulk sale or bulk transfer Laws of any jurisdiction in connection with the transactions contemplated by this Agreement.

 

Section 5.14           Designated Affiliate.  The Purchaser will use its commercially reasonable efforts to designate a Designated Affiliate as soon as practicable following the date of this Agreement and, in any event, will make such designation not less than ten (10) days prior to the Closing.  The Purchaser acknowledges and agrees that any representation, warranty or covenant of the Seller which is breached or not true and correct, shall be deemed not breached and true and correct to the extent such breach or inaccuracy resulted solely from the designation of a Designated Affiliate.

 

Section 5.15           Use of Seller’s Name; Seller Marks. The Purchaser agrees that:

 

(a)           Within ninety (90) days after the Closing, the Purchaser will, and will cause its Affiliates to, (i) remove or cause to be removed “Chemtura” or other similar mark and any other trademark, design or logo previously or currently used by the Seller or any of its Affiliates (the “Seller Marks”) from all buildings, signs and vehicles of the Business, (ii) change the name of the Acquired Company to a name not including any Seller Mark, and (iii) cease using the Seller Marks in electronic databases, web sites, product instructions, packaging and other materials, printed or otherwise (all such materials, together with buildings, signs and vehicles, the “Marked Assets”).

 

(b)           Immediately after the Closing, the Purchaser will, and will cause its Affiliates to, cease using the Seller Marks in all invoices, letterhead, advertising and promotional materials, office forms and business cards.

 

(c)           From and after the Closing, the Purchaser will use commercially reasonable efforts to remove or cause to be removed the Seller Marks from all inventory sold by the Business (including all Marked Assets); provided, however, that in no event will the Purchaser or any of its Affiliates use the Seller Marks after the six-month anniversary of the Closing Date, other than pursuant to the IP License Agreement.

 

(d)           The Purchaser acknowledges and agrees that the Seller or an Affiliate of the Seller is the owner of the Seller Marks and all goodwill attached thereto.  This Agreement does not give the Purchaser or any of its Affiliates the right to use the Seller

 

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Marks except in accordance with this Agreement.  The Purchaser will not, and will not cause or permit any of its Affiliates to, attempt to register the Seller Marks nor to register anywhere in the world a mark that is the same as or similar to the Seller Marks.

 

(e)           In no event will the Purchaser or any of its Affiliates advertise or hold itself out as the Seller or any of its Affiliates after the Closing.

 

(f)            If, at any time after the Closing, the Purchaser or any of its Affiliates possesses any information belonging to or concerning the Seller or any of its Affiliates that is not necessary for the operation of the Business (such information, the “Seller Information”), the Purchaser will promptly transfer, or cause to be transferred, such Seller Information to the Seller (without retaining a copy thereof).  The Purchaser will not, and will not allow any of its Affiliates to, use any Seller Information or disclose such information to any Person.  For the purposes of this Agreement, Seller Information includes written, graphical or machine-readable information that relates to trade secrets, product plans, software, vendor and customer information, business plans and data stored electronically which are not Business Intellectual Property Rights.  The Seller acknowledges that following the Closing it will possess certain material Business Intellectual Property Rights.  If, at any time after the Closing, the Seller or any of its Affiliates possesses any information constituting Business Intellectual Property Rights, the Seller will promptly transfer, or cause to be transferred, such Business Intellectual Property Rights to the Purchaser (without retaining a copy thereof).  The Seller will not, and will not allow any of its Affiliates to, use any Business Intellectual Property Rights or disclose Business Intellectual Property Rights to any Person.  Following the fifth anniversary of the Closing Date, the Seller shall no longer be presumed to possess any material Business Intellectual Property Rights.  Each party will use commercially reasonable efforts to cooperate with the other party to identify any information to be provided to the other party in accordance with the foregoing.

 

Section 5.16           Refunds and Remittances.  If the Seller or any of its Affiliates, on the one hand, or the Purchaser or any of its Affiliates, on the other hand, after the Closing Date receives any funds properly belonging to the other party in accordance with the terms of this Agreement, the receiving party will promptly so advise such other party and will promptly deliver such funds to an account or accounts designated in writing by such other party.

 

Section 5.17           Litigation Support.

 

(a)           In the event and for so long as the Seller actively is contesting or defending against any action, investigation, charge, claim, or demand by a third party in connection with (a) any transaction contemplated by this Agreement or (b) any fact, situation, circumstance, status, condition, activity, practice, plan, occurrence, event, incident, action, failure to act, or transaction on or prior to the Closing Date involving the Business, the Acquired Company or the Seller and its Affiliates, the Purchaser will cooperate with the Seller and its counsel in the contest or defense, make available its personnel, and provide such testimony and access to its books, records and other materials as shall be reasonably necessary in connection with the contest or defense, all at the sole control, cost and expense of the Seller (unless the Seller is entitled to indemnification therefor under Article 8).

 

(b)           In the event and for so long as the Purchaser actively is contesting or defending against any action, investigation, charge, claim, or demand by a third party in connection with (a) any transaction contemplated by this Agreement or (b) any fact, situation, circumstance, status, condition, activity, practice, plan, occurrence, event, incident, action, failure to act, or transaction involving the Business, the Seller will

 

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cooperate with the Purchaser and its counsel in the contest or defense, make available its personnel, and provide such testimony and access to its books, records and other materials as shall be reasonably necessary in connection with the contest or defense, all at the sole control, cost and expense of the Purchaser (unless the Purchaser is entitled to indemnification therefor under Article 8).

 

Section 5.18           Intercompany Accounts.  Effective prior to or at the Closing Date and subject to the Bankruptcy Court Orders, except as otherwise contemplated hereby or by any Ancillary Agreement, all intercompany receivables, payables, loans and investments then existing between or among the Seller and/or any of its Subsidiaries other than the Acquired Company, on the one hand, and the Acquired Company, on the other hand, shall be forgiven or settled, including by way of capital contribution or by way of dividend in kind or otherwise as appropriate.

 

Section 5.19           Assistance with Preparation of Financial Statements.  On or after the Closing Date, at the reasonable request of the Purchaser and subject to customary confidentiality restrictions, the Seller will cooperate with the Purchaser, and provide reasonable assistance to the Purchaser (including causing its personnel to be available for interviews during normal working hours), in connection with the Purchaser’s preparation of any historical or pro forma financial statements relating to the conduct of the Business prior to the Closing; provided, however, that no such cooperation or provision of assistance will unreasonably interfere with the conduct of the businesses of the Seller and its Affiliates, nor will the covenant set forth in this Section 5.19 be deemed to grant to the Purchaser any right of access to the books and records of the Seller and its Affiliates.  In addition to the services provided in the Transition Services Agreement, the Purchaser will compensate the Seller based on an hourly rate to be agreed by the parties in good faith prior to making any Seller personnel available, and the Purchaser will also reimburse the Seller for all out-of-pocket costs and expenses incurred in connection therewith.

 

Section 5.20           Trade Accounts Payable, Shared Accounts Payable and Accrued Payroll and Benefits.  The Seller agrees that it will pay any and all outstanding Trade Accounts Payable, Shared Accounts Payable and Accrued Payroll and Benefits following the Closing in accordance with their terms, but in all circumstances within one hundred twenty (120) days following the Closing.

 

Section 5.21           Certain Commercial Arrangements.

 

(a)           Prior to and if necessary after Closing, the Seller and Purchaser shall negotiate in good faith to agree terms for (i) a toll manufacturing agreement (the “Isopetronate HL-44 Toll Manufacturing Agreement”) pursuant to which the Purchaser would after Closing supply Isopetronate HL-44 manufactured at the Taft, Louisiana facility to the Seller, (ii) a supply agreement (the “TNPP Supply Agreement”) pursuant to which the Purchaser and the Purchaser would cause the Acquired Company to supply to an Affiliate of Seller, and the Seller would supply to Purchaser from Seller’s Morgantown facility, the product tris(nonylphenyl) phosphite, and (iii) a supply agreement (the “Weston 705 Supply Agreement”) pursuant to which the Seller would supply to the Purchaser, from Seller’s Morgantown facility, the product Weston 705.

 

(b)           Prior to and if necessary after Closing, the Seller and Purchaser shall negotiate in good faith to agree terms for a distribution agreement or agreements (the “Distribution Agreement(s)”), pursuant to which Affiliates of Seller located in Mexico and certain South American countries would act as distributors for the Business in Mexico and those South American countries.

 

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(c)           Prior to Closing, the Seller and the Purchaser shall in good faith agree upon the terms of those parts of the TBT Supply Agreement, the TOT Supply Agreement and the TPP/LPE Supply Agreement that are expressed to be subject to further discussion in Exhibits G, H and I respectively.

 

Section 5.22           German Corporate Group Arrangements.

 

(a)           Without limiting any claims under this Agreement (in particular any claims pursuant to Section 9.1(a)), the Purchaser shall cause the Acquired Company  not to, at any time after the Closing, raise any claim against the Seller or any Affiliate of the Seller or any of their respective directors, officers, employees, agents, or other representatives, or assign any such claim to a third party, arising from or in connection with:

 

(i)            any enterprise agreement (Unternehmensverträge) or equivalent agreement, or any cash pooling arrangement, in each case that was in effect between the Seller (or its legal predecessor) or any Seller’s Affiliate on the one hand and the Acquired Company (or its legal predecessor) on the other hand at any time prior to the Closing Date, or from the amendment or termination of any such agreement,

 

(ii)           any comfort letter or liquidity commitment provided by the Seller (or its legal predecessor) or any of Seller’s Affiliates in connection with, or for the benefit of, the Acquired Company at any time prior to the Closing Date, or from the amendment or termination of any such letter or commitment,

 

(iii)          any existence-destroying intervention or omission (existenzvernichtender Eingriff) by the Seller (or its legal predecessor) any of Seller’s Affiliates or any of their respective directors, officers, employees, agents, or other representatives at any time prior to the Closing Date,

 

(iv)          any re-payments of equity replacing shareholder loans or securities (eigenkapitalersetzende Gesellschafterdarlehen oder -sicherheiten), or any other action taken or failure to act by the Seller (or its legal predecessor) or any of the Seller’s Affiliates or any of their respective directors, officers, employees, agents, or other representatives at any time prior to the Closing Date that infringes the rules of capital maintenance (Kapitalerhaltungsvorschriften) pursuant to German Law; or

 

(v)           the shareholder relationship or any transaction between the Seller (or its legal predecessor) and the Acquired Company.

 

(b)           The Parties agree that the domination agreement and the profit and loss pooling agreement currently in effect between the Share Selling Affiliate and the Acquired Company will be terminated prior to Closing by termination agreement with effect as of December 31, 2009. In order to determine for the fiscal year ending December 31, 2009 the Share Selling Affiliate’s claim, if any, against the Acquired Company for transfer of the Acquired Company’s profit (the “Profit Transfer Claim”) or, if any, the Acquired Company’s claim against the Share Selling Affiliate for compensation of the Acquired Company’s loss (the “Loss Compensation Claim”), as soon as reasonably practical after December 31, 2009, Seller will prepare financial statements of the Acquired Company pursuant to German GAAP for the fiscal year ending December 31, 2009 (the “German GAAP Financial Statements”). The financial statement  principles set forth in Section 2.6 shall apply to the German GAAP Financial Statements except that any caps or other financial limitations set forth therein shall not apply for purposes of this Section 5.22(b). For the determination of adjustments to the consideration pursuant to Section 2.5 and 2.6, the Profit Transfer Claim shall qualify as an account payable of the Acquired Company reducing the Final Closing Net Working Capital by an amount equal to such payable, and

 

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the Loss Compensation Claim shall qualify as an account receivable of the Acquired Company increasing the Final Closing Net Working Capital by an amount equal to such receivable. Contemporaneously with the determination of the Final Closing Net Working Capital, if the German GAAP Financial Statements reflect a profit, Purchaser shall pay on behalf of the Acquired Company the amount of the Profit Transfer Claim to the Share Selling Affiliate at the same time as any Final Net Working Capital adjustment payment pursuant to Section 2.6 (which Final Net Working Capital adjustment shall be reduced by the Profit Transfer Claim).  If the German GAAP Financial Statements reflect a loss, Seller shall satisfy on behalf of the Share Selling Affiliate the Loss Compensation Claim by paying an amount equal to the Loss Compensation Claim to the Acquired Company, which payment shall be satisfied at the same time as any Final Closing Net Working Capital adjustment payment pursuant to Section 2.6 (which Final Net Working Capital adjustment shall be increased by the Loss Compensation Claim).  For the avoidance of doubt, Purchaser’s indemnification obligation pursuant to Section 8 for breaches of Section 5.22(a) and Seller’s responsibility for pre-Closing Taxes in accordance with Section 9 shall remain unaffected by this Section 5.22(b)Section 9.2(d) shall apply mutatis mutandis for any Tax Contest relating to any periods prior to the Closing in which the tax unit between the Share Selling Affiliate and the Acquired Company has been in place.

 

(c)           From and after the Closing, the Purchaser will indemnify and hold harmless the Seller Indemnified Parties from and against any and all Losses incurred by the Seller Indemnified Parties arising or resulting from collateral claims asserted by creditors of the Acquired Company against the Share Selling Affiliate as a result of, and within six (6) months after the electronic publication of, the termination of the domination agreement and the profit and loss pooling agreement currently in effect between the Share Selling Affiliate and the Acquired Company.

 

(d)           Prior to the Closing, title to all inventory of the Business in Europe currently owned by the Seller or any Seller Affiliates shall be transferred to the Acquired Company, and all VAT required to be paid in connection with such transfer shall be attributed to the period prior to the Closing and shall be treated in accordance with Section 9.1(f) of this Agreement.

 

(e)           The Seller agrees that neither the Seller nor any Seller Affiliate, at any time after Closing, will raise any claim against the Acquired Company relating to the shareholder relationship or any transaction between the Seller or any Seller Affiliate and the Acquired Company.

 

Section 5.23           Restrictive Covenants.

 

(a)           For a period of five (5) years following the Closing Date, the Seller shall not, and shall ensure that none of its Affiliates will, directly or indirectly (including as a stockholder, member or partner), solicit any customer of the Business existing from January 1, 2008 through the Closing Date for the purposes of sale to that customer of any product (i) manufactured or sold by the Business at the Closing or (ii) competitive with any product manufactured or sold by the Business at the Closing.

 

(b)           Notwithstanding the foregoing, this Section 5.23 will not prohibit the Seller or any of its Affiliates, directly or indirectly, from (i) conducting any business activities conducted by them as of the date of this Agreement (other than the Business), including the manufacture and sale of Seller Intermediate Products to entities which are not customers of the Business from January 1, 2008 through the Closing Date through the Closing; (ii) investing in or holding not more than ten percent (10%) of the outstanding voting stock or other ownership interests of any Person; or (iii) acquiring any ownership

 

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interest in any business or conducting any business activities of such acquired business (including the manufacture or sale of Purchaser Intermediate Products) in which the products of such acquired business that are competitive with the Business or the Purchaser Intermediate Products represent less than twenty-five percent (25%) of revenues of such acquired business so long as no Business Information is disclosed to such acquired business; so long as such acquired business does not violate Section 5.23(a) following such acquisition.

 

(c)           For a period of five (5) years following the Closing Date, the Purchaser shall not and shall ensure that none of its subsidiaries will, directly or indirectly (including as a stockholder, member or partner):

 

(i)            solicit any Retained Business Products customer of the Seller existing from January 1, 2008 through the Closing Date for the purposes of sale to that customer of any (a) Retained Business Product or (b) any product competitive with any Retained Business Product; or

 

(ii)           provide or make available, whether by sale, lease, transfer, loan, gift or otherwise, and whether on a temporary or permanent basis, any of the Purchased Intellectual Property or the Shared Intellectual Property to any Affiliate of the Purchaser for the purpose of producing or selling any Retained Business Product, or any product competitive with any Retained Business Product, to any Retained Business Product customer of the Seller existing from January 1, 2008 through the Closing Date.

 

(d)           Notwithstanding the foregoing, this Section 5.23 will not prohibit the Purchaser or any of its subsidiaries, directly or indirectly, from (i) conducting any business activities conducted by them as of the date of this Agreement or engaging in the Business activities as conducted at the date of this Agreement or engaging in the manufacture and sale of Purchaser Intermediate Products; (ii) investing in or holding not more than ten percent (10%) of the outstanding voting stock or other ownership interests of any Person; or (iii) acquiring any ownership interest in any business or conducting any business activities of such acquired business (including the manufacture or sale of Retained Business Products) in which Retained Business Products represent less than twenty-five percent (25%) of revenues of such business; so long as such acquired business does not violate Section 5.23(c) following such acquisition. In addition, nothing herein shall prohibit SK from making any other investments or any such investment entity (other than the Purchaser or any of the Purchaser’s subsidiaries) from competing with the Retained Business Products, provided, however, that SK shall not provide or make available, whether by sale, lease, transfer, loan, gift or otherwise, and whether on a temporary or permanent basis, any of the Purchased Intellectual Property or the Shared Intellectual Property to any such investment entity for the purpose of producing or selling any Retained Business Product, or any product competitive with any Retained Business Product, to any Retained Business Product customer of the Seller existing from January 1, 2008 through the Closing Date; and provided further that SK and the Purchaser comply at all times with the confidentiality obligations set forth in Section 5.9 of this Agreement.

 

(e)           The Seller and the Purchaser acknowledge and agree that the Supply Agreements contain certain restrictions on the supply of Intermediate Products and the provisions of this Section 5.23 shall not be construed to amend, waive or contradict the relevant provisions of the Supply Agreements.

 

(f)            If either party discovers a potential breach of the foregoing provisions (a) through (d) of this Section 5.23, prior to bringing a claim or action against

 

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such party, the discovering party shall provide the potential breaching party with notice of such alleged breach and a reasonable opportunity, not to exceed thirty (30) days, to cease the conduct giving rise to the potential breach.

 

(g)           Unless otherwise agreed to in writing by the Purchaser, during the period commencing on the date of this Agreement and ending on the one-year anniversary of the Closing Date, the Seller will not, directly or indirectly, for itself or on behalf of or in conjunction with any other Person (other than in its capacity as a holder of not more than twenty-five percent (25%) of the outstanding voting stock of a Person or as a passive investor in a privately-held Person), nor will it permit any of its Affiliates or their respective directors, officers, employees, agents, advisors or representatives to, directly or indirectly, employ or offer employment to any Transferred Employee unless such Transferred Employee will have ceased to be employed by the Purchaser for a period of at least six (6) months prior thereto.

 

(h)           Unless otherwise agreed to in writing by the Seller, during the period commencing on the date of this Agreement and ending on the one-year anniversary of the Closing Date (or, if this Agreement is terminated prior to the Closing, ending six (6) months after the date of termination), the Purchaser will not, directly or indirectly, for itself or on behalf of or in conjunction with any other Person (other than in its capacity as a holder of not more than twenty-five percent (25%) of the outstanding voting stock of a Person or as a passive investor in a privately-held Person), nor will it permit any of its subsidiaries, Affiliates, directors, officers, employees, agents, advisors or representatives to, directly or indirectly, call upon any Person who is, at the time the Person is called upon, an employee of the Seller or any Affiliate of the Seller, for the purpose or with the intent of soliciting such employee away from or out of the employ of the Seller or such Affiliate of the Seller, or employ or offer employment to any Person who was or is employed by the Seller or any Affiliate of the Seller unless such Person will have ceased to be employed by Seller and the its Affiliates for a period of at least six (6) months prior thereto.

 

(i)            This Section 5.23 will not be deemed to prohibit the Seller or the Purchaser from engaging in general media advertising or solicitation that may be targeted to a particular geographic or technical area but that is not targeted towards employees of the Purchaser or the Seller or their Affiliates or hiring any individuals who respond to such advertising or solicitation.

 

Section 5.24           Transition Services Agreement.

 

(a)           Prior to the Closing, the Seller shall, at the Seller’s expense, use commercially reasonable efforts to facilitate the Business being operated in the ordinary course of business on the Seller’s information technology platform following the Closing as contemplated by the Transition Services Agreement. Any fees or other amounts charged by third party service providers before the Closing Date in connection with Seller’s preparation for provision of the information technology services after Closing pursuant to the Transition Services Agreement shall not be included in Out-of-Pocket Expenses (as such term is defined in the Transition Services Agreement) and charged as such after Closing pursuant to the provisions of the Transition Services Agreement (other than any fees or other amounts charged by third party service providers before the Closing Date for rebranding or as a one-time fee for set up and acquisition of space for hosting hardware, each to the extent approved in advance by the Purchaser, such approval not to be unreasonably withheld or delayed).

 

(b)           Between the date hereof and Closing, the Seller and Purchaser shall work in good faith to prepare the services schedule to the Transition Services Agreement,

 

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which shall set forth a Schedule of Services currently performed by Seller and Seller Affiliates (other than by Transferred Employees) for the benefit of the Business in the ordinary course of the Business, it being acknowledged and agreed that such services will not include Tax or accounting services.

 

Section 5.25           REACH. Prior to and after the Closing, the Seller shall cooperate with and provide reasonable assistance to the Purchaser, including without limitation, providing documents, studies and other data in Seller’s possession that are reasonably necessary for the Purchaser to comply with REACH with respect to the Purchased Assets, the Business and the Acquired Company.

 

ARTICLE 6

CONDITIONS PRECEDENT TO OBLIGATION TO CLOSE

 

Section 6.1             Conditions to the Obligation of the Purchaser.  The obligation of the Purchaser to consummate the transactions contemplated by this Agreement is subject to the satisfaction, on or before the Closing Date, of each of the following conditions (any of which may be waived by the Purchaser, in whole or in part):

 

(a)           Accuracy of Representations and Warranties.  The representations and warranties of the Seller in Article 3 must be true and correct in all respects as of the Closing (except to the extent any such representation or warranty speaks as of the date of this Agreement or any other specific date, in which case such representation or warranty must have been true and correct in all respects as of such date), except where the failure of such representations and warranties to be so true and correct (without regard for any “material,” “Material Adverse Effect” or similar qualification) would not, individually or in the aggregate, constitute a Material Adverse Effect;

 

(b)           Performance of Covenants.  All of the covenants and obligations that the Seller is required to perform or comply with under this Agreement on or before the Closing Date must have been duly performed and complied with in all material respects;

 

(c)           Consents.  Each of the Governmental Authorizations and consents listed in Schedule 6.1(c) must have been obtained and must be in full force and effect, except for such consents which the failure to obtain would not result in a Material Adverse Effect, and all applicable waiting periods (and any extensions thereof) under any applicable Antitrust Laws must have expired or otherwise terminated and all other approvals under other applicable Antitrust Laws must have been obtained;

 

(d)           Entry of Orders By Bankruptcy Court. The Bankruptcy Court shall have entered the Bidding Procedures Order and the Approval Order, and the Bidding Procedures Order and the Approval Order shall have become Final Orders and shall not have been vacated, stayed, or reversed, or modified, amended, or supplemented in any manner that has a Material Adverse Effect; provided, however, that it shall not be a condition to the Seller’s obligation to consummate the transactions contemplated by this Agreement that the Approval Order be a Final Order if the Approval Order is not a Final Order solely as a result of an appeal of the relief granted pursuant to the Approval Order, which appeal (a) does not challenge Purchaser’s good faith purchaser status under Section 363(m) of the Bankruptcy Code, (b) does not assert that the transactions contemplated by this Agreement are avoidable pursuant to, or otherwise violates, Section 363(n) of the Bankruptcy Code, and (c) has not resulted in a stay of the Approval Order; and

 

(e)           No Action.  There must not be in effect any Law or Judgment that would prohibit or make illegal the consummation of the transactions contemplated by this

 

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Agreement or cause the transactions contemplated by this Agreement to be rescinded following consummation.

 

(f)            Absence of Material Adverse Effect.  No Material Adverse Effect shall have occurred since the date of this Agreement and be continuing.

 

Section 6.2             Conditions to the Obligation of the Seller.  The obligation of the Seller to consummate the transactions contemplated by this Agreement is subject to the satisfaction, on or before the Closing Date, of each of the following conditions (any of which may be waived by the Seller, in whole or in part):

 

(a)           Accuracy of Representations and Warranties.  The representations and warranties of the Purchaser in Article 4 must be true and correct in all material respects as of the Closing (except to the extent any such representation or warranty speaks as of the date of this Agreement or any other specific date, in which case such representation or warranty must have been true and correct in all material respects as of such date);

 

(b)           Performance of Covenants.  All of the covenants and obligations that the Purchaser is required to perform or comply with under this Agreement on or before the Closing Date must have been duly performed and complied with in all material respects;

 

(c)           Consents.  Each of the Governmental Authorizations and consents listed in Schedule 6.1(c), except for such consents which the failure to obtain would not result in a Material Adverse Effect, must have been obtained and must be in full force and effect, and all applicable waiting periods (and any extensions thereof) under any applicable Antitrust Laws must have expired or otherwise terminated and all other approvals under other applicable Antitrust Laws must have been obtained;

 

(d)           Entry of Orders By Bankruptcy Court.  The Bankruptcy Court shall have entered the Approval Order, and the Approval Order shall have become a Final Order and shall not have been vacated, stayed, or reversed, or modified, amended, or supplemented in any manner that has a Material Adverse Effect; provided, however, that it shall not be a condition to the Seller’s obligation to consummate the transactions contemplated by this Agreement that the Approval Order be a Final Order if the Approval Order is not a Final Order solely as a result of an appeal of the relief granted pursuant to the Approval Order, which appeal (a) does not challenge Purchaser’s good faith purchaser status under Section 363(m) of the Bankruptcy Code, (b) does not assert that the transactions contemplated by this Agreement are avoidable pursuant to, or otherwise violates, Section 363(n) of the Bankruptcy Code, and (c) has not resulted in a stay of the Approval Order; and

 

(e)           No Action.  There must not be in effect any Law or Judgment that would prohibit or make illegal the consummation of the transactions contemplated by this Agreement or cause the transactions contemplated by this Agreement to be rescinded following consummation.

 

ARTICLE 7

TERMINATION

 

Section 7.1             Termination Events.  This Agreement may, by written notice given before or at the Closing, be terminated:

 

(a)           by mutual written consent of the Purchaser and the Seller;

 

(b)           by the Purchaser (so long as the Purchaser is not then in material breach of any of its representations, warranties or covenants contained in this Agreement) if there has been a breach of any of the Seller’s representations, warranties or covenants

 

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contained in this Agreement, which would result in the failure of a condition set forth in Section 6.1(a) or Section 6.1(b), and which breach has not been cured within thirty (30) days after written notice of the breach has been delivered to the Seller from the Purchaser to the extent capable of being cured;

 

(c)           by the Seller (so long as the Seller is not then in material breach of any of its representations, warranties or covenants contained in this Agreement) if there has been a breach of any of the Purchaser’s representations, warranties or covenants contained in this Agreement, which would result in the failure of a condition set forth in Section 6.2(a) or Section 6.2(b), and which breach has not been cured within thirty (30) days after written notice of the breach has been delivered to the Purchaser from the Seller to the extent capable of being cured;

 

(d)           by either the Purchaser or the Seller if any Governmental Authority has issued a nonappealable final Judgment or taken any other nonappealable final action, in each case having the effect of permanently restraining, enjoining or otherwise prohibiting the transactions contemplated by this Agreement; provided, however, that the right to terminate this Agreement under this Section 7.1(d) will not be available to any party whose failure to fulfill any material covenant under this Agreement has been the cause of or resulted in the action or event described in this Section 7.1(d) occurring; or

 

(e)           by the Seller or the Purchaser, if the Seller accepts or the Bankruptcy Court approves an Alternative Transaction for any of the Shares or Purchased Assets pursuant to the terms of the Bidding Procedures Order; provided, however, that the Purchaser shall not be entitled to terminate pursuant to this Section 7.1(e) if and so long as the Purchaser is the Alternate Bidder (as such term is defined in Exhibit 1 to the Bidding Procedures Order);

 

(f)            by the Purchaser if the Closing has not occurred (other than through the failure of the Purchaser to comply fully with its obligations under this Agreement) on or before May 31, 2010; or

 

(g)           by the Seller if the Closing has not occurred (other than through the failure of the Seller to comply fully with its obligations under this Agreement) on or before May 31, 2010.

 

Section 7.2             Effect of Termination.

 

(a)           If this Agreement is terminated pursuant to Section 7.1, this Agreement and all rights and obligations of the parties under this Agreement automatically end without Liability against any party or its Affiliates, except that (a) Section 5.9(a) (Confidentiality), Section 5.10 (Public Announcements), Section 7.3 (Certain Effects of Termination), Article 11 (General Provisions) and this Section 7.2 will remain in full force and survive any termination of this Agreement and (b) if this Agreement is terminated by a party because of the breach of this Agreement by the other party or because one or more of the conditions to the terminating party’s obligations under this Agreement is not satisfied as a result of the other party’s failure to comply with its obligations under this Agreement, the terminating party’s right to pursue all legal remedies will, subject to Section 7.2(c)(iii), survive such termination unimpaired.

 

(b)                Breakup Fee and Reimbursement.  In the event that (i) this Agreement is terminated by either the Seller or the Purchaser pursuant to Section 7.1(e) and (ii) an Alternative Transaction(s) is consummated no later than within twelve (12) months of such termination, then, upon the closing of such Alternative Transaction, the Purchaser will be paid a fee (the “Breakup Fee”) equal to US five hundred thousand dollars ($500,000) by

 

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the Seller.  Such payments will be made by wire transfer in immediately available funds to an account designated by the Purchaser, and the Purchaser shall have the right to be paid the Breakup Fee from the first proceeds of the Alternative Transaction for any of the Shares or Purchased Assets. In the event that this Agreement is terminated pursuant to Sections 7.1(b), 7.1(e), 7.1(f) (but only if at the time of such termination, the Purchaser is the Alternate Bidder (as such term is defined in Exhibit 1 to the Bidding Procedures Order)) or 7.1(g), in addition to any Breakup Fee, the Purchaser will be paid reimbursement of the Purchaser’s actual out-of-pocket due diligence cost and expenses, in an amount not to exceed seven hundred and fifty thousand dollars ($750,000) (“Reimbursement”). The Reimbursement shall be paid to the Purchaser, in the case of a termination pursuant to Section 7.1(e), on the earlier to occur of (i) the closing of the Alternative Transaction and (ii) the consummation of the plan of reorganization of the Seller and, in the case of a termination pursuant to Sections 7.1(b), 7.1(f) (but only if at the time of such termination, the Purchaser is the Alternate Bidder (as such term is defined in Exhibit 1 to the Bidding Procedures Order)) or 7.1(g), within five (5) business days following receipt or delivery of notice in accordance with Section 7.1.

 

(c)           Release of Deposit.

 

(i)            If this Agreement is terminated pursuant to Sections 7.1(a), 7.1(b), 7.1(d), 7.1(e), 7.1(f) or 7.1(g), the Deposit Agent will wire transfer the Deposit Amount to an account designated by the Purchaser no later than five (5) Business Days immediately following such termination.

 

(ii)           If this Agreement is terminated pursuant to Section 7.1(c), the Deposit Agent will wire transfer the Deposit Amount to an account designated by the Seller.

 

(iii)          If this Agreement is terminated as permitted by Section 7.1, the return of the Deposit Amount to the Purchaser pursuant to the terms of the Deposit Agreement and the payment of the Breakup Fee and/or Reimbursement, if any, pursuant to the terms of this Section 7.2, shall be the sole and exclusive remedy of the Purchaser, whether at law or in equity, for any breach by the Seller or any of its Affiliates of the terms and conditions of this Agreement or the Deposit Agreement.  If this Agreement is terminated as permitted by Section 7.1(c), notwithstanding anything to the contrary in this Agreement, the Deposit shall be retained by Seller as liquidated damages, and retention of the Deposit by the Seller shall be the sole recourse against Purchaser, SK or its Affiliates for any breach by the Purchaser or SK of this Agreement, other than a breach of Section 363(n) of the Bankruptcy Code. In the event of a breach by the Purchaser or any of its Affiliates of Section 363(n) of the Bankruptcy Code, the Seller shall be entitled to keep the Deposit Amount and to pursue any other remedies available under Section 363(n) of the Bankruptcy Code.

 

(iv)          Notwithstanding anything to the contrary contained in this Agreement, the entry of the Bidding Procedures Order by the Bankruptcy Court is a condition precedent to the Seller’s obligation to pay, and payment of, the Breakup Fee and Reimbursement as otherwise required by this Section 7.2.  Subject to the approval of the Bankruptcy Court, the obligations of the Seller to pay the Breakup Fee and Reimbursement shall be entitled to administrative expense claim status in the Case with priority pursuant to Section 507(a)(2) of the Bankruptcy Code, and payable without further order of the Bankruptcy Court pursuant to the terms of this Agreement and the Bidding Procedures Order, and the obligation to pay the Breakup Fee and Reimbursement in full in cash when due shall not be discharged, modified, or otherwise affected by any plan of reorganization or liquidation for the Seller.

 

Section 7.3             Certain Effects of Termination.  If the Purchaser or the Seller terminates this Agreement pursuant to Section 7.1, the Purchaser will comply with the Confidentiality

 

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Agreement regarding the return and/or destruction of any information furnished to the Purchaser in connection with this Agreement.

 

ARTICLE 8
INDEMNIFICATION

 

Section 8.1             Indemnification by the Seller.  If the Closing occurs, from and after the date thereof, and subject to the limitations expressly set forth in Sections 8.4 and 8.5, the Seller will indemnify and hold harmless the Purchaser, the Purchaser’s Affiliates and their respective directors, officers, employees, agents, representatives, stockholders and Affiliates (collectively, the “Purchaser Indemnified Parties”) from and against any and all Losses (other than (i) Losses with respect to Taxes, for which the provisions of Section 9.1(a) will govern) incurred by the Purchaser Indemnified Parties arising or resulting from (a) any breach of any covenant of the Seller set forth in this Agreement, (b) any Excluded Liability, and (c) in connection with Statement of Objections, dated March 17, 2009, relating to the proceeding under Article 81 of the Treaty of the European Community and Article 53 of the European Economic Area Agreement, any fines or other liability imposed upon the Acquired Company pursuant to Article 23(2)(a) of Regulation No. 1/2003 and any Losses from related Civil Proceedings.

 

Section 8.2             Indemnification by the Purchaser.  If the Closing occurs, from and after the date thereof, and subject to the limitations expressly set forth in Sections 8.4 and 8.5, the Purchaser will indemnify and hold harmless the Seller, the Seller’s Affiliates and their respective directors, officers, employees, agents, representatives, stockholders and Affiliates (collectively, the “Seller Indemnified Parties”) from and against any and all Losses (other than (i) Losses with respect to Taxes, for which the provisions of Section 9.1(a) will govern) incurred by the Seller Indemnified Parties arising or resulting from (a) any breach of any covenant of the Purchaser set forth in this Agreement and (b) any Assumed Liability.

 

Section 8.3             Claim Procedure.

 

(a)           A party that seeks indemnity under this Article 8 (an “Indemnified Party”) will give written notice (a “Claim Notice”) to the party from whom indemnification is sought (an “Indemnifying Party”) whether the Losses sought arise from matters solely between the parties or from Third Party Claims described in Section 8.3(b).  The Claim Notice must contain (i) a description and, if known, the estimated amount of any Losses incurred or reasonably expected to be incurred by the Indemnified Party, (ii) a reasonable explanation of the basis for the Claim Notice to the extent of the facts then known by the Indemnified Party and (iii) a demand for payment of those Losses.

 

(b)           If the Indemnified Party seeks indemnity under this Article 8 in response to a claim or Proceeding by another Person not a party to this Agreement (a “Third Party Claim”), then the Indemnified Party will give a Claim Notice to the Indemnifying Party within ten (10) days after the Indemnified Party has received notice or otherwise learns of the assertion of such Third Party Claim and will include in the Claim Notice (i) the facts constituting the basis for such Third Party Claim and the amount of the damages claimed by the other Person, in each case to the extent known to the Indemnified Party, accompanied by reasonable supporting documentation submitted by such third party (to the extent then in the possession of the Indemnified Party) and (ii) the assertion of the claim or the notice of the commencement of any Proceeding relating to such Third Party Claim; provided, however, that no delay or deficiency on the part of the Indemnified Party in so notifying the Indemnifying Party will relieve the Indemnifying Party of any Liability under this Agreement except to the extent such delay or deficiency prejudices or otherwise adversely affects the rights of the Indemnifying Party with respect thereto.

 

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(c)           In the event of a Third Party Claim, the Indemnifying Party will be entitled to participate in the defense thereof and, if it so chooses, assume at any time control of the defense thereof with counsel reasonably satisfactory to the Indemnified Party by giving to the Indemnified Party written notice of its intention to assume control of the defense of such Third Party Claim; provided, however, that the Indemnified Party may participate in the defense of such Third Party Claim with its own counsel at its own expense, except as provided in Section 8.3(d) below).

 

(d)           The party not controlling the defense of the Third Party Claim (the “Non-controlling Party”) may participate in the defense thereof at its own expense.  However, if the Indemnifying Party assumes control of such defense as permitted above and the Indemnified Party reasonably concludes that the Indemnifying Party and the Indemnified Party have conflicting interests or different defenses available with respect to the Third Party Claim, then the reasonable fees and expenses of counsel to the Indemnified Party will be considered as “Losses” for purposes of this Agreement.  The Non-controlling Party will furnish the party controlling the defense of the Third Party Claim (the “Controlling Party”) with such information as it may have with respect to the Third Party Claim (including copies of any summons, complaint or other pleading which may have been served on such party and any written claim, demand, invoice, billing or other document evidencing or asserting the same) and will otherwise cooperate with and assist the Controlling Party and its counsel in the defense of such Third Party Claim.  The Controlling Party will keep the Non-controlling Party reasonably advised of the status of such Third Party Claim and will consider in good faith recommendations made by the Non-controlling Party with respect thereto.

 

(e)           The Indemnifying Party will not agree to any settlement of, or consent to the entry of any Judgment (other than a Judgment of dismissal on the merits without costs) arising from, any such Third Party Claim without the prior written consent of the Indemnified Party; provided, however, that the consent of the Indemnified Party will not be required if the Indemnifying Party agrees in writing to pay any amounts payable pursuant to such settlement or any Judgment and such settlement or Judgment includes a full, complete and unconditional release of the Indemnified Party from further Liability.  The Indemnified Party will not agree to any settlement of, or the entry of any Judgment (other than a Judgment of dismissal on the merits without costs) arising from, any such Third Party Claim without the prior written consent of the Indemnifying Party.

 

Section 8.4             Survival.  All of the representations and warranties contained in this Agreement, and the right to commence any claim with respect thereto, shall terminate at the Closing and none of the parties hereto shall have any Liability with respect to such representations and warranties after the Closing.  All covenants contained in this Agreement (A) that contemplate actions to be taken after Closing will survive the Closing and continue in effect in accordance with their terms until the expiration of the applicable statute of limitations or for such shorter period explicitly specified therein, except that for such covenants that survive for such shorter period, breaches thereof will survive until the expiration of the applicable statute of limitations and (b) that contemplate actions to be taken only on or prior to Closing shall terminate and cease to be obligations as of the Closing and no claim, action or proceeding with respect to such covenant may be brought after the Closing.  All claims for indemnification under this Agreement must be asserted pursuant to a Claim Notice given prior to the expiration of the applicable survival period set forth in this Section 8.4.

 

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Section 8.5             Limitations on Liability.

 

(a)           Cap and Deductible.  Notwithstanding anything to the contrary contained in this Agreement (except that the following limitations set forth in clauses (i), (ii) and (iii) will not apply to Losses (including any Environmental Losses) arising under Section 8.1(c), Section 9.1 or Article 11 or adjustments pursuant to Section 2.6 or Section 2.7):

 

(i)            no indemnification payments will be made by or on behalf of either Seller to Purchaser or Purchaser to Seller under this Agreement in respect of any individual claim or series claims having the same nature or origin where the Losses relating thereto are less than one hundred thousand dollars ($100,000), and such items less than one hundred thousand dollars ($100,000) will not be aggregated for purposes of calculating the Deductible in clause (ii) below;

 

(ii)           no indemnification payments will be made by or on behalf of either Seller to Purchaser or Purchaser to Seller under this Agreement until the aggregate amount of Losses for which such indemnifying party would (but for this clause (ii)) be liable thereunder exceeds two hundred and fifty thousand dollars ($250,000) (such amount being, the “Threshold”), but once exceeded, such indemnifying party shall be liable for all Losses; and

 

(iii)          the aggregate total amount in respect of which the Seller will be liable to indemnify and hold harmless the Purchaser Indemnified Parties pursuant to this Agreement will not exceed one million, five hundred thousand dollars ($1,500,000).

 

(b)           Aggregate Cap.  Notwithstanding anything to the contrary contained in this Agreement, the aggregate total amount in respect of which the Seller will be liable to indemnify and hold harmless the Purchaser Indemnified Parties pursuant to this Agreement, including pursuant to Article 8, Article 9 and Article 11, will not exceed an amount equal to the Purchaser Deemed Entity Value.

 

(c)           Tax Refunds, Insurance Proceeds and Other Payments.  The amount of any and all Losses for which indemnification is provided pursuant to this Article 8 , Article 9 or Article 11 will be net of any actual Tax benefit (reflecting an actual increase in cash Tax refund received or reduction in actual cash Taxes paid with respect to the period in which such Loss arose or such Liability was paid) to which an Indemnified Party is entitled by reason of payment of such Liability (taking into account any Tax cost or reduction in such Tax benefits by reason of receipt of the indemnification payment) and any amounts of any insurance proceeds, indemnification payments, contribution payments or reimbursements receivable by, or payable in kind to, the Indemnified Party with respect to such Losses or any of the circumstances giving rise thereto.  In connection therewith, if, at any time following payment in full by the Indemnifying Party of any amounts of Losses due under this Agreement, the Indemnified Party receives any insurance proceeds, indemnification payments, contribution payments or reimbursements relating to the circumstances giving rise to such Losses, the Indemnified Party will promptly remit to the Indemnifying Party such proceeds, payments or reimbursements in an amount not to exceed the amount of the corresponding indemnification payment made by the Indemnifying Party.  The Purchaser will use (and will cause its Affiliates to use) commercially reasonable efforts to collect the proceeds of any available insurance which would have the effect of reducing any Losses (in which case the net proceeds thereof will reduce the Losses).

 

(d)           Mitigation.  The Indemnified Party will use its commercially reasonable efforts to mitigate any Losses with respect to which it may be entitled to seek indemnification pursuant to this Agreement.

 

Section 8.6             Exclusive Remedy.  From and after the Closing, the sole and exclusive remedy of the parties for any matter arising out of the transactions contemplated by this

 

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Agreement will be pursuant to the indemnification obligations set forth in Article 8, Article 9 and Article 11.  In no event will the Seller have any Liability for Losses arising from the conduct of the Business or the Acquired Company after the Closing.

 

ARTICLE 9

TAX MATTERS

 

Section 9.1             Liability and Indemnification for Taxes.

 

(a)           If the Closing occurs, and subject to Section 8.4 and the limitations expressly set forth in Sections 8.5(b) and 9.1(d), the Seller will indemnify the Purchaser Indemnified Parties against all Losses for (i) all Taxes of the Acquired Company that are attributable to any Pre-Closing Period (except (a) to the extent any such Taxes are reserved or accrued as a current liability on the Final Closing Net Working Capital, and (b) for any VAT (other than VAT arising from the transfer of Other Purchased Assets and which shall be dealt with in accordance with Section 2.10) recoverable in the ordinary course of business of the Acquired Company), including all Taxes relating to the termination of the domination and profit and loss pooling agreements that the Acquired Company is a party to, (ii) all Taxes that are Excluded Liabilities, and (iii) all Taxes arising solely out of or due to any breach of any covenant of the Seller set forth in this Agreement.

 

(b)           If the Closing occurs, and subject to Section 8.4, the Purchaser will indemnify the Seller Indemnified Parties against all Losses for (i) all Taxes of the Acquired Company that are attributable to any Post-Closing Period, except to the extent that such Losses for Taxes are attributable to any breach of the Seller’s representations and warranties in Section 3.12, (ii) all Taxes that are Assumed Liabilities, (iii) all Transfer Taxes, and (iv) all Taxes arising solely out of or due to any breach of any covenant of the Purchaser set forth in this Agreement.

 

(c)           With respect to any Straddle Period, any Losses for Taxes will be allocated between a Pre-Closing Period and a Post-Closing Period by closing the books at the end of the Closing Date, except that Tax items of a periodic nature, such as property taxes or depreciation allowances calculated on an annual basis, will be allocated by apportioning a pro-rata portion of such Taxes to each day in the relevant Straddle Period.  This Section 9.1(c) does not apply to Transfer Taxes or VAT as a result of the transactions contemplated by this Agreement, which are the sole responsibility of the Purchaser under the provisions of Sections 9.1(e) and 9.1(f).

 

(d)           The Seller will not be required to indemnify the Purchaser Indemnified Parties for reductions in any Tax Attributes.  The Seller will not be required to indemnify the Purchaser Indemnified Parties against Losses for Taxes attributable to a Pre-Closing Period to the extent such Losses for Taxes could be reduced under applicable Law by reason of net operating loss carryovers, Tax credits and similar Tax Attributes of the Acquired Company arising in the Pre-Closing Period (assuming for the purposes of this sentence that such Tax Attributes are not used to reduce Taxes in a Post-Closing Period after taking into account any applicable limitations on the use of such Tax Attributes).

 

(e)           Any applicable transfer or similar Taxes that are, or become due and payable as a result of the transactions contemplated by this Agreement, including real estate transfer taxes, whether such Taxes are imposed by Law on the Seller, the Share Selling Affiliate, the Purchased Assets, the Purchaser or any Designated Affiliate (other than VAT, which is addressed in subsection (f) hereof) (such Taxes, the “Transfer Taxes”), will be borne by the Purchaser.  The Purchaser will pay to the Seller the amount of any Transfer Taxes which the Seller or the Share Selling Affiliate is required to remit no later than five (5) days prior to the date such Transfer Taxes are due.  The parties will cooperate with each other in the provision of any

 

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information or preparation of any documentation that may be necessary or useful for obtaining any available mitigation, reduction or exemption from any such Transfer Taxes, and for timely making and filing all Tax Returns that may be required to comply with Laws relating to such Transfer Taxes.

 

(f)            The amount of any payment for a supply of goods or services or the value of any supply made or deemed to have been made pursuant to this Agreement or any Ancillary Agreement will be exclusive of any VAT properly chargeable on the supply, and the amount of the VAT will be borne by the recipient of the relevant goods or services in addition to any payment due under this Agreement or any Ancillary Agreement at the time the supply is made.  In the event that any VAT is imposed upon or imposed against such recipient, the supplier of the relevant goods or services will promptly notify the recipient of the VAT amount on a valid VAT invoice (unless the reverse charge procedure applies).  Upon receipt thereof, the recipient will promptly remit to the supplier the amount specified in such VAT invoice, and the supplier will make, or will cause to be made, any payments to the applicable Governmental Authorities as required under applicable Law.

 

Section 9.2             Tax Return Filing; Audit Responsibilities.

 

(a)           Except as set forth in Section 9.2(b), the Purchaser will control and be responsible for the filing of all Tax Returns required to be filed with respect to the Acquired Company and, with respect to any Post-Closing Period or Straddle Period, the Purchased Assets after the Closing Date.  All such Tax Returns with respect to a Pre-Closing Period or a Straddle Period will be completed in accordance with past practice of the Acquired Company to the extent permitted by applicable Law, and a copy of such Tax Returns shall be provided to the Seller for its review and approval (not to be unreasonably withheld, conditioned or delayed).  The Purchaser will make all payments required with respect to any such Tax Return, subject to any indemnification obligation of the Seller with respect hereto.

 

(b)           The Seller will control and be responsible for the preparation and filing of all Tax Returns due after the Closing Date that relate to the Acquired Company or any Affiliate of the Acquired Company and are Affiliated Group Tax Returns which include Pre-Closing Period operations.  All such Tax Returns will be completed in accordance with past practice to the extent permitted by applicable Law and a copy of such Tax Returns (or the portion thereof reflecting the Acquired Company) shall be provided to the Purchaser for its review and approval (not to be unreasonably withheld, conditioned or delayed).  The Seller will make all payments required with respect to any such Tax Return.  Any Tax Returns that must be filed in connection with any Transfer Taxes will be prepared by the party that customarily has primary responsibility for filing such Tax Returns pursuant to the applicable Law under and according to which the respective Tax Returns are due to be filed; provided, however, that the preparing party will deliver such Tax Returns for the other party’s review and approval (not to be unreasonably withheld, conditioned or delayed) at least ten (10) Business Days prior to the applicable due date.

 

(c)           In the event that the Seller or the Purchaser is liable under this Agreement for any Taxes paid by the other party with respect to any Tax Return, prompt reimbursement will be made.

 

(d)           If the Purchaser receives notice of a Tax Contest with respect to the Acquired Company or the Purchased Assets which could reasonably be expected to cause the Seller to have an indemnification obligation under this Article 9, then the Purchaser will notify the Seller in writing of such Tax Contest within five (5) Business Days of receiving such notice.  The Seller will have the right to control the conduct and resolution of such Tax Contest; provided, however, that the Seller may decline to participate in such Tax Contest.  If the Seller controls the conduct of such Tax Contest, the Seller will not resolve such Tax Contest, to the extent such Tax

 

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Contest relates to or could result in an increase in Post-Closing Period Taxes, without the Purchaser’s written consent, which consent will not be unreasonably withheld, conditioned or delayed.  If the Seller declines to control such Tax Contest, then the Purchaser will have the right to control the conduct of such Tax Contest; provided, however, that the Purchaser will not resolve such Tax Contest without the Seller’s written consent, which consent will not be unreasonably withheld, conditioned or delayed.  Each party will bear its own costs for participating in such Tax Contest.

 

(e)           Any net refunds and credits attributable to the payment of Taxes for a Pre-Closing Period (to the extent not attributable to the use of a Post-Closing Tax Attribute) will be for the account of the Seller, and the Purchaser will promptly pay to the Seller any such refund or credit.

 

(f)            To the extent not inconsistent with the provisions of this Section 9.2, the procedures of Article 8 will apply in the case of any claim for Losses related to Taxes.

 

Section 9.3             Cooperation.  Each of the Seller and the Purchaser agree that it will, and will cause its respective Affiliates to:

 

(a)           provide assistance to the other party as reasonably requested in preparing and filing Tax Returns, responding to Tax Contests and recovering any VAT;

 

(b)           make available to the other party as reasonably requested all information, records and documents relating to Taxes concerning the Acquired Company and the Business; and

 

(c)           retain any books and records that could reasonably be expected to be necessary or useful in connection with any preparation by any other party of any Tax Return or for any Tax Contest or other examination or Proceeding relating to Taxes.  Such books and records will be retained until the expiration of the applicable statute of limitations (including extensions thereof).  Thereafter, the Purchaser will not dispose of any such Tax Returns, books and records unless it first offers in writing such Tax Returns, books and records to the Seller and the Seller fails to accept such offer within sixty (60) days of it being made.

 

Section 9.4             No Code Section 338 Election.  Neither the Purchaser, the Acquired Company, nor any of their Affiliates will, with respect to the transactions contemplated by this Agreement, make any election under Section 338 of the Code, other than an election under Section 338(g) of the Code by the Purchaser with respect to the Acquired Company; provided, however, that the Purchaser shall not make any election under Section 338(g) of the Code with respect to the Acquired Company without the prior written consent of the Seller, which consent shall not be unreasonably withheld, conditioned or delayed.  For purposes of this Section 9.4, the Seller shall not be deemed to unreasonably withhold, condition or delay consent if such consent may have the effect of increasing the Seller’s indemnification liability under this Agreement or otherwise result in a Tax cost or other cost to the Seller that is not reimbursed by the Purchaser or its Affiliates.

 

ARTICLE 10

EMPLOYEE MATTERS

 

Section 10.1           Employees.

 

(a)           At least five (5) Business Days prior to the Closing Date, the Purchaser or its Affiliates will extend a written offer of employment to the active Employees, such offer to be on terms and conditions, including pay, position, responsibility and benefits, that are substantially similar in the aggregate to or better than the terms and conditions provided to such US Employees immediately prior to the Closing Date.  With

 

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respect to inactive Employees, the Purchaser will extend a written offer of employment on same terms and conditions as similar Employees of the Purchaser when such inactive Employee is ready to return to active status; provided however, that this obligation shall not extend beyond December 31, 2010.  In addition, Purchaser, the Acquired Company or a Purchaser Affiliate shall extend a written offer of employment to the employees of Seller Affiliates set forth on Schedule 10.1(a) on same terms and conditions as similar Acquired Company Employees. An active Employee shall be deemed to have accepted an offer of employment from the Purchaser if he or she presents himself or herself as available for active employment at his or her then applicable place of employment on the first Business Day immediate following the Closing Date (or, in the case of an active Employee who is absent from work on the Closing Date due to vacation, holiday or temporary illness, the first Business Day following the Closing Date that such active Employee is scheduled to return or is fit to return to active employment) and executes commercially reasonable Purchaser employment documents for its new employees.

 

(b)           Each (i) Acquired Company Employee and (ii) Employee who accepts the offer of employment extended by the Purchaser or its Affiliate pursuant to Section 10.1(a), will be referred to in this Agreement as a “Transferred Employee”.  The Purchaser agrees to assume, or to cause the appropriate Affiliate of the Purchaser to assume, all Liabilities with respect to the Transferred Employees which accrue following the Closing Date.  The Seller may terminate the employment of any Employee who does not become a Transferred Employee on the Closing Date.

 

(c)           Through December 31, 2010 (the “Continuation Period”), the Purchaser or its Affiliates will provide the Transferred Employees with employee benefits (including but not limited to welfare benefits, severance and retirement benefits) that are substantially equivalent to, and no less favorable as a whole than, those benefits provided to such Transferred Employees immediately prior to the Closing. During the Continuation Period, the Purchaser will continue to provide those former employees of the Business who left employment prior to the Closing and who retain a benefit in any applicable Seller Plan (the “Transferred Former Employees”) and their dependants, beneficiaries and joint annuitants, with employee/retiree benefits that are substantially equivalent, and no less favorable than, the benefits to which such Transferred Former Employees were entitled under the Seller Plans in effect immediately prior to the Closing.

 

(d)           Notwithstanding anything else in this Section 10.1, all Transferred Employees in the United States shall be employees-at-will of the Purchaser.

 

(e)           On or within five (5) Business days after March 31, 2010, the Seller shall notify the Purchaser of the gross amount payable to eligible Employees, on a per employee basis, for bonuses for 2009 performance and all management or sales incentive plan, stay bonus or retention bonus program or agreement payments, in each case that are or would have been due and payable to an Employee if such Employee were to have remained an employee of the Seller or an Affiliate of the Seller through March 31, 2010 (the “Bonus Payments”).  Upon the next payroll disbursement to Employees thereafter, the Purchaser shall pay to each eligible Employee who is still an Employee of the Business at such time such Employee’s relevant portion of the Bonus Payments, as notified by the Seller, less any withholdings and deductions therefrom required by applicable Law. The Seller shall reimburse the Purchaser in an amount equal to the Bonus Payments one Business Day prior to the payment to eligible Employees.

 

(f)            The Purchaser agrees that (i) all unpaid accrued vacation and sick time as of the Closing Date shall be the Purchaser’s responsibility and shall be

 

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recognized by the Purchaser under its policies to the extent not paid by the Seller on or before the Closing Date and (ii) to the extent that the Seller is required by applicable Law or the terms of any Seller Plan to make any payment to any Transferred Employee for any unpaid accrued vacation or sick time as of the Closing Date in connection with the consummation of the transaction, the Purchaser agrees to promptly reimburse the Seller for the amount of such payment, but only to the extent that the Liabilities described in (i) and (ii) above are properly reflected on the Final Closing Net Working Capital.

 

Section 10.2           Defined Benefit Plans.

 

(a)           Effective as of the Closing Date, the Transferred Employees will no longer participate in the Chemtura Corporation Retirement Plan (the “Pension Plan”), and the Seller will have taken all such action prior to the Closing Date as may be required to achieve this result.  Effective as of the Closing Date, the Purchaser will establish a replacement defined benefit pension plan (the “New Defined Benefit Plan”) intended to be qualified under Section 401(a) of the Code, and a related trust intended to be exempt from taxation under Section 501(a) of the Code, for the benefit of the Transferred Employees, the terms of which plan and trust will be substantially identical to the terms of the Pension Plan.  The Purchaser agrees to apply for, and to take all actions necessary to secure, as soon as practicable after the Closing Date, a determination letter from the IRS to the effect that the New Defined Benefit Plan is qualified under the applicable provisions of the Code.  The Purchaser will recognize the service of the Transferred Employees with the Seller or any of its Affiliates prior to the Closing Date for all purposes under the New Defined Benefit Plan.

 

(b)           As soon as practicable following the date of this Agreement, the Seller will cause its actuaries to determine, effective as of the Closing Date and in accordance with the requirements of ERISA and Section 414(1) of the Code, an amount of assets of the Pension Plan (the “Plan Assets Amount”) equal to the present value of benefits accrued to the Closing Date for all Transferred Employees, determined as if the Transferred Employees terminated employment with the Seller as of the Closing Date and with regard to only those benefits to which the Transferred Employees would be eligible based on their age and service as of the Closing Date.  The Plan Assets Amount that will be transferred to the New Defined Benefit Plan will be the amount which would be allocated to Transferred Employees if the Pension Plan were terminated as of the Closing Date and assets were allocated to participants in accordance with Section 4044 of ERISA using the assumptions and methodology of the PBGC for plan terminations as of the Closing Date and such other reasonable assumptions not specified by the PBGC and determined by Seller’s actuary.

 

(c)           As soon as practicable after the Seller’s actuaries determine the Plan Assets Amount, the Seller will cause the transfer of an amount of cash equal to the Plan Assets Amount from the Pension Plan to the New Defined Benefit Plan, together with interest on such Plan Assets Amount at the prime rate of Citibank as of the Closing Date from the Closing Date to the date of transfer.  Benefit payments to Transferred Employees (or their beneficiaries) in pay status will continue to be made from the Pension Plan following the Closing Date and until the date of transfer.  Any such payments, adjusted for applicable interest, will be deducted from the Plan Assets Amount.  Following the date of transfer, the Purchaser will assume all Liabilities of the Seller and its Affiliates under the Pension Plan with respect to accrued benefits of the Transferred Employees, and the Seller and its Affiliates will have no further Liability to the Purchaser or any Transferred Employees with respect thereto following the date of transfer.

 

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Section 10.3           Defined Contribution Plan.

 

(a)           Effective as of the Closing Date, the Transferred Employees will no longer participate in the Chemtura Corporation Employees Savings Plan (the “Savings Plan”), and the Seller will have taken all such action prior to the Closing Date as may be required to achieve this result. As of the Closing Date, the Seller will cause each Transferred Employee to be one hundred percent (100%) vested in his or her account balance.

 

(b)           After the Closing Date, the Purchaser will establish or provide the Transferred Employees with a new savings plan intended to be qualified under Sections 401(a) and 401(k) of the Code, which shall provide (i) for immediate eligibility for participation for each Transferred Employee who participated in the Savings Plan immediately prior to the Closing Date, and (ii) vesting and eligibility provisions that are no less favorable than those of the Savings Plan as in effect immediately prior to the Closing Date, applied by aggregating service with the Seller and its Affiliates prior to the Closing Date with service with the Purchaser and its Affiliates on and after the Closing Date.  The Seller and the Purchaser agree to cooperate fully with respect to the actions necessary to effect the transactions contemplated in this Section 10.3, including the provision of records and information as each may reasonably request from the other.

 

(c)           With effect from the Closing, the Purchaser shall cause its savings plan established pursuant to Section 10.3(b) above to accept rollovers of distributions to Transferred Employees from, and direct rollovers elected by Transferred Employees from, the Savings Plan, including any note evidencing a loan to any Transferred Employee under the Savings Plan.

 

Section 10.4           Welfare Arrangements.   Subject to Section 10.1(b) above, to the extent that any medical, dental, hospitalization, life or other similar health, welfare or insurance benefits are provided to Transferred Employees through one or more Seller Plans (the “Welfare Plans”), the Purchaser agrees to designate or establish, effective as of the Closing, one or more benefit plans, programs or arrangements for the purpose of providing such benefits to Transferred Employees.  The Purchaser will cause such benefit plans, programs or arrangements to (i) waive any preexisting condition limitations for conditions covered under the applicable Welfare Plans available to the Transferred Employees immediately prior to the Closing and any applicable waiting periods, and (ii) credit Transferred Employees with any deductible and out-of-pocket expenses incurred by such employees and their dependents under the Welfare Plans during the portion of the current year preceding the Closing Date for purposes of satisfying any applicable deductible or out-of-pocket requirements under any similar plan, program or arrangement in which such employees may be eligible to participate after the Closing Date.  With respect to aggregate lifetime maximum benefits available under the Purchaser’s welfare benefit plans, a Transferred Employee’s prior claim experience under any of the Welfare Plans will not be taken into account.  Effective as of the Closing Date, the Transferred Employees (and their dependants) will no longer participate in the Welfare Plans and the Seller will have taken all such action prior to the Closing Date as may be required to achieve this result.  The Purchaser shall be responsible for making tuition reimbursements or adoption assistance payments to any Transferred Employees who (i) obtained all necessary approval under the applicable tuition reimbursement plan or adoption assistance plan of the Seller and its Affiliates prior to the Closing Date, and (ii) satisfy all necessary requirements for reimbursement under such plans after the Closing Date.

 

Section 10.5           WARN Act.  The Purchaser and the Seller agree to cooperate in good faith to determine whether any notification may be required under the WARN Act as a result of the transactions contemplated by the Agreement and, if such notices are required, to provide such notice in a manner that is reasonably satisfactory to each of the Purchaser and the Seller.

 

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Section 10.6           No Third-Party Beneficiaries.  Nothing contained in this Agreement, expressed or implied, is intended to confer upon any Employee any benefits under any employee benefit plan, fund or program including severance benefits or the right to employment or continued employment with the Purchaser or any Affiliate of the Purchaser for any period by reason of this Agreement.  In addition, the provisions of this Agreement, in particular this Article 10, are for the sole benefit of the parties hereto and their respective Affiliates and are not for the benefit of any third parties.

 

Section 10.7           Negotiations with Employees.  To the extent required by applicable Law, the Seller and, on request by the Seller, the Purchaser, will (or will cause their applicable Affiliates to) notify the Employees or their representatives (including any relevant works council or trade union) of the transactions contemplated by this Agreement and will thereafter enter into and properly conduct consultations with the Employees and/or their representatives, all as required by Law and/or any applicable collective bargaining agreements.

 

ARTICLE 11

ENVIRONMENTAL MATTERS

 

Section 11.1           Indemnification by the Seller.  Notwithstanding anything to the contrary contained in this Agreement, and subject to the limitations expressly set forth in Sections 11.2 and 11.3, the Seller shall indemnify and hold harmless the Purchaser Indemnified Parties from and against any and all Losses incurred by the Purchaser Indemnified Parties relating to or resulting from:

 

(a)           any Unknown Environmental Liability (“Unknown Environmental Liability Losses”); and

 

(b)           any Known Environmental Liability (“Known Environmental Liability Losses”).

 

Section 11.2           Survival.

 

(a)           The indemnity set forth in Section 11.1(a) shall expire on the seven (7) year anniversary of the Closing Date (the “Unknown Environmental Liability Indemnity Period”); provided only, however, that if any Purchaser Indemnified Party provides an Environmental Claim Notice in respect of a particular Unknown Environmental Liability within the Unknown Environmental Liability Indemnity Period, the indemnity set forth in Section 11.1(a) shall survive until resolved with respect to Losses relating to or resulting from that Unknown Environmental Liability until the nine (9) year anniversary of the Closing Date (the “Unknown Losses Termination Date”). Any Unknown Environmental Liability Losses relating to or resulting from an Unknown Environmental Liability that is not the subject of an Environmental Claim Notice issued prior to the expiration of the Unknown Liability Indemnity Period shall be deemed to constitute Assumed Liabilities with effect from the expiration of the Unknown Environmental Liability Indemnity Period and the Seller shall have no Liability under this Agreement for such Losses thereafter. In no event shall the Seller have any Liability for any Unknown Environmental Liability Losses that are incurred, paid or payable at any time after the Unknown Losses Termination Date, whether or not the relevant Unknown Environmental Liability was the subject of an Environmental Claim Notice issued prior to the expiration of the Unknown Environmental Liability Indemnity Period, and any such Losses shall be deemed to constitute Assumed Liabilities with effect from the Unknown Losses Termination Date.

 

(b)           The indemnity set forth in Section 11.1(b) shall expire on the four (4) year anniversary of the Closing Date (the “Known Environmental Liability Indemnity Period”) provided only, however, that if any Purchaser Indemnified Party provides an

 

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Environmental Claim Notice in respect of a particular Known Environmental Liability within the Known Environmental Liability Indemnity Period, the indemnity set forth in Section 11.1(a) shall survive until resolved with respect to Losses relating to or resulting from that Known Environmental Liability until the five (5) year anniversary of that Environmental Claim Notice (such anniversary date in respect of that Known Environmental Liability being the “Known Losses Termination Date”). Any Known Environmental Liability Losses relating to or resulting from a Known Environmental Liability that is not the subject of an Environmental Claim Notice issued prior to the expiration of the Known Liability Indemnity Period shall be deemed to constitute Assumed Liabilities with effect from the expiration of the Known Environmental Liability Indemnity Period and the Seller shall have no Liability under this Agreement for such Losses thereafter. In no event shall the Seller have any Liability for any Known Environmental Liability Losses that are incurred, paid or payable at any time after the Known Losses Termination Date for the relevant Known Environmental Liability, whether or not the relevant Known Environmental Liability was the subject of an Environmental Claim Notice issued prior to the expiration of the Known Environmental Liability Indemnity Period, and any such Losses shall be deemed to constitute Assumed Liabilities with effect from such Known Losses Termination Date.

 

Section 11.3           Limitations on Liability.

 

(a)           Shifting of Responsibility for Known Environmental Liability Losses.  Subject to Section 11.2(b), the amount in respect of which the Seller shall be liable to indemnify and hold harmless the Purchaser Indemnified Parties pursuant to Section 11.1(b) shall be limited as follows:

 

(i)            The Seller shall indemnify and hold harmless the Purchaser Indemnified Parties from and against one hundred percent (100%) of any and all Known Environmental Liability Losses relating to or resulting from a Known Environmental Liability that is the subject of an Environmental Claim Notice issued prior to the one (1) year anniversary of the Closing Date;

 

(ii)           The Seller shall indemnify and hold harmless the Purchaser Indemnified Parties from and against seventy-five percent (75%) of any and all Known Environmental Liability Losses relating to or resulting from a Known Environmental Liability that is the subject of an Environmental Claim Notice issued after the one (1) year anniversary of the Closing Date but prior to the two (2) year anniversary of the Closing Date, and the remaining twenty-five percent (25%) of such Known Environmental Liability Losses shall be deemed to constitute Assumed Liabilities;

 

(iii)          The Seller shall indemnify and hold harmless the Purchaser Indemnified Parties from and against fifty percent (50%) of any and all Known Environmental Liability Losses relating to or resulting from a Known Environmental Liability that is the subject of an Environmental Claim Notice issued after the two (2) year anniversary of the Closing Date but prior to the three (3) year anniversary of the Closing Date, and the remaining fifty percent (50%) of such Known Environmental Liability Losses shall be deemed to constitute Assumed Liabilities;

 

(iv)          The Seller shall indemnify and hold harmless the Purchaser Indemnified Parties from and against twenty-five percent (25%) of any and all Known Environmental Liability Losses relating to or resulting from a Known Environmental Liability that is the subject of an Environmental Claim Notice issued after the three (3) year anniversary of the Closing Date but prior to the four (4) year anniversary of the Closing, and the remaining

 

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seventy-five percent (75%) of such Known Environmental Liability Losses shall be deemed to constitute Assumed Liabilities;

 

(v)           Mitigation. Subject to the terms and conditions set forth herein, the Purchaser shall, and shall cause each of the Purchaser Indemnified Parties to, use reasonable efforts to mitigate any Environmental Losses with respect to which it may be entitled to seek indemnification pursuant to this Article 11.  Such efforts by the Purchaser shall include, without limitation, prompt notice to the Seller of any facts constituting the basis of any Environmental Claim, as defined in Section 11.4(a), and reasonable actions to limit the extent or duration of any Environmental Losses until such time as the Seller accepts responsibility for the resolution of such Environmental Claim pursuant to Section 11.4.

 

(b)           Conditions.  In no event shall the Seller be obligated to indemnify Purchaser Indemnified Parties pursuant to this Article 11 for Known Environmental Liability Losses or Unknown Environmental Liability Losses (collectively “Environmental Losses”), and such Environmental Losses shall be deemed to constitute Assumed Liabilities, unless Environmental Losses for which indemnification is sought relate to: (i) a Proceeding, third-party claim filed in any court of competent jurisdiction (“Third Party Environmental Claim”), or Judgment; or (ii) any requirement of Environmental Law, Environmental Authorization, or Governmental Authority acting pursuant to Environmental Law in existence on or before the Closing Date and applicable to the operation of the Business, the Purchased Assets, or the Owned Real Property on or before the Closing Date and imposing or requiring an affirmative response, action or obligation on the Purchaser.  The Seller shall have no obligation to indemnify Purchaser Indemnified Parties pursuant to this Article 11 for any Environmental Losses that arise out of any “Phase II environmental site assessments (ESAs)” (as that term is described in the ASTM E 1903-97 Standard Guide for Environmental Site Assessments: Phase II Environmental Site Assessment Process) or any other invasive investigation, sampling or monitoring of environmental media conducted by Purchaser or the Purchaser Indemnified Parties (collectively an “Environmental Investigation”) that is not: (i) required by applicable Environmental Law or Law in existence on or before the Closing Date (including any such requirement of Environmental Law or Law relating to any maintenance, repair, renovation or expansion activities); or (ii) required by any Proceeding, Environmental Authorization, Judgment, Governmental Authority or Third Party Environmental Claim applicable to the operation of the Business, the Purchased Assets or the Owned Real Property.  The Seller shall have no obligation to indemnify the Purchaser Indemnified Parties pursuant to this Article 11 for any Environmental Losses that arise out of any report or notice to any Governmental Authority or third party regarding any Release of Hazardous Materials or the results of any Environmental Investigation conducted by Purchaser or a Purchaser Indemnified Party except to the extent such report or notice is required by Law, Environmental Laws, Environmental Authorization or Governmental Authorization.  The Seller shall have the unilateral right to raise reasonable objections and defenses to any alleged requirement of Law, Environmental Law, Environmental Authorization, or Governmental Authority acting pursuant to any Environmental Law, including, without limitation, any obligation to provide any report or notice to any Governmental Authority or to perform any environmental investigation or Remediation, and the Purchaser shall ensure that its actions under this Article 11 will not in any way prejudice such rights.

 

(c)           Scope of Seller Response Obligations.  The Seller shall have no obligation to indemnify Purchaser Indemnified Parties pursuant to this Article 11 for any Environmental Losses, and such Environmental Losses shall be deemed to constitute Assumed Liabilities, that arise out of: (i) a change in use (including any shutdown of the

 

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Taft facility, but excluding change in activity levels for current uses) by the Purchaser of any Owned Real Property in a manner that changes the Purchaser’s obligations under any Environmental Law impacting the Environmental Losses; (ii) a change in Environmental Law after the Closing Date; or (iii) a new obligation under Environmental Law that arises out of a change in operations or increase in production by Purchaser after the Closing.

 

Section 11.4           Procedure for Indemnification For Environmental Losses.

 

(a)           If the Purchaser seeks indemnity under this Article 11 (an “Environmental Claim”), it will give written notice (an “Environmental Claim Notice”) to the Seller.  The Environmental Claim Notice must set forth with reasonable particularity (to the extent then known) the nature of the condition or event giving rise to the Environmental Claim and, if known, the estimated amount of any Losses incurred or reasonably expected to be incurred by the Purchaser Indemnified Parties.  The Purchaser shall provide the Seller with copies of sampling data, environmental reports, proposals and correspondence in the possession of the Purchaser relevant to the Environmental Claim. If the Purchaser seeks indemnity under this Article 11, the Purchaser will promptly provide the Seller with an Environmental Claim Notice as soon as the Purchaser is in possession of sufficient facts constituting the basis of an Environmental Claim, but in no event greater than thirty (30) calendar days after the relevant Purchaser Indemnified Party has received such facts or any notice of a third party claim or Proceeding.  The Purchaser will include in the Environmental Claim Notice the facts constituting the basis for such Environmental Claim Notice and details of the amount of the damages claimed or other action required to resolve the Environmental Claim; provided, however, that no delay or deficiency on the part of the Purchaser in so notifying the Seller will relieve the Seller of any Liability under this Agreement except to the extent such delay or deficiency prejudices or otherwise adversely affects the rights of the Seller with respect thereto.

 

(b)           Subject to the terms of this Section 11.4, the Seller shall have the right, by written notice to the Purchaser (a “Control Notice”), to conduct, direct, manage, implement and control the resolution of any Environmental Claim for which the Seller has greater than fifty percent (50%) of the indemnification obligation under this Article 11, including the right to raise timely and reasonable objections and defenses to any obligations imposed on the parties under any Law, Environmental Laws, Environmental Authorization, or Governmental Authorization, (any such Environmental Claim the subject of a Control Notice being hereinafter an “Environmental Response Action”), so long as the Seller does so in a commercially reasonable manner.  The Seller shall comply with the requirements and procedures contained in this Section 11.4 with respect to all Environmental Response Actions. The election of the Seller to assume the defense of an Environmental Claim shall not be deemed an admission by the Seller that the Environmental Claim is within the scope of or subject to indemnification under this Article 11.

 

(c)           The Seller shall be entitled to participate, with its own counsel and at its own expense, in the defense or conduct of any Environmental Claim that is not the subject of an Environmental Response Action.

 

(d)           All Environmental Response Actions that require the assistance of an environmental consultant, shall be performed by a third-party environmental consultant reasonably acceptable to the Purchaser.  Any consultant retained by the Seller in connection with an Environmental Response Action must hold and maintain insurance of the types and amounts that are customary in the industry and the Purchaser and the relevant Purchaser Indemnified Parties shall, to the extent possible without increasing the costs of such insurance, be added as additional named insureds on such policies.

 

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(e)           In respect of an Environmental Response Action, the Seller shall, as soon as practicable and in no event later than the date that is the earlier of: (i) an applicable deadline under Environmental Laws or of a Governmental Authority; or (ii) thirty (30) days after the Purchaser’s receipt of the relevant Control Notice, provide the Purchaser with a written response that provides the following information with reasonable particularity to the extent of Seller’s knowledge at that time:  (i) the nature of the activities proposed to be undertaken, recognizing that the Seller may not have sufficient information to propose a final response plan to address the matter and that the activities proposed may be limited to additional investigation work; (ii) the identity of the environmental consultant proposed to undertake the action; (iii) the proposed time frame for undertaking the proposed action (including interim milestones to the extent appropriate) and, if appropriate, an estimate of the time frame required before a final response plan can be developed; (iv) the estimated cost associated with such action (to the extent then estimable); and (v) copies of sampling data, environmental reports, proposals and correspondence in the possession of the Seller relevant to the subject matter (each such notice, an “Environmental Response Action Proposal”).

 

(f)            The Purchaser shall, as soon as practicable and in no event later than the date that is the earlier of (i) an applicable deadline under Environmental Laws or of a Governmental Authority; or (ii) thirty (30) days after receipt of the Environmental Response Action Proposal, notify the Seller, in writing, that the Purchaser, in whole or in part, approves of (“Approval Notification”) or objects to (“Dispute Notification”) such Environmental Response Action Proposal, including the selection of the environmental consultant.  The Purchaser may object to any Environmental Response Action Proposal only to the extent that it reasonably determines that the Proposal is inconsistent with the terms of Section 11.4(l).  Issuance of such Approval Notification shall grant the Seller, its representatives and consultants reasonable rights of access to the relevant Owned Real Property to conduct activities in conjunction with the Environmental Response Action Proposal; provided, however, that the Seller shall provide reasonable prior notice of any dates or times the Seller or its consultants or representatives plan to access the relevant Owned Real Property and shall accommodate the Purchaser’s schedule to the extent reasonably practicable.  In the event the Purchaser issues a Dispute Notification objecting, in whole or in part, to an Environmental Response Action Proposal, the Purchaser shall include in such Dispute Notification details of its specific disagreement regarding such Environmental Response Action Proposal, including the basis for the Purchaser’s determination that the Environmental Response Action Proposal is not consistent with the terms of Section 11.4(l).  The Purchaser agrees that its approval of an Environmental Response Action Proposal shall not be unreasonably withheld or delayed.  In the event the Purchaser fails to approve or object to the Environmental Response Action Proposal within thirty (30) days after its receipt thereof, the Environmental Response Action Proposal shall be deemed approved.

 

(g)           In the event the Purchaser objects to an Environmental Response Action Proposal or any portion thereof under Section 11.4(f), the Purchaser and the Seller shall thereafter negotiate in good faith in an attempt to reach agreement as to the disputed Environmental Response Action Proposal.  In the event the Purchaser and the Seller are unable to resolve the dispute within a reasonable period of time, the parties shall jointly select and retain a mutually agreeable nationally recognized qualified third party independent environmental consultant or expert (“Independent Consultant”): (i) to determine whether the disputed Environmental Response Action Proposal is consistent with the terms of Section 11.4(l) ; and (ii) in the event the Independent Consultant determines the disputed Environmental Response Action Proposal is not consistent with the terms of

 

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Section 11.4(l), the Independent Consultant shall recommend an alternative Environmental Response Action Proposal that is consistent with the terms of Section 11.4(l).  The determination of the Independent Consultant shall be binding on the Seller and the Purchaser.  All fees and expenses of the Independent Consultant shall be borne equally by the Purchaser and the Seller.

 

(h)           With respect to any Environmental Response Action, the Seller agrees to provide the Purchaser with the following:  (i) copies of all work plans, test results, sampling data, surveys and other data generated by the Seller and its representatives, promptly upon the availability thereof, but in any event, prior to submitting the same to any Governmental Authority; (ii) copies of all material draft reports and final reports, plans and other documents developed with respect to the Environmental Response Action, including any such materials to be submitted to any Governmental Authority prior to any such submission; (iii) an opportunity to meet with the Seller and/or its representatives prior to and following any substantive communications or meetings with any Governmental Authority, (iv) the opportunity to attend and participate in substantive meetings or teleconferences with Governmental Authorities; and (v) an opportunity to timely comment upon the foregoing and any other proposed material determinations or actions relating to investigative, testing and remedial actions and the reporting of the same to any Governmental Authority.  The Seller shall provide due consideration to any comments or suggestions provided by the Purchaser.  Notwithstanding the foregoing, in no event shall the Purchaser’s actions as set forth herein interfere with or compromise the Seller’s pursuit of any Environmental Response Action as it deems reasonably appropriate consistent with the terms of this Agreement.

 

(i)            Notwithstanding anything to the contrary in this Agreement, the Seller shall develop and implement the relevant Environmental Response Actions in a manner that does not unreasonably interfere with the existing operations of the Business by the Purchaser at the relevant Owned Real Property, recognizing that the Purchaser shall reasonably cooperate with the Seller to ensure that any Environmental Response Action is implemented consistent with the terms of Section 11.4(l).

 

(j)            The Seller agrees to diligently perform (or direct its consultants to perform) all Environmental Response Actions in a good and workman-like manner in accordance with accepted industry practices and standards in compliance with applicable Environmental Laws and any of the Purchaser’s or the Businesses’ reasonable site-specific health and safety requirements or policies that are comparable to those which are customary in the industry and which are provided to the Seller prior to initiation of any Environmental Response Action.  If the Seller fails to diligently undertake or implement the Environmental Response Action in a good and workmanlike manner in accordance with accepted industry practices and standards and in compliance with its obligations and terms of this Article 11, the Purchaser, following written notice to the Seller and a reasonable opportunity to cure depending upon the nature of the alleged failure, which cure period shall not be less than thirty (30) days following such written notice under any circumstances, shall have the right to conduct, direct, manage, implement and control the relevant Response Action provided the procedures in this Section 11.4 shall be complied with, substituting in each case (other than payment obligations), the Purchaser for the Seller and vice versa.

 

(k)           The Seller shall not agree to any settlement of, or consent to the entry of any Judgment (other than a Judgment of dismissal on the merits without costs relating to an Environmental Response Action) arising from or relating to any Environmental Losses without the prior written consent of the Purchaser, which consent

 

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shall not be unreasonably withheld or delayed, other than a settlement or judgment for solely monetary damages.

 

(l)            With respect to any Environmental Losses for which the Seller has the right to control resolution pursuant to an Environmental Response Plan under this Article 11, the Seller shall be entitled to use the most cost effective response techniques, including risk-based Remediation standards consistent with the current industrial use of the Owned Real Property and utilization of activity and use limitations, institutional controls and engineered barriers, in each case, to the extent (i) authorized by applicable Environmental Law; and (ii) consistent with and that does not unreasonably restrict or interfere with the existing operation of the Business by the Purchaser at the Owned Real Property.

 

Section 11.5           Taft Air Issue.

 

(a)           The Seller shall perform the actions set forth on Schedule 11.5 before Closing (except as otherwise set forth on Schedule 11.5) or otherwise required to be taken by a Governmental Authority prior to the Closing Date to resolve the Taft Air Issue.

 

(b)           If, at or within the twelve (12) months after Closing, emissions from and operational parameters of Emission Point No. 001-05GP (Thermal Oxidizer UB-1300 Control Device) at the Taft facility continue to be in excess of emission limits or operational requirements established by any Governmental Authorization or Environmental Law, then the Seller shall, within thirty (30) days after presentation of an invoice therefor, reimburse the Purchaser for any costs and expenses incurred by the Purchaser after Closing in performing further repairs, services and maintenance on the Thermal Oxidizer UB-1300 Control Device, up to a maximum reimbursement hereunder of one hundred thousand dollars ($100,000).

 

(c)           Any penalties or fines assessed for an occurrence of the Taft Air Issue pre-Closing and reported by Seller to a Governmental Authority shall be considered a Known Environmental Liability subject to the limitations on liability in Section 11.3(a).  Any penalties or fines assessed for any other occurrence of the Taft Air Issue pre-Closing and not reported by Seller to a Governmental Authority shall be considered an Unknown Environmental Liability, but only to the extent the fine or penalty is assessed within the Unknown Environmental Liability Indemnity Period.

 

(d)           Except as aforesaid in this Section 11.5, Seller shall have no responsibility or liability in respect of the Taft Air Issue, or for any Losses arising from or in connection therewith, after the Closing.

 

ARTICLE 12

GENERAL PROVISIONS

 

Section 12.1           Notices.  All notices and other communications under this Agreement must be in writing and are deemed duly delivered when (a) delivered if delivered personally or by internationally recognized overnight courier service (costs prepaid), (b) sent by facsimile with confirmation of transmission by the transmitting equipment (or, the first Business Day following such transmission if the date of transmission is not a Business Day) or (c) received or rejected by the addressee, if sent by United States of America certified or registered mail, return receipt requested; in each case to the following addresses or facsimile numbers and marked to the attention of the individual (by name or title) designated below (or to such other address, facsimile number or individual as a party may designate by notice to the other party):

 

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If to the Seller:

 

Chemtura Corporation

199 Benson Road

Middlebury, Connecticut 06749

United States of America

Facsimile: +1 203 573 3118

Attention: General Counsel

 

with a copy (which will not constitute notice) to:

 

Baker & McKenzie LLP

130 East Randolph Drive

Chicago, Illinois, 60601

United States of America

Facsimile: +1 312 698 2702

Attention:  Edward J. West, Esquire

 

If to the Purchaser:

 

SK Capital Partners II, L.P.

400 Park Avenue

Suite 810

New York NY 10022

Facsimile: +1 212 867 4525

Attention: Dr. Barry Siadat

 

with a copy (which will not constitute notice) to:

 

SK Capital Partners II, L.P.

1515 N Federal Highway

Suite 405

Boca Raton FL 33432

Facsimile: +1 561 892 2928

Attention: Mark Delevie, Esquire

 

and to:

 

Morgan Lewis & Bockius, LLP

502 Carnegie Center

Princeton, NJ 08540

Facsimile: +1 609 919 6701

Attention: Steven M. Cohen, Esquire

 

Section 12.2           Amendment.  Except as contemplated by Section 5.6, this Agreement may not be amended, supplemented or otherwise modified except in a written document signed by each party to be bound by the amendment and that identifies itself as an amendment to this Agreement.

 

Section 12.3           Specific Performance.  Each of the Seller and the Purchaser acknowledge and agree that the other party would be damaged irreparably in the event of a breach of this Agreement.  Accordingly, the parties agree that, prior to the termination of this Agreement

 

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pursuant to Section 7.1, in the event of a breach of the provisions of this Agreement, the non-breaching party shall have the right to seek temporary or permanent injunctive relief, or to enforce specifically the provisions of this Agreement, in any court of competent jurisdiction as may be available under the Laws and rules applicable in such jurisdiction, in addition to any other remedy to which they may be entitled at law or in equity.

 

Section 12.4           Waiver and Remedies.  The parties may (a) extend the time for performance of any of the obligations or other acts of the other party to this Agreement, (b) waive any inaccuracies in the representations and warranties of the other party to this Agreement contained in this Agreement or (c) waive compliance with any of the covenants or conditions for the benefit of such party contained in this Agreement.  Except as contemplated by Section 5.6: (i) any such extension or waiver by a party to this Agreement will be valid only if set forth in a written document signed on behalf of the party against whom the extension or waiver is to be effective; (ii) no extension or waiver will apply to any time for performance, inaccuracy in any representation or warranty, or noncompliance with any covenant or condition, as the case may be, other than that which is specified in the written extension or waiver; and (iii) no failure or delay by a party in exercising any right or remedy under this Agreement or any of the documents delivered pursuant to this Agreement, and no course of dealing between the parties, operates as a waiver of such right or remedy, and no single or partial exercise of any such right or remedy precludes any other or further exercise of such right or remedy or the exercise of any other right or remedy.  Except as provided in Sections 5.6 and 8.6, any enumeration of a party’s rights and remedies in this Agreement is not intended to be exclusive, and a party’s rights and remedies are intended to be cumulative to the extent permitted by law and include any rights and remedies authorized in law or in equity.

 

Section 12.5           Entire Agreement.  This Agreement (including the Schedules and Exhibits hereto and the documents and instruments referred to in this Agreement that are to be delivered at the Closing) constitutes the entire agreement between the parties and supersedes any prior understandings, agreements or representations by or between the parties, or either of them, written or oral, with respect to the subject matter of this Agreement.  Notwithstanding the foregoing, the Confidentiality Agreement will remain in effect in accordance with its terms as modified pursuant to Section 5.9.

 

Section 12.6           Assignment, Successors and No Third Party Rights.  This Agreement binds and benefits the parties and their respective successors and assigns. No party may assign any rights, or delegate the performance of any of its obligations, under this Agreement, whether by operation of law or otherwise, without the prior written consent of the other parties.  Any purported assignment or delegation in contravention of the foregoing shall be void and of no effect.  Nothing expressed or referred to in this Agreement will be construed to give any Person, other than the parties to this Agreement, any legal or equitable right, remedy or claim under or with respect to this Agreement or any provision of this Agreement except such rights as may inure to a successor or permitted assignee under this Section 12.6.

 

Section 12.7           Severability.  If any provision of this Agreement is held invalid, illegal or unenforceable, the remaining provisions of this Agreement remain in full force and effect, if the essential terms and conditions of this Agreement for each party remain valid, binding and enforceable.

 

Section 12.8           Exhibits and Schedules.  The Exhibits and Schedules to this Agreement are incorporated herein by reference and made a part of this Agreement.  The Seller Disclosure Schedule is arranged in sections and paragraphs corresponding to the numbered and lettered sections and paragraphs of Article 3.  The disclosure in any section or paragraph of the Seller

 

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Disclosure Schedule, and those in any amendment or supplement thereto, will be deemed to relate to each other provision of Article 3.

 

Section 12.9           Interpretation.  In the negotiation of this Agreement, each party has received advice from its own attorney.  The language used in this Agreement is the language chosen by the parties to express their mutual intent, and no provision of this Agreement will be interpreted for or against either party because that party or its attorney drafted the provision.

 

Section 12.10         Expenses.  Except as set forth in this Agreement, each party will pay its own direct and indirect expenses incurred by it in connection with the preparation and negotiation of this Agreement and the consummation of the transactions contemplated by this Agreement, including all fees and expenses of its advisors and representatives; provided, however, the Purchaser will bear all notarial and similar fees and expenses incurred in connection with the execution and delivery of any Ancillary Agreement.

 

Section 12.11         Governing Law.  Unless any Exhibit or Schedule specifies a different choice of law, the internal laws of the State of New York (without giving effect to any choice or conflict of law provision or rule (whether of the State of New York or any other jurisdiction) that would cause the application of laws of any other jurisdiction) govern all matters arising out of or relating to this Agreement and its Exhibits and Schedules and the transactions contemplated by this Agreement, including its validity, interpretation, construction, performance and enforcement and any disputes or controversies arising therefrom or related thereto.

 

Section 12.12         Limitation on Liability.   NOTWITHSTANDING ANY OTHER PROVISION OF THIS AGREEMENT OR ANY ANCILLARY AGREEMENT TO THE CONTRARY, IN NO EVENT WILL ANY PARTY OR ANY OF ITS AFFILIATES BE LIABLE FOR ANY SPECIAL, INCIDENTAL, INDIRECT, EXEMPLARY, PUNITIVE OR CONSEQUENTIAL DAMAGES (INCLUDING LOST PROFITS, LOSS OF REVENUE OR LOST SALES) IN CONNECTION WITH ANY CLAIMS, LOSSES, DAMAGES OR INJURIES ARISING OUT OF THE CONDUCT OF SUCH PARTY PURSUANT TO THIS AGREEMENT REGARDLESS OF WHETHER THE NONPERFORMING PARTY WAS ADVISED OF THE POSSIBILITY OF SUCH DAMAGES OR NOT.

 

Section 12.13         Jurisdiction and Service of Process.   Except as contemplated by Section 12.3, any action or proceeding arising out of or relating to this Agreement or the transactions contemplated by this Agreement must be brought only in either the Bankruptcy Court, while the Case is pending, or thereafter in any federal or state court located in New York County, New York (each, a “Chosen Court”). Each of the parties knowingly, voluntarily and irrevocably submits to the exclusive jurisdiction of the Chosen Courts in any such action or proceeding and waives any objection it may now or hereafter have to venue or to convenience of forum.  Each party to this Agreement may make service on the other party by sending or delivering a copy of the process to the party to be served at the address and in the manner provided for the giving of notices in Section 12.1.  Nothing in this Section 12.13, however, affects the right of a party to serve legal process in any other manner permitted by law.

 

Section 12.14         Waiver of Jury Trial.  EACH OF THE PARTIES KNOWINGLY, VOLUNTARILY AND IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY LAW, ALL RIGHT TO TRIAL BY JURY IN ANY ACTION, PROCEEDING OR COUNTERCLAIM (WHETHER BASED ON CONTRACT, TORT OR OTHERWISE) ARISING OUT OF OR RELATING TO THIS AGREEMENT OR THE TRANSACTIONS CONTEMPLATED BY THIS AGREEMENT OR THE ACTIONS OF EITHER PARTY TO THIS AGREEMENT IN NEGOTIATION, EXECUTION AND DELIVERY, PERFORMANCE OR ENFORCEMENT OF THIS AGREEMENT.

 

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Section 12.15         No Joint Venture.  Nothing in this Agreement creates a joint venture or partnership between the parties.  This Agreement does not authorize either party (a) to bind or commit, or to act as an agent, employee or legal representative of, the other party, except as may be specifically set forth in other provisions of this Agreement, or (b) to have the power to control the activities and operations of the other party.  The parties are independent contractors with respect to each other under this Agreement.  Each party agrees not to hold itself out as having any authority or relationship contrary to this Section 12.15.

 

Section 12.16         Counterparts.  The parties may execute this Agreement in multiple counterparts, each of which constitutes an original as against the party that signed it, and all of which together constitute one agreement.  This Agreement is effective upon delivery of one (1) executed counterpart from each party to the other party.  The signatures of all parties need not appear on the same counterpart.  The delivery of signed counterparts by facsimile or email transmission that includes a copy of the sending party’s signature(s) is as effective as signing and delivering the counterpart in person.

 

[Signature page follows.]

 

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The parties have executed and delivered this Agreement as of the date indicated in the first sentence of this Agreement.

 

 

 

CHEMTURA CORPORATION

 

 

 

By:

 

 

 

Name: Stephen C. Forsyth

 

 

Title: Executive Vice President & Chief Financial Officer

 

 

 

 

 

SK ATLAS, LLC

 

 

 

By:

 

 

 

Name: Barry Siadat

 

 

Title:   Manager

 

 

 

 

 

SK CAPITAL PARTNERS II, LP

 

 

 

By:

SK Capital Investments II, LLC

 

 

its general partner

 

 

 

By:

 

 

 

Name: Barry Siadat

 

 

Title:   Manager

 

74


EX-10.59 4 a09-35975_1ex10d59.htm EX-10.59

Exhibit 10.59

 

 

$450,000,000

 

AMENDED AND RESTATED SENIOR SECURED SUPERPRIORITY

DEBTOR-IN-POSSESSION CREDIT AGREEMENT

 

Dated as of February 3, 2010

 

among

 

CHEMTURA CORPORATION,
as Debtor and Debtor-in-Possession

 

as Borrower

 

and

 

THE GUARANTORS PARTY HERETO,
as Debtors and Debtors in Possession under Chapter 11 of the Bankruptcy Code

 

and

 

CITIBANK, N.A.

 

as Administrative Agent

 

and

 

WELLS FARGO CAPITAL FINANCE, LLC

 

as Syndication Agent

 

and

 

BARCLAYS BANK PLC

 

and

 

BANK OF AMERICA, N.A.

 

as Co-Documentation Agents

 

and

 

CITIBANK, N.A.

 

as Initial Issuing Bank

 

and

 

THE INITIAL LENDERS AND THE OTHER LENDERS PARTY HERETO

 

 

CITIGROUP GLOBAL MARKETS INC.

 

and

 

WELLS FARGO CAPITAL FINANCE, LLC

 

as Joint Lead Arrangers

 

 

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO CAPITAL FINANCE, LLC

BARCLAYS CAPITAL

 

and

 

BANC OF AMERICA SECURITIES LLC

 

as Joint Bookrunners

 



 

TABLE OF CONTENTS

 

 

Page

 

 

ARTICLE I

 

DEFINITIONS AND ACCOUNTING TERMS

 

 

Section 1.01 Certain Defined Terms

2

Section 1.02 Computation of Time Periods; Other Definitional Provisions

35

Section 1.03 Accounting Terms

35

Section 1.04 Terms Generally

35

 

 

ARTICLE II

 

AMOUNTS AND TERMS OF THE ADVANCES

AND THE LETTERS OF CREDIT

 

 

Section 2.01 The Advances

36

Section 2.02 Making the Advances

37

Section 2.03 Issuance of and Drawings and Reimbursement Under Letters of Credit

38

Section 2.04 Repayment of Advances

44

Section 2.05 Termination, Reduction or Automatic Increase of Commitments

44

Section 2.06 Prepayments

44

Section 2.07 Interest

46

Section 2.08 Fees

46

Section 2.09 Conversion of Advances

47

Section 2.10 Increased Costs, Etc.

48

Section 2.11 Payments and Computations

49

Section 2.12 Taxes

50

Section 2.13 Sharing of Payments, Etc.

52

Section 2.14 Use of Proceeds

53

Section 2.15 Defaulting Lenders

53

Section 2.16 Evidence of Debt

55

Section 2.17 Priority and Liens

55

Section 2.18 Payment of Obligations

56

Section 2.19 No Discharge: Survival of Claims

56

Section 2.20 Replacement of Certain Lenders

56

 

 

ARTICLE III

 

CONDITIONS TO EFFECTIVENESS

 

 

Section 3.01 Conditions Precedent to Effectiveness

57

Section 3.02 Conditions Precedent to Each Borrowing and Each Issuance of a Letter of Credit

61

Section 3.03 Determinations Under Sections 3.01 and 3.03

62

 

 

ARTICLE IV

 

REPRESENTATIONS AND WARRANTIES

 

 

Section 4.01 Representations and Warranties of the Loan Parties

62

 

i



 

ARTICLE V

 

COVENANTS OF THE LOAN PARTIES

 

 

Section 5.01 Affirmative Covenants

66

Section 5.02 Negative Covenants

70

Section 5.03 Reporting Requirements

77

Section 5.04 Financial Covenants

80

 

 

ARTICLE VI

 

EVENTS OF DEFAULT

 

 

Section 6.01 Events of Default

81

Section 6.02 Actions in Respect of the Letters of Credit upon Default

85

 

 

ARTICLE VII

 

THE AGENTS

 

 

Section 7.01 Appointment and Authorization of the Agents

86

Section 7.02 Administrative Agent Individually

86

Section 7.03 Duties of Administrative Agent; Exculpatory Provisions

87

Section 7.04 Reliance by Administrative Agent

88

Section 7.05 Delegation of Duties

88

Section 7.06 Resignation of Administrative Agent

88

Section 7.07 Non-Reliance on Administrative Agent and Other Lender Parties

89

Section 7.08 No Other Duties, etc

90

Section 7.09 Indemnification of Agents

90

Section 7.10 Administrative Agent May File Proofs of Claim

91

Section 7.11 Collateral and Guaranty Matters

91

 

 

ARTICLE VIII

 

SUBSIDIARY GUARANTY

 

 

Section 8.01 Subsidiary Guaranty

92

Section 8.02 Guaranty Absolute

92

Section 8.03 Waivers and Acknowledgments

93

Section 8.04 Subrogation

94

Section 8.05 Additional Guarantors

95

Section 8.06 Continuing Guarantee; Assignments

95

Section 8.07 No Reliance

95

 

 

ARTICLE IX

 

SECURITY

 

 

Section 9.01 Grant of Security

95

Section 9.02 Further Assurances

99

Section 9.03 Rights of Lender; Limitations on Lenders’ Obligations

100

 

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Section 9.04 Covenants of the Loan Parties with Respect to Collateral

101

Section 9.05 Performance by Agent of the Loan Parties’ Obligations

105

Section 9.06 The Administrative Agent’s Duties

105

Section 9.07 Remedies

106

Section 9.08 Modifications

108

Section 9.09 Release; Termination

109

 

 

ARTICLE X

 

MISCELLANEOUS

 

 

Section 10.01 Amendments, Etc.

109

Section 10.02 Notices, Posting of Approved Electronic Communications, Etc.

110

Section 10.03 No Waiver; Remedies

112

Section 10.04 Costs, Fees and Expenses

112

Section 10.05 Right of Set-off

114

Section 10.06 Binding Effect

114

Section 10.07 Successors and Assigns

114

Section 10.08 Execution in Counterparts

118

Section 10.09 Confidentiality and Related Matters

118

Section 10.10 Treatment of Information

119

Section 10.11 Patriot Act Notice

120

Section 10.12 Jurisdiction, Etc.

120

Section 10.13 Governing Law

121

Section 10.14 Waiver of Jury Trial

121

 

iii



 

SCHEDULES

 

Schedule I

-

Commitments and Applicable Lending Offices

Schedule II

-

Intellectual Property

Schedule III

-

Material IP Agreements

Schedule IV

-

Initial Pledged Equity

Schedule V

-

Initial Pledged Debt

Schedule VI

-

Designated Account Debtors

Schedule VII

-

Form of Invoices

Schedule VIII

-

Non-Filing Domestic Subsidiaries

Schedule IX

-

Existing Letters of Credit

Schedule 4.01(a)

-

Equity Investments; Subsidiaries

Schedule 4.01(b)

-

Loan Parties

Schedule 4.01(i)

-

Disclosures

Schedule 4.01(m)

-

Environmental Liabilities

Schedule 4.01(t)

-

Surviving Debt

Schedule 4.01(u)

-

Lien

Schedule 5.02(g)

-

Investments in Joint Ventures

Schedule 5.02(p)

-

Sale and Lease Backs

 

EXHIBITS

 

Exhibit A-1

-

Form of Term Note

Exhibit A-2

-

Form of Revolving Credit Note

Exhibit B

-

Form of Notice of Borrowing

Exhibit C

-

Form of Assignment and Acceptance

Exhibit D-1

-

Form of Opinion of Kirkland & Ellis LLP

Exhibit E

-

Interim Order

Exhibit F

-

Form of Borrowing Base Certificate

Exhibit G

-

Form of IP Security Agreement Supplement

Exhibit H

-

Form of Guaranty Supplement

 

iv



 

AMENDED AND RESTATED SENIOR SECURED SUPERPRIORITY

DEBTOR-IN-POSSESSION CREDIT AGREEMENT

 

AMENDED AND RESTATED SENIOR SECURED SUPERPRIORITY DEBTOR-IN-POSSESSION CREDIT AGREEMENT (this “Agreement”) dated as of February 3, 2010 among CHEMTURA CORPORATION, a Delaware corporation and a debtor and debtor-in-possession in a case pending under chapter 11 of the Bankruptcy Code (as hereinafter defined) (the “Borrower”), and each of the direct and indirect Subsidiaries of the Borrower signatory hereto (each, a “Guarantor”, and together with any Person that becomes a Guarantor hereunder pursuant to Section 8.05, the “Guarantors”), each of which is a debtor and debtor-in-possession in a case pending under chapter 11 of the Bankruptcy Code, the Initial Lenders (as hereinafter defined) and the other banks, financial institutions and other institutional lenders party hereto (each, a “Lender”, and together with the Initial Lenders and any other person that becomes a Lender hereunder pursuant to Section 10.07, the “Lenders”), CITIBANK, N.A. (“Citibank”), as the initial issuing bank (in such capacity, the “Initial Issuing Bank”), Citibank, as administrative and collateral agent (or any successor appointed pursuant to Article VII, the “Administrative Agent”) for the Lender Parties and the other Secured Parties (each as hereinafter defined), WELLS FARGO CAPITAL FINANCE, LLC (“Wells Fargo”), as syndication agent, BARCLAYS BANK PLC and BANK OF AMERICA, N.A., as co-documentation agents, CITIGROUP GLOBAL MARKETS INC. (“CGMI”) and Wells Fargo, as joint lead arrangers (the “Lead Arrangers”), and CGMI, Wells Fargo, BARCLAYS CAPITAL and BANC OF AMERICA SECURITIES LLC, as joint bookrunners (the “Bookrunners”).

 

PRELIMINARY STATEMENTS

 

(1)           On March 18, 2009 (the “Petition Date”), the Borrower and the Guarantors filed voluntary petitions in the United States Bankruptcy Court for the Southern District of New York (the “Bankruptcy Court”) for relief, and commenced proceedings (the “Cases”) under chapter 11 of the U.S. Bankruptcy Code (11 U.S.C. §§ 101 et seq.; the “Bankruptcy Code”) and have continued in the possession of their assets and in the management of their businesses pursuant to sections 1107 and 1108 of the Bankruptcy Code.

 

(2)           The Borrower and the Guarantors are party to that certain Senior Secured Superpriority Debtor-in-Possession Credit Agreement, dated as of March 18, 2009 (as amended, supplemented or otherwise modified prior to the Effective Date, the “Existing DIP Agreement”), among the Borrower, the Guarantors, the lenders party thereto, Citibank, as the initial issuing bank and as administrative agent, and the other agents party thereto.

 

(3)           Pursuant to the Existing DIP Agreement, certain of the Lenders party hereto, together with the other lenders under the Existing DIP Agreement, committed to extend credit in an aggregate principal amount of up to $400,000,000. The parties hereto hereby agree to amend and restate the Existing DIP Agreement in its entirety to read as set forth in this Agreement and wish to enter into term, revolving credit and letter of credit facilities in an aggregate principal amount not exceeding $450,000,000, on the terms and conditions set forth in this Agreement (collectively, the “Facilities”), (i) to refinance the obligations outstanding under the Existing DIP Agreement, (ii) to pay fees, costs and expenses in connection with such refinancing, the Facilities and the Cases, and (iii) to provide financing for working capital, letters of credit, capital expenditures and other general corporate purposes of the Borrower and the Guarantors, including but not limited to Investments in other Subsidiaries of the Loan Parties to the extent not prohibited under this Agreement.

 



 

NOW, THEREFORE, in consideration of the premises and of the mutual covenants and agreements contained herein, the parties hereto agree as follows:

 

ARTICLE I

DEFINITIONS AND ACCOUNTING TERMS

 

Section 1.01  Certain Defined Terms.  As used in this Agreement, the following terms shall have the following meanings (such meanings to be equally applicable to both the singular and plural forms of the terms defined):

 

Account Collateral” has the meaning specified in Section 9.01(f).

 

Account Debtor” means, with respect to any Account, the Person obligated on such Account.

 

Accounts” has the meaning set forth in the UCC.

 

Activities” has the meaning specified in Section 7.02(b).

 

Administrative Agent” has the meaning specified in the recital of parties to this Agreement.

 

Administrative Agent’s Account” means the account of the Administrative Agent maintained by the Administrative Agent with Citibank and identified to the Borrower and the Lender Parties from time to time.

 

Administrative Questionnaire” means an Administrative Questionnaire in a form supplied by the Administrative Agent.

 

Advance” means a Term Advance, a Revolving Credit Advance, or a Letter of Credit Advance.

 

Affected Lender” has the meaning specified in Section 2.20.

 

Affiliate” means, as to any Person, any other Person that, directly or indirectly, controls, is controlled by or is under common control with such Person or is a director or officer of such Person.  For purposes of this definition, the term “control” (including the terms “controlling”, “controlled by” and “under common control with”) of a Person means the possession, direct or indirect, of the power to vote 10% or more of the Voting Stock of such Person or to direct or cause the direction of the management and policies of such Person, whether through the ownership of Voting Stock, by contract or otherwise.

 

After-Acquired Intellectual Property” has the meaning specified in Section 9.04(g)(v).

 

Agent’s Group” has the meaning specified in Section 7.02(b).

 

Agents” means the Administrative Agent and CGMI in its capacity as a Lead Arranger and Bookrunner.

 

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Agreement Value” means, for each Hedge Agreement, on any date of determination, an amount determined by the Administrative Agent equal to:  (a) in the case of a Hedge Agreement documented pursuant to the Master Agreement (Multicurrency-Cross Border) published by the International Swap and Derivatives Association, Inc. (the “Master Agreement”), the amount, if any, that would be payable by any Loan Party or any of its Subsidiaries to its counterparty to such Hedge Agreement, as if (i) such Hedge Agreement were being terminated early on such date of determination, (ii) such Loan Party or Subsidiary were the sole “Affected Party,” and (iii) the Administrative Agent were the sole party determining such payment amount (with the Administrative Agent reasonably making such determination pursuant to the provisions of the form of Master Agreement); (b) in the case of a Hedge Agreement traded on an exchange, the mark-to-market value of such Hedge Agreement, which will be the unrealized loss on such Hedge Agreement to the Loan Party or Subsidiary of a Loan Party party to such Hedge Agreement reasonably determined by the Administrative Agent based on the settlement price of such Hedge Agreement on such date of determination; or (c) in all other cases, the mark-to-market value of such Hedge Agreement, which will be the unrealized loss on such Hedge Agreement to the Loan Party or Subsidiary of a Loan Party party to such Hedge Agreement reasonably determined by the Administrative Agent as the amount, if any, by which (i) the present value of the future cash flows to be paid by such Loan Party or Subsidiary exceeds (ii) the present value of the future cash flows to be received by such Loan Party or Subsidiary pursuant to such Hedge Agreement; capitalized terms used and not otherwise defined in this definition or this Agreement shall have the respective meanings set forth in the above described Master Agreement or any other document governing such Hedge Agreement.

 

Albemarle Settlement and Cross License” means, collectively, (a) the mutual release by the Borrower and Great Lakes Chemical Corporation (“GLCC”), on the one hand, and Albemarle Corporation, on the other hand, of claims and counterclaims raised or that could be raised (i) in Albemarle Corporation v. Great Lakes Chemical Corporation, Civil Action Nos. 02-505-JVP-DLD and 02-506-JVP-DLD, consolidated, pending on the Effective Date in the United States District Court for the Middle District of Louisiana; (ii) in Albemarle Corporation v. Chemtura Corporation and Great Lakes Chemical Corporation, Civil Action No. 05-1239-JJB-SCR, pending on the Effective Date in the United States District Court for the Middle District of Louisiana; and (iii) in Chemtura Corporation v. Albemarle Corporation, Civil Action No. 3:09cv143-JRS, pending on the Effective Date in the United States District Court for the Eastern District of Virginia, (iv) in controversies relating to the Borrower’s and GLCC’s concerns that former employees of the Borrower or GLCC made available to Albemarle certain of the Borrower’s and/or GLCC’s trade secrets, confidential information and/or know-how, and/or (v) under U.S. Patent Numbers 4,719096, 4,725,425, 4,978518, 5,008,477, 5,030,778, 5,053,447, 5,077,334, 5,124,496, 5,302,768, 5,387,636, 5,457,248 and 6,958,423; and (b) the grant by the Borrower and/or GLCC to Albemarle Corporation of a nonexclusive, fully paid-up, royalty-free, irrevocable, world-wide license to manufacture, use, sell, offer for sale and import FM 2100 or any other products under the claims of U.S. Patent Number 5,457,248 and its respective foreign counterparts and continuations, including reissue patents, reexamined patents, as well as all of the applications to which this patent claims priority, the patents claiming priority from it, including continuation applications, continuation-in-part applications, CPA and RCE applications, divisional applications, and any patent that issues from a patent application that is subject to this clause (b), in consideration of the grant by Albemarle Corporation of certain licenses to the Borrower and GLCC with respect to certain of Albemarle Corporation’s intellectual property, in each case on substantially the terms set forth in the Settlement and Cross-License Agreement signed on December 24, 2009 among Albemarle Corporation, the Borrower and GLCC.

 

3


 


 

Applicable Lending Office” means, with respect to each Lender Party, such Lender Party’s Domestic Lending Office in the case of a Base Rate Advance and such Lender Party’s Eurodollar Lending Office in the case of a Eurodollar Rate Advance.

 

Applicable Margin” means (a) in respect of the Term Facility, 4.00% per annum, in the case of Eurodollar Rate Advances, and 3.00% per annum, in the case of Base Rate Advances, and (b) in respect of the Revolving Credit Facility, 4.25% per annum, in the case of Eurodollar Rate Advances, and 3.25% per annum, in the case of Base Rate Advances.

 

Appropriate Lender” means, at any time, with respect to (a) the Revolving Credit Facility or the Term Facility, a Lender that has a Commitment or Advances outstanding, in each case with respect to or under such Facility at such time, and (b) the Letter of Credit Sublimit,  (i) any Issuing Bank, and (ii) if the Revolving Credit Lenders have made Letter of Credit Advances pursuant to Section 2.03(c) that are outstanding at such time, each such Revolving Credit Lender.

 

Approved Electronic Communications” means each Communication that any Loan Party is obligated to, or otherwise chooses to, provide to the Administrative Agent pursuant to any Loan Document or the transactions contemplated therein, including any financial statement, financial and other report, notice, request, certificate and other information material; provided, however, that, solely with respect to delivery of any such Communication by any Loan Party to the Administrative Agent and without limiting or otherwise affecting either the Administrative Agent’s right to effect delivery of such Communication by posting such Communication to the Approved Electronic Platform or the protections afforded hereby to the Administrative Agent in connection with any such posting, “Approved Electronic Communication” shall exclude (i) any Notice of Borrowing, Letter of Credit Application, notice of Conversion or continuation, and any other notice, demand, communication, information, document and other material relating to a request for a new, or a conversion of an existing, Borrowing, (ii) any notice pursuant to Section 2.06 and any other notice relating to the payment of any principal or other amount due under any Loan Document prior to the scheduled date therefor, (iii) all notices of any Default or Event of Default and (iv) any notice, demand, communication, information, document and other material required to be delivered to satisfy any of the conditions set forth in Article III or any other condition to any Borrowing or other extension of credit hereunder or any condition precedent to the effectiveness of this Agreement.

 

Approved Electronic Platform” has the meaning specified in Section 10.02(d).

 

Approved Fund” means any Fund that is administered or managed by (a) a Lender, (b) an Affiliate of a Lender or (c) an entity or an Affiliate of an entity that administers or manages a Lender.

 

Assignment and Acceptance” means an assignment and acceptance entered into by a Lender Party and an Eligible Assignee, and accepted by the Administrative Agent, in accordance with Section 10.07 and in substantially the form of Exhibit C hereto.

 

Available Amount” of any Letter of Credit means, at any time, the maximum amount available to be drawn under such Letter of Credit at such time (assuming compliance at such time with all conditions to drawing).

 

Availability” means, at any time, (a) the lesser of (i) the Borrowing Base at such time (based on the most recent Borrowing Base Certificate), and (ii) the aggregate Commitments at such time minus (b) the sum of (i) the Advances outstanding at such time plus (ii) the aggregate

 

4



 

Available Amount of all Letters of Credit outstanding at such time.  Availability at any time shall be determined by reference to the most recent Borrowing Base Certificate delivered to the Administrative Agent pursuant to Section 5.03(p).

 

Bank Product Reserves” means all reserves which the Administrative Agent from time to time establishes in its reasonable judgment for the Obligations under the Secured Cash Management Agreements and the Secured Hedge Agreements then outstanding.

 

Bankruptcy Code” has the meaning specified in the Preliminary Statements.

 

Bankruptcy Court” has the meaning specified in the Preliminary Statements and means the United States District Court for the Southern District of New York when such court is exercising direct jurisdiction over the Cases.

 

Base Rate” means the higher of (a) 3.0% per annum and (b) a fluctuating interest rate per annum in effect from time to time, which rate per annum shall at all times be equal to the higher of (i) the rate of interest announced publicly by Citibank in New York, New York, from time to time, as Citibank’s base rate and (ii) ½ of 1% per annum above the Federal Funds Rate.

 

Base Rate Advance” means an Advance that is not a Eurodollar Rate Advance.

 

BBA LIBOR” has the meaning specified in the definition of “Eurodollar Base Rate”.

 

Bookrunners” has the meaning specified in the recital of parties to this Agreement.

 

Borrower” has the meaning specified in the recital of parties to this Agreement.

 

Borrower’s Account” means the account of the Borrower maintained by the Borrower and specified in writing to the Administrative Agent from time to time.

 

Borrowing” means a borrowing consisting of simultaneous Advances of the same Type made by the Appropriate Lenders.

 

Borrowing Base” means (i) 80% of the value of Eligible Receivables, plus (ii) the lesser of (A) 85% of the Net Orderly Liquidation Value Percentage of Eligible Inventory and (B) 75% of the cost of Eligible Inventory, plus (iii) $275,000,000, minus (iv) Reserves.

 

Borrowing Base Certificate” means a certificate in substantially the form of Exhibit F hereto (with such changes therein as may be required in accordance with the terms of this Agreement by the Administrative Agent to reflect the components of, and reserves against, the Borrowing Base as provided for hereunder from time to time), executed and certified as accurate and complete by a Responsible Officer of the Borrower or by the controller of the Borrower, which shall include detailed calculations as to the Borrowing Base as reasonably requested by the Administrative Agent.

 

Budget Variance Report” means a report, in each case certified by a Responsible Officer of the Borrower, in substantially the form of the “Budget Variance Report” delivered pursuant to the Existing DIP Agreement, delivered in accordance with Section 5.03(e), showing actual cash flows and the aggregate maximum amount of utilization of the Commitments for each such week as of the end of the week immediately preceding the week during which such Budget Variance

 

5



 

Report is delivered and the variance (as a percentage) of such amounts from the corresponding anticipated amounts therefor set forth in the DIP Budget.

 

Business Day” means a day of the year on which banks are not required or authorized by law to close in New York City and, if the applicable Business Day relates to any Eurodollar Rate Advances, on which dealings are carried on in the London interbank market.

 

Capital Expenditures” means, for any Person for any period, the sum (without duplication) of all expenditures made, directly or indirectly, by such Person or any of its Subsidiaries during such period for equipment, fixed assets, real property or improvements, or for replacements or substitutions therefor or additions thereto, that have been or should be, in accordance with GAAP, reflected as additions to property, plant or equipment on a Consolidated balance sheet of such Person.  For purposes of this definition, (i) the purchase price of equipment that is purchased simultaneously with the trade in of existing equipment or with insurance proceeds shall be included in Capital Expenditures only to the extent of the gross amount of such purchase price less the credit granted by the seller of such equipment for the equipment being traded in at such time or the amount of such proceeds, as the case may be and (ii) the Lyondell Property Purchase shall not be included in Capital Expenditures.

 

Capitalized Leases” means all leases that have been or should be, in accordance with GAAP, recorded as capitalized leases.

 

Carve-Out” means (i) all fees required to be paid to the Clerk of the Bankruptcy Court and to the Office of the United States Trustee under Section 1930(a) of title 28 of the United States Code, (ii) Professional Fees that are incurred prior to an Event of Default, and invoiced and payable under sections 330 and 331 of the Bankruptcy Code, whether prior to or after an Event of Default (the “Pre-Trigger Pipeline Claims”) (but only to the extent that such fees are payable pursuant to an order of the Bankruptcy Court), and (iii) without duplication of the amounts described in clause (ii) above, Professional Fees in an aggregate amount not to exceed $8,000,000 (the “Carve-Out Cap”) incurred after the occurrence and during the continuance of an Event of Default (but only to the extent such fees are payable pursuant to an order of the Bankruptcy Court); provided, however (to the extent allowed by the Bankruptcy Court), that the Borrower and each Guarantor shall be permitted to pay the Pre-Trigger Pipeline Claims, and the Carve-Out Cap shall not be reduced by the amount of any compensation and reimbursement of expenses incurred prior to the occurrence of an Event of Default (to the extent allowed by the Bankruptcy Court), whether paid prior to or after an Event of Default, or any fees, expenses, indemnities or other amounts paid to the Administrative Agent or the Lenders and their respective attorneys and agents under this Agreement or otherwise; and provided further that nothing herein shall be construed to impair the ability of any party to object to any of the fees, expenses, reimbursement or compensation described above in accordance with the Bankruptcy Code, the Federal Rules of Bankruptcy Procedure, The Local Bankruptcy Rules for the Southern District of New York, Guidelines for Reviewing Applications for Compensation & Reimbursement of Expenses Filed Under 11 U.S.C. Section 330, and any applicable order of the Bankruptcy Court.

 

Cases” has the meaning specified in the Preliminary Statements.

 

Cash Collateralize” means to pledge and deposit with or deliver to the Administrative Agent, for the benefit of the Issuing Banks and the Revolving Credit Lenders, as collateral for the L/C Obligations, cash or deposit account balances in an amount not less than 105% of the face amount of such L/C Obligations, pursuant to customary documentation in form and substance

 

6



 

reasonably satisfactory to the Administrative Agent and the Issuing Banks.  Derivatives of such term have corresponding meanings.

 

Cash Equivalents” means any of the following, to the extent having a maturity of not greater than 12 months from the date of issuance thereof:  (a) readily marketable direct obligations of the Government of the United States or any agency or instrumentality thereof or obligations unconditionally guaranteed by the full faith and credit of the Government of the United States, (b) certificates of deposit of or time deposits with any commercial bank that is a Lender Party or a member of the Federal Reserve System that issues (or the parent of which issues) commercial paper rated as described in clause (c), is organized under the laws of the United States or any state thereof and has combined capital and surplus of at least $1,000,000,000, (c) commercial paper in an aggregate amount of no more than $25,000 per issuer outstanding at any time, issued by any corporation organized under the laws of any state of the United States and rated at least “Prime-1” (or the then equivalent grade) by Moody’s or “A-1” (or the then equivalent grade) by S&P, and (d) Investments, classified in accordance with GAAP, as current assets of the Borrower or any of its Subsidiaries, in money market investment programs registered under the Investment Company Act of 1940, as amended, which are administered by financial institutions that have the highest rating obtainable from either Moody’s or S&P and which are approved by the Bankruptcy Court.

 

Cash Management Agreement” means any agreement to provide cash management services, including treasury, depository, overdraft, credit or debit card, electronic funds transfer and other cash management arrangements.

 

Cash Management Bank” means any Person that, at the time it enters into a Cash Management Agreement, is a Lender Party or an Affiliate of a Lender Party, in its capacity as a party to such Cash Management Agreement.

 

Cash Variance” means, as of the last day of any calendar week, (i) $50,000,000 plus (ii) for each preceding week in the DIP Budget during which actual total cash flows exceeded total cash flows projected in the DIP Budget for such week, the amount of such excess, minus (iii) for each preceding week in the DIP Budget during which total cash flows projected in the DIP Budget exceeded actual total cash flows for such week, the amount of such excess.   For the avoidance of doubt, to the extent the Cash Variance as of any given date is less than or equal to zero, it shall be assumed to be zero for purposes of calculation of compliance with Section 5.04(c).

 

CFC” means an entity that is a controlled foreign corporation of the Borrower under Section 957 of the Internal Revenue Code.

 

CGMI” has the meaning specified in the recital of parties to this Agreement.

 

Change of Control” means and shall be deemed to have occurred upon the occurrence of any of the following events:  (i) any Person or two or more Persons acting in concert shall have acquired beneficial ownership (within the meaning of Rule 13d-3 of the Securities and Exchange Commission under the Securities Exchange Act of 1934), directly or indirectly, of Voting Stock of the Borrower (or other securities convertible into such Voting Stock) representing 35% or more of the combined voting power of all Voting Stock of the Borrower; or (ii) after the date of this Agreement, individuals who as of the date of this Agreement were directors of the Borrower, together with each individual on the board of directors of the Borrower who was either (x) elected or appointed by a majority of those members of the board of directors of the Borrower who were

 

7



 

members at the time of such election or appointment or (y) nominated for election or appointment by a majority of those members of the board of directors of the Borrower who were members at the time of such nomination, shall cease for any reason to constitute a majority of the board of directors of the Borrower.

 

Citibank” means Citibank, N.A.

 

Collateral” means all “Collateral” referred to in the Collateral Documents and all other property of the Loan Parties that is or is purported to be subject to any Lien in favor of the Administrative Agent for the benefit of the Secured Parties.

 

Collateral Access Agreement” means any landlord waiver, mortgagee waiver, bailee letter, or any similar acknowledgment or agreement of any warehouseman or processor that owns or is in possession of property where any Inventory is stored or located, pursuant to which a Person shall waive or subordinate its rights and claims as landlord, mortgagee, bailee, warehouseman or processor in any Inventory of a Loan Party and grant access to the Administrative Agent for the repossession and sale of such Inventory, in each case in form and substance reasonably satisfactory to the Administrative Agent.

 

Collateral Documents” means, collectively, the provisions of Article IX of this Agreement, the Intellectual Property Security Agreement, the Mortgages and any other agreement that creates or purports to create a Lien in favor of the Administrative Agent for the benefit of the Secured Parties.

 

Commitment” means a Term Commitment, a Revolving Credit Commitment or a Letter of Credit Commitment.

 

Committee” means the unsecured creditors’ committee appointed in the Cases and the committee of equity security holders appointed in the Cases.

 

Communications” means each notice, demand, communication, information, document and other material provided for hereunder or under any other Loan Document or otherwise transmitted between the parties hereto relating this Agreement, the other Loan Documents, any Loan Party or its Affiliates, or the transactions contemplated by this Agreement or the other Loan Documents including, without limitation, all Approved Electronic Communications.

 

Computer Software” has the meaning specified in Section 9.01(g)(iv).

 

Consolidated” refers to the consolidation of accounts in accordance with GAAP.

 

Contract” means an agreement between any Loan Party and an Account Debtor in any written form acceptable to such Loan Party, or in the case of any open account agreement as evidenced by one of the forms of invoices set forth in Schedule VII hereto or otherwise approved by the Administrative Agent from time to time (which approval shall not be unreasonably withheld), pursuant to or under which such Account Debtor shall be obligated to pay for goods or services from time to time.

 

Control” means the possession, directly or indirectly, of the power to direct or cause the direction of the management or policies of a Person, whether through the ownership of voting securities, by contract or otherwise, and the terms “Controlling” and “Controlled” shall have meanings correlative thereto.

 

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Conversion”, “Convert” and “Converted” each refers to the conversion of Advances from one Type to Advances of the other Type.

 

Copyrights” has the meaning specified in Section 9.01(g)(iii).

 

Debt” of any Person means, without duplication, (a) all indebtedness of such Person for borrowed money, (b) all Obligations of such Person for the deferred purchase price of property or services (other than trade payables not overdue by more than 90 days incurred in the ordinary course of such Person’s business), (c) all Obligations of such Person evidenced by notes, bonds, debentures or other similar instruments, (d) all Obligations of such Person created or arising under any conditional sale or other title retention agreement with respect to property acquired by such Person (even though the rights and remedies of the seller or lender under such agreement in the event of default are limited to repossession or sale of such property), (e) all Obligations of such Person as lessee under Capitalized Leases, (f) all Obligations of such Person under acceptance, letter of credit or similar facilities, (g) all Obligations of such Person to purchase, redeem, retire, defease or otherwise make any payment in respect of any Equity Interests in such Person or any other Person or any warrants, rights or options to acquire such Equity Interests, valued, in the case of Redeemable Preferred Interests, at the greater of its voluntary or involuntary liquidation preference plus accrued and unpaid dividends, (h) all Obligations of such Person in respect of Hedge Agreements, valued at the Agreement Value thereof, (i) all Guarantee Obligations and Synthetic Debt of such Person and (j) all indebtedness and other payment Obligations referred to in clauses (a) through (i) above of another Person secured by (or for which the holder of such Debt has an existing right, contingent or otherwise, to be secured by) any Lien on property (including, without limitation, accounts and contract rights) owned by such Person, even though such Person has not assumed or become liable for the payment of such indebtedness or other payment Obligations.

 

Debtor Relief Law” means the Bankruptcy Code and all other liquidation, conservatorship, bankruptcy, assignment for the benefit of creditors, moratorium, rearrangement, receivership, insolvency, reorganization, or similar debtor relief laws of the United States or any other applicable jurisdiction from time to time in effect and affecting the rights of creditors generally.

 

Default” means any Event of Default or any event that would constitute an Event of Default but for the requirement that notice be given or time elapse or both.

 

Defaulted Advance” means, with respect to any Lender at any time, the portion of any Advance required to be made by such Lender to the Borrower pursuant to Section 2.01, 2.02, or 2.03 at or prior to such time which has not been made by such Lender or by the Administrative Agent for the account of such Lender pursuant to Section 2.02(d) as of such time.  In the event that a portion of a Defaulted Advance shall be deemed made pursuant to Section 2.15(a), the remaining portion of such Defaulted Advance shall be considered a Defaulted Advance originally required to be made pursuant to Section 2.01 on the same date as the Defaulted Advance so deemed made in part.

 

Defaulted Amount” means, with respect to any Lender Party at any time, any amount required to be paid by such Lender Party to the Administrative Agent or any other Lender Party hereunder or under any other Loan Document at or prior to such time which has not been so paid as of such time, including, without limitation, any amount required to be paid by such Lender Party to (a) any Issuing Bank pursuant to Section 2.03(d) to purchase a portion of a Letter of Credit Advance made by such Issuing Bank, (b) the Administrative Agent pursuant to

 

9



 

Section 2.02(d) to reimburse the Administrative Agent for the amount of any Advance made by the Administrative Agent for the account of such Lender Party, (c) any other Lender Party pursuant to Section 2.13 to purchase any participation in Advances owing to such other Lender Party, and (d) the Administrative Agent or any Issuing Bank pursuant to Section 7.09 to reimburse the Administrative Agent or such Issuing Bank for such Lender Party’s ratable share of any amount required to be paid by the Lender Parties to the Administrative Agent or such Issuing Bank as provided therein.  In the event that a portion of a Defaulted Amount shall be deemed paid pursuant to Section 2.15(b), the remaining portion of such Defaulted Amount shall be considered a Defaulted Amount originally required to be paid hereunder or under any other Loan Document on the same date as the Defaulted Amount so deemed paid in part.

 

Defaulting Lender” means, at any time, a Lender Party as to which the Administrative Agent has notified the Borrower that (a) such Lender Party has failed for two or more Business Days to comply with its obligations under this Agreement to make an Advance or make a payment to an Issuing Bank in respect of an Unreimbursed Amount (each a “funding obligation”), (b) such Lender Party has notified the Administrative Agent, or has stated publicly, that it will not comply with any such funding obligation hereunder, or has defaulted on its funding obligations under any other loan agreement or credit agreement or other similar/other financing agreement, (c) such Lender Party has, for two or more Business Days, failed to confirm in writing to the Administrative Agent, in response to a written request of the Administrative Agent, that it will comply with its funding obligations hereunder, or (d) a Lender Insolvency Event has occurred and is continuing with respect to such Lender Party.  Any determination that a Lender Party is a Defaulting Lender under any of clauses (a) through (d) above (to the extent such a determination is contemplated in the preceding sentence in order for the relevant Lender Party to be considered a Defaulting Lender pursuant to such clause) will be made by the Administrative Agent in its sole discretion acting in good faith.

 

Designated Litigation Liabilities” means all criminal and civil judgments rendered against, and all civil and criminal settlements entered into by, the Borrower and any of its Subsidiaries in connection with the antitrust investigations and related matters described under the heading “Antitrust Investigation and Related Matters” set forth in the Borrower’s Form 10-K filed with the SEC in respect of the Borrower’s fiscal year ended December 31, 2008 and all costs and expenses related thereto.

 

DIP Budget” means, at any time, collectively (a) the forecast delivered pursuant to Section 3.01(a)(ix) and attached as Exhibit J hereto detailing the Borrower’s anticipated weekly cash receipts and disbursements and anticipated weekly cash flow projections, on a Consolidated basis for the Borrower and the other Loan Parties, and setting forth the anticipated aggregate maximum amount of utilization of the Commitments for each such week, together with a written set of assumptions supporting such projections, for the thirteen week period commencing with the week ending February 6, 2010 and (b) the most recent supplement to such forecast, and all intervening supplements to such forecast, delivered in accordance with Section 5.03(f).

 

DIP Refinancing Orders” means the Interim Order and the Final Order.

 

Domestic Lending Office” means, with respect to any Lender Party, the office of such Lender Party specified as its “Domestic Lending Office” opposite its name on Schedule I hereto or in the Assignment and Acceptance pursuant to which it became a Lender Party, as the case may be, or such other office of such Lender Party as such Lender Party may from time to time specify to the Borrower and the Administrative Agent.

 

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EBITDA” means, for any Person for any period, (a) net income (or net loss) plus (b) without duplication, to the extent included in the calculation of net income of such Person for such period in accordance with GAAP, the sum of (i) Interest Expense, (ii) income tax expense, (iii) depreciation expense, (iv) amortization expense, (v) non-cash charges related to restructuring, asset impairment or other extraordinary items and costs and expenses and legal and other advisor fees and expenses incurred in connection with the Cases and any related plan of reorganization, and fees and expenses incurred in connection with Foreign Asset Based Financing, (vi) charges for legal and other expenses in connection with Designated Litigation Liabilities in an aggregate amount not to exceed $40,000,000, (vii) the amount of all Designated Litigation Liabilities incurred for such period in excess of $1,000,000 in the aggregate to the extent that the same were deducted in arriving at net income (or net loss) for such period, (viii) any losses from sales of assets other than in the ordinary course of business, (ix) the amount of all fees, expenses and premiums incurred in connection with obtaining and attempting to obtain (and with refinancing) debtor-in-possession financing and Foreign Asset Based Financing, including but not limited to fees, expenses and premiums incurred in connection with the execution and delivery of this Agreement and in connection with the execution, delivery and refinancing of the Existing DIP Agreement and (x) non-cash expenses in respect of employees’ compensation payable in Equity Interests, minus (c) without duplication, (i) cash payments for non-cash restructuring charges reserved in a prior period to the extent a charge or expense for such payments was included in EBITDA for a prior period pursuant to clause (b) above and (ii) to the extent included in the calculation of net income of such Person for such period in accordance with GAAP, any gains from sales of assets other than in the ordinary course of business and any other extraordinary gains, provided, however, that in any event and for all periods, non-cash gains or losses on foreign currency translation in connection with the re-measurement of balance sheet assets and liabilities shall be excluded from the calculation of EBITDA.  For the purposes of calculating EBITDA for any period, if during such period the Borrower or any of its Subsidiaries shall have made an acquisition, EBITDA for such period shall be calculated after giving pro forma effect thereto as if such acquisition occurred on the first day of such period.

 

Effective Date” has the meaning specified in Section 3.01.

 

Eligible Assignee” means with respect to any Facility (other than the Letter of Credit Facility), (i) a Lender Party; (ii) an Affiliate of a Lender Party; (iii) an Approved Fund; and (iv) any other Person (other than an individual) approved by (x) the Administrative Agent and (y) in the case of an assignment of a Revolving Credit Commitment, each Issuing Bank; provided, however, that neither any Loan Party nor any Affiliate of a Loan Party shall qualify as an Eligible Assignee under this definition.

 

Eligible Inventory means, at the time of any determination thereof, without duplication, the Inventory Value of the Loan Parties at such time that is not ineligible for inclusion in the calculation of the Borrowing Base pursuant to any of clauses (a) through (m) below.  No Inventory shall be deemed Eligible Inventory if, without duplication:

 

(a)           a Loan Party does not have good, valid and unencumbered title thereto, subject only to Liens granted to the Administrative Agent for the benefit of the Secured Parties under the Loan Documents and Permitted Liens; or

 

(b)           it is not located in the United States; or

 

(c)           it is either (i) not located on property owned by a Loan Party or (ii) located at a third party processor or (except in the case of consigned Inventory, which is covered by

 

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clause (f) below) in another location not owned by a Loan Party (it being understood that the Borrower will provide its best estimate of the value of such Inventory to be agreed to by the Administrative Agent and reflected in the Borrowing Base Certificate), and either (A) is not covered by a Collateral Access Agreement, (B) a Rent Reserve has not been taken with respect to such Inventory or, in the case of any third party processor, a Reserve has not been taken by the Administrative Agent in the exercise of its reasonable discretion or (C) is not subject to an enforceable agreement in form and substance reasonably satisfactory to the Administrative Agent pursuant to which the relevant Loan Party has validly assigned its access rights to such Inventory and property to the Administrative Agent; provided, however, that no Inventory of a Person that is a Non-Loan Party as of the Effective Date but becomes a Loan Party after the Effective Date shall be deemed ineligible solely pursuant to this clause (c) during the 40-day period following the later of (x) the date such Person becomes a Loan Party and (y) such later date as the Administrative Agent may reasonably determine; or

 

(d)           it is operating supplies, labels, packaging or shipping materials, cartons, repair parts, labels or miscellaneous spare parts, nonproductive stores inventory and other such materials, in each case not considered used for sale in the ordinary course of business of the Loan Parties by the Administrative Agent in its reasonable discretion from time to time; or

 

(e)           it is not subject to a valid and perfected first priority Lien in favor of the Administrative Agent subject only to Permitted Liens; or

 

(f)            it has been sold or is consigned at a customer, supplier or contractor location but still accounted for in the Loan Party’s inventory balance; or

 

(g)           it is in transit (unless it is in transit from one location within the United States of a Loan Party to another location of a Loan Party within the United States and as to which a Reserve has been taken by the Administrative Agent in the exercise of its reasonable discretion); or

 

(h)           it is obsolete, slow-moving, nonconforming or unmerchantable or is identified as a write-off, overstock or excess by a Loan Party, or does not otherwise conform to the representations and warranties contained in this Agreement and the other Loan Documents applicable to Inventory; or

 

(i)            it is Inventory used as a sample or prototype, display or display item; or

 

(j)            and to the extent any portion of Inventory Value thereof is attributable to intercompany profit among Loan Parties or their Affiliates; or

 

(k)           it is damaged, defective or marked for return to vendor, has been deemed by a Loan Party to require rework or is being held for quality control purposes; or

 

(l)            it does not meet all material applicable standards imposed by any Governmental Authority having regulatory authority over it; or

 

(m)          in the case it is owned by a Person that is a Non-Loan Party as of the Effective Date but becomes a Loan Party after the Effective Date, as to which the Administrative Agent shall not have completed its due diligence investigation in scope, and with results,

 

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satisfactory to the Administrative Agent (the Administrative Agent hereby agrees to use its commercially best efforts to complete its due diligence investigation of any such Person within 30 days following the date such Person becomes a Loan Party).

 

Eligible Receivables” means, at the time of any determination thereof, each Account that satisfies the following criteria: such Account (i) has been invoiced to, and represents the bona fide amounts due to a Loan Party from, the purchaser of goods or services, in each case originated in the ordinary course of business of such Loan Party and (ii) is not ineligible for inclusion in the calculation of the Borrowing Base pursuant to any of clauses (a) through (v) below.  In determining the amount to be so included, the face amount of an Account shall be reduced by, without duplication, to the extent not reflected in such face amount, (A) the amount of all accrued and actual discounts, claims, credits or credits pending, promotional program allowances, price adjustments, finance charges or other allowances (including any amount that a Loan Party may be obligated to rebate to a customer pursuant to the terms of any written agreement or understanding), (B) the aggregate amount of all limits and deductions provided for in this definition and elsewhere in this Agreement, if any, and (C) the aggregate amount of all cash received in respect of such Account but not yet applied by a Loan Party to reduce the amount of such Account.  No Account shall be an Eligible Receivable if, without duplication:

 

(a)   any representation or warranty contained in this Agreement or any other Loan Document with respect to such specific Account is not true and correct with respect to such Account; or

 

(b)   the Account Debtor on such Account has disputed liability or made any claim with respect to such Account or any other Account due from such Account Debtor to any Loan Party but only to the extent of such dispute or claim; or

 

(c)   the Account Debtor in respect of such Account or any of its Affiliates is also a supplier to any Loan Party; provided that such Account shall be ineligible pursuant to this clause (c) only to the extent of an amount equal to the aggregate amount of accounts payable or other indebtedness owing by the Loan Parties to such Account Debtor or any of its Affiliates as at such date, unless the Account Debtor has executed a satisfactory no-offset letter; or

 

(d)   the transaction represented by such Account is to an Account Debtor which, if a natural person, is not a resident of the United States or, if not a natural person, is organized under the laws of a jurisdiction outside the United States or has its chief executive office outside the United States, unless (i) such Account is backed by a letter of credit in customary and reasonable form from an issuer reasonably deemed creditworthy by the Administrative Agent, which letter of credit is reasonably acceptable to the Administrative Agent in its reasonable discretion and such letter of credit names the Administrative Agent as the beneficiary or the issuer of such letter of credit has consented to the assignment of the proceeds thereof to the Administrative Agent, (ii) such Account Debtor is, if a natural person, a resident of Canada or the United Kingdom or, if not a natural person, is organized under the laws of the United Kingdom, Canada or a province of Canada and has its chief executive office in the United Kingdom or Canada, as applicable, and such Account is denominated in U.S. Dollars, (iii) such Account Debtor is listed on Schedule VI or (iv) such Account is backed by insurance reasonably acceptable to the Administrative Agent and the relevant insurance policy names the Administrative Agent as additional insured and loss payee; provided that if the Account Debtor is located in a

 

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jurisdiction outside the United States, the United Kingdom or Canada, this clause (d) shall not apply with respect to Accounts to the extent that such Accounts are denominated in U.S. Dollars and arise from sales of inventory shipped from the United States and the face amount thereof does not exceed 10% of the face amount of all Eligible Receivables; or

 

(e)   the sale to the Account Debtor on such Account is on a bill-and-hold, guaranteed sale, sale-and-return, sale-on-approval or consignment basis; or

 

(f)    such Account is not subject to a valid and perfected first priority Lien in favor of the Administrative Agent for the benefit of the Secured Parties; or

 

(g)   such Account is subject to any deduction, offset, counterclaim, return privilege or other conditions; or

 

(h)   the Account Debtor on such Account is located in any State of the United States requiring the holder of such Account, as a precondition to commencing or maintaining any action in the courts of such State either to (i) receive a certificate of authorization to do business in such State or be in good standing in such State or (ii) file a Notice of Business Activities Report with the appropriate office or agency of such State, in each case unless the holder of such Account has received such a certificate of authority to do business, is in good standing or, as the case may be, has duly filed such a notice in such State; or

 

(i)    the Account Debtor on such Account is a Governmental Authority, unless the applicable Loan Party has assigned its rights to payment of such Account to the Administrative Agent pursuant to the Assignment of Claims Act of 1940, as amended, in the case of a federal Governmental Authority, and pursuant to applicable law, if any, in the case of any other Governmental Authority, and such assignment has been accepted and acknowledged by the appropriate government officers; or

 

(j)    50% or more of the face amount of the Accounts of the Account Debtor are not, or are determined by the Administrative Agent not to be, Eligible Receivables as a result of the provisions of clause (o) below; or

 

(k)   the payment obligation represented by such Account is denominated in a currency other than U.S. Dollars; or

 

(l)    such Account is not evidenced by an invoice or other writing in form acceptable to the Agent, in its sole discretion; or

 

(m)  any Loan Party, in order to be entitled to collect such Account, is required to deliver any additional goods or merchandise to, perform any additional service for, or perform or incur any additional obligation to, the Person to whom or to which it was made; or

 

(n)   the total Accounts of the Account Debtor on such Account to the Loan Parties (taken as a whole) represent (a) if such Account Debtor has an Investment Grade Rating, more than 15% of the face amount of the Eligible Receivables of the Loan Parties (taken as a whole) at such time, or (b) if such Account Debtor does not have an Investment Grade Rating, more than 5% of the face amount of the Eligible

 

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Receivables of the Loan Parties (taken as a whole) at such time, but in each case only to the extent of such excess; or

 

(o)   such Account (or any portion thereof) remains unpaid for more than (x) 60 days from the original payment due date, or (y) 90 days from the original invoice date thereof, except that for purposes of clause (y) above, in the case of an Account that is a Long Term Account, such Account shall be an Eligible Receivable for the period commencing with the day that is 180 days prior to the original payment due date for such Account until the day that is 60 days after the original payment due date for such Account, notwithstanding that such Account remains unpaid for more than 90 days from the original invoice date thereof; provided that the total Long Term Accounts that represent (A) on any day in the month of January, February, March, April, May or June, more than 35%, (B) on any day in the month of July, more than 20%, (C) on any day in the month of August, September or October, more than 10% or (D) on any day in the month of November or December, more than 15%, in each case, of the face amount of the Eligible Receivables of the Account Debtors (taken as a whole) at such time, shall not be Eligible Receivables to the extent of such excess); or

 

(p)   the Account Debtor on such Account has (i) filed a petition for bankruptcy or any other relief under any Debtor Relief Law, (ii) made an assignment for the benefit of creditors, (iii) had filed against it any petition or other application for relief under any Debtor Relief Law, (iv) failed, suspended business operations, become insolvent, called a meeting of its creditors for the purpose of obtaining any financial concession or accommodation or (v) had or suffered a receiver or a trustee to be appointed for all or a significant portion of its assets or affairs; or

 

(q)   such Account is not payable into a deposit account maintained with the Administrative Agent or which is the subject of an account control agreement described in Section 5.01(k); provided that with respect to any Account owned by a Person that is a Non-Loan Party as of the Effective Date but becomes a Loan Party after the Effective Date, no such Account shall be deemed ineligible pursuant to this clause (q) solely because it is not payable into a deposit account meeting the foregoing requirements until such time as the Loan Parties are required to have obtained control agreements with respect to such deposit account under Section 5.01(k)(i); or

 

(r)    such Account does not arise under a Contract which has been duly authorized and which, together with such Account, is in full force and effect and constitutes the legal, valid and binding obligation of the Account Debtor of such Account enforceable against such Account Debtor in accordance with its terms; or

 

(s)   such Account, together with the Contract related thereto, contravenes in any material respect any laws, rules or regulations applicable thereto (including, without limitation, laws, rules and regulations relating to usury, consumer protection, truth in lending, fair credit billing, fair credit reporting, equal credit opportunity, fair debt collection practices and privacy) or with respect to which any party to the Contract related thereto is in violation of any such law, rule or regulation in any material respect; or

 

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(t)    the inventory giving rise to such Account has not been sent to the Account Debtor or the services giving rise to such Account have not yet been rendered to the Account Debtor; or

 

(u)   the sale to such Account Debtor on such Account is not a final sale; or

 

(v)   such Account relates to inventory not yet shipped or services not yet rendered.

 

For the avoidance of doubt, it is acknowledged and agreed that any calculation of ineligibility made pursuant to more than one clause above shall be made without duplication.

 

EMU” means the economic and monetary union as contemplated in the Treaty on European Union.

 

Environmental Action” means any action, suit, written demand, demand letter, claim, notice of noncompliance or violation, notice of liability or potential liability, investigation, proceeding, consent order or consent agreement relating in any way to any Environmental Law, any Environmental Permit, any Hazardous Material, or arising from alleged injury or threat to public or employee health or safety, as such relates to exposure to Hazardous Material, or to the environment, including, without limitation, (a) by any governmental or regulatory authority for enforcement, cleanup, removal, response, remedial or other actions or damages and (b) by any governmental or regulatory authority or third party for damages, contribution, indemnification, cost recovery, compensation or injunctive relief.

 

Environmental Law” means any applicable federal, state, local or foreign statute, law, ordinance, rule, regulation, code, order, writ, judgment, injunction or decree, or judicial or agency interpretation, relating to pollution or protection of the environment, public or employee health or safety, as such relates to exposure to Hazardous Material, or natural resources, including, without limitation, those relating to the use, handling, transportation, treatment, storage, disposal, release or discharge of Hazardous Materials.

 

Environmental Permit” means any permit, approval, identification number, license or other authorization required under any Environmental Law.

 

Equipment” has the meaning specified in the UCC.

 

Equity Interests” means, with respect to any Person, shares of capital stock of (or other ownership or profit interests in) such Person, warrants, options or other rights for the purchase or other acquisition from such Person of shares of capital stock of (or other ownership or profit interests in) such Person, securities convertible into or exchangeable for shares of capital stock of (or other ownership or profit interests in) such Person or warrants, rights or options for the purchase or other acquisition from such Person of such shares (or such other interests), and other ownership or profit interests in such Person (including, without limitation, partnership, member or trust interests therein), whether voting or nonvoting, and whether or not such shares, warrants, options, rights or other interests are authorized on any date of determination.

 

ERISA” means the Employee Retirement Income Security Act of 1974, as amended from time to time, and the regulations promulgated and rulings issued thereunder.

 

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ERISA Affiliate” means any Person that for purposes of Title IV of ERISA is a member of the controlled group of any Loan Party, or under common control with any Loan Party, within the meaning of Section 414(b), (c), (m) or (o) of the Internal Revenue Code.

 

ERISA Event” means (a) (i) the occurrence of a reportable event, within the meaning of Section 4043 of ERISA, with respect to any ERISA Plan unless the 30-day notice requirement with respect to such event has been waived by the PBGC or (ii) the requirements of subsection (1) of Section 4043(b) of ERISA (without regard to subsection (2) of such Section) are met with respect to a contributing sponsor, as defined in Section 4001(a)(13) of ERISA, of an ERISA Plan, and an event described in paragraph (9), (10), (11), (12) or (13) of Section 4043(c) of ERISA is reasonably expected to occur with respect to such ERISA Plan within the following 30 days; (b) the application for a minimum funding waiver with respect to an ERISA Plan; (c) the provision by the administrator of any ERISA Plan of a notice of intent to terminate such ERISA Plan, pursuant to Section 4041(a)(2) of ERISA (including any such notice with respect to a plan amendment referred to in Section 4041(e) of ERISA); (d) the cessation of operations at a facility of any Loan Party or any ERISA Affiliate in the circumstances described in Section 4062(e) of ERISA; (e) the withdrawal by any Loan Party or any ERISA Affiliate from a Multiple Employer Plan during a plan year for which it was a substantial employer, as defined in Section 4001(a)(2) of ERISA; (f) the conditions for imposition of a Lien under Section 302(f) of ERISA shall have been met with respect to any ERISA Plan; (g) the adoption of an amendment to an ERISA Plan requiring the provision of security to such ERISA Plan pursuant to Section 307 of ERISA; or (h) the institution by the PBGC of proceedings to terminate an ERISA Plan pursuant to Section 4042 of ERISA, or the occurrence of any event or condition described in Section 4042 of ERISA that constitutes grounds for the termination of, or the appointment of a trustee to administer, such ERISA Plan.

 

ERISA Plan” means a Single Employer Plan or a Multiple Employer Plan.

 

Euro”, “” and “EUR” means the single currency of participating member states of the EMU.

 

Eurodollar Base Rate” has the meaning specified in the definition of Eurodollar Rate.

 

Eurodollar Lending Office” means, with respect to any Lender Party, the office of such Lender Party specified as its “Eurodollar Lending Office” opposite its name on Schedule I hereto or in the Assignment and Acceptance pursuant to which it became a Lender Party, as the case may be, or such other office of such Lender Party as such Lender Party may from time to time specify to the Borrower and the Administrative Agent.

 

Eurodollar Rate” means, for any Interest Period with respect to a Eurodollar Rate Advance, a rate per annum equal to the higher of (a) 2.0% per annum and (b) the rate per annum determined by the Administrative Agent pursuant to the following formula:

 

Eurodollar Rate =

 

Eurodollar Base Rate

 

1.00 – Eurodollar Rate Reserve Percentage

 

Where,

 

Eurodollar Base Rate” means, for such Interest Period, the rate per annum equal to the British Bankers Association LIBOR Rate (“BBA LIBOR”), as published by

 

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Reuters (or other commercially available source providing quotations of BBA LIBOR as designated by the Administrative Agent from time to time) at approximately 11:00 a.m., London time, two Business Days prior to the commencement of such Interest Period, for Dollar deposits (for delivery on the first day of such Interest Period) with a term equivalent to such Interest Period.  If such rate and such other commercially available alternative is not available at such time for any reason, then the “Eurodollar Base Rate” for such Interest Period shall be the rate per annum determined by the Administrative Agent to be the rate at which deposits in Dollars for delivery on the first day of such Interest Period in same day funds in the approximate amount of the Eurodollar Rate Advance being made, continued or converted by Citibank  and with a term equivalent to such Interest Period would be offered by Citibank’s London Branch to major banks in the London interbank eurodollar market at their request at approximately 11:00 a.m. (London time) two Business Days prior to the commencement of such Interest Period.

 

Eurodollar Rate Advance” means an Advance that bears interest as provided in Section 2.07(a)(ii).

 

Eurodollar Rate Reserve Percentage” means, for any day during any Interest Period, the reserve percentage (expressed as a decimal, carried out to five decimal places) in effect on such day, whether or not applicable to any Lender, under regulations issued from time to time by the Board of Governors of the Federal Reserve System (or any successor) for determining the maximum reserve requirement (including any emergency, supplemental or other marginal reserve requirement) with respect to Eurocurrency funding (currently referred to as “Eurocurrency liabilities”).  The Eurodollar Rate for each outstanding Eurodollar Rate Advance shall be adjusted automatically as of the effective date of any change in the Eurodollar Rate Reserve Percentage.

 

Events of Default” has the meaning specified in Section 6.01.

 

Existing Credit Agreement” means the Amended and Restated Credit Agreement, dated as of July 1, 2005 and amended and restated as of July 31, 2007, among the Borrower, Citibank, as administrative agent and the other lenders signatory thereto from time to time.

 

Existing DIP Agreement” has the meaning specified in the Preliminary Statements.

 

Existing Letter of Credit” means each “Rollup Letter of Credit” (as defined in the Existing DIP Agreement) issued under the Existing DIP Agreement and outstanding on the Effective Date (each of which that is outstanding as of the date hereof is set forth on Schedule IX).

 

Extraordinary Receipt” means any proceeds of property or casualty insurance (in any event excluding proceeds of business interruption insurance to the extent such proceeds constitute compensation for lost earnings) and condemnation awards in respect of any equipment and fixed assets (and payments in lieu thereof).

 

Facility” means the Term Facility, the Revolving Credit Facility or the Letter of Credit Sublimit.

 

Federal Funds Rate” means, for any period, a fluctuating interest rate per annum equal for each day during such period to the weighted average of the rates on overnight federal funds transactions with members of the Federal Reserve System arranged by federal funds brokers, as published for such day (or, if such day is not a Business Day, for the next preceding Business

 

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Day) by the Federal Reserve Bank of New York, or, if such rate is not so published for any day that is a Business Day, the average of the quotations for such day for such transactions received by the Administrative Agent from three federal funds brokers of recognized standing selected by it.

 

Fee Letter” means the fee letter dated January 17, 2010 between the Borrower and CGMI.

 

Final Order” has the meaning specified in Section 3.02(b)(i)(C).

 

First Day Orders” means all orders entered by the Bankruptcy Court on, or within five days of, the Petition Date or based on motions filed on or about the Petition Date.

 

Fiscal Year” means a fiscal year of the Borrower and its Subsidiaries ending on December 31.

 

Fitch” means Fitch Ratings Ltd.

 

Flow-Through Entity” has the meaning specified in Section 9.01(e)(iii).

 

Foreign Subsidiary” means, at any time, any of the direct or indirect Subsidiaries of the Borrower that are organized outside of the laws of the United States or any state or political subdivision thereof at such time.

 

Foreign Asset Based Financing” means any asset-based financing (including receivables and/or and inventory based financing), factoring arrangements or other securitization programs, in each case entered into by Foreign Subsidiaries.

 

Fund” means any Person (other than a natural person) that is (or will be) engaged in making, purchasing, holding or otherwise investing in commercial loans and similar extensions of credit in the ordinary course of its business.

 

GAAP” has the meaning specified in Section 1.03.

 

General Intangibles” has the meaning specified in the UCC.

 

Governmental Authority” means any nation, sovereign or government, any state or other political subdivision thereof and any entity exercising executive, legislative, judicial, regulatory or administrative functions of or pertaining to government, including any central bank.

 

Granting Lender” has the meaning specified in Section 10.07(k).

 

Guarantee Obligation” means, with respect to any Person, any Obligation or arrangement of such Person to guarantee or intended to guarantee any Debt (“primary obligations”) of any other Person (the “primary obligor”) in any manner, whether directly or indirectly, including, without limitation, (a) the direct or indirect guarantee, endorsement (other than for collection or deposit in the ordinary course of business), co-making, discounting with recourse or sale with recourse by such Person of the Obligation of a primary obligor, (b) the Obligation to make take-or-pay or similar payments, if required, regardless of nonperformance by any other party or parties to an agreement or (c) any Obligation of such Person, whether or not contingent, (i) to purchase any such primary obligation or any property constituting direct or

 

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indirect security therefor, (ii) to advance or supply funds (A) for the purchase or payment of any such primary obligation or (B) to maintain working capital or equity capital of the primary obligor or otherwise to maintain the net worth or solvency of the primary obligor, (iii) to purchase property, assets, securities or services primarily for the purpose of assuring the owner of any such primary obligation of the ability of the primary obligor to make payment of such primary obligation or (iv) otherwise to assure or hold harmless the holder of such primary obligation against loss in respect thereof.  The amount of any Guarantee Obligation shall be deemed to be an amount equal to the stated or determinable amount of the primary obligation in respect of which such Guarantee Obligation is made (or, if less, the maximum amount of such primary obligation for which such Person may be liable pursuant to the terms of the instrument evidencing such Guarantee Obligation) or, if not stated or determinable, the maximum reasonably anticipated liability in respect thereof (assuming such Person is required to perform thereunder), as determined by such Person in good faith.

 

Guaranteed Obligations” has the meaning specified in Section 8.01.

 

Guarantor” has the meaning specified in the recital of parties to this Agreement, but in any event shall exclude Non-Filing Domestic Subsidiaries.

 

Guaranty” has the meaning specified in Section 8.01.

 

Guaranty Supplement” has the meaning specified in Section 8.05.

 

Hazardous Materials” means (a) petroleum or petroleum products, by-products or breakdown products, radioactive materials, asbestos-containing materials, polychlorinated biphenyls, mold and radon gas and (b) any other chemicals, materials or substances designated, classified or regulated as hazardous, toxic or words of similar import under any Environmental Law.

 

Hedge Agreements” means interest rate swap, cap or collar agreements, interest rate future or option contracts, currency swap agreements, currency future or option contracts and other hedging agreements.

 

Hedge Bank” means any Person that, at the time it enters into a Hedge Agreement, is a Lender Party or an Affiliate of a Lender Party, in its capacity as a party to such Hedge Agreement.

 

Honor Date” has the meaning specified in Section 2.03(c).

 

Indemnified Liabilities” has the meaning specified in Section 10.04(b).

 

Indemnitees” has the meaning specified in Section 10.04(b).

 

Information” has the meaning specified in Section 10.09.

 

Initial Extension of Credit” means the earlier to occur of the initial Borrowing and the initial issuance of a Letter of Credit hereunder.

 

Initial Issuing Bank” has the meaning specified in the recital of parties to this Agreement.

 

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Initial Lenders” means the banks, financial institutions and other institutional lenders listed on the signature pages hereof as the Initial Lenders; provided that any such bank, financial institution or other institutional lender shall cease to be an Initial Lender on any date on which it ceases to have a Commitment.

 

Initial Pledged Debt” means Debt in existence on the Petition Date which is evidenced by a promissory note payable to a Loan Party by a third party with a principal face amount in excess of $100,000 as listed opposite such Loan Party’s name on and as otherwise described in Schedule V hereto.

 

Initial Pledged Equity” means the shares of stock and other Equity Interests in any Subsidiary of a Loan Party as set forth opposite each Loan Party’s name on and as otherwise described in Schedule IV hereto.

 

Intellectual Property” has the meaning specified in Section 9.01(g).

 

Intellectual Property Security Agreement” has the meaning specified in Section 3.01(a)(vii).

 

Interest Expense” means the sum of (a) interest on, and amortization of debt discount in respect of, Debt of the Borrower and its Subsidiaries and (b) amortization of discount of receivables or other assets of the Borrower and its Subsidiaries that are subject to factoring or securitization programs.  For the purposes of calculating Interest Expense for any period, if during such period the Borrower or any of its Subsidiaries shall have made an acquisition, Interest Expense for such period shall be calculated after giving pro forma effect thereto as if such acquisition occurred on the first day of such period.

 

Interest Period” means, for each Eurodollar Rate Advance comprising part of the same Borrowing, the period commencing on the date of such Eurodollar Rate Advance or the date of the Conversion of any Base Rate Advance into such Eurodollar Rate Advance, and ending on the last day of the period selected by the Borrower pursuant to the provisions below and, thereafter, each subsequent period commencing on the last day of the immediately preceding Interest Period and ending on the last day of the period selected by the Borrower pursuant to the provisions below.  The duration of each such Interest Period shall be one, two or three months (or, if available to all of the Lenders, six months), as the Borrower may, upon notice received by the Administrative Agent not later than 11:00 A.M. (New York City time) on the third Business Day prior to the first day of such Interest Period, select; provided, however, that:

 

(a)           the Borrower may not select any Interest Period with respect to any Eurodollar Rate Advance under a Facility that ends after the Stated Maturity Date;

 

(b)           Interest Periods commencing on the same date for Eurodollar Rate Advances comprising part of the same Borrowing shall be of the same duration;

 

(c)           whenever the last day of any Interest Period would otherwise occur on a day other than a Business Day, the last day of such Interest Period shall be extended to occur on the next succeeding Business Day, provided, however, that, if such extension would cause the last day of such Interest Period to occur in the next following calendar month, the last day of such Interest Period shall occur on the next preceding Business Day; and

 

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(d)           whenever the first day of any Interest Period occurs on a day of an initial calendar month for which there is no numerically corresponding day in the calendar month that succeeds such initial calendar month by the number of months equal to the number of months in such Interest Period, such Interest Period shall end on the last Business Day of such succeeding calendar month.

 

Interim Order” has the meaning specified in Section 3.01(b).

 

Internal Revenue Code” means the Internal Revenue Code of 1986, as amended from time to time, and the regulations promulgated and rulings issued thereunder.

 

Inventory” has the meaning specified in the UCC.

 

Inventory Value” means with respect to any Inventory of a Loan Party at the time of any determination thereof, (a) the lower of market value and standard cost determined on a first-in-first-out basis and carried on the general ledger or inventory system of such Loan Party stated on a basis consistent with its current and historical accounting practices, in U.S. Dollars, determined in accordance with the standard cost method of accounting less, (b) without duplication, (i) any markup on Inventory from an affiliate and (ii) in the event variances under the standard cost method are expensed, a reserve reasonably determined by the Administrative Agent as appropriate in order to adjust the standard cost of Eligible Inventory to approximate actual cost.

 

Investment” means, with respect to any Person, (a) any direct or indirect purchase or other acquisition (whether for cash, securities, property, services or otherwise) by such Person of, or of a beneficial interest in, any Equity Interests or Debt of any other Person, (b) any direct or indirect purchase or other acquisition (whether for cash, securities, property, services or otherwise) by such Person of all or substantially all of the property and assets of any other Person or of any division, branch or other unit of operation of any other Person, (c) any direct or indirect loan, advance, other extension of credit or capital contribution by such Person to, or any other investment by such Person in, any other Person (including, without limitation, any arrangement pursuant to which the investor incurs indebtedness of the types referred to in clause (i) or (j) of the definition of “Debt” set forth in this Section 1.01 in respect of such other Person) and (d) any agreement irrevocably binding such Person to make any Investment prior to the Stated Maturity Date.

 

Investment Grade Rating” with respect to a Person means that the Public Debt Rating of such Person is at least BBB- by S&P and Baa3 by Moody’s and such rating shall not be accompanied by either, in the case of S&P, a negative outlook, creditwatch negative or the equivalent thereof, or in the case of Moody’s, a negative outlook, a review for possible downgrade or the equivalent thereof (or, if such Person does not have a Public Debt Rating from S&P and Moody’s, the Public Debt Rating of such Person is at least BBB- by Fitch, and such rating shall not be accompanied by a negative watch or the equivalent thereof).

 

ISP” means, with respect to any Letter of Credit, the “International Standby Practices 1998” published by the Institute of International Banking Law & Practice, Inc. (or such later version thereof as may be in effect at the time of issuance).

 

Issuance” or “issuance” means, with respect to any Letter of Credit, the issuance (or the deemed issuance under Section 2.03(a) in the case of any Existing Letter of Credit), amendment, renewal or extension of such Letter of Credit. “issue”, “issues” and “issued” have correlative meanings.

 

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Issuing Bank” means each Initial Issuing Bank (including any that issued an Existing Letter of Credit), and any other Revolving Credit Lender approved as an Issuing Bank by the Administrative Agent and any Eligible Assignee to which a Letter of Credit Commitment hereunder has been assigned pursuant to Section 7.09 or 10.07.

 

L/C Cash Collateral Account” means the account established by the Borrower in the name of the Administrative Agent and under the sole and exclusive control of the Administrative Agent  that shall be used solely for the purposes set forth herein.

 

L/C Obligations” means, as at any date of determination, the aggregate Available Amount of all outstanding Letters of Credit plus the aggregate of all Unreimbursed Amounts, including all Letter of Credit Advances.

 

Lead Arrangers” has the meaning specified in the recital of parties to this Agreement.

 

Lender Insolvency Event” means that (a) a Lender Party or its Parent Company is insolvent, or is generally unable to pay its debts as they become due, or admits in writing its inability to pay its debts as they become due, or makes a general assignment for the benefit of its creditors, or (b) such Lender Party or its Parent Company is the subject of a bankruptcy, insolvency, reorganization, liquidation or similar proceeding, or a receiver, trustee, conservator, intervenor or sequestrator or the like has been appointed for such Lender Party or its Parent Company, or such Lender Party or its Parent Company has taken any action in furtherance of or indicating its consent to or acquiescence in any such proceeding or appointment.

 

Lender Party” means any Lender or any Issuing Bank.

 

Lender Party Appointment Period” has the meaning specified in Section 7.06(a).

 

Lenders” has the meaning specified in the recital of parties to this Agreement.

 

Letter of Credit” means any letter of credit issued (or deemed issued in the case of any Existing Letter of Credit) under Section 2.03.

 

Letter of Credit Advance” means an advance made by any Issuing Bank or Revolving Credit Lender pursuant to Section 2.03(c).

 

Letter of Credit Application” means an application and agreement for the issuance or amendment of a Letter of Credit in the form from time to time in use by the applicable Issuing Bank.

 

Letter of Credit Commitment” means with respect to any Issuing Bank, at any time, the obligation of such Issuing Bank to issue Letters of Credit pursuant to the terms and conditions of this Agreement in the dollar amount (a) set forth opposite such Issuing Bank’s name on Schedule I hereto under the caption “Letter of Credit Commitment” or (b) if such Issuing Bank has entered into one or more Assignment and Acceptances, set forth for such Issuing Bank in the Register maintained by the Administrative Agent pursuant to Section 10.07(d) as such Issuing Bank’s Letter of Credit Commitment, in each case as the amount of such obligation may be reduced at or prior to such time pursuant to Section 2.05.

 

Letter of Credit Expiration Date” means as of any date of determination, the day that is 5 Business Days prior to the Stated Maturity Date.

 

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Letter of Credit Sublimit” means an amount equal to the lesser of (a) the aggregate amount of the Issuing Banks’ Letter of Credit Commitments at such time and (b) $50,000,000 as such amount may be reduced from time to time pursuant to Section 2.05. The Letter of Credit Sublimit is part of, and not in addition to, the Revolving Credit Commitments.

 

Lien” means any lien, security interest or other charge or encumbrance of any kind, or any other type of preferential arrangement, including, without limitation, the lien or retained security title of a conditional vendor and any easement, right of way or other encumbrance on title to real property.

 

Loan Documents” means (i) this Agreement, (ii) the Notes, if any, (iii) the DIP Refinancing Orders, (iv) the Collateral Documents, (v) the Fee Letter, (vi) solely for purposes of the Collateral Documents, each Secured Hedge Agreement and Secured Cash Management Agreement and (vii) any other document, agreement or instrument executed and delivered by a Loan Party in connection with the Facilities, in each case as amended, supplemented or otherwise modified from time to time in accordance with the terms thereof.

 

Loan Parties” means, collectively, the Borrower and the Guarantors.

 

Long Term Account” means an Account that relates to a Contract (a) which has an original payment due date that is more than 90 days after the invoice date specified in such Contract and (b) pursuant to or under which the Account Debtor is obligated to pay for crop protection goods or services or consumer goods or services (including pool and spa treatment products and household cleaning products).

 

Lyondell Property Purchase” means the purchase, in the approximate amount of $3,600,000, of certain real property (located in Lake Charles, Louisiana), equipment and related assets from Lyondell Chemical Company in resolution of existing disputes related to such property.

 

Margin Stock” has the meaning specified in Regulation U.

 

Material Adverse Change” means any event or occurrence which has resulted in or would reasonably be expected to result in any material adverse change in the business, condition (financial or otherwise), operations, performance, properties, contingent liabilities, material agreements or prospects of the Borrower and each Guarantor, individually, and the Borrower, the Guarantors and their respective Subsidiaries, taken as a whole.

 

Material Adverse Effect” means a material adverse effect on (a) the business, condition (financial or otherwise), operations, performance, properties, contingent liabilities, material agreements or prospects of the Borrower and each Guarantor, individually, and the Borrower, the Guarantors and their respective Subsidiaries, taken as a whole, (b) the rights and remedies of the Administrative Agent or any Lender Party under any Loan Document or (c) the ability of any Loan Party to perform its Obligations under any Loan Document to which it is or is to be a party.

 

Material Contract” means, with respect to any Person, each contract evidencing such Person’s Debt for borrowed money in an aggregate principal amount exceeding $10,000,000.

 

Material Real Property” means any real property owned or leased by any Loan Party reasonably determined by the Administrative Agent to be material.

 

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Material Subsidiary” means, on any date of determination, (a) any Subsidiary of the Borrower that, on such date, has (i) assets with a fair value equal to or in excess of $5,000,000, or (ii) annual net income in excess of $5,000,000 or (b) any other Subsidiary designated by the Borrower as a Material Subsidiary; provided that in no event shall all Subsidiaries of the Borrower that are not Material Subsidiaries have (A) assets with an aggregate book value in excess of $10,000,000, (B) aggregate annual net income in excess of $10,000,000 or (C) liabilities in an aggregate amount in excess of $10,000,000.

 

Maturity Date” means the earlier of (a) the Stated Maturity Date and (b) the effective date of a Reorganization Plan.

 

Moody’s” means Moody’s Investor Services, Inc.

 

Mortgages” means, collectively, the deeds of trust, trust deeds, mortgages, leasehold mortgages and leasehold deeds of trust executed by the Loan Parties in favor of the Administrative Agent in form and substance reasonably satisfactory to the Administrative Agent.

 

Multiemployer Plan” means a multiemployer plan, as defined in Section 4001(a)(3) of ERISA, to which any Loan Party or any ERISA Affiliate is making or accruing an obligation to make contributions, or has within any of the preceding five plan years made or accrued an obligation to make contributions.

 

Multiple Employer Plan” means a single employer plan, as defined in Section 4001(a)(15) of ERISA, that (a) is maintained for employees of any Loan Party or any ERISA Affiliate and at least one Person other than the Loan Parties and the ERISA Affiliates or (b) was so maintained and in respect of which any Loan Party or any ERISA Affiliate would reasonably be expected to have liability under Section 4064 or 4069 of ERISA in the event such plan has been or were to be terminated.

 

Net Cash Proceeds” means, (a) with respect to any sale, lease, transfer or other disposition of any asset of the Borrower or any Guarantor consummated after the Petition Date (other than any sale, lease, transfer or other disposition of assets pursuant to Section 5.02(h)(i), (ii), (iii), (v), (vi), (vii), (viii), (ix), (xvi), (xvii) or (xviii) or any single sale, lease, transfer or other disposition (or series of related sales, leases, transfers or other dispositions) of assets for cash proceeds of less than $50,000), the excess, if any, of (i) the sum of cash and Cash Equivalents received in connection with such sale, lease, transfer or other disposition (including any cash or Cash Equivalents received by way of deferred payment pursuant to, or by monetization of, a note receivable or otherwise, but only as and when so received) over (ii) the sum of (A) the amount required to be paid in respect of any Debt permitted hereunder (other than Debt under the Loan Documents) that is secured by a lien permitted under Section 5.02(a) on such asset and that is required to be repaid in connection with such sale, lease, transfer or other disposition thereof, (B) the reasonable and customary out-of-pocket costs, fees, commissions, premiums and expenses incurred by the Borrower or its Subsidiaries, (C) federal, state, provincial, foreign and local taxes reasonably estimated (on a Consolidated basis) to be actually payable within the current or the immediately succeeding tax year as a result of such sale, lease, transfer of other disposition, and (D) a reasonable reserve (which reserve shall be deposited into an escrow account with the Administrative Agent) for any purchase price adjustment or any indemnification payments (fixed and contingent) or other liabilities attributable to the seller’s obligations to the purchaser undertaken by the Borrower or any of its Subsidiaries in connection with such sale, lease, transfer or other disposition (but excluding any purchase price adjustment or any indemnity which, by its terms, will not under any circumstances be made prior to the Stated Maturity Date); and

 

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(b) with respect to any Extraordinary Receipt of the Borrower or any Guarantor after the Petition Date that is not otherwise included in clauses (a) above, the excess, if any, of (i) the sum of the cash and Cash Equivalents received in connection therewith in respect of an event that occurred after the Petition Date over (ii) the sum of (A) the amount required to be paid in respect of any Debt permitted hereunder (other than Debt under the Loan Documents) that is secured by a lien permitted under Section 5.02(a) on the assets giving rise to such Extraordinary Receipt and that is required to be repaid in connection with such Extraordinary Receipt, (B) the amount required to be paid with such Extraordinary Receipt under the terms of any contractual obligations permitted hereunder then in effect, (C) the reasonable and customary out-of-pocket costs, fees, commissions, premiums and expenses incurred by the Borrower or its Subsidiaries, and (D) federal, state, provincial, foreign and local taxes reasonably estimated (on a Consolidated basis) to be actually payable within the current or the immediately succeeding tax year as a result of such Extraordinary Receipt.

 

Net Orderly Liquidation Value Percentage” means, with respect to Inventory at any time, the quotient (expressed as a percentage) of (a) the Net Orderly Liquidation Value of all Inventory owned by the Borrower and the Guarantors divided by (b) the gross inventory cost of such Inventory, determined on the basis of the then most recently conducted third party appraisal in form and substance, and performed by an independent appraisal firm, reasonably satisfactory to the Administrative Agent.

 

Net Orderly Liquidation Value” means, with respect to Inventory, the orderly liquidation value with respect to such Inventory, net of expenses estimated to be incurred in connection with such liquidation, based on the most recent third party appraisal in form and substance, and by an independent appraisal firm, reasonably satisfactory to the Administrative Agent.

 

Non-Consenting Lender” means, in the event that the Supermajority Lenders have agreed to any consent, waiver or amendment pursuant to Section 10.01 that requires the consent of one or more Lenders in addition to the Supermajority Lenders or (other than in the case of any consent, waiver or amendment that solely requires the consent of the Supermajority Lenders) the Required Lenders, any Lender whose agreement is necessary for the effectiveness of such consent, waiver or amendment but who does not so agree.

 

Non-Defaulting Lender” means, at any time, a Lender Party that is not a Defaulting Lender or a Potential Defaulting Lender.

 

Non-Filing Domestic Subsidiary” means Chemtura Receivables LLC and each other direct or indirect Subsidiary of the Borrower that is organized under the laws of the United States or any state or other political subdivision thereof that is not a guarantor under the Pre-Petition Document and is not a party to a Case.  As of the Effective Date, except as listed on Schedule VIII, Chemtura Receivables LLC is the only Non-Filing Domestic Subsidiary.

 

Non-Loan Party” means any Subsidiary of a Loan Party that is not a Loan Party.

 

Note” means a Term Note or a Revolving Credit Note.

 

Notice of Borrowing” has the meaning specified in Section 2.02(a).

 

Obligation” means, with respect to any Person, any payment, performance or other obligation of such Person of any kind, including, without limitation, any liability of such Person

 

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on any claim, whether or not the right of any creditor to payment in respect of such claim is reduced to judgment, liquidated, unliquidated, fixed, contingent, matured, disputed, undisputed, legal, equitable, secured or unsecured, and whether or not such claim is discharged, stayed or otherwise affected by any proceeding under any Debtor Relief Law.  Without limiting the generality of the foregoing, the Obligations of the Loan Parties under the Loan Documents include (a) the obligation to pay principal, interest, Letter of Credit commissions, charges, expenses, fees, reasonable attorneys’ fees and disbursements, indemnities and other amounts payable by any Loan Party under any Loan Document and (b) the obligation of any Loan Party to reimburse any amount in respect of any of the foregoing that any Lender Party, in its sole discretion, may elect to pay or advance on behalf of such Loan Party.

 

Other Taxes” has the meaning specified in Section 2.12(b).

 

Outstanding Amount” means (a) with respect to Advances on any date, the aggregate outstanding principal amount thereof after giving effect to any borrowings and prepayments or repayments of Advances, as the case may be, occurring on such date; and (b) with respect to any L/C Obligations on any date, the amount of such L/C Obligations on such date after giving effect to any Letter of Credit Advance occurring on such date and any other changes in the aggregate amount of the L/C Obligations as of such date, including as a result of any reimbursements of outstanding unpaid drawings under any Letters of Credit or any reductions in the Available Amount of any Letter of Credit taking effect on such date.

 

Parent Company” means, with respect to a Lender Party, the bank holding company (as defined in Federal Reserve Board Regulation Y), if any, of such Lender Party, and/or any Person owning, beneficially or of record, directly or indirectly, a majority of the shares of such Lender Party.

 

Patents” has the meaning specified in Section 9.01(g)(i).

 

Patriot Act” means the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001, Pub. L. 107-56, signed into law October 26, 2001.

 

PBGC” means the Pension Benefit Guaranty Corporation (or any successor).

 

Permitted Discretion” means the Administrative Agent’s determination based upon such credit and collateral considerations as it may deem appropriate, in its sole discretion acting in a commercially reasonable manner and in accordance with its customary business practices.

 

Permitted Lien” means such of the following as to which no enforcement, collection, execution, levy or foreclosure proceeding shall have been commenced (or if commenced, shall have been stayed):  (a) Liens for taxes, assessments and governmental charges or levies to the extent not required to be paid under Section 5.01(b) hereof; (b) Liens imposed by law, such as materialmen’s, mechanics’, carriers’, workmen’s and repairmen’s Liens and other similar Liens arising in the ordinary course of business securing obligations that (i) are not overdue for a period of more than 30 days and (ii) individually or together with all other Permitted Liens outstanding on any date of determination do not materially and adversely affect the use of the property to which they relate; (c) pledges or deposits in the ordinary course of business to secure obligations under workers’ compensation laws or similar legislation or to secure public or statutory obligations; (d) deposits to secure the performance of bids, trade contracts and leases (other than Debt), statutory obligations, surety bonds (other than bonds related to judgments or litigation),

 

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performance bonds and other obligations of a like nature incurred in the ordinary course of business; (e) Liens securing judgments for the payment of money not constituting a Default under Section 9.01(g) or securing appeal or other surety bonds related to such judgments; (f) any banker’s Lien or right of offset on moneys of the Borrower or any of its Subsidiaries in favor of any lender or holder of its commercial paper deposited with such lender or holder in the ordinary course of business; (g) interest of lessees in property owned by the Borrower or any of its Subsidiaries where such interests are created in the ordinary course of their respective leasing activities and are not created directly or indirectly in connection with the borrowing of money or the securing of Debt by the Borrower or any of its Subsidiaries; (h) Liens in favor of customs or revenue authorities arising as a matter of law to secure payment of customs duties in connection with the importation of goods; (i) Liens arising from or related to precautionary UCC or like personal property security financing statements regarding operating leases (if any) entered into by the Borrower and its Subsidiaries in the ordinary course of business; (j) licenses, sublicenses, leases and subleases, to the extent that such would be an encumbrance, in each case entered into in the ordinary course of business and not materially interfering with the business of the Borrower or any of its Subsidiaries, and (k) easements, restrictions (including zoning restrictions), rights of way and other encumbrances on title to real property that do not render title to the property encumbered thereby unmarketable or materially adversely affect the use of such property for its present purposes.

 

Permitted Modifications” means the modifications to the non-recourse factoring agreements in effect as of the Petition Date between Mediofactoring Spa and the Foreign Subsidiaries named therein, as referred to in the letter agreement dated February 25, 2009 between the Borrower and Mediofactoring Spa, as in effect as of the Petition Date (a) to implement full “with notification” provisions, (b) to reduce to 60 days the maximum payment term for receivables to which the factor’s risk assumption applies under section 6.1 of the general conditions to such factoring agreements, (c) to increase the interest spread to a rate not in excess of 4.0% per annum and (d) to impose additional factoring fees of not more than 1.0% of the amount of factored invoices.

 

Person” means an individual, partnership, corporation (including a business trust), limited liability company, joint stock company, trust, unincorporated association, joint venture or other entity, or a government or any political subdivision or agency thereof.

 

Petition Date” has the meaning specified in Preliminary Statement (1).

 

Pledged Collateral” means, collectively, (a) the Initial Pledged Equity, (b) the Initial Pledged Debt, (c) Pledged Equity which is Equity Interests in any domestic Subsidiary of a Loan Party (other than the Initial Pledged Equity) acquired after the Petition Date, (d) Pledged Debt (other than the Initial Pledged Debt) which has a face principal amount in excess of $100,000 and which arises after the Petition Date and (e) any Pledged Investment Property (other than an Equity Interest), subject in the case of each of the foregoing to the limitations and exclusions set forth in this Agreement.

 

Pledged Debt” has the meaning specified in Section 9.01(e)(iv).

 

Pledged Equity” has the meaning specified in Section 9.01(e)(iii).

 

Pledged Investment Property” has the meaning specified in Section 9.01(e)(v).

 

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Potential Defaulting Lender” means, at any time, a Lender Party directly or indirectly Controlled by a Person as to which an event of the kind referred to in the definition of “Lender Insolvency Event” has occurred and is continuing in respect of such Person.  Any determination that a Lender Party is a Potential Defaulting Lender (to the extent the preceding sentence contemplates such a determination in order for the relevant Lender Party to be considered a Potential Defaulting Lender) will be made by the Administrative Agent in its sole discretion acting in good faith.

 

Pre-Petition Agent” means Citibank in its capacity as agent under the Pre-Petition Security Agreement.

 

Pre-Petition Collateral” means the “Collateral” as defined in the Pre-Petition Security Agreement.

 

Pre-Petition Debt” means Debt of the Loan Parties outstanding and unpaid on the Petition Date.

 

Pre-Petition Document” means the “Credit Agreement” as defined in the Pre-Petition Security Agreement.

 

Pre-Petition Secured Creditors” means the Persons from time to time holding Pre-Petition Secured Indebtedness.

 

Pre-Petition Secured Indebtedness” means all indebtedness and other Obligations of the Borrower and the Guarantors that are secured pursuant to the Pre-Petition Security Agreement.

 

Pre-Petition Security Agreement” means the Second Amended and Restated Pledge and Security Agreement dated as of December 30, 2008 from the Borrower and the other grantors referred to therein to Citibank, as agent.

 

Preferred Interests” means, with respect to any Person, Equity Interests issued by such Person that are entitled to a preference or priority over any other Equity Interests issued by such Person upon any distribution of such Person’s property and assets, whether by dividend or upon liquidation.

 

Pro Rata Share” of any amount means, with respect to any Lender at any time, the product of such amount times a fraction the numerator of which is the amount of such Lender’s Commitment (or, if the Commitments shall have been terminated pursuant to Section 2.05 or 6.01, such Lender’s Commitment as in effect immediately prior to such termination) under the applicable Facility or Facilities at such time and the denominator of which is the amount of such Facility or Facilities at such time (or, if the Commitments shall have been terminated pursuant to Section 2.05 or 6.01, the amount of such Facility or Facilities as in effect immediately prior to such termination).

 

Professional Fees” means the fees and expenses of any and all professional Persons, retained by the Borrower or any of the Committees or any official committee appointed in the Cases.

 

Public Debt Rating” means, with respect to any Person, as of any date, the rating that has been most recently announced by either S&P, Moody’s or Fitch, as the case may be, for any class of non-credit enhanced long-term senior unsecured debt issued by such Person or, if any

 

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such rating agency shall have issued more than one such rating, the lowest such rating issued by such rating agency for such debt of such Person.  For purposes of the foregoing, (a) if any rating established by S&P, Moody’s or Fitch shall be changed, such change shall be effective as of the date on which such change is first announced publicly by the rating agency making such change; and (b) if S&P, Moody’s or Fitch shall change the basis on which ratings are established, each reference to the Public Debt Rating announced by S&P, Moody’s or Fitch, as the case may be, shall refer to the then equivalent rating by S&P, Moody’s or Fitch, as the case may be.

 

PVC Additives Sale” means the sale of all or substantially all of the assets of the business of the Borrower and its Subsidiaries known as the “PVC Additives business”, consisting primarily of (a) the ownership interest in Chemtura Vinyl Additives GmbH (“Chemtura Vinyl”) and (b) certain assets used in the manufacture and distribution of tin and mixed metal stabilizers and related intermediates, organic based stabilizers, epoxidized soybean oil, liquid phosphate esters, chemical foaming agents and impact modifiers, as engaged in by the Borrower at its Taft, Louisiana facility and by Chemtura Vinyl, to (i) SK Atlas, LLC and certain of its affiliates on substantially the terms set forth in (or on terms taken as a whole more favorable to the Borrower than those set forth in) the Share and Asset Purchase Agreement dated as of December 23, 2009 among SK Atlas, LLC, SK Capital Partners II, LP and the Borrower or (ii) another third-party purchaser, in each case pursuant to auction procedures approved by the Bankruptcy Court, for consideration consisting of cash and/or the assumption of certain liabilities by the buyer thereof.

 

Redeemable” means, with respect to any Equity Interest, Debt or other right or Obligation, any such right or Obligation that (a) the issuer has undertaken to redeem at a fixed or determinable date or dates, whether by operation of a sinking fund or otherwise, or upon the occurrence of a condition not solely within the control of the issuer or (b) is redeemable at the option of the holder.

 

Reduction Amount” has the meaning specified in Section 2.06(b)(iv).

 

Register” has the meaning specified in Section 10.07(d).

 

Regulation U” means Regulation U of the Board of Governors of the Federal Reserve System, as in effect from time to time.

 

Related Contracts” has the meaning specified in Section 9.01(c).

 

Related Parties” means, with respect to any Person, such Person’s Affiliates and such Person’s and such Person’s Affiliates’ respective administrators, trustees, partners, directors, officers, employees, agents, fund managers and advisors.

 

Related Security” means,  with respect to any Account, (a) all of the applicable Loan Party’s right, title and interest in and to the goods (including returned or repossessed goods), if any, relating to the sale which gave rise to such Account, (b) all other security interests or Liens and property subject thereto from time to time purporting to secure payment of such Account, whether pursuant to the obligation giving rise to such Account or otherwise, (c) all guarantees and other agreements or arrangements of whatever character from time to time supporting or securing payment of such Account whether pursuant to the obligation giving rise to such Account or otherwise, (d) all records relating to the foregoing and (e) all proceeds of the foregoing.

 

Rent Reserve” means, with respect to any plant, warehouse distribution center or other operating facility where any Inventory subject to landlords’ Liens or other Liens arising by

 

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operation of law is located and a Collateral Access Agreement has not been duly executed and delivered by the lessor or bailee at such location, a reserve equal to three (3) month’s rent at such plant, warehouse distribution center, or other operating facility, and such other reserve amounts that may be determined by the Administrative Agent in its reasonable discretion.

 

Reorganization Plan” means a chapter 11 plan of reorganization in any of the Cases of the Borrower or a Guarantor.

 

Required Lenders” means, at any time, Lenders owed or holding at least a majority in interest of the sum of (a) the aggregate principal amount of the Advances outstanding at such time, (b) the aggregate Available Amount of all Letters of Credit outstanding at such time, (c) the aggregate Term Commitments at such time, and (d) the aggregate Unused Revolving Credit Commitments at such time; provided, however, that if any Lender shall be a Defaulting Lender at such time, there shall be excluded from the determination of Required Lenders at such time (i) the aggregate principal amount of the Advances owing to such Lender (in its capacity as a Lender) and outstanding at such time, (ii) such Lender’s Pro Rata Share of the aggregate Available Amount of all Letters of Credit outstanding at such time, (iii) the Term Commitment of such Lender at such time, and (iv) the Unused Revolving Credit Commitment of such Lender at such time. For purposes of this definition, the aggregate principal amount of Letter of Credit Advances owing to the Issuing Banks and the Available Amount of each Letter of Credit shall be considered to be owed to the Lenders ratably in accordance with their respective Revolving Credit Commitments.

 

Reserves” means, at any time of determination, (a) Bank Product Reserves, (b) Rent Reserves, (c) the Carve-Out and (d) such other reserves as determined from time to time in the Permitted Discretion of the Administrative Agent to preserve and protect the value of the Collateral.

 

Responsible Officer” means the chief executive officer, president, any executive vice president, chief financial officer, principal accounting officer, controller, chief restructuring officer or treasurer of a Loan Party.  Any document delivered hereunder or under any other Loan Document that is signed by a Responsible Officer of a Loan Party shall be conclusively presumed to have been authorized by all necessary corporate, partnership and/or or other action on the part of such Loan Party and such Responsible Officer shall be conclusively presumed to have acted on behalf of such Loan Party.

 

Restricting Information” has the meaning specified in Section 10.10.

 

Revolving Credit Advance” has the meaning specified in Section 2.01(b).

 

Revolving Credit Commitment” means, with respect to any Lender at any time, the amount set forth for such time opposite such Lender’s name on Schedule I hereto under the caption “ Revolving Credit Commitment” or, if such Lender has entered into one or more Assignments and Acceptances, set forth for such Lender in the Register maintained by the Administrative Agent pursuant to Section 10.07(d) as such Lender’s “ Revolving Credit Commitment”, as such amount may be reduced at or prior to such time pursuant to Section 2.05.  The aggregate principal amount of the Revolving Credit Commitments shall be $150,000,000 as of the Effective Date.

 

Revolving Credit Facility” means, at any time, the aggregate amount of the Lenders’ Revolving Credit Commitments at such time.

 

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Revolving Credit Lender” means any Lender that has a Revolving Credit Commitment.

 

Revolving Credit Note” means a promissory note of the Borrower payable to the order of any Revolving Credit Lender, in substantially the form of Exhibit A-2 hereto, evidencing the aggregate indebtedness of the Borrower to such Lender resulting from the Revolving Credit Advances made by such Lender.

 

S&P” means Standard & Poor’s, a division of The Mc-Graw Hill Companies, Inc.

 

SEC” means the Securities and Exchange Commission or any governmental authority succeeding to any of its principal functions.

 

Secured Cash Management Agreement” means any Cash Management Agreement permitted under Article V that is entered into by and between any Loan Party and any Cash Management Bank after the Petition Date, in each case solely to the extent that the obligations in respect of such Cash Management Agreement are not cash collateralized or otherwise secured (other than pursuant to the Collateral Documents); provided that the aggregate principal or notional amount of Obligations (in terms of Agreement Value in the case of Secured Hedge Agreements) under all Secured Cash Management Agreements and Secured Hedge Agreements shall not exceed $10,000,000 at any time outstanding.

 

Secured Hedge Agreement” means any Hedge Agreement permitted under Article V that is entered into by and between any Loan Party and any Hedge Bank after the Petition Date, in each case solely to the extent that the obligations in respect of such Hedge Agreement are not cash collateralized or otherwise secured (other than pursuant to the Collateral Documents); provided that the aggregate principal or notional amount of Obligations (in terms of Agreement Value in the case of Secured Hedge Agreements) under all Secured Cash Management Agreements and Secured Hedge Agreements shall not exceed $10,000,000 at any time outstanding.

 

Secured Obligation” has the meaning specified in Section 9.01.

 

Secured Parties” means, collectively, the Administrative Agent, the Lender Parties, the Cash Management Banks and the Hedge Banks.

 

Security Collateral” has the meaning specified in Section 9.01(e).

 

Single Employer Plan” means a single employer plan, as defined in Section 4001(a)(15) of ERISA, that (a) is maintained for employees of any Loan Party or any ERISA Affiliate and no Person other than the Loan Parties and the ERISA Affiliates or (b) was so maintained and in respect of which any Loan Party or any ERISA Affiliate could have liability under Section 4069 of ERISA in the event such plan has been or were to be terminated.

 

SPC” has the meaning specified in Section 10.07(k).

 

Specified Foreign Facilities” means the three credit facilities provided by Citibank or any of its Affiliates to the Foreign Subsidiaries or operations of the Company located in each of Brazil, India and the United Kingdom that are, in each case, outstanding and in effect on June 24, 2009.

 

Stated Maturity Date” means the date that is 364 days after the Effective Date.

 

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Subagent” has the meaning specified in Section 9.06(b).

 

Subsidiary” of any Person means any corporation, partnership, joint venture, limited liability company, trust or estate of which (or in which) more than 50% of (a) the issued and outstanding capital stock having ordinary voting power to elect a majority of the Board of Directors of such corporation (irrespective of whether at the time capital stock of any other class or classes of such corporation shall or might have voting power upon the occurrence of any contingency), (b) the interest in the capital or profits of such partnership, joint venture or limited liability company or (c) the beneficial interest in such trust or estate is at the time directly or indirectly owned or controlled by such Person, by such Person and one or more of its other Subsidiaries or by one or more of such Person’s other Subsidiaries.  Unless otherwise specified, all references herein to a “Subsidiary” or to “Subsidiaries” shall refer to a Subsidiary or Subsidiaries of the Borrower.

 

Superpriority Claim” means a claim against the Borrower or a Guarantor in any of the Cases that is a superpriority administrative expense claim having priority over any or all administrative expenses and other claims of the kind specified in, or otherwise arising or ordered under, any sections of the Bankruptcy Code (including, without limitation, sections 105, 326, 328, 330, 331, 503(b), 507(a), 507(b), 546(c) and/or 726 thereof), whether or not such claim or expenses may become secured by a judgment Lien or other non-consensual Lien, levy or attachment.

 

Supermajority Lenders” means, at any time, Lenders owed or holding at least 70% in interest of the sum of (a) the aggregate principal amount of the Advances outstanding at such time, (b) the aggregate Available Amount of all Letters of Credit outstanding at such time, (c) the aggregate Term Commitments at such time, and (d) the aggregate Unused Revolving Credit Commitments at such time; provided, however, that if any Lender shall be a Defaulting Lender at such time, there shall be excluded from the determination of Required Lenders at such time (i) the aggregate principal amount of the Advances owing to such Lender (in its capacity as a Lender) and outstanding at such time, (ii) such Lender’s Pro Rata Share of the aggregate Available Amount of all Letters of Credit outstanding at such time, (iii) the Term Commitment of such Lender at such time, and (iv) the Unused Revolving Credit Commitment of such Lender at such time. For purposes of this definition, the aggregate principal amount of Letter of Credit Advances owing to the Issuing Banks and the Available Amount of each Letter of Credit shall be considered to be owed to the Lenders ratably in accordance with their respective Revolving Credit Commitments.

 

Surviving Debt” means Debt of each Loan Party and its Subsidiaries outstanding immediately before and after the Petition Date.

 

Synthetic Debt” means, with respect to any Person as of any date of determination thereof, all Obligations of such Person in respect of transactions entered into by such Person that are intended to function primarily as a borrowing of funds (including, without limitation, any minority interest transactions that function primarily as a borrowing) but are not otherwise included in the definition of “Debt” or as a liability on the consolidated balance sheet of such Person and its Subsidiaries in accordance with GAAP.

 

Taxes” has the meaning specified in Section 2.12(a).

 

Term Advance” has the meaning specified in Section 2.01(a).

 

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Term Commitment” means, with respect to any Lender at any time, the amount set forth for such time opposite such Lender’s name on Schedule I hereto under the caption “Term Commitment” or, if such Lender has entered into one or more Assignments and Acceptances, set forth for such Lender in the Register maintained by the Administrative Agent pursuant to Section 10.07(d) as such Lender’s “Term Commitment”, as such amount may be reduced at or prior to such time pursuant to Section 2.05.  Before giving effect to any Term Advances, the aggregate principal amount of the Term Commitments shall be $300,000,000 as of the date of this Agreement.

 

Term Facility” means, at any time, the aggregate amount of the Term Lenders’ Term Commitments or Term Advances at such time.

 

Term Lender” means any Lender that has a Term Commitment or a Term Advance.

 

Term Note” means a promissory note of the Borrower payable to the order of any Term Lender, in substantially the form of Exhibit A-1 hereto, evidencing the indebtedness of the Borrower to such Lender resulting from the Term Advance made or held by such Lender.

 

Termination Date” means the earliest to occur of (i) the Maturity Date and (ii) the date of termination in whole of the Commitments pursuant to Section 2.05 or 6.01.

 

Testing Period” means for any calendar week (the “subject week”) with respect to which compliance with Section 5.04(c) is being calculated, the period commencing with the first day of the first calendar week of the DIP Budget and ending with the last day of such subject week.

 

Trade Secrets” has the meaning specified in Section 9.01(g)(v).

 

Trademarks” has the meaning specified in Section 9.01(g)(ii).

 

Type” refers to the distinction between Advances bearing interest at the Base Rate and Advances bearing interest at the Eurodollar Rate.

 

UCC” means the Uniform Commercial Code as in effect, from time to time, in the State of New York; provided that, if perfection or the effect of perfection or non-perfection or the priority of any security interest in any Collateral is governed by the Uniform Commercial Code as in effect in a jurisdiction other than the State of New York, “UCC” means the Uniform Commercial Code as in effect from time to time in such other jurisdiction for purposes of the provisions hereof relating to such perfection, effect of perfection or non-perfection or priority.

 

Unreimbursed Amount” has the meaning specified in Section 2.03(c)(i).

 

Unrolled Pre-Petition Secured Indebtedness” means Pre-Petition Secured Indebtedness not refinanced with the proceeds of the “Rollup Revolving Credit Advances” as defined in the Existing DIP Agreement.

 

Unused Revolving Credit Commitment” means, with respect to any Lender at any time, (a) such Lender’s Revolving Credit Commitment at such time minus (b) the sum of (i) the aggregate principal amount of all Revolving Credit Advances and Letter of Credit Advances made by such Lender (in its capacity as a Lender) and outstanding at such time, plus (ii) such Lender’s Pro Rata Share of (A) the aggregate Available Amount of all Letters of Credit

 

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outstanding at such time and (B) the aggregate principal amount of all Letter of Credit Advances made by the Issuing Banks pursuant to Section 2.03(c) and outstanding at such time.

 

Voting Stock” means capital stock issued by a corporation, or equivalent interests in any other Person, the holders of which are ordinarily, in the absence of contingencies, entitled to vote for the election of directors (or persons performing similar functions) of such Person, even if the right so to vote has been suspended by the happening of such a contingency.

 

Wells Fargo” has the meaning specified in the recital of parties to this Agreement.

 

Withdrawal Liability” has the meaning specified in Part I of Subtitle E of Title IV of ERISA.

 

Section 1.02  Computation of Time Periods; Other Definitional Provisions.  In this Agreement in the computation of periods of time from a specified date to a later specified date, the word “from” means “from and including” and the words “to” and “until” each mean “to but excluding”.  Unless the context requires otherwise, (a) any definition of or reference to any agreement, instrument or other document in any Loan Document shall be construed as referring to such agreement, instrument or other document as from time to time amended, supplemented or otherwise modified (subject to any restrictions on such amendments, supplements or modifications set forth herein or in any other Loan Document) and (b) any reference to any law shall include all statutory and regulatory provisions consolidating, amending, replacing or interpreting such law and any reference to any law or regulation shall, unless otherwise specified, refer to such law or regulation as amended, modified or supplemented from time to time.

 

Section 1.03  Accounting Terms.  All accounting terms not specifically defined herein shall be construed in accordance with generally accepted accounting principles consistent with those applied in the preparation of the financial statements referred to in Section 4.01(f) (“GAAP”).

 

Section 1.04  Terms Generally.  (a) When any Reserve is to be established or a change in any amount, percentage, reserve, eligibility criteria or other item in the definitions of the terms “Bank Product Reserves”, “Borrowing Base”, “Eligible Inventory”, “Eligible Receivables”, “Rent Reserve” and “Reserves” is to be determined in each case in the Administrative Agent’s “reasonable discretion” or “Permitted Discretion”, such Reserve shall be implemented or such change shall become effective on the second Business Day after the date of delivery of a written notice thereof to the Borrower (a “Borrowing Base Change Notice”), or immediately, without prior written notice, during the continuance of an Event of Default.

 

(b)           Nothing in this Agreement or any other Loan Document (other than the DIP Refinancing Orders) shall be construed as limiting the amount of Pre-Petition Secured Indebtedness or shall prejudice the right of the Administrative Agent or any Lender Party to contest such amount.

 

(c)           On the Effective Date, the Existing DIP Agreement shall be amended and restated in its entirety by this Agreement, and the Existing DIP Agreement shall thereafter be of no further force and effect and shall be deemed replaced and superseded in all respects by this Agreement.  The parties hereto acknowledge and agree that (i) this Agreement and the other Loan Documents, whether executed and delivered in connection herewith or otherwise, do not constitute a novation or termination of the “Obligations” under the Existing DIP Agreement or the other “Loan Documents” (as defined in the Existing DIP Agreement) as in effect prior to the Effective Date, which remain outstanding as of the Effective Date, as modified by this Agreement and the Loan Documents, and (ii) the “Obligations” under the Existing DIP Agreement and the other “Loan Documents” (as defined in the Existing DIP Agreement)

 

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are in all respects continuing (as amended and restated hereby and by the Loan Documents and which are in all respects hereinafter subject to the terms herein and in the Loan Documents).

 

(d)           On and after the Effective Date, each “Collateral Document” under and as defined in the Existing DIP Agreement shall constitute a Collateral Document and is and shall continue to be in full force and effect and is hereby in all respects ratified and confirmed, except that each reference in each such Collateral Document to “the Credit Agreement”, “thereunder”, “thereof” or words of like import referring to the Credit Agreement, shall mean and be a reference to this Agreement.  Without limiting the generality of the foregoing, the Collateral Documents and all of the Collateral described therein do and shall continue to secure the payment of all Obligations of the Loan Parties under the Loan Documents, as amended by, and after giving effect to, this Agreement, and each Loan Party hereby affirms its grant, in each case under and pursuant to the provisions of the Existing DIP Agreement (as amended by, and after giving effect to, this Agreement) and the other Collateral Documents (it being understood that this Agreement is intended to affirm and acknowledge that each such grant contained in the Existing DIP Agreement and such Collateral Documents is in full force and effect and secures the full and prompt payment when due of the Obligations, and nothing herein shall be deemed to supersede, impair or otherwise limit any such grant contained in the Existing DIP Agreement or such Collateral Documents), of a security interest in all of the property of such Loan Party described as collateral in the Existing DIP Agreement or such Collateral Documents, as applicable, and affirms that such grant is to the Administrative Agent, for itself and the ratable benefit of the Secured Parties.

 

(e)           Each Loan Party hereby (i) ratifies and reaffirms all of its payment and performance obligations, contingent or otherwise, under each of the Loan Documents to which it is a party and (ii) in the case of each Guarantor, ratifies and reaffirms its unconditional guaranty of the Obligations pursuant to Article VIII of the Existing DIP Agreement, as amended by, and after giving effect to, this Agreement.

 

ARTICLE II

 

AMOUNTS AND TERMS OF THE ADVANCES

AND THE LETTERS OF CREDIT

 

Section 2.01  The Advances.  (a)  The Term Advances.  Each Term Lender severally agrees, on the terms and conditions hereinafter set forth, to make a single advance to the Borrower on a date indicated in the applicable Notice of Borrowing that occurs no later than three Business Days after the entry of the Interim Order in an amount not to exceed the lesser of (x) such Lender’s Pro Rata Share of $300,000,000, (y) such Lenders’ Term Commitment at such time and (z) such Lender’s Pro Rata Share of Availability at such time (each such advance, a “Term Advance”); provided that the aggregate amount of Advances that may be made at any time shall not exceed the Availability at such time.  Amounts repaid or prepaid on account of the Term Advances may not be reborrowed.

 

(b)           The Revolving Credit Advances.  Each Revolving Credit Lender severally agrees, on the terms and conditions hereinafter set forth, to make advances (each, a “Revolving Credit Advance”) to the Borrower from time to time on any Business Day during the period from the Effective Date until the Termination Date in an amount for each such Advance not to exceed the lesser of (A) such Revolving Credit Lender’s Revolving Credit Commitment at such time and (B) such Revolving Credit Lender’s Pro Rata Share of Availability at such time; provided that the aggregate amount of Advances that may be made at any time shall not exceed the Availability at such time

 

(c)           Borrowings.  Each Borrowing shall be in a principal amount of $5,000,000 or an integral multiple of $1,000,000 in excess thereof (other than (x) a Borrowing the proceeds of which shall

 

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be used solely to repay or prepay in full outstanding Letter of Credit Advances and (y) a Borrowing in an amount equal to the aggregate unused principal amount of the Commitments under any Facility) and shall consist of Advances made simultaneously by the Lenders under the applicable Facility ratably according to the Lenders’ Commitments under such Facility.  Within the limits of each Lender’s Unused Revolving Credit Commitment in effect from time to time, the Borrower may borrow under Section 2.01(b), prepay pursuant to Section 2.06, and reborrow under Section 2.01(b).

 

Section 2.02  Making the Advances.  (a)         Except as otherwise provided in Section 2.02(b), or 2.03, each Borrowing shall be made on notice, given not later than 11:00 A.M. (New York City time) (or 5:30 P.M. (New York City time) in the case of any Base Rate Advance in the Initial Extension of Credit) on the third Business Day prior to the date of the proposed Borrowing in the case of a Borrowing consisting of Eurodollar Rate Advances, or the first Business Day prior to the date of the proposed Borrowing in the case of a Borrowing consisting of Base Rate Advances, by the Borrower to the Administrative Agent, which shall give to each Lender prompt notice thereof by telex or telecopier.  Each such notice of a Borrowing (a “Notice of Borrowing”) shall be by telephone, confirmed promptly in writing, or telex or telecopier, in substantially the form of Exhibit B hereto, specifying therein the requested (i) date of such Borrowing, (ii) the Facility under which such Borrowing is to be made, (iii) Type of Advances comprising such Borrowing, (iv) aggregate amount of such Borrowing and (v) in the case of a Borrowing consisting of Eurodollar Rate Advances, initial Interest Period for each such Advance.  Each Lender shall, before 11:00 A.M. (New York City time) on the date of such Borrowing, make available for the account of its Applicable Lending Office to the Administrative Agent at the Administrative Agent’s Account, in same day funds, such Lender’s ratable portion of such Borrowing in accordance with the respective Commitments of such Lender and the other Lenders.  After the Administrative Agent’s receipt of such funds and upon fulfillment of the applicable conditions set forth in Article III, the Administrative Agent will make such funds available to the Borrower by crediting the Borrower’s Account or such other account as the Borrower shall request; provided, however, that, in the case of Revolving Credit Advances, the Administrative Agent shall first apply such funds to prepay ratably the aggregate principal amount of any Letter of Credit Advances outstanding on the date of such Borrowing, plus interest accrued and unpaid thereon to and as of such date.

 

(b)           Anything in subsection (a) above to the contrary notwithstanding, (i) the Borrower may not select Eurodollar Rate Advances for the initial Borrowing hereunder or for any Borrowing if the aggregate amount of such Borrowing is less than $5,000,000 or if the obligation of the Lenders to make Eurodollar Rate Advances shall then be suspended pursuant to Section 2.09 or 2.10,  and (ii) the Revolving Credit Advances may not be outstanding as part of more than 15 separate Borrowings.

 

(c)           Each Notice of Borrowing shall be irrevocable and binding on the Borrower.  In the case of any Borrowing that the related Notice of Borrowing specifies is to be comprised of Eurodollar Rate Advances, the Borrower shall indemnify each Lender against any loss, cost or expense incurred by such Lender as a result of any failure to fulfill on or before the date specified in such Notice of Borrowing for such Borrowing the applicable conditions set forth in Article III, including, without limitation, any loss (excluding loss of anticipated profits), cost or expense incurred by reason of the liquidation or reemployment of deposits or other funds acquired by such Lender to fund the Advance to be made by such Lender as part of such Borrowing when such Advance, as a result of such failure, is not made on such date.

 

(d)           Unless the Administrative Agent shall have received notice from any Lender prior to the date of any Borrowing that such Lender will not make available to the Administrative Agent such Lender’s ratable portion of such Borrowing, the Administrative Agent may assume that such Lender has made such portion available to the Administrative Agent on the date of such Borrowing in accordance with subsection (a) of this Section 2.02 and the Administrative Agent may, in reliance upon such

 

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assumption, make available to the Borrower on such date a corresponding amount.  If and to the extent that such Lender shall not have so made such ratable portion available to the Administrative Agent, such Lender and the Borrower severally agree to repay or pay to the Administrative Agent forthwith on demand such corresponding amount and to pay interest thereon, for each day from the date such amount is made available to the Borrower until the date such amount is repaid or paid to the Administrative Agent, at (i) in the case of the Borrower, the interest rate applicable at such time under Section 2.07 to Advances comprising such Borrowing and (ii) in the case of such Lender, the Federal Funds Rate.  If such Lender shall pay to the Administrative Agent such corresponding amount, such amount so paid shall constitute such Lender’s Advance as part of such Borrowing for all purposes of this Agreement.

 

(e)           The failure of any Lender to make the Advance to be made by it shall not relieve any other Lender of its obligation, if any, hereunder to make its Advance or make available on the date of such Borrowing, but no Lender shall be responsible for the failure of any other Lender to make the Advance to be made by it.

 

Section 2.03  Issuance of and Drawings and Reimbursement Under Letters of Credit.

 

(a)  The Letter of Credit Commitment.

 

(i)            The Lenders (including each Lender that issued any Existing Letter of Credit) and the Borrower agree that effective as of the Effective Date, the Existing Letters of Credit shall be deemed to have been issued and maintained under, and to be governed by the terms and conditions of, this Agreement as Letters of Credit.  Subject to the terms and conditions set forth herein, (A) each Issuing Bank agrees, in reliance upon the agreements of the other Revolving Credit Lenders set forth in this Section 2.03, (1) from time to time on any Business Day during the period from the Effective Date until the Letter of Credit Expiration Date, to issue Letters of Credit for the account of the Borrower or any of its Subsidiaries, and to amend Letters of Credit previously issued by it, in accordance with subsection (b) below, and (2) to honor drafts under the Letters of Credit; and (B) the Revolving Credit Lenders severally agree to participate in Letters of Credit issued for the account of the Borrower or any of its Subsidiaries; provided that the Issuing Banks shall not be obligated to issue any Letter of Credit, and no Revolving Credit Lender shall be obligated to participate in any Letter of Credit, if as of the date of such issuance, (x) the Available Amount for all Letters of Credit issued by such Issuing Bank would exceed the lesser of the Letter of Credit Sublimit at such time and such Issuing Bank’s Letter of Credit Commitment at such time, (y) the Available Amount of such Letter of Credit would exceed the aggregate Unused Revolving Credit Commitments or (z) the Available Amount of such Letter of Credit would exceed the Availability at such time.  Within the foregoing limits, and subject to the terms and conditions hereof, the Borrower’s ability to obtain Letters of Credit shall be fully revolving, and accordingly the Borrower may, during the foregoing period, obtain Letters of Credit to replace Letters of Credit that have expired or that have been drawn upon and reimbursed.
 
(ii)           No Issuing Bank shall be under any obligation to issue any Letter of Credit, and no Revolving Credit Lender shall be obligated to participate in any Letter of Credit, if:  (A) any order, judgment or decree of any governmental authority or arbitrator shall by its terms purport to enjoin or restrain such Issuing Bank from issuing such Letter of Credit, or any law applicable to such Issuing Bank or any request or directive (whether or not having the force of law) from any governmental authority with jurisdiction over such Issuing Bank shall prohibit, or request that such Issuing Bank refrain from, the issuance of letters of credit generally or such Letter of Credit in particular or shall impose upon such Issuing Bank any unreimbursed loss, cost or expense which such Issuing Bank in good faith deems material to it; (B) the expiry date of such requested Letter of Credit would occur more than twelve months after the Letter of Credit Expiration Date, unless all the Revolving Credit Lenders have approved such expiry date; (C) the issuance of such Letter of Credit would violate one or more policies of such Issuing

 

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Bank; or (D) such Letter of Credit is in an initial amount less than $100,000 (unless such Issuing Bank agrees otherwise), or is to be denominated in a currency other than U.S. dollars.

 
(iii)          No Issuing Bank shall be under any obligation to amend any Letter of Credit if (A) such Issuing Bank would have no obligation at such time to issue such Letter of Credit in its amended form under the terms hereof, or (B) the beneficiary of such Letter of Credit does not accept the proposed amendment to such Letter of Credit.
 
(iv)          Letters of Credit may be issued for the account of a Subsidiary that is not a Loan Party so long as such Subsidiary is primarily liable for its reimbursement obligations thereunder pursuant to a separate reimbursement agreement entered into between such Subsidiary and the applicable Issuing Bank, to the extent practicable (in the Issuing Bank’s sole discretion).
 
(v)           In addition to the other conditions precedent herein set forth, if any Lender becomes, and during the period it remains, a Defaulting Lender or a Potential Defaulting Lender, no Issuing Bank shall be required to issue any Letter of Credit or to amend any outstanding Letter of Credit to increase the face amount thereof, alter the drawing terms thereunder or extend the expiry date thereof, unless such Issuing Bank is satisfied that any exposure that would result therefrom is eliminated or fully covered by the Revolving Credit Commitments of the Non-Defaulting Lenders or by Cash Collateralization or a combination thereof reasonably satisfactory to such Issuing Bank.
 

(b)           Procedures for Issuance and Amendment of Letters of Credit.

 

(i)            Each Letter of Credit shall be issued or amended, as the case may be, upon the request of the Borrower delivered to the applicable Issuing Bank (with a copy to the Administrative Agent) in the form of a Letter of Credit Application, appropriately completed and signed by a Responsible Officer of the Borrower.  Such Letter of Credit Application must be received by the applicable Issuing Bank and the Administrative Agent not later than 11:00 a.m. at least two Business Days (or such later date and time as such Issuing Bank may agree in a particular instance in its sole discretion) prior to the proposed issuance date or date of amendment, as the case may be.  In the case of a request for an initial issuance of a Letter of Credit, such Letter of Credit Application shall specify in form and detail reasonably satisfactory to the applicable Issuing Bank: (A) the proposed issuance date of the requested Letter of Credit (which shall be a Business Day); (B) the amount thereof; (C) the expiry date thereof; (D) the name and address of the beneficiary thereof; (E) the documents to be presented by such beneficiary in case of any drawing thereunder; (F) the full text of any certificate to be presented by such beneficiary in case of any drawing thereunder; and (G) such other matters as such Issuing Bank may reasonably require.  In the case of a request for an amendment of any outstanding Letter of Credit, such Letter of Credit Application shall specify in form and detail reasonably satisfactory to the applicable Issuing Bank (A) the Letter of Credit to be amended; (B) the proposed date of amendment thereof (which shall be a Business Day); (C) the nature of the proposed amendment; and (D) such other matters as such Issuing Bank may reasonably require.
 
(ii)           Promptly after receipt of any Letter of Credit Application for a Letter of Credit, the applicable Issuing Bank will confirm with the Administrative Agent (by telephone or in writing) that the Administrative Agent has received a copy of such Letter of Credit Application from the Borrower and, if not, such Issuing Bank will provide the Administrative Agent with a copy thereof.  Upon receipt by such Issuing Bank of confirmation from the Administrative Agent that the requested issuance or amendment is permitted in accordance with the terms hereof, then, subject to the terms and conditions hereof, such Issuing Bank shall, on the requested date, issue a Letter of Credit for the account of the Borrower or enter into the applicable amendment, as the case may be, in each case in accordance with such Issuing Bank’s usual and customary business practices.  Immediately upon the issuance of each

 

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Letter of Credit, each Lender shall be deemed to, and hereby irrevocably and unconditionally agrees to, purchase from such Issuing Bank a risk participation in such Letter of Credit in an amount equal to the product of such Lender’s Pro Rata Share in respect of the Revolving Credit Facility times the amount of such Letter of Credit.

 
(iii)          Promptly after its delivery of any Letter of Credit or any amendment to a Letter of Credit to an advising bank with respect thereto or to the beneficiary thereof, the applicable Issuing Bank will also deliver to the Borrower and the Administrative Agent a true and complete copy of such Letter of Credit or amendment.
 

(c)           Drawings and Reimbursements; Funding of Participations.

 

(i)            Upon receipt from the beneficiary of any Letter of Credit of any notice of a drawing under such Letter of Credit, the applicable Issuing Bank shall notify the Borrower and the Administrative Agent thereof.  Not later than 11:00 a.m. on the Business Day following the date of any payment by the applicable Issuing Bank under a Letter of Credit, so long as the Borrower has received notice of such drawing by 10:00 a.m. on such following Business Day (each such date, an “Honor Date”), the Borrower shall reimburse such Issuing Bank through the Administrative Agent in an amount equal to the amount of such drawing (together with interest thereon at the rate set forth in Section 2.07 for Revolving Credit Advances bearing interest at the Base Rate).  If the Borrower fails to so reimburse the applicable Issuing Bank by such time, the Administrative Agent shall promptly notify each Revolving Credit Lender of the  Honor Date, the amount of the unreimbursed drawing (the “Unreimbursed Amount”), and the amount of such Revolving Credit Lender’s Pro Rata Share thereof.  In such event, the Borrower shall be deemed to have requested a Borrowing to be disbursed on the Honor Date in an amount equal to the  Unreimbursed Amount, without regard to the minimum and multiples specified in Section 2.02 for the principal amount of Borrowings, but subject to the amount of the Unused Revolving Credit Commitments and the conditions set forth in Section 3.02 (other than the delivery of a Notice of Borrowing).  Any notice given by an Issuing Bank or the Administrative Agent pursuant to this Section 2.03(c)(i) may be given by telephone if immediately confirmed in writing; provided that the lack of such an immediate confirmation shall not affect the conclusiveness or binding effect of such notice.
 
(ii)           Each Revolving Credit Lender (including a Revolving Credit Lender acting as Issuing Bank) shall upon any notice pursuant to Section 2.03(c)(i) make funds available to the Administrative Agent for the account of the applicable Issuing Bank at the Administrative Agent’s Office in an amount equal to its Pro Rata Share of the  Unreimbursed Amount not later than 1:00 p.m. on the Business Day specified in such notice by the Administrative Agent, whereupon, subject to the provisions of Section 2.03(c)(iii), each Revolving Credit Lender that so makes funds available shall be deemed to have made a Letter of Credit Advance to the Borrower in such amount.  The Administrative Agent shall remit the funds so received to the applicable Issuing Bank.
 
(iii)          With respect to any Unreimbursed Amount that is not fully refinanced by a Borrowing because the conditions set forth in Section 3.02 cannot be satisfied or for any other reason, the Borrower shall be deemed to have incurred from the applicable Issuing Bank a Letter of Credit Advance in the amount of the  Unreimbursed Amount that is not so refinanced, which Letter of Credit Advance shall be due and payable on demand (together with interest) and shall bear interest at the Default Rate.  In such event, each Revolving Credit Lender’s payment to the Administrative Agent for the account of the applicable Issuing Bank pursuant to Section 2.03(c)(ii) shall be deemed payment in respect of its participation in such Letter of Credit Advance and shall constitute a Letter of Credit Advance from such Revolving Credit Lender in satisfaction of its participation obligation under this Section 2.03.

 

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(iv)          Until each Revolving Credit Lender funds its Revolving Credit Advance or Letter of Credit Advance pursuant to this Section 2.03(c) to reimburse the applicable Issuing Bank for any amount drawn under any Letter of Credit, interest in respect of such Revolving Credit Lender’s Pro Rata Share of such amount shall be solely for the account of such Issuing Bank.
 
(v)           Each Revolving Credit Lender’s obligation to make Letter of Credit Advances to reimburse the applicable Issuing Bank for amounts drawn under Letters of Credit, as contemplated by this Section 2.03(c), shall be absolute and unconditional and shall not be affected by any circumstance, including (A) any set-off, counterclaim, recoupment, defense or other right which such Revolving Credit Lender may have against such Issuing Bank, the Borrower or any other Person for any reason whatsoever; (B) the occurrence or continuance of a Default, or (C) any other occurrence, event or condition, whether or not similar to any of the foregoing.  No such making of a Letter of Credit Advance shall relieve or otherwise impair the obligation of the Borrower to reimburse the applicable Issuing Bank for the amount of any payment made by such Issuing Bank under any Letter of Credit, together with interest as provided herein.
 
(vi)          If any Revolving Credit Lender fails to make available to the Administrative Agent for the account of the applicable Issuing Bank any amount required to be paid by such Revolving Credit Lender pursuant to the foregoing provisions of this Section 2.03(c) by the time specified in Section 2.03(c)(ii), such Issuing Bank shall be entitled to recover from such Revolving Credit Lender (acting through the Administrative Agent), on demand, such amount with interest thereon for the period from the date such payment is required to the date on which such payment is immediately available to the such Issuing Bank at a rate per annum equal to the Federal Funds Rate from time to time in effect.  A certificate of the applicable Issuing Bank submitted to any Revolving Credit Lender (through the Administrative Agent) with respect to any amounts owing under this clause (vi) shall be conclusive absent manifest error.
 

(d)           Repayment of Participations.

 

(i)            At any time after any Issuing Bank has made a payment under any Letter of Credit and has received from any Revolving Credit Lender such Revolving Credit Lender’s Letter of Credit Advance in respect of such payment in accordance with Section 2.03(c), if the Administrative Agent receives for the account of the applicable Issuing Bank any payment in respect of the related  Unreimbursed Amount or interest thereon (whether directly from the Borrower or otherwise, including proceeds of Cash Collateral applied thereto by the Administrative Agent), the Administrative Agent will distribute to such Revolving Credit Lender its Pro Rata Share thereof (appropriately adjusted, in the case of interest payments, to reflect the period of time during which such Revolving Credit Lender’s Letter of Credit Advance was outstanding) in the same funds as those received by the Administrative Agent.
 
(ii)           If any payment received by the Administrative Agent for the account of the applicable Issuing Bank pursuant to Section 2.03(c)(i) is required to be returned under any circumstances (including pursuant to any settlement entered into by such Issuing Bank in its discretion), each Revolving Credit Lender shall pay to the Administrative Agent for the account of such Issuing Bank its Pro Rata Share thereof on demand of the Administrative Agent, plus interest thereon from the date of such demand to the date such amount is returned by such Revolving Credit Lender, at a rate per annum equal to the Federal Funds Rate from time to time in effect.
 

(e)           Obligations Absolute.  The obligation of the Borrower to reimburse any Issuing Bank for each drawing under each Letter of Credit and to repay each Letter of Credit Advance shall be absolute, unconditional and irrevocable, and shall be paid strictly in accordance with the terms of this Agreement under all circumstances, including the following:

 

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(i)            any lack of validity or enforceability of such Letter of Credit, this Agreement, or any other agreement or instrument relating thereto;
 
(ii)           the existence of any claim, counterclaim, set-off, defense or other right that the Borrower may have at any time against any beneficiary or any transferee of such Letter of Credit (or any Person for whom any such beneficiary or any such transferee may be acting), such Issuing Bank or any other Person, whether in connection with this Agreement, the transactions contemplated hereby or by such Letter of Credit or any agreement or instrument relating thereto, or any unrelated transaction;
 
(iii)          any draft, demand, certificate or other document presented under such Letter of Credit proving to be forged, fraudulent, invalid or insufficient in any respect or any statement therein being untrue or inaccurate in any respect; or any loss or delay in the transmission or otherwise of any document required in order to make a drawing under such Letter of Credit;
 
(iv)          any payment by the Issuing Bank under such Letter of Credit against presentation of a draft or certificate that does not strictly comply with the terms of such Letter of Credit; or any payment made by such Issuing Bank under such Letter of Credit to any Person purporting to be a trustee in bankruptcy, debtor-in-possession, assignee for the benefit of creditors, liquidator, receiver or other representative of or successor to any beneficiary or any transferee of such Letter of Credit, including any arising in connection with any proceeding under any Debtor Relief Law; or
 
(v)           any other circumstance or happening whatsoever, whether or not similar to any of the foregoing, including any other circumstance that might otherwise constitute a defense available to, or a discharge of, the Borrower.
 

The Borrower shall promptly examine a copy of each Letter of Credit and each amendment thereto that is delivered to it and, in the event of any claim of noncompliance with the Borrower’s instructions or other irregularity, the Borrower will promptly notify the applicable Issuing Bank.  The Borrower shall be conclusively deemed to have waived any such claim against the applicable Issuing Bank and its correspondents unless such notice is given as aforesaid.

 

(f)            Role of Issuing Bank.  Each Revolving Credit Lender and the Borrower agree that, in paying any drawing under a Letter of Credit, no Issuing Bank shall have any responsibility to obtain any document (other than any sight draft, certificates and documents expressly required by the Letter of Credit) or to ascertain or inquire as to the validity or accuracy of any such document or the authority of the Person executing or delivering any such document.  None of the Issuing Banks, any of their Related Parties nor any of the respective correspondents, participants or assignees of any Issuing Bank shall be liable to any Revolving Credit Lender for (i) any action taken or omitted in connection herewith at the request or with the approval of the Revolving Credit Lenders or the Required Lenders, as applicable; (ii) any action taken or omitted in the absence of gross negligence or willful misconduct; or (iii) the due execution, effectiveness, validity or enforceability of any document or instrument related to any Letter of Credit or Letter of Credit Application therefor.  The Borrower hereby assumes all risks of the acts or omissions of any beneficiary or transferee with respect to its use of any Letter of Credit; provided, however, that this assumption is not intended to, and shall not, preclude the Borrower from pursuing such rights and remedies as it may have against the beneficiary or transferee at law or under any other agreement.  None of the Issuing Banks, any of their Related Parties, nor any of the respective correspondents, participants or assignees of any Issuing Bank, shall be liable or responsible for any of the matters described in clauses (i) through (v) of Section 2.03(e); provided, however, that anything in such clauses to the contrary notwithstanding, the Borrower may have a claim against an Issuing Bank, any of

 

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its Related Parties, any of their respective correspondents, participants or assignees of such Issuing Bank or of their Related Parties, and they may be liable to the Borrower, to the extent, but only to the extent, of any direct, as opposed to consequential or exemplary, damages suffered by the Borrower which the Borrower proves were caused by such Issuing Bank’s, any such Related Party’s, or any of such respective correspondents, participants or assignees of such Issuing Bank or of any such Related Party’s willful misconduct or gross negligence or such Issuing Bank’s willful failure to pay under any Letter of Credit after the presentation to it by the beneficiary of a sight draft and certificate(s) strictly complying with the terms and conditions of a Letter of Credit.  In furtherance and not in limitation of the foregoing, the applicable Issuing Bank may accept documents that appear on their face to be in order, without responsibility for further investigation, regardless of any notice or information to the contrary, and such Issuing Bank shall not be responsible for the validity or sufficiency of any instrument transferring or assigning or purporting to transfer or assign a Letter of Credit or the rights or benefits thereunder or proceeds thereof, in whole or in part, which may prove to be invalid or ineffective for any reason.

 

(g)           Cash Collateral; Defaulting Lenders.  (i) Upon the request of the Administrative Agent, if, as of the Letter of Credit Expiration Date, any Letter of Credit may for any reason remain outstanding and partially or wholly undrawn, the Borrower shall immediately Cash Collateralize the then Outstanding Amount of all  L/C Obligations (in an amount equal to 105% of such Outstanding Amount determined as of the date of such Letter of Credit Advance or the Letter of Credit Expiration Date, as the case may be).  The Borrower hereby grants to the Administrative Agent, for the benefit of the Issuing Banks and the Revolving Credit Lenders, a security interest in all such cash, deposit accounts and all balances therein and all proceeds of the foregoing.  Such cash collateral shall be maintained in the L/C Cash Collateral Account.

 

(ii)           If any Lender becomes, and during the period it remains, a Defaulting Lender or a Potential Defaulting Lender, if any Letter of Credit is at the time outstanding, the Issuing Bank that issued such Letter of Credit may, by notice to the Borrower and such Defaulting Lender or Potential Defaulting Lender through the Administrative Agent, require the Borrower to Cash Collateralize the obligations of the Borrower to such Issuing Bank in respect of such Letter of Credit in amount equal to 105% of the aggregate amount of the Obligations (contingent or otherwise) of such Defaulting Lender or Potential Defaulting Lender in respect of such Letter of Credit, and the Borrower shall thereupon either Cash Collateralize such obligations or make other arrangements satisfactory to the Administrative Agent, and to such Issuing Bank, in their sole discretion to protect them against the risk of non-payment by such Defaulting Lender or Potential Defaulting Lender.

 

(iii)          In furtherance of the foregoing, if any Lender becomes, and during the period it remains, a Defaulting Lender or a Potential Defaulting Lender, each Issuing Bank is hereby authorized by the Borrower (which authorization is irrevocable and coupled with an interest) to give, in its discretion, through the Administrative Agent, Notices of Borrowing pursuant to Section 2.02 in such amounts and in such times as may be required to (A) reimburse an outstanding  Unreimbursed Amount and/or (B) Cash Collateralize the Obligations of the Borrower in respect of outstanding Letters of Credit in an amount equal to 105% of the aggregate amount of the Obligations (contingent or otherwise) of such Defaulting Lender or Potential Defaulting Lender in respect of such Letters of Credit.

 

(h)           Applicability of ISP and UCP.  Unless otherwise expressly agreed by the applicable Issuing Bank and the Borrower when a Letter of Credit is issued, (i) the rules of the ISP shall apply to each standby Letter of Credit, and (ii) the rules of the Uniform Customs and Practice for Documentary Credits, as most recently published by the International Chamber of Commerce at the time of issuance shall apply to each commercial Letter of Credit.

 

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(i)            Conflict with Letter of Credit Application.  In the event of any conflict between the terms hereof and the terms of any Letter of Credit Application, the terms hereof shall control.

 

Section 2.04  Repayment of Advances.  (a) Term Advances.  The Borrower shall repay to the Administrative Agent for the ratable account of the Term Lenders on the Termination Date the aggregate outstanding principal amount of the Term Advances then outstanding.

 

(b)           Revolving Credit Advances.  The Borrower shall repay to the Administrative Agent for the ratable account of the Revolving Credit Lenders on the Termination Date the aggregate outstanding principal amount of the Revolving Credit Advances then outstanding.

 

(c)           Letter of Credit Advances.  The Borrower shall repay to the Administrative Agent for the account of the Issuing Banks and each Revolving Credit Lender that has made a Letter of Credit Advance the outstanding principal amount of each Letter of Credit Advance made by each of them on the earlier of (i) the date of demand therefor and (ii) the Termination Date.

 

Section 2.05  Termination, Reduction or Automatic Increase of Commitments.  (a)  Optional.  The Borrower may, upon at least three Business Days’ notice to the Administrative Agent, terminate in whole or reduce in part the unused portions of the Letter of Credit Sublimit or of the other Commitments (which shall be applied ratably to the Term Commitments or the Unused Revolving Credit Commitments (it being understood that such “unused” portion of any such Commitments shall include any portion that becomes unused as a result of any repayment occurring concurrently with such Commitment reduction or termination), as applicable); provided, however, that each partial reduction shall be in an aggregate amount of $10,000,000 or an integral multiple of $5,000,000 in excess thereof.

 

(b)           Mandatory.

 

(i)            Upon the making of the Term Advances pursuant to Section 2.01(a), the Term Commitments shall be automatically and permanently reduced to zero.
 
(ii)           The Revolving Credit Facility shall be automatically and permanently reduced on each date on which prepayment thereof is required to be made pursuant to Section 2.06(b)(i), by an amount equal to the Reduction Amount.
 
(iii)          The Letter of Credit Sublimit shall be automatically and permanently reduced from time to time on the date of each reduction in the Revolving Credit Facility by the amount, if any, by which the amount of the Letter of Credit Sublimit exceeds the sum of the Revolving Credit Facility after giving effect to such reduction of the Revolving Credit Facility.
 

(c)           Application of Commitment Reductions.  Upon each reduction of the Revolving Credit Facility pursuant to this Section 2.05, the Revolving Credit Commitment of each of the Revolving Credit Lenders shall be reduced by such Revolving Credit Lender’s Pro Rata Share of the amount by which the Revolving Credit Facility is reduced in accordance with the Lenders’ respective Revolving Credit Commitments.

 

Section 2.06  Prepayments.  (a)  Optional.  The Borrower may, upon at least three Business Days’ notice in the case of Eurodollar Rate Advances and one Business Day’s notice in the case of Base Rate Advances, in each case to the Administrative Agent received not later than 11:00 A.M. (New York, New York time) stating the proposed date and aggregate principal amount of the prepayment, and if such notice is given the Borrower shall, prepay the outstanding aggregate principal amount of Advances, in whole or ratably in part, together with accrued interest to the date of such prepayment on the

 

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aggregate principal amount prepaid; provided, however, that each partial prepayment shall be (i) in the case of Term Advances, in an aggregate principal amount of $5,000,000 or an integral multiple of $1,000,000 in excess thereof or, if less, the aggregate outstanding principal amount of any Advance and (ii) in the case of Revolving Credit Advances, in an aggregate principal amount of $1,000,000 or an integral multiple of $500,000 in excess thereof or, if less, the aggregate outstanding principal amount of any Advance.  Any prepayment of Advances pursuant to this Section 2.06(a) shall be applied to any one or more of the Facilities as directed by the Borrower.

 

(b)           Mandatory.

 

(i)            The Borrower shall, on the Business Day following the date of receipt of any Net Cash Proceeds by any Loan Party or any of its Subsidiaries, prepay an aggregate principal amount of the Advances equal to such Net Cash Proceeds; provided, however, that (A) the Borrower shall not be required to make any prepayment hereunder with Net Cash Proceeds unless and until the aggregate amount of all such Net Cash Proceeds (excluding Net Cash Proceeds from Extraordinary Receipts) that have not theretofore been applied to prepay the Advances pursuant to this Section 2.06(b)(i) exceeds $5,000,000 (at such time the Borrower shall be required to make a prepayment hereunder with all such excess Net Cash Proceeds except to the extent such prepayment is not required under clause (B), (C), or (D) of this proviso), (B) to the extent the aggregate amount of all Net Cash Proceeds (excluding Net Cash Proceeds from Extraordinary Receipts) received by the Loan Parties and their Subsidiaries shall exceed $10,000,000, only 75% of any amount of such excess amount of Net Cash Proceeds received shall be required to be applied to prepayment hereunder, (C) in the case of Net Cash Proceeds that are Extraordinary Receipts in respect of any casualty or condemnation event (“Extraordinary Receipts Proceeds”), to the extent such Extraordinary Receipts Proceeds are used to repair, restore or replace the assets that are the subject of such event in substantially the same location promptly after the receipt of such Extraordinary Receipts Proceeds by a Loan Party or any of its Subsidiaries, no such Extraordinary Receipts Proceeds shall be required to be applied to any prepayment hereunder, and (D) in the case of Extraordinary Receipts Proceeds received with respect to a casualty or condemnation event in respect of Inventory, no such Extraordinary Receipts Proceeds shall be required to be applied to any prepayment hereunder.  Each such prepayment shall be applied first ratably to the outstanding Term Advances, second ratably to the outstanding Revolving Credit Facility as set forth in clause (iv) below, and third, if required under Section 2.03(g), deposited in the L/C Cash Collateral Account.
 
(ii)           The Borrower shall, on each Business Day, if applicable, prepay an aggregate principal amount of the Revolving Credit Advances or the Letter of Credit Advances or deposit an amount in the L/C Collateral Account in an amount equal to the amount by which (A) the sum of (x) the Revolving Credit Advances and the Letter of Credit Advances then outstanding plus (y) the aggregate Available Amount of all Letters of Credit then outstanding exceeds (B) the lesser of (x) the sum of the aggregate Revolving Credit Commitments and (y) (1) the Borrowing Base minus (2) the aggregate principal amount of the Term Advances then outstanding.
 
(iii)          The Borrower shall, on each Business Day, if applicable, pay to the Administrative Agent for deposit in the L/C Cash Collateral Account an amount sufficient to cause the aggregate amount on deposit in such L/C Cash Collateral Account to equal the amount by which the aggregate Available Amount of all Letters of Credit then outstanding exceeds the Letter of Credit Sublimit on such Business Day.
 
(iv)          Prepayments of the Revolving Credit Facility made pursuant to clauses (i) and (ii) above shall be first applied to prepay Letter of Credit Advances then outstanding, if any, until such Advances are paid in full, second applied ratably to prepay Revolving Credit Advances then outstanding, if any, until such Advances are paid in full and third, if required under Section 2.03(g), deposited in the

 

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L/C Cash Collateral Account; and, in the case of any prepayment of the Revolving Credit Facility pursuant to clause (i) above, the amount remaining, if any, from the Revolving Credit Facility’s ratable portion of such Net Cash Proceeds after the prepayment of the Letter of Credit Advances and the Revolving Credit Advances then outstanding and any required Cash Collateralization of Letters of Credit then outstanding (the sum of such prepayment amounts, cash collateralization amounts and remaining amounts being referred to herein as the “ Reduction Amount”) may be retained by the Borrower for use in its business and operations.  Upon the drawing of any Letter of Credit for which funds are on deposit in the L/C Cash Collateral Account, such funds shall be applied to reimburse the applicable Issuing Bank or Revolving Credit Lenders, as applicable.
 
(v)           All prepayments under this subsection (b) shall be made together with accrued interest to the date of such prepayment on the principal amount prepaid.
 

Section 2.07  Interest.  (a)  Scheduled Interest.  The Borrower shall pay interest on each Term Advance and each Revolving Credit Advance owing to each Lender from the date of such Term Advance and Revolving Credit Advance until such principal amount shall be paid in full, at the following rates per annum:

 

(i)            Base Rate AdvancesDuring such periods as such Advance is a Base Rate Advance, a rate per annum equal at all times to the sum of (A) the Base Rate in effect from time to time plus (B) the Applicable Margin in effect from time to time, payable in arrears monthly on the first Business Day of each month during such periods and on the date such Base Rate Advance shall be Converted or paid in full.
 
(ii)           Eurodollar Rate Advances.  During such periods as such Advance is a Eurodollar Rate Advance, a rate per annum equal at all times during each Interest Period for such Advance to the sum of (A) the Eurodollar Rate for such Interest Period for such Advance plus (B) the Applicable Margin in effect on the first day of such Interest Period, payable in arrears on the last Business Day of such Interest Period and, if such Interest Period has a duration of more than one month, on the first Business Day of each month that occurs during such Interest Period every month from the first day of such Interest Period and on the date such Eurodollar Rate Advance shall be Converted or paid in full.
 

(b)           Default Interest.  Upon the occurrence and during the continuance of an Event of Default the Borrower shall pay interest on (i) the unpaid principal amount of each Advance owing to each Lender (whether or not due), payable in arrears on the dates referred to in clause (a) above and on demand, at a rate per annum equal at all times to 2% per annum above the rate per annum required to be paid on such Advance pursuant to clause (a) and (ii) to the fullest extent permitted by law, the amount of any interest, fee or other amount payable hereunder that is not paid when due, from the date such amount shall be due until such amount shall be paid in full, payable in arrears on the date such amount shall be paid in full and on demand, at a rate per annum equal at all times to 2% per annum above the rate per annum required to be paid on Advances pursuant to clause (a)(i) above.

 

(c)           Notice of Interest Rate.  Promptly after receipt of a Notice of Borrowing pursuant to Section 2.02(a), the Administrative Agent shall give notice to the Borrower and each Lender of the interest rate determined by the Administrative Agent for purposes of clause (a) above.

 

Section 2.08  Fees. (a)  Commitment Fees.  The Borrower shall pay to the Administrative Agent for the account of the Revolving Credit Lenders a commitment fee, from the Effective Date in the case of each such Initial Lender and (if such date is later than the Effective Date) from the effective date specified in the Assignment and Acceptance pursuant to which it became a Lender in the case of each

 

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other such Lender until the Termination Date, payable in arrears monthly on the first day of each month ending after the Effective Date and on the Termination Date, at the rate of 1.0% per annum on the average daily unused portion of the Unused Revolving Credit Commitment of such Lender; provided, however, that no commitment fee shall accrue on any of the Commitments of a Defaulting Lender so long as such Lender shall be a Defaulting Lender.

 

(b)           Letter of Credit Fees, Etc.

 

(i)            The Borrower shall pay to the Administrative Agent for the account of each Revolving Credit Lender a commission, payable in arrears on the first Business Day of each month, on the earliest to occur of the full drawing, expiration, termination or cancellation of any such Letter of Credit and on the Termination Date, on such Revolving Credit Lender’s Pro Rata Share of the average daily aggregate Available Amount during such month of all Letters of Credit outstanding from time to time  during such month at a rate per annum equal to the Applicable Margin for Eurodollar Rate Advances under the Revolving Credit Facility; provided, however, that no such commission shall accrue on any of the Revolving Credit Commitments of a Defaulting Lender so long as such Lender shall be a Defaulting Lender.
 
(ii)           The Borrower shall pay to each Issuing Bank, for its own account, (A) a fronting fee, payable in arrears on the first Business Day of each month and on the Termination Date, on the average daily Available Amount during such month of all Letters of Credit issued by such Issuing Bank, at the rate of 0.25% per annum and (B) the customary issuance, presentation, amendment and other processing fees, and other standard costs and charges, of such Issuing Bank.
 

(c)           Initial Lender Fees.  The Borrower shall pay to the Administrative Agent and the Boookrunners (or their respective Affiliates) such other fees as may be from time to time agreed among the Borrower, the Administrative Agent and the Bookrunners (or their respective Affiliates).

 

Section 2.09  Conversion of Advances.  (a)  Optional.  The Borrower may on any Business Day, upon notice given to the Administrative Agent not later than 11:00 A.M. (New York City time) on the third Business Day prior to the date of the proposed Conversion (or the Business Day prior to the date of the proposed Conversion, in the case of a Conversion of a Eurodollar Rate Advance to a Base Rate Advance) and subject to the provisions of Section 2.10, Convert all or any portion of the Advances of one Type comprising the same Borrowing into Advances of the other Type; provided, however, that any Conversion of Eurodollar Rate Advances into Base Rate Advances shall be made only on the last day of an Interest Period for such Eurodollar Rate Advances, any Conversion of Base Rate Advances into Eurodollar Rate Advances shall be in an amount not less than the minimum amount specified in Section 2.02(c), no Conversion of any Advances shall result in more separate Borrowings than permitted under Section 2.02(c) and each Conversion of Advances comprising part of the same Borrowing shall be made ratably among the Lenders in accordance with their Commitments.  Each such notice of Conversion shall, within the restrictions specified above, specify (i) the date of such Conversion, (ii) the Advances to be Converted and (iii) if such Conversion is into Eurodollar Rate Advances, the duration of the initial Interest Period for such Advances.  Each notice of Conversion shall be irrevocable and binding on the Borrower.

 

(b)           Mandatory.

 

(i)            On the date on which the aggregate unpaid principal amount of Eurodollar Rate Advances comprising any Borrowing shall be reduced, by payment or prepayment or otherwise, to less than $5,000,000, such Advances shall, at the end of the applicable Interest Period, automatically Convert into Base Rate Advances.

 

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(ii)           If the Borrower shall fail to select the duration of any Interest Period for any Eurodollar Rate Advances in accordance with the provisions contained in the definition of “Interest Period” in Section 1.01, the Administrative Agent will forthwith so notify the Borrower and the Lenders, whereupon each such Eurodollar Rate Advance will automatically, on the last day of the then existing Interest Period therefor, Convert into a Base Rate Advance.
 
(iii)          Upon the occurrence and during the continuance of any Event of Default, (x) each Eurodollar Rate Advance will automatically, on the last day of the then existing Interest Period therefor, Convert into a Base Rate Advance and (y) the obligation of the Lenders to make, or to Convert Advances into, Eurodollar Rate Advances shall be suspended.
 

Section 2.10  Increased Costs, Etc.  (a)  If, due to either (i) the introduction of or any change in or in the interpretation of any law or regulation or (ii) the compliance with any guideline or request from any central bank or other governmental authority (whether or not having the force of law), there shall be any increase in the cost to any Lender Party of agreeing to make or of making, funding or maintaining Eurodollar Rate Advances or of agreeing to issue or of issuing or maintaining or participating in Letters of Credit or of agreeing to make or of making or maintaining Letter of Credit Advances (excluding, for purposes of this Section 2.10, any such increased costs resulting from (x) Taxes or Other Taxes (as to which Section 2.12 shall govern) and (y) changes in the basis of taxation of overall net income or overall gross income by the United States or by the foreign jurisdiction or state under the laws of which such Lender Party is organized or has its Applicable Lending Office or any political subdivision thereof), then the Borrower shall from time to time, upon demand by such Lender Party (with a copy of such demand to the Administrative Agent), pay to the Administrative Agent for the account of such Lender Party additional amounts sufficient to compensate such Lender Party for such increased cost.  A certificate as to the amount of such increased cost, submitted to the Borrower by such Lender Party, shall be conclusive and binding for all purposes, absent manifest error.

 

(b)           If any Lender Party determines that compliance with any law or regulation or any guideline or request from any central bank or other governmental authority (whether or not having the force of law) affects or would affect the amount of capital required or expected to be maintained by such Lender Party or any corporation controlling such Lender Party and that the amount of such capital is increased by or based upon the existence of such Lender Party’s commitment to lend or to issue or participate in Letters of Credit hereunder and other commitments of such type or the issuance or maintenance of or participation in the Letters of Credit (or similar contingent obligations), then, upon demand by such Lender Party or such corporation (with a copy of such demand to the Administrative Agent), the Borrower shall pay to the Administrative Agent for the account of such Lender Party, from time to time as specified by such Lender Party, additional amounts sufficient to compensate such Lender Party in the light of such circumstances, to the extent that such Lender Party reasonably determines such increase in capital to be allocable to the existence of such Lender Party’s commitment to lend or to issue or participate in Letters of Credit hereunder or to the issuance or maintenance of or participation in any Letters of Credit.  A certificate as to such amounts submitted to the Borrower by such Lender Party shall be conclusive and binding for all purposes, absent manifest error.

 

(c)           If, with respect to any Eurodollar Rate Advances, the Required Lenders notify the Administrative Agent that the Eurodollar Rate for any Interest Period for such Advances will not adequately reflect the cost to such Lenders of making, funding or maintaining their Eurodollar Rate Advances for such Interest Period, the Administrative Agent shall forthwith so notify the Borrower and the Lenders, whereupon (i) each such Eurodollar Rate Advance will automatically, on the last day of the then existing Interest Period therefor, Convert into a Base Rate Advance and (ii) the obligation of the Lenders to make, or to Convert Advances into, Eurodollar Rate Advances shall be suspended until the

 

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Administrative Agent shall notify the Borrower that such Lenders have determined that the circumstances causing such suspension no longer exist.

 

(d)           Notwithstanding any other provision of this Agreement, if the introduction of or any change in or in the interpretation of any law or regulation shall make it unlawful, or any central bank or other governmental authority shall assert that it is unlawful, for any Lender or its Eurodollar Lending Office to perform its obligations hereunder to make Eurodollar Rate Advances or to continue to fund or maintain Eurodollar Rate Advances hereunder, then, on notice thereof and demand therefor by such Lender to the Borrower through the Administrative Agent, (i) each Eurodollar Rate Advance will automatically, upon such demand, Convert into a Base Rate Advance and (ii) the obligation of the Lenders to make, or to Convert Advances into, Eurodollar Rate Advances shall be suspended until the Administrative Agent shall notify the Borrower that such Lender has determined that the circumstances causing such suspension no longer exist.

 

Section 2.11  Payments and Computations.  (a)  The Borrower shall make each payment hereunder and under the Notes, irrespective of any right of counterclaim or set-off (except as otherwise provided in Section 2.15), not later than 11:00 A.M. (New York, New York time) on the day when due (or, in the case of payments made by a Guarantor pursuant to Section 8.01, on the date of demand therefor) in U.S. dollars to the Administrative Agent at the Administrative Agent’s Account in same day funds.  The Administrative Agent will promptly thereafter cause like funds to be distributed (i) if such payment by the Borrower is in respect of principal, interest, commitment fees or any other Obligation then payable hereunder and under the Notes to more than one Lender Party, to such Lender Parties for the account of their respective Applicable Lending Offices ratably in accordance with the amounts of such respective Obligations then payable to such Lender Parties (except as set forth in the second sentence of Section 2.04(b)) and (ii) if such payment by the Borrower is in respect of any Obligation then payable hereunder to one Lender Party, to such Lender Party for the account of its Applicable Lending Office, in each case to be applied in accordance with the terms of this Agreement.  Upon its acceptance of an Assignment and Acceptance and recording of the information contained therein in the Register pursuant to Section 10.07(d), from and after the effective date of such Assignment and Acceptance, the Administrative Agent shall make all payments hereunder and under the Notes in respect of the interest assigned thereby to the Lender Party assignee thereunder, and the parties to such Assignment and Acceptance shall make all appropriate adjustments in such payments for periods prior to such effective date directly between themselves.

 

(b)           If the Administrative Agent receives funds for application to the Obligations under the Loan Documents under circumstances for which the Loan Documents do not specify the Advances to which, or the manner in which, such funds are to be applied, the Administrative Agent may, but shall not be obligated to, elect to distribute such funds to each Lender Party ratably in accordance with such Lender Party’s proportionate share of the principal amount of all outstanding Advances and the Available Amount of all Letters of Credit then outstanding, in repayment or prepayment of such of the outstanding Advances or other Obligations owed to such Lender Party, and for application to such principal installments, as the Administrative Agent shall direct.

 

(c)           The Borrower hereby authorizes each Lender Party, if and to the extent payment owed to such Lender Party is not made when due hereunder or, in the case of a Lender, under the Note held by such Lender, to charge from time to time against any or all of the Borrower’s accounts with such Lender Party any amount so due (subject to the limitations on the exercise of remedies upon an Event of Default set forth in Article VI hereof and in the DIP Refinancing Orders).  Each of the Lender Parties hereby agrees to notify the Borrower promptly after any such setoff and application shall be made by such Lender Party; provided, however, that the failure to give such notice shall not affect the validity of such charge.

 

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(d)           All computations of interest based on the Base Rate shall be made by the Administrative Agent on the basis of a year of 365 or 366 days, as the case may be, and all computations of interest based on the Eurodollar Rate or the Federal Funds Rate and of fees and Letter of Credit commissions shall be made by the Administrative Agent on the basis of a year of 360 days, in each case for the actual number of days (including the first day but excluding the last day) occurring in the period for which such interest, fees or commissions are payable.  Each determination by the Administrative Agent of an interest rate, fee or commission hereunder shall be conclusive and binding for all purposes, absent manifest error.

 

(e)           Whenever any payment hereunder or under the Notes shall be stated to be due on a day other than a Business Day, such payment shall be made on the next succeeding Business Day, and such extension of time shall in such case be included in the computation of payment of interest or commitment fee, as the case may be; provided, however, that, if such extension would cause payment of interest on or principal of Eurodollar Rate Advances to be made in the next following calendar month, such payment shall be made on the next preceding Business Day.

 

(f)            Unless the Administrative Agent shall have received notice from the Borrower prior to the date on which any payment is due to any Lender Party hereunder that the Borrower will not make such payment in full, the Administrative Agent may assume that the Borrower has made such payment in full to the Administrative Agent on such date and the Administrative Agent may, in reliance upon such assumption, cause to be distributed to each such Lender Party on such due date an amount equal to the amount then due such Lender Party.  If and to the extent the Borrower shall not have so made such payment in full to the Administrative Agent, each such Lender Party shall repay to the Administrative Agent forthwith on demand such amount distributed to such Lender Party together with interest thereon, for each day from the date such amount is distributed to such Lender Party until the date such Lender Party repays such amount to the Administrative Agent, at the Federal Funds Rate.

 

Section 2.12  Taxes.  (a)  Any and all payments by any Loan Party to or for the account of any Lender Party or any Agent hereunder or under any other Loan Document shall be made, in accordance with Section 2.11 or the applicable provisions of such other Loan Document, if any, free and clear of and without deduction for any and all present or future taxes, levies, imposts, deductions, charges or withholdings, and all liabilities with respect thereto, excluding, in the case of each Lender Party and each Agent, taxes that are imposed on its overall net income by the United States and taxes that are imposed on its overall net income (and franchise taxes imposed in lieu thereof) by the state or foreign jurisdiction under the laws of which such Lender Party or such Agent, as the case may be, is organized or any political subdivision thereof and, in the case of each Lender Party, taxes that are imposed on its overall net income (and franchise taxes imposed in lieu thereof) by the state or foreign jurisdiction of such Lender Party’s Applicable Lending Office or any political subdivision thereof (all such non-excluded taxes, levies, imposts, deductions, charges, withholdings and liabilities in respect of payments hereunder or under any other Loan Document being hereinafter referred to as “Taxes”).  If any Loan Party shall be required by law to deduct any Taxes from or in respect of any sum payable hereunder or under any other Loan Document to any Lender Party or any Agent, (i) the sum payable by such Loan Party shall be increased as may be necessary so that after such Loan Party and the Administrative Agent have made all required deductions (including deductions applicable to additional sums payable under this Section 2.12) such Lender Party or such Agent, as the case may be, receives an amount equal to the sum it would have received had no such deductions been made, (ii) such Loan Party shall make all such deductions and (iii) such Loan Party shall pay the full amount deducted to the relevant taxation authority or other authority in accordance with applicable law.

 

(b)           In addition, each Loan Party shall pay any present or future stamp, documentary, excise, property, intangible, mortgage recording or similar taxes, charges or levies that arise from any

 

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payment made by such Loan Party hereunder or under any other Loan Documents or from the execution, delivery or registration of, performance under, or otherwise with respect to, this Agreement or the other Loan Documents (hereinafter referred to as “Other Taxes”).

 

(c)           The Loan Parties shall indemnify each Lender Party and each Agent for and hold them harmless against the full amount of Taxes and Other Taxes, and for the full amount of taxes of any kind imposed or asserted by any jurisdiction on amounts payable under this Section 2.12, imposed on or paid by such Lender Party or such Agent (as the case may be) and any liability (including penalties, additions to tax, interest and expenses) arising therefrom or with respect thereto.  This indemnification shall be made within 30 days from the date such Lender Party or such Agent (as the case may be) makes written demand therefor.

 

(d)           Within 30 days after the date of any payment of Taxes, the appropriate Loan Party shall furnish to the Administrative Agent, at its address referred to in Section 10.02, the original or a certified copy of a receipt evidencing such payment, to the extent such a receipt is issued therefor, or other written proof of payment thereof that is reasonably satisfactory to the Administrative Agent.  In the case of any payment hereunder or under the other Loan Documents by or on behalf of a Loan Party through an account or branch outside the United States or by or on behalf of a Loan Party by a payor that is not a United States person, if such Loan Party determines that no Taxes are payable in respect thereof, such Loan Party shall furnish, or shall cause such payor to furnish, to the Administrative Agent, at such address, an opinion of counsel acceptable to the Administrative Agent stating that such payment is exempt from Taxes.  For purposes of subsections (d) and (e) of this Section 2.12, the terms “United States” and “United States person” shall have the meanings specified in Section 7701 of the Internal Revenue Code.

 

(e)           Each Lender Party organized under the laws of a jurisdiction outside the United States shall, on or prior to the date of its execution and delivery of this Agreement in the case of each Initial Lender Party and on the date of the Assignment and Acceptance pursuant to which it becomes a Lender Party in the case of each other Lender Party, and from time to time thereafter as reasonably requested in writing by the Borrower (but only so long thereafter as such Lender Party remains lawfully able to do so), provide each of the Administrative Agent and Borrower with two original Internal Revenue Service Forms W-8BEN or W-8ECI, (in the case of a Lender Party that has certified in writing to the Administrative Agent that it is not (i) a “bank” (within the meaning of Section 881(c)(3)(A) of the Internal Revenue Code), (ii) a 10-percent shareholder (within the meaning of Section 871(h)(3)(B) of the Internal Revenue Code) of any Loan Party or (iii) a controlled foreign corporation related to the Borrower (within the meaning of Section 864(d)(4) of the Internal Revenue Code), Internal Revenue Service Form W-8BEN,) as appropriate, or any successor or other form prescribed by the Internal Revenue Service, certifying that such Lender Party is exempt from or entitled to a reduced rate of United States withholding tax on payments pursuant to this Agreement or the other Loan Documents or, in the case of a Lender Party that has certified that it is not a “bank” as described above, certifying that such Lender Party is a foreign corporation, partnership, estate or trust.  If the forms provided by a Lender Party at the time such Lender Party first becomes a party to this Agreement indicate a United States interest withholding tax rate in excess of zero, withholding tax at such rate shall be considered excluded from Taxes unless and until such Lender Party provides the appropriate forms certifying that a lesser rate applies, whereupon withholding tax at such lesser rate only shall be considered excluded from Taxes for periods governed by such forms; provided, however, that if, at the effective date of the Assignment and Acceptance pursuant to which a Lender Party becomes a party to this Agreement, the Lender Party assignor was entitled to payments under subsection (a) of this Section 2.12 in respect of United States withholding tax with respect to interest paid at such date, then, to such extent, the term Taxes shall include (in addition to withholding taxes that may be imposed in the future or other amounts otherwise includable in Taxes) United States withholding tax, if any, applicable with respect to the Lender Party assignee on such date.

 

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If any form or document referred to in this subsection (e) requires the disclosure of information, other than information necessary to compute the tax payable and information required on the date hereof by Internal Revenue Service Form W-8BEN or W-8ECI, or the related certificate described above, that the applicable Lender Party reasonably considers to be confidential, such Lender Party shall give notice thereof to the Borrower and shall not be obligated to include in such form or document such confidential information.

 

(f)            For any period with respect to which a Lender Party has failed to provide the Borrower with the appropriate form, certificate or other document described in subsection (e) above (other than if such failure is due to a change in law, or in the interpretation or application thereof, occurring after the date on which a form, certificate or other document originally was required to be provided or if such form, certificate or other document otherwise is not required under subsection (e) above), such Lender Party shall not be entitled to indemnification under subsection (a) or (c) of this Section 2.12 with respect to Taxes imposed by the United States by reason of such failure; provided that should a Lender Party become subject to Taxes because of its failure to deliver a form, certificate or other document required hereunder, the Loan Parties shall take such steps as such Lender Party shall reasonably request to assist such Lender Party to recover such taxes.

 

Section 2.13  Sharing of Payments, Etc.  If any Lender Party shall obtain at any time any payment, whether voluntary, involuntary, through the exercise of any right of set-off, or otherwise (other than pursuant to Section 2.10, 2.12, 10.04 or 10.07), (a) on account of Obligations due and payable to such Lender Party hereunder and under the Notes at such time in excess of its ratable share (according to the proportion of (i) the amount of such Obligations due and payable to such Lender Party at such time (other than pursuant to Section 2.10, 2.12, 10.04 or 10.07) to (ii) the aggregate amount of the Obligations due and payable to all Lender Parties hereunder and under the Notes at such time) of payments on account of the Obligations due and payable to all Lender Parties hereunder and under the Notes at such time obtained by all the Lender Parties at such time or (b) on account of Obligations owing (but not due and payable) to such Lender Party hereunder and under the Notes at such time (other than pursuant to Section 2.10, 2.12, 10.04 or 10.07) in excess of its ratable share (according to the proportion of (i) the amount of such Obligations owing to such Lender Party at such time (other than pursuant to Section 2.10, 2.12, 10.04 or 10.07) to (ii) the aggregate amount of the Obligations owing (but not due and payable) to all Lender Parties hereunder and under the Notes at such time) of payments on account of the Obligations owing (but not due and payable) to all Lender Parties hereunder and under the Notes at such time obtained by all of the Lender Parties at such time, such Lender Party shall forthwith purchase from the other Lender Parties such participations in the Obligations due and payable or owing to them, as the case may be, as shall be necessary to cause such purchasing Lender Party to share the excess payment ratably with each of them; provided, however, that, if all or any portion of such excess payment is thereafter recovered from such purchasing Lender Party, such purchase from each other Lender Party shall be rescinded and such other Lender Party shall repay to the purchasing Lender Party the purchase price to the extent of such Lender Party’s ratable share (according to the proportion of (i) the purchase price paid to such Lender Party to (ii) the aggregate purchase price paid to all Lender Parties) of such recovery together with an amount equal to such Lender Party’s ratable share (according to the proportion of (i) the amount of such other Lender Party’s required repayment to (ii) the total amount so recovered from the purchasing Lender Party) of any interest or other amount paid or payable by the purchasing Lender Party in respect of the total amount so recovered.  The Borrower agrees that any Lender Party so purchasing a participation from another Lender Party pursuant to this Section 2.13 may, to the fullest extent permitted by law, exercise all its rights of payment (including the right of set-off) with respect to such participation as fully as if such Lender Party were the direct creditor of the Borrower in the amount of such participation.  Notwithstanding the foregoing, this Section 2.13 shall not apply to the repayment of any Revolving Credit Advances pursuant to the second sentence of Section 2.04(b).

 

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Section 2.14  Use of Proceeds.  The proceeds of the Revolving Credit Advances and the Term Advances shall only be utilized (i) to refinance the obligations outstanding under the Existing DIP Agreement, (ii) to pay fees, costs and expenses in connection with such refinancing, the Facilities and the Cases, and (iii) to provide financing for working capital, letters of credit, capital expenditures and other general corporate purposes of the Borrower and the Guarantors, including but not limited to Investments in other Subsidiaries of the Loan Parties to the extent not prohibited under this Agreement.

 

Section 2.15  Defaulting Lenders.  (a)  In the event that, at any time, (i) any Lender Party shall be a Defaulting Lender, (ii) such Defaulting Lender shall owe a Defaulted Advance to the Borrower and (iii) the Borrower shall be required to make any payment hereunder or under any other Loan Document to or for the account of such Defaulting Lender, then the Borrower may, so long as no Default shall occur or be continuing at such time and to the fullest extent permitted by applicable law, set off and otherwise apply the Obligation of the Borrower to make such payment to or for the account of such Defaulting Lender against the obligation of such Defaulting Lender to make such Defaulted Advance.  In the event that, on any date, the Borrower shall so set off and otherwise apply its obligation to make any such payment against the obligation of such Defaulting Lender to make any such Defaulted Advance on or prior to such date, the amount so set off and otherwise applied by the Borrower shall constitute for all purposes of this Agreement and the other Loan Documents an Advance by such Defaulting Lender made on the date under the Facility pursuant to which such Defaulted Advance was originally required to have been made pursuant to Section 2.01.  Such Advance shall be considered, for all purposes of this Agreement, to comprise part of the Borrowing in connection with which such Defaulted Advance was originally required to have been made pursuant to Section 2.01, even if the other Advances comprising such Borrowing shall be Eurodollar Rate Advances on the date such Advance is deemed to be made pursuant to this subsection (a).  The Borrower shall notify the Administrative Agent at any time the Borrower exercises its right of set-off pursuant to this subsection (a) and shall set forth in such notice (A) the name of the Defaulting Lender and the Defaulted Advance required to be made by such Defaulting Lender and (B) the amount set off and otherwise applied in respect of such Defaulted Advance pursuant to this subsection (a).  Any portion of such payment otherwise required to be made by the Borrower to or for the account of such Defaulting Lender which is paid by the Borrower, after giving effect to the amount set off and otherwise applied by the Borrower pursuant to this subsection (a), shall be applied by the Administrative Agent as specified in subsection (b) or (c) of this Section 2.15.

 

(b)           In the event that, at any time, (i) any Lender Party shall be a Defaulting Lender, (ii) such Defaulting Lender shall owe a Defaulted Amount to the Administrative Agent or any of the other Lender Parties and (iii) the Borrower shall make any payment hereunder or under any other Loan Document to the Administrative Agent for the account of such Defaulting Lender, then the Administrative Agent may, on its behalf or on behalf of such other Lender Parties and to the fullest extent permitted by applicable law, apply at such time the amount so paid by the Borrower to or for the account of such Defaulting Lender to the payment of each such Defaulted Amount to the extent required to pay such Defaulted Amount.  In the event that the Administrative Agent shall so apply any such amount to the payment of any such Defaulted Amount on any date, the amount so applied by the Administrative Agent shall constitute for all purposes of this Agreement and the other Loan Documents payment, to such extent, of such Defaulted Amount on such date.  Any such amount so applied by the Administrative Agent shall be retained by the Administrative Agent or distributed by the Administrative Agent to such other Lender Parties, ratably in accordance with the respective portions of such Defaulted Amounts payable at such time to the Administrative Agent and such other Lender Parties and, if the amount of such payment made by the Borrower shall at such time be insufficient to pay all Defaulted Amounts owing at such time to the Administrative Agent and the other Lender Parties, in the following order of priority:

 

(i)            first, to the Administrative Agent for any Defaulted Amount then owing to the Administrative Agent in its capacity as Administrative Agent; and

 

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(ii)           second, to the Issuing Banks for any Defaulted Amounts then owing to them, in their capacities as such, ratably in accordance with such respective Defaulted Amounts then owing to the Issuing Banks; and
 
(iii)          third, to any other Lender Parties for any Defaulted Amounts then owing to such other Lender Parties, ratably in accordance with such respective Defaulted Amounts then owing to such other Lender Parties.
 

Any portion of such amount paid by the Borrower for the account of such Defaulting Lender remaining, after giving effect to the amount applied by the Administrative Agent pursuant to this subsection (b), shall be applied by the Administrative Agent as specified in subsection (c) of this Section 2.15.

 

(c)           In the event that, at any time, (i) any Lender Party shall be a Defaulting Lender, (ii) such Defaulting Lender shall not owe a Defaulted Advance or a Defaulted Amount and (iii) the Borrower, the Administrative Agent or any other Lender Party shall be required to pay or distribute any amount hereunder or under any other Loan Document to or for the account of such Defaulting Lender, then the Borrower or such other Lender Party shall pay such amount to the Administrative Agent to be held by the Administrative Agent, to the fullest extent permitted by applicable law, in escrow or the Administrative Agent shall, to the fullest extent permitted by applicable law, hold in escrow such amount otherwise held by it.  Any funds held by the Administrative Agent in escrow under this subsection (c) shall be deposited by the Administrative Agent in an account in the name and under the control of the Administrative Agent, but subject to the provisions of this subsection (c).  The terms applicable to such account, including the rate of interest payable with respect to the credit balance of such account from time to time, shall be such escrow bank’s standard terms applicable to escrow accounts maintained with it.  Any interest credited to such account from time to time shall be held by the Administrative Agent in escrow under, and applied by the Administrative Agent from time to time in accordance with the provisions of, this subsection (c).  The Administrative Agent shall, to the fullest extent permitted by applicable law, apply all funds so held in escrow from time to time to the extent necessary to make any Advances required to be made by such Defaulting Lender and to pay any amount payable by such Defaulting Lender hereunder and under the other Loan Documents to the Administrative Agent or any other Lender Party, as and when such Advances or amounts are required to be made or paid and, if the amount so held in escrow shall at any time be insufficient to make and pay all such Advances and amounts required to be made or paid at such time, in the following order of priority:

 

(i)            first, to the Administrative Agent for any amount then due and payable by such Defaulting Lender to the Administrative Agent hereunder in its capacity as Administrative Agent;
 
(ii)           second, to the Issuing Banks for any amounts then due and payable to them hereunder, in their capacities as such, by such Defaulting Lender, ratably in accordance with such respective amounts then due and payable to the Issuing Banks;
 
(iii)          third, to any other Lender Parties for any amount then due and payable by such Defaulting Lender to such other Lender Parties hereunder, ratably in accordance with such respective amounts then due and payable to such other Lender Parties; and
 
(iv)          fourth, to the Borrower for any Advance then required to be made by such Defaulting Lender pursuant to a Commitment of such Defaulting Lender.
 

(x) In the event that any Lender Party that is a Defaulting Lender shall, at any time, cease to be a Defaulting Lender, and (y) at any time after all principal, interest and other outstanding amounts under the Loan Documents are repaid on or after the Termination Date, any funds held by the Administrative Agent

 

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in escrow at such time with respect to such Lender Party shall be distributed by the Administrative Agent to such Lender Party and applied by such Lender Party to the Obligations owing to such Lender Party at such time under this Agreement and the other Loan Documents ratably in accordance with the respective amounts of such Obligations outstanding at such time; provided that no adjustments will be made retroactively with respect to fees accrued or payments made by or on behalf of the Borrower while such Lender was a Defaulting Lender; and provided, further, that except to the extent otherwise expressly agreed by the affected parties, no change hereunder from Defaulting Lender or Potential Defaulting Lender to Non-Defaulting Lender will constitute a waiver or release of any claim of any party hereunder arising from such Lender’s having been a Defaulting Lender or Potential Defaulting Lender.

 

(d)           The rights and remedies against a Defaulting Lender under this Section 2.15 are in addition to other rights and remedies that the Borrower may have against such Defaulting Lender with respect to any Defaulted Advance and that the Administrative Agent or any Lender Party may have against such Defaulting Lender with respect to any Defaulted Amount.

 

Section 2.16  Evidence of Debt.  (a)  The Advances made by each Lender shall be evidenced by one or more accounts or records maintained by such Lender and by the Administrative Agent in the ordinary course of business.  The accounts or records maintained by the Administrative Agent and each Lender shall be conclusive absent manifest error of the amount of the Advances made by the Lenders to the Borrower and the interest and payments thereon.  Any failure to so record or any error in doing so shall not, however, limit or otherwise affect the obligation of the Borrower hereunder to pay any amount owing with respect to the Obligations.  In the event of any conflict between the accounts and records maintained by any Lender and the accounts and records of the Administrative Agent in respect of such matters, the accounts and records of the Administrative Agent shall control in the absence of manifest error.  Upon the request of any Lender made through the Administrative Agent, the Borrower shall execute and deliver to such Lender (through the Administrative Agent) a Note, which shall evidence such Lender’s Advances in addition to such accounts or records.  Each Lender may attach schedules to its Note and endorse thereon the date, amount and maturity of its Advances and payments with respect thereto.(b) In addition to the accounts and records referred to in subsection (a), each Lender and the Administrative Agent shall maintain in accordance with its usual practice accounts or records evidencing the purchases and sales by such Lender of participations in Letters of Credit.  In the event of any conflict between the accounts and records maintained by the Administrative Agent and the accounts and records of any Lender in respect of such matters, the accounts and records of the Administrative Agent shall control in the absence of manifest error.

 

Section 2.17  Priority and Liens.  (a)  Each of the Borrower and each Guarantor hereby covenants, represents and warrants that, upon entry of the DIP Refinancing Orders, the Obligations of the Borrower and such Guarantor hereunder and under the Loan Documents:  (i) pursuant to section 364(c)(1) of the Bankruptcy Code, shall at all times constitute an allowed Superpriority Claim; (ii) pursuant to section 364(c)(2) of the Bankruptcy Code, shall at all times be secured by a perfected first priority Lien on all unencumbered tangible and intangible property of the Borrower and such Guarantor and on all cash maintained in the L/C Cash Collateral Account and any investments of the funds contained therein, including any such property that is subject to valid and perfected Liens in existence on the Petition Date, which Liens are thereafter released or otherwise extinguished in connection with the satisfaction of the obligations secured by such Liens (excluding any avoidance actions under the Bankruptcy Code (but including the proceeds therefrom)); (iii) pursuant to section 364(c)(3) of the Bankruptcy Code, shall be secured by a perfected Lien upon all real, personal and mixed property of the Borrower and such Guarantor that is subject to valid and perfected Liens in existence on the Petition Date, junior to such valid and perfected Liens (other than Liens securing the Unrolled Pre-Petition Secured Indebtedness), and (iv) pursuant to section 364(d)(1), shall be secured by a perfected priming Lien upon all tangible and

 

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intangible property of the Borrower and such Guarantor that secure the Unrolled Pre-Petition Secured Indebtedness; provided that the foregoing shall be subject in all respects to the Carve-Out.

 

(b)           Except for the Carve-Out having priority over the Obligations, the Superpriority Claims shall at all times be senior to the rights of the Borrower, each Guarantor, any chapter 11 trustee and, subject to section 726 of the Bankruptcy Code, any chapter 7 trustee, or any other creditor (including, without limitation, post-petition counterparties and other post-petition creditors) in the Cases or any subsequent proceedings under the Bankruptcy Code, including, without limitation, any chapter 7 cases if any of the Borrower’s or the Guarantor’s cases are converted to cases under chapter 7 of the Bankruptcy Code.

 

Section 2.18  Payment of Obligations.  Subject to the provisions of Section 6.01 and the DIP Refinancing Orders, upon the maturity (whether by acceleration or otherwise) of any of the Obligations under this Agreement or any of the other Loan Documents of the Borrower and the Guarantors, the Lender Parties shall be entitled to immediate payment of such Obligations without further application to or order of the Bankruptcy Court.

 

Section 2.19  No Discharge: Survival of Claims.  Each of the Borrower and each Guarantor agree that (i) its Obligations under this Agreement or any of the Loan Documents shall not be discharged by the entry of an order confirming any Reorganization Plan (and each of the Borrower and each Guarantor, pursuant to section 1141(d)(4) of the Bankruptcy Code hereby waives any such discharge), (ii) the Superpriority Claim granted to the Administrative Agent and the Lender Parties pursuant to the DIP Refinancing Orders and described in Section 2.17 and the Liens granted to the Administrative Agent and the Lender Parties pursuant to the DIP Refinancing Orders and described in Section 2.17 shall not be affected in any manner by the entry of any order by the Bankruptcy Court, including an order confirming any Reorganization Plan, and (iii) notwithstanding the terms of any Reorganization Plan, its Obligations hereunder and under each other Loan Document shall be repaid in full in accordance with the terms hereof and the terms of the DIP Refinancing Orders and the other Loan Documents.

 

Section 2.20  Replacement of Certain Lenders.  In the event a Lender shall have (a) become a Defaulting Lender under Section 2.15, (b) requested compensation from the Borrowers under Section 2.12 with respect to Taxes or Other Taxes or with respect to increased costs or capital or under Section 2.10 or other additional costs incurred by such Lender which, in any case, are not being incurred generally by the other Lenders, (c) delivered a notice pursuant to Section 2.10(d) claiming that such Lender is unable to extend Eurodollar Rate Advances to the Borrower for reasons not generally applicable to the other Lenders or (d) become a Non-Consenting Lender (in each case, an “Affected Lender”), then, in any case, the Borrower or the Administrative Agent may make written demand on such Affected Lender (with a copy to the Administrative Agent in the case of a demand by the Borrower and a copy to the Borrower in the case of a demand by the Administrative Agent) for the Affected Lender to assign, and such Affected Lender shall assign pursuant to one or more duly executed Assignments and Acceptances within 5 Business Days after the date of such demand, to one or more financial institutions that the Borrower or the Administrative Agent, as the case may be, shall have engaged for such purpose, all of such Affected Lender’s rights and obligations under this Agreement and the other Loan Documents (including, without limitation, its Commitment, all Advances owing to it, all of its participation interests in existing Letters of Credit, and its obligation to participate in additional Letters of Credit hereunder), in accordance with Section 10.07.  The Administrative Agent is authorized to execute one or more of such Assignments and Acceptances as attorney-in-fact for any Affected Lender failing to execute and deliver the same within 5 Business Days after the date of such demand.  Further, with respect to such assignment, the Affected Lender shall have concurrently received, in cash, all amounts due and owing to the Affected Lender hereunder or under any other Loan Document; provided that upon such Affected Lender’s

 

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replacement, such Affected Lender shall cease to be a party hereto but shall continue to be entitled to the benefits of Sections 2.10 and 10.04, as well as to any fees accrued for its account hereunder and not yet paid, and shall continue to be obligated under Section 7.09 with respect to losses, obligations, liabilities, damages, penalties, actions, judgments, costs, expenses or disbursements for matters which occurred prior to the date the Affected Lender is replaced.

 

ARTICLE III

CONDITIONS TO EFFECTIVENESS

 

Section 3.01  Conditions Precedent to Effectiveness.  The obligation of each Term Lender to make a Term Advance pursuant to Section 2.01(a), the initial obligation of the Revolving Credit Lenders to make Revolving Credit Advances, and the obligation of any Issuing Bank to issue the initial Letter of Credit are, in each case, subject to the satisfaction of the following conditions precedent (the first date on which all such conditions shall have been satisfied or waived being the “Effective Date”):

 

(a)           The Administrative Agent shall have received on or before the Effective Date the following, each dated such day (unless otherwise specified), in form and substance reasonably satisfactory to the Administrative Agent (it being agreed that documents delivered in substantially the form and substance of the corresponding documents delivered under Section 3.01 of the Existing DIP Agreement, mutatis mutandis, are satisfactory to the Administrative Agent), and (except for the Notes) in sufficient copies for each Initial Lender:

 

(i)            The Notes payable to the order of the Lenders to the extent requested in accordance with Section 2.16(a).
 
(ii)           Certified copies of the resolutions of the boards of directors of each of the Borrower and each Guarantor approving the execution and delivery of this Agreement.
 
(iii)          Unless the applicable Guarantor certifies as to the accuracy and completeness as of the Effective Date of the copies of the charter or other constitutive document delivered in connection with the Existing DIP Agreement, a copy of the charter or other constitutive document of each Guarantor and each amendment thereto, certified (as of a date reasonably near the Effective Date), if applicable, by the Secretary of State of the jurisdiction of its incorporation or organization, as the case may be, thereof as being a true and correct copy thereof.
 
(iv)          A certificate of each of the Borrower and each Guarantor signed on behalf of the Borrower and such Guarantor, respectively, by its President or a Vice President and its Secretary or any Assistant Secretary, dated the Effective Date (the statements made in which certificate shall be true on and as of the Effective Date), certifying as to (A) the accuracy and completeness as of the Effective Date of the charter of the Borrower or such Guarantor delivered in connection with this Agreement (or in connection with the Existing DIP Agreement) and the absence of any changes thereto; (B) the accuracy and completeness of the bylaws (or equivalent organizational document) delivered in connection with this Agreement (or in connection with the Existing DIP Agreement) of the Borrower or such Guarantor as in effect on the date on which the resolutions of the board of directors (or persons performing similar functions) of such Person referred to in Section 3.01(a)(ii) were adopted and the absence of any changes

 

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thereto; and (C) the absence of any proceeding known to be pending or threatened in writing for the dissolution, liquidation or other termination of the existence of the Borrower or any Guarantor.
 
(v)           A certificate of the Secretary or an Assistant Secretary of each of the Borrower and each Guarantor certifying the names and true signatures of the officers of the Borrower and such Guarantor, respectively, authorized to sign this Agreement and the other documents to be delivered hereunder.
 
(vi)          The following:  (A) such certificates representing the Initial Pledged Equity of domestic entities referred to on Schedule IV hereto, accompanied by undated stock powers, duly executed in blank, and such instruments evidencing the Initial Pledged Debt referred to on Schedule V hereto, duly indorsed in blank, as the Loan Parties may be able to deliver using their reasonable best efforts, (B) proper financing statements (Form UCC-1 or a comparable form) under the UCC of all jurisdictions that the Administrative Agent may deem necessary or desirable in order to perfect and protect the Liens and security interest created or purported to be created under Article IX hereof, covering the Collateral described in Article IX hereof, in each case completed in a manner reasonably satisfactory to the Lender Parties, and (C) evidence of insurance as reasonably requested by the Administrative Agent.
 
(vii)         An intellectual property security agreement (as amended, supplemented or otherwise modified from time to time in accordance with its terms, the “Intellectual Property Security Agreement”), duly executed by each Loan Party, together with evidence that all actions that the Administrative Agent may deem reasonably necessary or desirable in order to perfect and protect the first priority Liens and security interests created under the Intellectual Property Security Agreement in the United States have been taken or will be taken in accordance with the terms of the Loan Documents; provided that it is understood and agreed that the “Intellectual Property Security Agreement” delivered under (and as defined in) the Existing DIP Agreement shall satisfy this condition in all respects with respect to each Loan Party party thereto if the representations and warranties made by such Loan Party therein, including without limitation those referencing the schedules thereto, are true and correct in all material respects as of the Effective Date.
 
(viii)        A forecast reasonably satisfactory to the Administrative Agent detailing the Borrower’s anticipated monthly income statement, balance sheet and cash flow statement, each on a Consolidated basis for the Borrower and its Subsidiaries, together with a written set of assumptions supporting such statements, for each month during the period commencing on the Effective Date and ending on the month of December 2010 and setting forth the anticipated aggregate maximum amount of utilization of the Commitments on a monthly basis.
 
(ix)           A DIP Budget reasonably satisfactory to the Administrative Agent.
 
(x)            A Notice of Borrowing for any Borrowing to be made, and/or one or more Letter of Credit Applications for each Letter of Credit (other than Existing Letters of Credit) to be issued, on the Effective Date.
 
(xi)           A favorable opinion of Kirkland & Ellis LLP, counsel to the Loan Parties, in substantially the form of Exhibit D-1 hereto consistent in all material respects

 

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with the corresponding opinion delivered in connection with the Existing DIP Agreement.
 

(b)           Interim Order.  The Initial Lenders shall have received, on or before the Effective Date, a certified copy of an order entered by the Bankruptcy Court in substantially the form of Exhibit E, or otherwise in form and substance reasonably satisfactory to the Administrative Agent (the “Interim Order”), approving the Loan Documents and granting the Superpriority Claim status and the Liens described in Section 2.17, which Interim Order (i)(A) shall authorize extensions of credit in the aggregate amount of up to $450,000,000, and (B) shall approve the payment by the Borrower of all of the fees and expenses that are required to be paid in connection with the Facilities; (ii) shall have authorized the use by the Borrower and the Guarantors of any cash collateral in which any Pre-Petition Secured Creditor under the Pre-Petition Security Agreement may have an interest and shall have provided, as adequate protection for the use of such cash collateral and the aggregate reduction in the Pre-Petition Collateral as a consequence of the priming Liens described in Section 2.17 and the imposition of the automatic stay pursuant to section 362 of the Bankruptcy Code, for (A) the monthly cash payment of current interest and letter of credit fees on the Pre-Petition Secured Indebtedness at the applicable non-default rates applicable on the Petition Date pursuant to the Pre-Petition Document, (B) a superpriority claim as contemplated by section 507(b) of the Bankruptcy Code, limited in amount to the diminution in value of the Pre-Petition Collateral to the extent of the Pre-Petition Secured Indebtedness, resulting from the sale, lease or use by the Borrower and the Guarantors of any Pre-Petition Collateral, the priming Liens described in Section 2.17 and the imposition of the automatic stay pursuant to section 362 of the Bankruptcy Code, immediately junior to the claims under section 364(c)(1) of the Bankruptcy Code held by the Administrative Agent and the Lenders (without the requirement to file any motion or pleading or to make any demand) and subject to the payment of the Carve-Out, (C) a Lien on substantially all of the assets of the Borrower and the Guarantors having a priority immediately junior to the Liens granted in favor of the Administrative Agent and the Lenders hereunder and under the other Loan Documents and (D) the payment on a current basis of the reasonable fees and disbursements of respective professionals (including, but not limited to, the reasonable fees and disbursements of counsel and advisers as permitted under the Pre-Petition Document) for the Pre-Petition Agent and the continuation of the payment to the Pre-Petition Agent on a current basis of the fees that are provided for under the Pre-Petition Security Agreement; (iii) shall be in full force and effect; and (iv) shall not have been stayed, reversed, modified or amended in any respect.

 

(c)           Payments under Existing DIP Agreement.  The Borrower shall have paid, concurrently with the funding of the Term Advances, all principal, interest and fees and any and all other outstanding amounts payable under the Existing DIP Agreement, including, without limitation, fees then due and payable under Sections 2.08(c) and 2.08(e) of the Existing DIP Agreement.

 

(d)           Payment of Fees.  The Borrower shall have paid all accrued fees and expenses then due and payable of the Bookrunners, the Administrative Agent and the Initial Lenders.

 

(e)           Others.

 

(i)            The Administrative Agent shall be satisfied in its reasonable judgment that, except as authorized by the Interim Order, there shall not occur as a result of, and after giving effect to, the Initial Extension of Credit, a default (or any event which with the giving of notice or lapse of time or both would be a default) under any of the Borrower’s, the Guarantors’ or their respective Subsidiaries’ debt instruments and other

 

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Material Contracts which, in the case of the Borrower’s or any Guarantor’s debt instruments and other Material Contracts, would permit the counterparty thereto to exercise remedies thereunder after the Effective Date.
 
(ii)           There shall exist no action, suit, investigation, litigation or proceeding pending or threatened in any court or before any arbitrator or governmental instrumentality (other than the Cases) that would not be stayed and (i) would reasonably be expected to result in a Material Adverse Change during the term of the Cases or (ii) restrains, prevents or imposes or would reasonably be expected to impose materially adverse conditions upon the Facilities or the transactions contemplated hereby.
 
(iii)          All necessary governmental and third party consents and approvals necessary in connection with the Facilities and the transactions contemplated hereby shall have been obtained (without the imposition of any adverse conditions that are not reasonably acceptable to the Lenders) and shall remain in effect; and no law or regulation shall be applicable in the judgment of the Administrative Agent that restrains, prevents or imposes materially adverse conditions upon the Facilities or the transactions contemplated hereby.
 
(iv)          The Administrative Agent shall have received, to the extent requested, all documentation and other information required by regulatory authorities under applicable “know your customer” and anti-money laundering rules and regulations, including the Patriot Act.
 
(v)           The Administrative Agent shall have received endorsements naming the Administrative Agent, on behalf of the Lenders, as an additional insured and loss payee under all insurance policies to be maintained with respect to the properties of the Borrower, the Guarantors and their respective Subsidiaries forming part of the Collateral.
 
(vi)          The Administrative Agent shall have received, with respect to each Material Real Property, each of the following, in form and substance reasonably satisfactory to the Administrative Agent:
 
(A)          evidence that “Mortgages” under and as defined in the Existing DIP Agreement (the “Existing Mortgages”) and other documents required to be delivered under Section 5.01(l) of the Existing DIP Agreement shall have been delivered;
 
(B)           evidence that mortgage amendments, supplements and restatements in form and substance reasonably satisfactory to the Administrative Agent (the “Mortgage Amendments”) with respect to each of the Existing Mortgages shall have been duly executed, acknowledged and delivered by a duly authorized officer of each party thereto and are in form suitable for filing and recording in all filing or recording offices that the Administrative Agent may deem necessary or desirable in order to continue to create a valid and enforceable first priority Lien in favor of the Administrative Agent for the benefit of itself and the Secured Parties;
 
(C)           fully paid title searches, mortgage amendment endorsements and date-down endorsements to the existing Title Insurance Policies or the equivalent or other form available in each applicable jurisdiction in form and substance reasonably acceptable to the Administrative Agent; and

 

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(D)          evidence that all fees, costs and expenses have been paid in connection with the preparation, execution, filing and recordation of the Mortgage Amendments, including, without limitation, reasonable attorneys’ fees, filing and recording fees, title insurance company coordination fees, documentary stamp, mortgage and intangible taxes and title search charges and other charges incurred in connection with the recordation of the Mortgage Amendments;
 

provided, however, that if the Borrower is unable to deliver one or more of the items described in Section 3.01(e)(vi) above after the exercise of commercially reasonable efforts, delivery of such undelivered items shall not be a condition precedent under this Section 3.01, and the Borrower hereby agrees to deliver such items to the Administrative Agent within 30 days after the Effective Date.

 

Section 3.02  Conditions Precedent to Each Borrowing and Each Issuance of a Letter of Credit.  Each of (a) the obligation of each Appropriate Lender to make an Advance (other than a Letter of Credit Advance to be made by the Issuing Banks or a Lender pursuant to Section 2.03(c)) on the occasion of each Borrowing, including a Term Advance pursuant to Section 2.01(a), and (b) the obligation of the Issuing Banks to issue a Letter of Credit (other than the Existing Letter of Credit) or to renew a Letter of Credit, shall be subject to the further conditions precedent that on the date of such Borrowing, issuance or renewal:

 

(i)            the following statements shall be true (and each of the giving of the applicable Notice of Borrowing or Letter of Credit Application and the acceptance by the Borrower of the proceeds of such Borrowing or the issuance or renewal of such Letter of Credit, as the case may be, shall constitute a representation and warranty by the Borrower that both on the date of such notice and on the date of such Borrowing, issuance or renewal such statements are true):
 
(A)          the representations and warranties contained in each Loan Document, are correct in all material respects (provided that any representation and warranty that is qualified as to “materiality”, “Material Adverse Effect” or similar language shall be true and correct in all respects) on and as of such date, immediately before and immediately after giving effect to such Borrowing, issuance or renewal and to the application of the proceeds therefrom, as though made on and as of such date, other than any such representations or warranties that, by their terms, refer to a specific date other than the date of such Borrowing, issuance or renewal, in which case such representations or warranties were true and correct in all material respects (provided that any representation and warranty that is qualified as to “materiality”, “Material Adverse Effect” or similar language were true and correct in all respects) as of such specific date;
 
(B)           no event has occurred and is continuing, or would result from such Borrowing, issuance or renewal or from the application of the proceeds, if any, therefrom, that constitutes a Default; and
 
(C)           the Interim Order is in full force and effect and has not been stayed, reversed, modified or amended in any respect without the prior written consent of the Required Lenders; provided that no later than 21 days after the entry of the Interim Order, the Administrative Agent and each of the Lenders shall have received a copy of a final order of the Bankruptcy Court entered in the Cases, in substantially the form of the Interim Order (and which may be embodied in the same document as the Interim Order), with such modifications thereto as are satisfactory to the Required Lenders including the modifications described in this Section 3.02(b)(i)(C) (the “Final Order”), which, in any

 

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event, (w) shall be in full force and effect, (x) shall authorize on a final basis an extension of credit in respect of the Term Facility in the aggregate amount of up to $300,000,000 and in respect of the Revolving Credit Facility in the aggregate amount of up to $150,000,000, (y) shall authorize on a final basis the repayment of all principal, interest, fees and any and all other outstanding amounts payable under the Existing DIP Agreement, including, without limitation, fees then due and payable under Sections 2.08(c) and 2.08(e) of the Existing DIP Agreement and (z) shall not have been stayed, reversed, modified or amended without the prior written consent of the Required Lenders in any respect; and
 
(ii)           the Lenders shall have received the Borrowing Base Certificate most recently required to be delivered pursuant to Section 5.03(p).
 

Section 3.03  Determinations Under Sections 3.01 and 3.03.  For purposes of determining compliance with the conditions specified in Section 3.01, each Lender Party shall be deemed to have consented to, approved or accepted or to be satisfied with each document or other matter required thereunder to be consented to or approved by or acceptable or satisfactory to the Lender Parties unless an officer of the Administrative Agent responsible for the transactions contemplated by the Loan Documents shall have received notice from such Lender Party prior to the Effective Date specifying its objection thereto, and if a Borrowing occurs on the Effective Date, such Lender Party shall not have made available to the Administrative Agent such Lender Party’s ratable portion of such Borrowing.

 

ARTICLE IV

REPRESENTATIONS AND WARRANTIES

 

Section 4.01  Representations and Warranties of the Loan Parties. Each Loan Party represents and warrants as follows:

 

(a)           Each Loan Party and each of its Subsidiaries (i) is a corporation, limited liability company or limited partnership duly organized, validly existing and in good standing (or its equivalent) under the laws of the jurisdiction of its incorporation or formation, except where the failure to be so duly organized, validly existing or in good standing in the case of a Foreign Subsidiary has not had, or would not reasonably be expected to have, a Material Adverse Effect, (ii) is duly qualified and in good standing as a foreign corporation or company in each other jurisdiction in which it owns or leases property or in which the conduct of its business requires it to so qualify or be licensed except where the failure to so qualify or be licensed would not be reasonably likely to have a Material Adverse Effect, and (iii) subject to the entry by the Bankruptcy Court of (x) the Interim Order at any time prior to the entry of the Final Order and (y) the Final Order at any time thereafter, has all requisite power and authority (including, without limitation, all governmental licenses, permits and other approvals) to own or lease and operate its properties and to carry on its business as now conducted and as proposed to be conducted, except where the failure to have such power or authority, individually or in the aggregate, would not reasonably be expected to result in a Material Adverse Effect.  All of the outstanding capital stock of each Loan Party (other than the Borrower) has been validly issued, is fully paid and non-assessable and is owned by the Persons listed on Schedule 4.01(a) hereto in the percentages specified on Schedule 4.01(a) hereto free and clear of all Liens, except those created under the Collateral Documents or otherwise permitted under Section 5.02(a) hereof.

 

(b)           Set forth on Schedule 4.01(a) hereto is a complete and accurate list of all Subsidiaries of the Borrower, showing as of the Effective Date (as to each such Subsidiary) the

 

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jurisdiction of its incorporation or organization, as the case may be, and the percentage of the Equity Interests owned (directly or indirectly) by the Borrower or its Subsidiaries.  Set forth on Schedule 4.01(b) hereto is a complete and accurate list of all Loan Parties, showing as of the date hereof (as to each Loan Party) the jurisdiction of its incorporation and its U.S. taxpayer identification number.  The copy of the charter of each Loan Party and each amendment thereto provided pursuant to Section 3.01(a)(iii) is a true and correct copy of each such document as of the Effective Date, each of which is valid and in full force and effect.

 

(c)           Subject to the entry of the Interim Order by the Bankruptcy Court, the execution, delivery and performance by each Loan Party of this Agreement, the Notes and each other Loan Document to which it is or is to be a party, and the consummation of each aspect of the transactions contemplated hereby, are within such Loan Party’s constitutive powers, have been duly authorized by all necessary constitutive action, and do not (i) contravene such Loan Party’s constitutive documents, (ii) violate any law (including, without limitation, the Securities Exchange Act of 1934), rule, regulation (including, without limitation, Regulation X of the Board of Governors of the Federal Reserve System), order, writ, judgment, injunction, decree, determination or award applicable to such Loan Party, (iii) conflict with or result in the breach of, or constitute a default under, any contract, loan agreement, indenture, mortgage, deed of trust, lease or other instrument binding on or affecting any Loan Party, or any of their properties to the extent the same is enforceable after the Petition Date or (iv) except for the Liens created under the Loan Documents, the Interim Order and the Final Order, result in or require the creation or imposition of any Lien upon or with respect to any of the properties of any Loan Party or any of its Subsidiaries.

 

(d)           Except for the entry of the DIP Refinancing Orders, no authorization, approval or other action by, and no notice to or filing with, any governmental authority or regulatory body or any other third party is required for (i) the due execution, delivery, recordation, filing or performance by any Loan Party of this Agreement, the Notes or any other Loan Document to which it is or is to be a party, or for the consummation of each aspect of the transactions contemplated hereby, (ii) the grant by any Loan Party of the Liens granted by it pursuant to the Collateral Documents, (iii) the perfection or maintenance of the Liens created under the Collateral Documents (including the requisite priority set forth in the DIP Refinancing Orders, if and to the extent perfection was achieved by the entry of the DIP Refinancing Orders) or (iv) subject to the DIP Refinancing Orders, the exercise by the Administrative Agent or any Lender Party of its rights under the Loan Documents or the remedies in respect of the Collateral pursuant to the Collateral Documents, except for those authorizations, approvals, actions, notices and filings which have been duly obtained, taken, given, waived or made and are in full force and effect.

 

(e)           This Agreement has been, and each of the Notes, if any, and each other Loan Document when delivered hereunder will have been, duly executed and delivered by each Loan Party party thereto.  This Agreement is, and each of the Notes and each other Loan Document when delivered hereunder will be, subject to (x) the entry of the Interim Order and the terms thereof at any time prior to the entry of the Final Order and (y) the entry of the Final Order and the terms thereof at any time thereafter, the legal, valid and binding obligation of each Loan Party thereto, enforceable against such Loan Party in accordance with its terms and the terms of the DIP Refinancing Orders, except as such enforceability may be limited by the effect of foreign laws, rules and regulations as they relate to Pledged Equity in Foreign Subsidiaries.

 

(f)            The Consolidated balance sheet of the Borrower and its Subsidiaries as at December 31, 2008, and the related Consolidated statements of income and cash flows of the Borrower and its Subsidiaries for the Fiscal Year then ended, which have been furnished to each

 

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Lender Party, present fairly the financial condition and results of operations of the Borrower and its Subsidiaries as of such date and for such period, all in accordance with GAAP consistently applied.  Since December 31, 2008, other than the commencement of the Cases and the matters disclosed in the Borrower’s annual report on Form 10-K for the fiscal year ended December 31, 2008 or pursuant to the requirements of the Existing DIP Agreement, there has not occurred a Material Adverse Change.

 

(g)           The DIP Budget and all projected Consolidated balance sheets, income statements and cash flow statements of the Borrower and its Subsidiaries delivered to the Lender Parties pursuant to Section 5.03 were prepared in good faith on the basis of the assumptions stated therein, which assumptions were fair in light of the conditions existing at the time of delivery of such DIP Budget or projections, as the case may be, it being understood that projections are subject to significant uncertainties and contingencies many of which are beyond the Borrower’s control, and that no guarantees can be given that the forecasts will be realized.

 

(h)           No information, exhibit or report furnished by or on behalf of the Borrower to the Administrative Agent or any Lender in connection with the negotiation and syndication of the Loan Documents or pursuant to the terms of the Loan Documents contained any untrue statement of a material fact or omitted to state a material fact necessary to make the statements, taken as a whole, made therein not misleading in any material respect in light of the circumstances under which such statements were made.

 

(i)            Except as set forth on Schedule 4.01(i) and the Cases, there is no action, suit, investigation, litigation or proceeding affecting the Borrower or any of its Subsidiaries, including any Environmental Action, pending or threatened before any court, Governmental Authority or arbitrator that (i) would reasonably be expected to have a Material Adverse Effect or (ii) purports to adversely affect the legality, validity or enforceability of this Agreement, any Note or any other Loan Document.

 

(j)            The Borrower is not engaged in the business of extending credit for the purpose of purchasing or carrying Margin Stock, and no proceeds of any Advance or any drawing under any Letter of Credit will be used to purchase or carry any Margin Stock or to extend credit to others for the purpose of purchasing or carrying any Margin Stock.

 

(k)           The Borrower and each of its Subsidiaries owns, or is licensed to use, all Intellectual Property necessary for the conduct of its business as currently conducted except for those the failure to own or license which would not reasonably be expected to have a Material Adverse Effect.  No claim has been asserted and is pending by any Person challenging or questioning the use of any such Intellectual Property or the validity or effectiveness of any such Intellectual Property, nor does such Borrower or Subsidiary know of any valid basis for any such claim, except, in either case, for such claims that in the aggregate would not reasonably be expected to have a Material Adverse Effect.  The use of such Intellectual Property by the Borrower and its Subsidiaries does not infringe on the rights of any Person, except for such claims and infringements that, in the aggregate, would not reasonably be expected to have a Material Adverse Effect.

 

(l)            (i)  Other than the filing of the Cases, no ERISA Event has occurred or is reasonably expected to occur with respect to any Plan that has resulted in or is reasonably expected to result in a liability of any Loan Party or any ERISA Affiliate that in the aggregate would reasonably be expected to have a Material Adverse Effect.

 

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(ii)           Neither any Loan Party nor any ERISA Affiliate has incurred or is reasonably expected to incur any Withdrawal Liability to any Multiemployer Plan that in the aggregate would reasonably be expected to result in a Material Adverse Effect.

 

(iii)          Neither any Loan Party nor any ERISA Affiliate has been notified by the sponsor of a Multiemployer Plan that such Multiemployer Plan is in reorganization or has been terminated, within the meaning of Title IV of ERISA, and no such Multiemployer Plan is reasonably expected to be in reorganization or to be terminated, within the meaning of Title IV of ERISA.

 

(m)          Except as set forth on Schedule 4.01(m) or as would not reasonably be expected to result in a Material Adverse Effect, the operations and properties of the Borrower and each of its Subsidiaries comply in all material respects with all applicable Environmental Laws and Environmental Permits, all past non-compliance with such Environmental Laws and Environmental Permits has been resolved without ongoing obligations or costs, and no circumstances exist that could be reasonably likely to (i) form the basis of an Environmental Action against the Borrower or any of its Subsidiaries or any of their properties (whether owned, leased or operated or formerly owned leased or operated) or (ii) cause any such property to be subject to any restrictions on ownership, occupancy, use or transferability under any Environmental Law.

 

(n)           Except to the extent failure to do so is permitted by chapter 11 of the Bankruptcy Code or pursuant to the DIP Refinancing Orders, each Loan Party and each of its Subsidiaries and Affiliates has filed, has caused to be filed or has been included in all material tax returns (Federal, state, local and foreign) required to be filed and has paid all taxes shown thereon to be due, together with applicable interest and penalties.

 

(o)           Except as would not reasonably be expected to result in, individually or in the aggregate, a Material Adverse Effect, neither the business nor the properties of any Loan Party or any of its Subsidiaries are affected by any unfair labor practices complaint, union representation campaigns, strike, lockout or other labor dispute.

 

(p)           Other than as a result of the filing of the Cases, each Loan Party and each of its Subsidiaries is in compliance with all contracts and agreements to which it is a party, except such non-compliances as have not had, and would not reasonably be expected to have, either individually or in the aggregate, a Material Adverse Effect.

 

(q)           Upon the entry of the DIP Refinancing Orders and the Collateral Documents create a valid and perfected security interest in the Collateral having the priority set forth therein securing the payment of the Secured Obligations, and all filings and other actions necessary or desirable, as determined in the reasonable discretion of the Administrative Agent, to perfect and protect such security interest have been duly taken, in each case if and to the extent perfection may be achieved by the entry of the DIP Refinancing Orders.  The Loan Parties are the legal and beneficial owners of the Collateral free and clear of any Lien, except for (i) the Liens and security interests created or permitted under the Loan Documents and (ii) defects in legal title to Intellectual Property that do not materially adversely affect the use of such property for its present purposes.

 

(r)            Neither any Loan Party nor any of its Subsidiaries is an “investment company”, or an “affiliated person” of, or “promoter” or “principal underwriter” for, an “investment company”, as such terms are defined in the Investment Company Act of 1940, as amended.

 

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Neither the making of any Advances, nor the issuance of any Letters of Credit, nor the application of the proceeds or repayment thereof by the Borrower, nor the consummation of the other transactions contemplated by the Loan Documents, will violate any provision of any such Act or any rule, regulation or order of the Securities and Exchange Commission thereunder.

 

(s)           As of the date hereof, the Equity Interests owned by the Borrower or any of its Subsidiaries listed on Schedule 4.01(a) and the Initial Pledged Debt set forth on Schedule V hereto are all Equity Interests and Debt (other than any exception contained in the definition of “Initial Pledged Debt”) held by or owed to any Loan Party or any of its Subsidiaries.

 

(t)            Set forth on Schedule 4.01(t) hereto is a complete and accurate list of all Surviving Debt that is Debt for borrowed money (other than Surviving Debt in an aggregate amount not exceeding $1,000,000), showing as of the Petition Date the obligor and the principal amount outstanding thereunder, the maturity date thereof and the amortization schedule therefor.

 

(u)           Set forth on Schedule 4.01(u) hereto is a complete and accurate list of all Liens on the property or assets of any Loan Party or any of its Subsidiaries securing any Debt for borrowed money (other than Debt in aggregate amount not exceeding $1,000,000), showing as of the Petition Date the lienholder thereof, the principal amount of the obligations secured thereby and the property or assets of such Loan Party or such Subsidiary subject thereto.

 

(v)           No Non-Filing Domestic Subsidiary (other than Chemtura Receivables LLC) is a Material Subsidiary.

 

ARTICLE V

COVENANTS OF THE LOAN PARTIES

 

Section 5.01  Affirmative Covenants.  So long as any Advance shall remain unpaid, any Letter of Credit shall be outstanding and not Cash Collateralized or any Lender Party shall have any Commitment hereunder, each Loan Party will:

 

(a)           Corporate Existence.  Preserve and maintain, and cause each of its Subsidiaries to preserve and maintain, its corporate existence, material rights (charter and statutory) and material franchises; provided, however, that the Borrower and its Subsidiaries may consummate any transaction permitted under Section 5.02(h) or (l) and provided further that neither the Borrower nor any of its Subsidiaries shall be required to preserve any right or franchise, or the existence of any Subsidiary that is not a Loan Party, if the board of directors (or similar governing body) of the Borrower or such Subsidiary shall determine that the preservation thereof is no longer desirable in the conduct of the business of the Borrower or such Subsidiary, as the case may be, and that the loss thereof is not disadvantageous in any material respect to the Borrower, such Subsidiary or the Lender Parties.

 

(b)           Compliance with Laws.  Comply, and cause each of its Subsidiaries to comply, in all material respects, with all applicable laws, rules, regulations and orders material to the business of the Borrower and its Subsidiaries, such compliance to include, without limitation, compliance with ERISA, Environmental Laws and the Patriot Act.

 

(c)           Insurance.  Maintain, and cause each of its Subsidiaries to maintain, insurance with responsible and reputable insurance companies or associations in such amounts and covering such risks as is usually carried by companies engaged in similar businesses and owning similar

 

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properties in the same general areas in which the Borrower or such Subsidiary operates; provided, however, that the Borrower and its Subsidiaries may self-insure to the same extent as other companies engaged in similar businesses and owning similar properties in the same general areas in which the Borrower or such Subsidiary operates and to the extent consistent with prudent business practice.

 

(d)           Obligations and Taxes.  In accordance with the Bankruptcy Code and subject to any required approval by an applicable order of the Bankruptcy Court, pay all its material obligations arising after the Petition Date that constitute administrative expenses under Section 503(b) of the Bankruptcy Code in the Cases promptly and in accordance with their terms and pay and discharge and cause each of its Subsidiaries to pay and discharge promptly all material taxes, assessments and governmental charges or levies imposed upon it or upon its income or profits or in respect of its property arising, or attributed to the period, after the Petition Date, before the same shall become in default, as well as all lawful claims for labor, materials and supplies or otherwise arising after the Petition Date which, if unpaid, would become a Lien or charge upon such properties or any part thereof; provided, however, that the Borrower and each Guarantor shall not be required to pay and discharge or to cause to be paid and discharged any such tax, assessment, charge, levy or claim so long as the (i) payment or discharge thereof shall be stayed by section 362(a)(8) of the Bankruptcy Code, or (ii) the validity or amount thereof shall be contested in good faith by appropriate proceedings, in each case, if the Borrower and the Guarantors shall have set aside on their books adequate reserves therefor in conformity with GAAP.

 

(e)           Access to Books and Records.

 

(i)            Maintain or cause to be maintained at all times proper books and records in accordance with GAAP of the financial operations of the Borrower and the Guarantors; and, upon reasonable advance notice, provide the Lender Parties and their representatives (coordinated by the Administrative Agent) access to all such books and records during regular business hours (provided that so long as no Event of Default has occurred and is continuing, the Borrower shall not be required to pay the expenses of the Lender Parties for more than one visit per calendar quarter), in order that the Lender Parties (coordinated by the Administrative Agent) may examine and make abstracts from such books, accounts, records and other papers for the purpose of verifying the accuracy of the various reports delivered by the Borrower or the Guarantors to any Agent or the Lenders pursuant to this Agreement or for otherwise ascertaining compliance with this Agreement and to discuss the affairs, finances and condition of the Borrower and the Guarantors with the officers and independent accountants of the Borrower.
 
(ii)           Grant the Lender Parties (coordinated by the Administrative Agent) access to and the right to inspect all reports, audits and other internal information of the Borrower and the Guarantors relating to environmental matters upon reasonable notice.
 
(iii)          At any reasonable time and from time to time during regular business hours, upon reasonable notice, permit the Initial Lenders and/or any representatives designated by the Initial Lenders (including any consultants, accountants, lawyers and appraisers retained by the Initial Lenders), in each case coordinated by the Administrative Agent, to visit the properties of the Borrower and the Guarantors to conduct evaluations, appraisals, environmental assessments and ongoing maintenance and monitoring in connection with the Borrower’s computation of the Borrowing Base and the assets included in the Borrowing Base and such other assets and properties of the Borrower or its Subsidiaries as the Initial Lenders may require, and to monitor, examine and audit the Collateral and all related systems.

 

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(iv)          Permit third-party appraisals of Inventory; provided that such third-party appraisals may be conducted (A) at any time upon the occurrence and continuance of an Event of Default, (B) except as otherwise provided in clause (A) above, no more than once per fiscal quarter if the Availability shall have become and continue to be less than $25,000,000 and (C) except as otherwise provided in clauses (A) and (B) above, no more than twice per year (excluding the appraisals conducted prior to the Effective Date).
 

(f)            Use of Proceeds.  Use the proceeds of the Advances solely for the purposes, and subject to the restrictions, set forth in Section 2.14.

 

(g)           Restructuring Advisor; Financial Advisor.  Retain at all times (i) a restructuring advisor and (ii) a financial advisor that, in each case, has substantial experience and expertise advising chapter 11 debtors-in-possession in large and complex bankruptcy cases (it being understood that Alvarez & Marsal and Lazard are advisors described in this clause (g)); provided that any failure to comply with this Section 5.01(g) shall not be deemed to have occurred so long as the Loan Parties shall have filed a motion with the Bankruptcy Court to retain a replacement advisor within 10 days of such failure.

 

(h)           Priority.  Acknowledge pursuant to section 364(c)(1) of the Bankruptcy Code, the Obligations of the Loan Parties hereunder and under the other Loan Documents constitute allowed Superpriority Claims.

 

(i)            Validity of Loan Documents.  Use its commercially reasonable efforts to object to any application made on behalf of any Loan Party or by any Person to the validity of any Loan Document or the applicability or enforceability of any Loan Document or which seeks to void, avoid, limit, or otherwise adversely affect the security interest created by or in any Loan Document or any payment made pursuant thereto.

 

(j)            Cash Management System.  Maintain with the Administrative Agent or (so long as amounts maintained at such other institution are invested primarily in Cash Equivalents described in clause (a) of the definition thereof contained in Section 1.01 having a maturity not greater than 60 days from the date of issuance thereof) another institution, an account or accounts (i) to be used by the Borrower and the Guarantors as their principal concentration accounts and (ii) into which shall be swept or deposited, on each Business Day, all cash of the Borrower and the Guarantors in all of the operating and other bank accounts of the Borrower and the Guarantors (other than the accounts described in the proviso to Section 5.01(k)) maintained at any institution other than Citibank; provided that this clause (ii) shall not apply to accounts in which the aggregate amount on deposit for all such accounts is less than $500,000.

 

(k)           Account Control Agreements.  With respect to all lockboxes and deposit accounts (other than those (for so long as Citibank is the Administrative Agent hereunder) maintained with Citibank) (i) of each Person that is a Non-Loan Party as of the Effective Date but becomes a Loan Party after the Effective Date, obtain and deliver to the Administrative Agent, no later than 30 days following the date such Person becomes a Loan Party (or such later date as the Administrative Agent may reasonably determine), account control agreements in form and substance reasonably satisfactory to the Administrative Agent and (ii) of each other Loan Party, maintain account control agreements in form and substance reasonably satisfactory to the Administrative Agent; provided, however, that this Section 5.01(k) shall not apply to (A) payroll accounts, trust accounts, employee benefits accounts and tax escrow accounts, in each case maintained in the ordinary course of business, and (B) deposit accounts to the extent the aggregate amount on deposit in each such deposit account does not exceed $100,000 at any time

 

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and the aggregate amount on deposit in all such deposit accounts does not exceed $500,000 at any time.

 

(l)            Mortgages.  With respect to any Material Real Property acquired by any Loan Party after the Effective Date or owned by any Person that is a Non-Loan Party as of the Effective Date but becomes a Loan Party after the Effective Date, obtain and deliver to the Administrative Agent, no later than 45 days following the date of such acquisition or the date on which such Person becomes a Loan Party (or such later date as the Administrative Agent may reasonably determine), as applicable, duly executed Mortgages suitable for recording with respect to all Material Real Property and such other documents, including a policy or policies of title insurance issued by a nationally recognized title insurance company, together with such endorsements, coinsurance and reinsurance as may be reasonably requested by the Administrative Agent, insuring the Mortgages as valid first Liens on such real property, free of Liens other than those permitted under Section 5.02(a), together with such surveys, abstracts, appraisals and legal opinions required to be furnished pursuant to the terms of the Mortgages or as reasonably requested by the Administrative Agent.

 

(m)          Additional Guarantors.  Cause each Subsidiary that hereafter becomes party to a Case to execute a Guaranty Supplement within 10 days of becoming party thereto; provided, however, that notwithstanding the foregoing, no Subsidiary will be required to become or remain a Guarantor or provide or maintain a Lien on any of its assets as security for any of the Obligations (A) if such Subsidiary is not a wholly-owned Subsidiary; or (B) to the extent doing so would (1) result in any material adverse tax consequences or (2) be prohibited by any applicable law.

 

(n)           Further Assurances.

 

(i)            Promptly upon request by any Agent, or any Lender Party through the Administrative Agent, correct, and cause each of its Subsidiaries promptly to correct, any material defect or error that may be discovered in any Loan Document or in the execution, acknowledgment, filing or recordation thereof.
 
(ii)           Promptly upon request by any Agent, or any Lender Party through the Administrative Agent, except with respect to real properties that are not Material Real Properties, do, execute, acknowledge, deliver, record, re-record, file, re-file, register and re-register any and all such further acts, deeds, conveyances, pledge agreements, mortgages, deeds of trust, trust deeds, assignments, financing statements and continuations thereof, termination statements, notices of assignment, transfers, certificates, assurances and other instruments as any Agent, or any Lender Party through the Administrative Agent, may reasonably require from time to time in order to (A) carry out more effectively the purposes of the Loan Documents, (B) to the fullest extent permitted by applicable law, subject any Loan Party’s properties, assets, rights or interests to the Liens now or hereafter required to be covered by any of the Collateral Documents, (C) perfect and maintain the validity, effectiveness and priority of any of the Collateral Documents and any of the Liens required to be created thereunder and (D) assure, convey, grant, assign, transfer, preserve, protect and confirm more effectively unto the Secured Parties the rights granted or now or hereafter intended to be granted to the Secured Parties under any Loan Document or under any other instrument executed in connection with any Loan Document to which any Loan Party or any of its Subsidiaries is or is to be a party, and cause each of its Subsidiaries to do so.

 

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(iii)          Use commercially reasonable efforts to cause to be delivered promptly to the Administrative Agent copies of Collateral Access Agreements duly signed by all parties thereto with respect to all Inventory located at a third party processor or in a location not owned by a Loan Party.
 

(o)           Maintenance of Properties, Etc.  Maintain and preserve, and cause each of its Subsidiaries to maintain and preserve, all of its material properties that are used or useful in the conduct of its business in good working order and condition, ordinary wear and tear, casualty and condemnation excepted.

 

(p)           Monthly Conference Call.  Unless otherwise agreed by the Administrative Agent, the Borrower shall host one or more conference calls or meetings with the Lenders during each calendar month at times mutually agreed by the Borrower and the Administrative Agent and upon reasonable advance notice to the Administrative Agent.

 

Section 5.02  Negative Covenants.  So long as any Advance shall remain unpaid, any Letter of Credit shall be outstanding or any Lender Party shall have any Commitment hereunder, no Loan Party will, at any time:

 

(a)           Liens.  Incur, create, assume or suffer to exist any Lien on any asset of the Borrower or any of its Subsidiaries now owned or hereafter acquired by any of the Borrower or the Guarantors, other than: (i) Liens listed on Schedule 4.01(u); (ii) Permitted Liens; (iii) Liens on assets of Foreign Subsidiaries to secure Debt permitted by Section 5.02(b)(vi); (iv) Liens in favor of the Administrative Agent and the Secured Parties granted under the Loan Documents; (v) Liens in connection with Debt permitted to be incurred pursuant to Section 5.02(b)(vii) so long as such Liens extend solely to the property (and improvements and proceeds of such property) acquired with the proceeds of such Debt or subject to the applicable Capitalized Lease; (vi) Liens on assets of Foreign Subsidiaries securing Debt permitted under Section 5.02(b)(x); (vii) Liens (A) of a collection bank arising under Section 4-210 of the Uniform Commercial Code on items in the course of collection and (B) attaching to commodity trading accounts or other commodities brokerage accounts incurred in the ordinary course of business and consistent with past practice; (viii) Liens upon specific items of inventory or other goods and proceeds of any Person securing such Person’s obligations in respect of documentary letters of credit, Liens on documents of title in respect of documentary letters of credit or banker’s acceptances issues or credit for the account of such Person to facilitate the purchase, shipment or storage of such inventory or other goods; (ix) Liens granted by a Non-Loan Party in favor of any Loan Party; (x) Liens pursuant to the Albemarle Settlement and Cross License, so long as the same is approved by the Bankruptcy Court; and (xi) Liens consisting of escrow arrangements with respect to escrow accounts, to the extent such escrow accounts hold deposits by any proposed buyer in connection with the PVC Additives Sale and/or any other sale or disposition of assets permitted under this Agreement (it being understood and agreed that if such escrow accounts solely hold such deposits, such escrow accounts shall be excluded from any of the requirements of Section 5.01(j) or 5.01(k) and shall not be counted against any of the dollar limits contained in such Sections).

 

(b)           Debt.  Contract, create, incur, assume or suffer to exist any Debt, or permit any of its Subsidiaries to contract, create, incur, assume or suffer to exist any Debt, except for (i) Debt under this Agreement and the other Loan Documents; (ii) Surviving Debt and any Debt extending the maturity of, or refunding or refinancing, in whole or in part, any Surviving Debt; provided that the terms of any such extending, refunding or refinancing Debt, and of any agreement entered into and of any instrument issued in connection therewith, are otherwise permitted by the Loan Documents; provided further that the principal amount of such Surviving Debt shall not be

 

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increased above the principal amount thereof (together with fees and expenses in connection with such extension, refunding or refinancing) outstanding immediately prior to such extension, refunding or refinancing, and the direct and contingent obligors therefor shall not be changed, as a result of or in connection with such extension, refunding or refinancing; and provided further that the terms relating to principal amount, amortization, maturity, collateral (if any) and subordination (if any), and other material terms taken as a whole, of any such extending, refunding or refinancing Debt, and of any agreement entered into and of any instrument issued in connection therewith, are no less favorable in any material respect to the Loan Parties or the Lender Parties than the terms of any agreement or instrument governing the Surviving Debt being extended, refunded or refinanced and the interest rate applicable to any such extending, refunding or refinancing Debt does not exceed the then applicable market interest rate; (iii) Debt arising from Investments among the Borrower and its Subsidiaries that are permitted hereunder; (iv) Debt in respect of customary overdraft protection and netting services and related liabilities arising from treasury, depository and cash management services in the ordinary course of business; (v) Debt consisting of Guarantee Obligations permitted by Section 5.02(c); (vi) Debt of Foreign Subsidiaries owing to third parties in an aggregate outstanding principal amount not in excess of $10,000,000 at any time outstanding; (vii) Debt (other than Debt of Foreign Subsidiaries) constituting purchase money debt and Capitalized Lease obligations (not otherwise included in subclause (ii) above) in an aggregate outstanding amount not in excess of $10,000,000; (viii) (A) Debt (other than Debt of Foreign Subsidiaries) in respect of Hedge Agreements entered into in the ordinary course of business to protect against fluctuations in interest rates, foreign exchange rates and commodity prices and (B) Debt (other than Debt of Foreign Subsidiaries) arising on and after the Petition Date under the Cash Management Agreements, provided that the aggregate amount of Debt under this clause (viii) shall not exceed $10,000,000 at any time outstanding; (ix) Debt which may be deemed to exist pursuant to any surety bonds, appeal bonds or similar obligations incurred in connection with any judgment not constituting an Event of Default; (x) Debt of Foreign Subsidiaries arising under any Foreign Asset Based Financing, in an aggregate principal amount for all such Foreign Asset Based Financings not to exceed the greater of $150,000,000 and €125,000,000 at any time outstanding (for purposes of this clause (x), the “principal amount” of a Foreign Asset Based Financing that is not indebtedness for borrowed money shall mean the amount invested by investors that are not Affiliates of the Borrower and paid to the Borrower or its Subsidiaries, as reduced by the aggregate amounts received by such investors from the payment of receivables and applied to reduce such invested amounts); and (xi) Debt not otherwise permitted hereunder in an aggregate outstanding principal amount of $5,000,000.

 

(c)           Guarantees and Other Liabilities.  Contract, create, incur, assume or permit to exist, or permit any Subsidiary to contract, create, assume or permit to exist, any Guarantee Obligations, except (i) for any guaranty of Debt or other obligations of the Borrower or any Guarantor if the Borrower or such Guarantor could have incurred such Debt or obligations under this Agreement, (ii) by endorsement of negotiable instruments for deposit or collection in the ordinary course of business, (iii) Guarantee Obligations constituting Investments of the Borrower and its Subsidiaries permitted hereunder, (iv) (A) Guarantee Obligations under the letter agreement dated February 25, 2009 between the Borrower and Mediofactoring Spa in effect as of the Petition Date (as such agreement may have been and may hereafter be amended, restated, supplemented or otherwise modified, so long as the terms thereof are not less favorable to the Borrower and the Lenders than as in effect on the Petition Date (except that the Permitted Modifications of the primary obligations (as defined in the definition of “Guaranteed Obligations”) guaranteed under such letter agreement are permitted), (B) to the extent constituting Guarantee Obligations, Letters of Credit issued to support Foreign Subsidiaries and other Non-Loan Parties so long as such Guarantee Obligations and all other Investments in

 

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Foreign Subsidiaries and other Non-Loan Parties under Section 5.02(g)(xii) do not exceed $60,000,000 in the aggregate at any time outstanding and (C) any other support arrangements supporting Debt permitted under Section 5.02(b)(x) that are in form and substance reasonably satisfactory to the Required Lenders, and (v) any guaranty of Debt or other obligations of any Non-Loan Party by another Non-Loan Party.

 

(d)           Chapter 11 Claims.  In respect of any Loan Party, incur, create, assume, suffer to exist or permit any other Superpriority Claim that is pari passu with or senior to the claims of the Agents and the Secured Parties against the Borrower and the Guarantors except with respect to the Carve-Out and Liens described in clauses (A) through (D) of Section 9.08(a)(ii).

 

(e)           Dividends; Capital Stock.  Declare or pay, directly or indirectly, any dividends or make any other distribution, redemption, repurchase or payment, whether in cash, property, securities or a combination thereof, with respect to (whether by reduction of capital or otherwise) any shares of capital stock (or any options, warrants, rights or other equity securities or agreements relating to any capital stock) of the Borrower, or set apart any sum for the aforesaid purposes.

 

(f)            Transactions with Affiliates.  Enter into or permit any of its Subsidiaries to enter into any transaction with any Affiliate, other than on terms and conditions at least as favorable to the Borrower or such Subsidiary as would reasonably be obtained at that time in a comparable arm’s-length transaction with a Person other than an Affiliate, except for the following: (i) any transaction between any Loan Party and any other Loan Party or between any Non-Loan Party and any other Non-Loan Party; (ii) any transaction between any Loan Party and any Non-Loan Party that is at least as favorable to such Loan Party as would reasonably be obtained at that time in a comparable arm’s-length transaction with a Person other than an Affiliate; (iii) any transaction expressly permitted pursuant to the terms of the Loan Documents, including, without limitation, Investments permitted under Section 5.02(g); (iv) customary fees and other benefits to officers, directors, managers and employees of the Borrower and its Subsidiaries; (v) reasonable and customary employment and severance arrangements with officers and employees of the Borrower and its Subsidiaries in the ordinary course of business; or (vi) transactions pursuant to contractual obligations or arrangements in existence on the Petition Date.

 

(g)           Investments.  Make or hold, or permit any of its Subsidiaries to make, any Investment in any Person, except for (i) Investments described in Section 4.01(s); (ii) Investments in Cash Equivalents (and other customary cash equivalents acceptable to the Administrative Agent in its reasonable discretion) and Investments by Foreign Subsidiaries in securities and deposits similar in nature to Cash Equivalents and customary in the applicable jurisdiction; (iii) advances and loans existing on the Petition Date among the Borrower and the Subsidiaries (including any refinancings or extensions thereof but excluding any increases thereof or any further advances of any kind in connection therewith); (iv) Investments or intercompany loans or advances made on or after the Petition Date (A) by any Loan Party to or in any other Loan Party, (B) by any Non-Loan Party to or in any Loan Party (so long as any Debt owing by a Loan Party to a Non-Loan Party is subordinated in right of payment to the prior payment in full of the Obligations on terms satisfactory to the Administrative Agent) or (C) by any Non-Loan Party to or in any other Non-Loan Party; (v) investments (A) received in satisfaction or partial satisfaction thereof from financially troubled account debtors or in connection with the settlement of delinquent accounts and disputes with customers and suppliers, or (B) received in settlement of debts created in the ordinary course of business and owing to the Borrower or any Subsidiary or in satisfaction of judgments; (vi) Investments (A) in the form of deposits, prepayments and other credits to suppliers made in the ordinary course of business consistent with past practices, (B) in

 

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the form of extensions of trade credit in the ordinary course of business, or (C) in the form of prepaid expenses and deposits to other Persons in the ordinary course of business; (vii) Investments made in any Person to the extent such investment represents the non-cash portion of consideration received for an asset disposition permitted under the terms of the Loan Documents; (viii) investments constituting guaranties permitted pursuant to Section 5.02(c)(i), (ii) or (iv) above; (ix) loans and advances to employees, directors and officers of the Borrower and its Subsidiaries (A) required by applicable employment laws or (B) otherwise in the ordinary course of business for travel, business, related entertainment, relocation, as part of a recruitment or retention plan and related expenses in an aggregate principal amount outstanding not to exceed $500,000; (x) Hedge Agreements and Cash Management Agreements entered into in the ordinary course of business and otherwise permitted under this Agreement; (xi) Investments by any Foreign Subsidiary through the licensing, contribution or transactions that economically result in a contribution in kind of intellectual property rights pursuant to joint venture arrangements, in each case in the ordinary course of business and consistent with past practice; provided that, in the case of this clause (xi), in the event any Non-Loan Party becomes a Loan Party, all such Investments made by such Person and outstanding on the date such Person becomes a Loan Party shall continue to be permitted under this Section 5.02(g)(xi); (xii) Investments (which shall be in the form of intercompany loans, except for a portion thereof not to exceed $35,000,000 in the aggregate at any time outstanding) by any Loan Party to any Foreign Subsidiary or other Non-Loan Party not to exceed $60,000,000 in the aggregate at any time outstanding; (xiii) Investments made by the Borrower or any of its Subsidiaries in joint ventures that are not Subsidiaries to the extent such Investments are required to be made by the Borrower or such Subsidiary, as the case may be, under binding agreements as in effect on the Effective Date, in each case described on Schedule 5.02(g); provided that the aggregate amount of Investments under this clause (xiii) shall not exceed $10,000,000; (xiv) the Lyondell Property Purchase; (xv) Investments consisting of guarantees by the Borrower or Non-Loan Parties of loan obligations of the Gulf Stabilizers Industries, Ltd. joint venture in an aggregate amount not to exceed $12,000,000 at any time outstanding; and (xvi) Investments consisting of (A) equity investments by Chemtura Organometallics GmbH or other Non-Loan Parties and (B) guarantee or other credit support obligations by Chemtura Organometallics GmbH, other Non-Loan Parties or Loan Parties (including letters of credit issued for the account of such Persons), in each case in or for the benefit of a joint venture for a manufacturing facility in Saudi Arabia, so long as the aggregate amount of Investments pursuant to this clause (xvi) shall not exceed $20,000,000 at any time outstanding.

 

(h)           Disposition of Assets.  Sell or otherwise dispose of, or permit any of its Subsidiaries to sell or otherwise dispose of, any assets (including, without limitation, the Equity Interests in any Subsidiary) except (i) sales or other dispositions of inventory in the ordinary course of its business; (ii) in a transaction authorized by Section 5.02(l); (iii) in transactions between or among the Loan Parties or between or among the Non-Loan Parties; (iv) dispositions of obsolete or worn-out tools, equipment or other property no longer used or useful in business and sales or other dispositions of intellectual property determined to be uneconomical, negligible or obsolete; (v) licenses and sub-licenses of intellectual property incurred in the ordinary course of business or to customers on a non-exclusive basis for the purpose of ensuring supply of product; (vi) dispositions made in the ordinary course of business in connection with any Investment permitted under Section 5.02(g)(ii), (v) or (vi) above; (vii) leases of real property; (viii) equity issuances by any Subsidiary to the Borrower or any other Subsidiary to the extent such equity issuance constitutes an Investment permitted under Section 5.02(g)(iv) above; (ix) transfers of receivables and receivables related assets or any interest therein by any Foreign Subsidiary in connection with any factoring or similar arrangement, subject to compliance with Sections 5.02(a)(vi) and 5.02(b)(vi) above; (x) other sales, leases, transfers or dispositions of

 

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assets for fair value in an aggregate amount not to exceed $10,000,000 in the period commencing the Effective Date and ending on the Maturity Date so long as (A) in the case of any sale or other disposition, not less than 75% of the consideration is cash and (B) no Default or Event of Default exists immediately before or after giving effect to any such sale, lease, transfer or other disposition; (xi) transfers of property that is the subject of a casualty event; (xii) sales or dispositions by the Foreign Subsidiaries of assets or other property that do not exceed $10,000,000 in the aggregate; (xiii) sales or dispositions of property in the ordinary course of business to the extent that (A) such property is exchanged for credit against the purchase price of similar replacement property in substantially the same location or (B) the proceeds of such sale or disposition are promptly applied to the purchase price of such replacement property; provided that, in each case, the proceeds of such sale or disposition are retained and applied by the entity making the sale or disposition to purchase such replacement property; (xiv) dispositions of cash and issuance of Equity Interests solely to consummate Investments permitted under Section 5.02(g)(iv), (ix), (xi), (xii) or (xiii); (xv) dispositions of property made or deemed made solely because Liens permitted under Section 5.02(a) on such property are granted; (xvi) sales or dispositions pursuant to the PVC Additives Sale, so long as the same is approved by the Bankruptcy Court; (xvii) sales or dispositions pursuant to the Albemarle Settlement and Cross License, so long as the same is approved by the Bankruptcy Court; and (xviii) the sale or disposition of equity securities of Persons that are not Subsidiaries held by the Borrower and its Subsidiaries as of the Effective Date for cash consideration not exceeding $500,000.

 

(i)            Nature of Business.  Engage, or permit any of its Subsidiaries to engage in any material line of business substantially different from its business as conducted at or prior to the Petition Date or related businesses (except as required by the Bankruptcy Code), it being understood that transactions permitted by Sections 5.02(a), 5.02(b), 5.02(c), 5.02(d), 5.02(e), 5.02(f), 5.02(g), 5.02(h) and 5.02(l) and (for the avoidance of doubt) the following shall not constitute a breach of this Section 5.02(i):  (i) discontinuance of operations discontinued prior to the Effective Date, (ii) discontinuance of operations expressly identified as operations to be discontinued in the Company’s Long Range Plan delivered to the Lenders in July of 2009 or in the forecast delivered pursuant to Section 3.01(a)(viii) or in the DIP Budget, (iii) discontinuance of operations reasonably necessary to complete activities contemplated by the business plan delivered to the Administrative Agent pursuant to Section 2.22(i) of the Existing DIP Agreement, and (iv) discontinuance of any division or line of business that has (A) sales revenue for the most recently ended Fiscal Year of $50,000,000 or less or (B) assets with a fair value of $15,000,000 or less.

 

(j)            Limitation on Prepayments and Cancellation of Debt and Pre-Petition Obligations.  Except as otherwise allowed pursuant to the DIP Refinancing Orders or any order of the Bankruptcy Court and approved by the Required Lenders, (i) make any payment or prepayment or redemption or acquisition for value (including, without limitation, by way of depositing with the trustee with respect thereto money or securities before due for the purpose of paying when due) or any cancellation or other retirement of any Pre-Petition Debt or other pre-Petition Date obligations of the Borrower or any Guarantor other than refinancings otherwise permitted by this Agreement, (ii) pay any interest on any Pre-Petition Debt of the Borrower or Guarantor (whether in cash, in kind securities or otherwise), or (iii) make any payment or create or permit any Lien pursuant to section 361 of the Bankruptcy Code (or pursuant to any other provision of the Bankruptcy Code authorizing adequate protection) on property of the Loan Parties, or apply to the Court for the authority to do any of the foregoing; provided that (u) the Borrower may make any payment or prepayment or redemption or acquisition for value or any cancellation or other retirement of Pre-Petition Debt or other pre-Petition Date obligations of the Borrower or any Guarantor not to exceed in the aggregate $10,000,000, (v) nothing in this

 

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Section 5.02(j) shall be construed to prohibit (1) the Borrower from paying antitrust fines and related obligations in an aggregate amount not to exceed the amount of “Anti Trust Payments” set forth in the DIP Budget (as defined in the Existing DIP Agreement) delivered prior to June 24, 2009, (2) the issuance of any Letter of Credit to support any Pre-Petition Debt or other pre-Petition Date obligations of the Borrower or any Guarantor (and the drawing or reimbursement of any such Letter of Credit), to the extent the issuance of such Letter of Credit is otherwise permitted under this Agreement and (3) the Lyondell Property Purchase, (w) the Borrower and the Guarantors may make payments for administrative expenses that are allowed and payable under sections 330 and 331 of the Bankruptcy Code, (x) the Borrower and the Guarantors may make payments not otherwise prohibited hereunder to cure defaults pursuant to section 365(b) of the Bankruptcy Code with respect to any executory contract as permitted by an order of the Bankruptcy Court approving the assumption of such contract, (y) the Borrower may prepay the obligations under the Loan Documents and make payments permitted by the First Day Orders, and (z) the Borrower may make payments to such other claimants and in such amounts as may be consented to by the Required Lenders and approved by the Bankruptcy Court.  In addition, no Loan Party shall permit any of its Subsidiaries to make any payment, redemption or acquisition on behalf of such Loan Party which such Loan Party is prohibited from making under the provisions of this subsection (j).

 

(k)           Capital Expenditures.  Make, or permit any of its Subsidiaries to make, any Capital Expenditures that would cause the aggregate of all such Capital Expenditures made by the Borrower and its Subsidiaries in any fiscal quarter set forth in the table below to exceed the amount set forth in such table corresponding to such fiscal quarter (as such amount may be increased pursuant to the next proviso, the “Maximum Capital Expenditure Amount”); provided, that the Maximum Capital Expenditure Amount for any fiscal quarter shall be increased by the excess, if any, of the Maximum Capital Expenditure Amount for the immediately preceding fiscal quarter over the actual amount of Capital Expenditures made during such preceding fiscal quarter:

 

Fiscal Quarter Ending

 

Maximum Capital Expenditure
Amount

 

March 2010

 

$

27,000,000

 

June 2010

 

$

35,000,000

 

September 2010

 

$

35,000,000

 

December 2010

 

$

35,000,000

 

March 2011

 

$

35,000,000

 

 

(l)            Mergers.  Merge into or consolidate with any Person or permit any Person to merge into it, except (i) for mergers or consolidation constituting permitted Investments under Section 5.02(g) or asset dispositions permitted pursuant to Section 5.02(h), (ii) mergers, consolidations, liquidations or dissolutions (A) by any Loan Party (other than the Borrower) with or into any other Loan Party, or (B) by any Non-Loan Party with or into any other Non-Loan Party; provided that, in the case of any such merger or consolidation, the person formed by or surviving such merger or consolidation shall be a wholly owned Subsidiary of the Borrower, and

 

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provided further that in the case of any such merger or consolidation (x) to which the Borrower is a party, the Person formed by such merger or consolidation shall be the Borrower and (y) to which a Loan Party (other than the Borrower) is a party (other than a merger or consolidation made in accordance with subclause (B) above), the Person formed by such merger or consolidation shall be a Loan Party; and (iii) the dissolution, liquidation or winding up of any Subsidiary of the Borrower, provided that such dissolution, liquidation or winding up would not reasonably be expected to have a Material Adverse Effect and the assets of the Person so dissolved, liquidated or wound-up are distributed to the Borrower or to a Loan Party or if such entity is a Foreign Subsidiary, the Persons holding the Equity Interests of such Subsidiary.

 

(m)          Amendments of Constitutive Documents.  Amend (i) its constitutive documents except for amendments that could not adversely affect the interests of the Lenders or (ii) any of the Material Contracts, except for amendments that would not reasonably be expected to materially adversely affect the interests of the Lenders.

 

(n)           Accounting Changes.  Without the consent of the Administrative Agent (not to be unreasonably withheld or delayed), make or permit any changes in (i) accounting policies or reporting practices, except as permitted or required by generally accepted accounting principles, or (ii) its Fiscal Year.

 

(o)           Payment Restrictions Affecting Subsidiaries.  Directly or indirectly, enter into or allow to exist, or allow any Subsidiary to enter into or allow to exist, any agreement or arrangement prohibiting or conditioning the ability of the Borrower or any such Subsidiary to (i) create or assume any Lien upon any of its property or assets, (ii) pay dividends to, or repay or prepay any Debt owed to, any Loan Party, (iii) make loans or advances to, or other investments in, any Loan Party, or (iv) transfer any of its assets to any Loan Party, other than (A) any such agreement with or in favor of the Administrative Agent or the Lenders; (B) in connection with (1) any agreement evidencing any Liens permitted pursuant to Section 5.02(a)(iii), (v), (vi), (vii) or (viii) (so long as (x) in the case of agreements evidencing Liens permitted under Section 5.02(a)(iii), such prohibitions or conditions are customary for such Liens and the obligations they secure and (y) in the case of agreements evidencing Liens permitted under Section 5.02(a)(v), (vi), (vii) or (viii), such prohibitions or conditions relate solely to the assets that are the subject of such Liens) or (2) any Debt permitted to be incurred under Sections 5.02(b)(ii), (vi), (vii), or (viii) above (so long as (x) in the case of agreements evidencing Debt permitted under Section 5.02(b)(vi), such prohibitions or conditions are customary for such Debt and (y) in the case of agreements evidencing Debt permitted under Section 5.02(b)(vii) or (viii), such prohibitions or conditions are limited to the assets securing such Debt); (C) any agreement setting forth customary restrictions on the subletting, assignment or transfer of any property or asset that is a lease, license, conveyance or contract of similar property or assets; (D) any restriction or encumbrance imposed pursuant to an agreement that has been entered into by the Borrower or any Subsidiary for the disposition of any of its property or assets so long as such disposition is otherwise permitted under the Loan Documents; (E) any such agreement imposed in connection with consignment agreements entered into in the ordinary course of business; (F) any agreement in existence on the Petition Date; (G) any agreement in existence at the time a Subsidiary is acquired so long as such agreement was not entered into in contemplation of such acquisition; (H) restrictions on cash or other deposits imposed by customers under contracts entered into in the ordinary course of business; and (I) customary provisions restricting assignment of any agreement entered into in the ordinary course of business.

 

(p)           Sales and Lease Backs.  Except as set forth on Schedule 5.02(p), (i) become or remain liable as lessee or as a guarantor or other surety with respect to any lease of any property,

 

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whether now owned or hereafter acquired (A) which such Loan Party has sold or transferred or is to sell or transfer to any other Person (other than another Loan Party) or (B) which such Loan Party intends to use for substantially the same purpose as any other property which has been or is to be sold or transferred by a Loan Party to any Person (other than another Loan Party) in connection with such lease, or (ii) create, incur, assume or suffer to exist any obligations as lessee under operating leases or agreements to lease having an original term of one year or more that would cause the direct and contingent liabilities of the Borrower and its Subsidiaries, on a consolidated basis, in respect of all such obligations to exceed $50,000,000 payable in any period of 12 consecutive months.

 

(q)           Speculative Transactions.  Engage, or permit any of its Subsidiaries to engage, in any interest rate, commodity, hedge, currency or future contract or similar speculative transaction, except for hedge transactions for the sole purpose of risk management of fluctuations in interest rates, exchange rates and commodity prices in the normal course of business and consistent with industry practice.

 

Section 5.03  Reporting Requirements. So long as any Advance shall remain unpaid, any Letter of Credit shall be outstanding and not Cash Collateralized or any Lender Party shall have any Commitment hereunder, the Borrower will furnish to the Administrative Agent:

 

(a)           Default Notice.  As soon as possible and in any event within three Business Days after any Loan Party or any Responsible Officer thereof has knowledge of the occurrence of each Default or within five Business Days after any Loan Party or any Responsible Officer thereof has knowledge of the occurrence of any event, development or occurrence reasonably likely to have a Material Adverse Effect continuing on the date of such statement, a statement of a Responsible Officer (or person performing similar functions) of the Borrower setting forth details of such Default or other event and the action that the Borrower has taken and proposes to take with respect thereto.

 

(b)           Monthly Financials.  As soon as available and in any event within 30 days after the end of each of the first two months of each fiscal quarter, a Consolidated balance sheet of the Borrower and its Subsidiaries as of the end of such month, and Consolidated statements of income and cash flows of the Borrower and its Subsidiaries for the period commencing at the end of the previous month and ending with the end of such month, and Consolidated statements and cash flows of the Borrower and its Subsidiaries for the period commencing at the end of the previous Fiscal Year and ending with the end of such month, setting forth (i) in comparative form the corresponding figures for the forecast delivered pursuant to Section 3.01(a)(viii) and (ii) in comparative form the corresponding figures for the corresponding month of the immediately preceding Fiscal Year, all in reasonable detail and duly certified by a Responsible Officer of the Borrower.

 

(c)           Quarterly Financials.  As soon as available and in any event within 40 days after the end of each of the first three quarters of each Fiscal Year, a Consolidated balance sheet of the Borrower and its Subsidiaries as of the end of such quarter, and Consolidated statements of income and cash flows of the Borrower and its Subsidiaries for the period commencing at the end of the previous quarter and ending with the end of such quarter, and Consolidated statements of income cash flows of the Borrower and its Subsidiaries for the period commencing at the end of the previous Fiscal Year and ending with the end of such quarter, setting forth, in each case in comparative form the corresponding figures for the corresponding period of the immediately preceding Fiscal Year, all in reasonable detail and duly certified (subject to normal year-end audit adjustments) by a Responsible Officer of the Borrower as having been prepared in accordance

 

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with GAAP, together with a certificate of said officer stating that no Default has occurred and is continuing or, if a Default has occurred and is continuing, a statement as to the nature thereof and the action that the Borrower has taken and proposes to take with respect thereto, together with a schedule in form reasonably satisfactory to the Administrative Agent of the computations used in determining, as of the end of such fiscal quarter, compliance with the covenants contained in Sections 5.02(k) and 5.04; provided that, in the event of any change in GAAP used in the preparation of such financial statements, the Borrower shall also provide, if necessary for the determination of compliance with Sections 5.02(k) and 5.04, a statement of reconciliation conforming such financial statements to GAAP.

 

(d)           Annual Financials.  As soon as available and in any event no later than 105 days following the end of the Fiscal Year, a copy of the annual audit report for such Fiscal Year, including therein a Consolidated balance sheet of the Borrower and its Subsidiaries as of the end of such Fiscal Year and Consolidated statements of income and cash flows of the Borrower and its Subsidiaries for such Fiscal Year, in each case accompanied by (A) an opinion of independent public accountants of recognized national standing reasonably acceptable to the Administrative Agent and (B) a certificate of a Responsible Officer of the Borrower stating that no Default has occurred and is continuing or, if a Default has occurred and is continuing, a statement as to the nature thereof and the action that the Borrower has taken and proposes to take with respect thereto, together with a schedule in form reasonably satisfactory to the Administrative Agent of the computations used in determining, as of the end of such Fiscal Year, compliance with the covenants contained in Sections 5.02(k) and 5.04; provided that, in the event of any change in GAAP used in the preparation of such financial statements, the Borrower shall also provide, if necessary for the determination of compliance with Section 5.02(k) and 5.04, a statement of reconciliation conforming such financial statements to GAAP; provided further that in the event the Borrower’s accountants have not yet completed the procedures required to issue an opinion at the time delivery of such opinion would be required under preceding clause (A), the requirement to deliver the annual audit report (and the aforementioned financial statements) at such time shall be deemed satisfied by delivery at such time of a complete draft of the Borrower’s Form 10-K and delivery of such opinion not later than 120 days following the end of such Fiscal Year.

 

(e)           Budget Variance Report.  No later than the last Business Day of each calendar week (commencing with the calendar week starting immediately after the Effective Date), a Budget Variance Report as of the end of the immediately preceding calendar week.

 

(f)            DIP Budget Supplement.  No later than the last Business Day of each calendar month, and on any other date on which the Borrower may deliver the same to the Bankruptcy Court, a supplement to the DIP Budget setting forth on a weekly basis for the next thirteen weeks (commencing with the immediately succeeding calendar week) an updated forecast of the information contained in the DIP Budget for such period and a written set of supporting assumptions, all in form and substance reasonably satisfactory to the Administrative Agent.

 

(g)           ERISA Events and ERISA Reports.  Promptly and in any event within 10 Business Days after any Loan Party or any ERISA Affiliate knows or has reason to know that any ERISA Event has occurred with respect to an ERISA Plan, a statement of a Responsible Officer of the Borrower describing such ERISA Event and the action, if any, that such Loan Party or such ERISA Affiliate has taken and proposes to take with respect thereto, on the date any records, documents or other information must be furnished to the PBGC with respect to any ERISA Plan pursuant to Section 4010 of ERISA, a copy of such records, documents and information.

 

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(h)           Plan Terminations.  Promptly and in any event within two Business Days after receipt thereof by any Loan Party or any ERISA Affiliate, copies of each notice from the PBGC stating its intention to terminate any ERISA Plan or to have a trustee appointed to administer any ERISA Plan.

 

(i)            Actuarial Reports.  Promptly upon receipt thereof by any Loan Party or any ERISA Affiliate, a copy of the annual actuarial valuation report for each Plan the funded current liability percentage (as defined in Section 302(d)(8) of ERISA) of which is less than 90% or the unfunded current liability of which exceeds $5,000,000.

 

(j)            Multiemployer Plan Notices.  Promptly and in any event within five Business Days after receipt thereof by any Loan Party or any ERISA Affiliate from the sponsor of a Multiemployer Plan, copies of each notice concerning (i) the imposition of Withdrawal Liability by any such Multiemployer Plan, (ii) the reorganization or termination, within the meaning of Title IV of ERISA, of any such Multiemployer Plan or (iii) the amount of liability incurred, or that may be incurred, by such Loan Party or any ERISA Affiliate in connection with any event described in clause (i) or (ii) above.

 

(k)           Litigation.  Promptly after the commencement thereof, notice of each unstayed action, suit, investigation, litigation and proceeding before any court or governmental department, commission, board, bureau, agency or instrumentality, domestic or foreign, affecting any Loan Party or any of its Subsidiaries that (i) would be reasonably likely to have a Material Adverse Effect or (ii) purports to affect the legality, validity or enforceability of this Agreement, any Note, any other Loan Document or the consummation of the transactions contemplated hereby.

 

(l)            Securities Reports.  Promptly after the sending or filing thereof, copies of all proxy statements, financial statements and reports that the Borrower sends to its public stockholders, copies of all regular, periodic and special reports, and all registration statements, that the Borrower files with the Securities and Exchange Commission or any governmental authority that may be substituted therefor, or with any national securities exchange and copies of all private placement or offering memoranda pursuant to which securities of any Loan Party that are exempt from registration under the Securities Act are proposed to be issued and sold thereby; provided that such documents may be made available by posting on the Borrower’s website.

 

(m)          Environmental Conditions.  Promptly after the assertion or occurrence thereof, notice of any Environmental Action against or of any non-compliance by any Loan Party or any of its Subsidiaries with any Environmental Law or Environmental Permit that would reasonably be expected to (i) have a Material Adverse Effect or (ii) cause any of its real property to be subject to any restrictions on ownership, occupancy, use or transferability under any Environmental Law that would reasonably be expected to have a Material Adverse Effect.

 

(n)           Bankruptcy Pleadings, Etc.  Within five days after the same is available, copies of all pleadings, motions, applications, judicial information, financial information and other documents filed by or on behalf of any of the Loan Parties with the Bankruptcy Court in the cases, or distributed by or on behalf of any of the Loan Parties to the Committee or any official committee appointed in the Cases and, within five days after the same are filed, providing copies of same to the Initial Lenders and counsel for Administrative Agent; provided that such documents may be made available (and shall be deemed made available) by posting on a website maintained by the Borrower, and identified to the Lenders, in connection with the Cases.

 

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(o)           Other Information.  Such other information respecting the business, condition (financial or otherwise), operations, performance, properties or prospects of any Loan Party or any of its Subsidiaries as any Lender Party (through the Administrative Agent) or the Administrative Agent may from time to time reasonably request.

 

(p)           Borrowing Base Certificate.  A Borrowing Base Certificate substantially in the form of Exhibit F as of the date required to be delivered or so requested, in each case with supporting documentation, which shall be furnished to the Lenders:  (i) as soon as available and in any event prior to the initial Borrowing to be made after the date of entry of the DIP Refinancing Orders, (ii) after such initial Borrowing, (A) on or before Wednesday (or if such day is not a Business Day, the immediately succeeding Business Day) of each calendar week, which weekly Borrowing Base Certificate shall reflect the Eligible Receivables updated as of the end of the immediately preceding Friday, (B) on or before Wednesday (or if such day is not a Business Day, the immediately succeeding Business Day) of each two-week period, which biweekly Borrowing Base Certificate shall reflect the Inventory updated as of the end of the immediately preceding Friday, and (C) on or before the 10th Business Day of each calendar month, which monthly Borrowing Base Certificate shall reflect the Eligible Receivables and Eligible Inventory updated as of the end of the immediately preceding calendar month; provided that notwithstanding anything herein to the contrary, the Borrower shall be permitted to deliver an updated Borrowing Base Certificate on any Business Day, which Borrowing Base Certificate shall reflect the Eligible Receivables and Eligible Inventory updated as of the end of the immediately preceding Business Day, certified by a Responsible Officer, and (iii) if at any time the Availability shall be less than $25,000,000, or if reasonably requested by the Administrative Agent at any other time when the Administrative Agent reasonably believes that the then existing Borrowing Base Certificate is materially inaccurate, as soon as reasonably available after such time or such request, in each case with supporting documentation as the Administrative Agent may reasonably request.

 

Section 5.04  Financial Covenants.  So long as any Advance shall remain unpaid, any Letter of Credit shall be outstanding and not Cash Collateralized or any Lender Party shall have any Commitment hereunder, the Borrower will:

 

(a)           Minimum EBITDA.  Maintain Consolidated EBITDA of the Borrower and its Subsidiaries for the period set forth below as at the last day of each calendar month not less than the amount set forth below for such period, as determined for such period then ended:

 

Month

 

Period then Ended

 

EBITDA

 

December 2009

 

10  months

 

$

150,000,000

 

January 2010

 

11  months

 

$

171,000,000

 

February 2010

 

12  months

 

$

193,000,000

 

March 2010

 

12  months

 

$

200,000,000

 

April 2010

 

12  months

 

$

205,000,000

 

May 2010

 

12  months

 

$

212,000,000

 

 

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June 2010

 

12  months

 

$

218,000,000

 

July 2010

 

12  months

 

$

222,000,000

 

August 2010

 

12  months

 

$

224,000,000

 

September 2010

 

12  months

 

$

229,000,000

 

October 2010

 

12  months

 

$

230,000,000

 

November 2010

 

12  months

 

$

232,000,000

 

December 2010

 

12  months

 

$

240,000,000

 

January 2011

 

12  months

 

$

242,000,000

 

February 2011

 

12  months

 

$

245,000,000

 

 

(b)           Minimum Availability.  Not permit Availability to be less than $20,000,000 on any day.

 

(c)           Compliance with Budget.  Not permit variance from the DIP Budget of actual cash flow (excluding from the calculation thereof payments for professional fees not attributable to any litigation) of the Borrower and the other Loan Parties to exceed, for any Testing Period for any calendar week (commencing with March 1, 2010), 20% of the amount set forth in the DIP Budget for such non-excluded cash flows for such Testing Period plus the amount, if any, of the Cash Variance. For the avoidance of doubt, the parties hereto acknowledge and confirm that the covenant in this Section 5.04(c) measures, at the end of each applicable week, cumulative variance for the period from the first day of the first calendar week of the DIP Budget and ending with the last day of such applicable week.

 

ARTICLE VI

EVENTS OF DEFAULT

 

Section 6.01  Events of Default.  If any of the following events (“Events of Default”) shall occur and be continuing:

 

(a)           the Borrower shall fail to pay any principal of any Advance or any unreimbursed drawing with respect to any Letter of Credit when the same shall become due and payable or any Loan Party shall fail to make any payment of interest on any Advance or any other payment under any Loan Document within two business days after the same becomes due and payable; or

 

(b)           any representation or warranty made by any Loan Party (or any of its officers) under or in connection with any Loan Document shall prove to have been incorrect in any material respect when made or deemed made; or

 

(c)           any Loan Party shall fail to perform or observe (i) any term, covenant or agreement contained in Section 2.14, 5.01(a) (with respect to the Loan Parties), 5.01(c), 5.01(f),

 

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5.02, 5.03 (other than subsections (e), (f), (l) and (n) of Section 5.03) or 5.04 or the proviso to Section 3.01(e)(vi), (ii) any term, covenant or agreement contained in Section 5.03(e) or (f), if such failure shall remain unremedied for one Business Day, or (iii) any term, covenant or agreement (other than those listed in clauses (i) and (ii) above) contained in Article V hereof, if such failure shall remain unremedied for 10 days; or

 

(d)           any Loan Party shall fail to perform any other term, covenant or agreement contained in any Loan Document on its part to be performed or observed if such failure shall remain unremedied for 20 days; or

 

(e)           (i) any Loan Party or any of its Subsidiaries shall fail to pay any principal of, premium or interest on or any other amount payable in respect of one or more items of Debt arising after the Petition Date of the Loan Parties and their Subsidiaries (excluding Debt outstanding hereunder) that is outstanding in an aggregate principal or notional amount (or, in the case of any Hedge Agreement, an Agreement Value) of at least $10,000,000 when the same becomes due and payable (whether by scheduled maturity, required prepayment, acceleration, demand or otherwise), and such failure shall continue after the applicable grace period, if any, specified in the agreements or instruments relating to all such Debt; or (ii) any other event shall occur or condition shall exist under the agreements or instruments relating to one or more items of Debt arising after the Petition Date of the Loan Parties and their Subsidiaries (excluding Debt outstanding hereunder) that is outstanding in an aggregate principal or notional amount of at least $10,000,000, and such other event or condition shall continue after the applicable grace period, if any, specified in all such agreements or instruments, if the effect of such event or condition is to accelerate, or to permit the acceleration of, the maturity of such Debt or otherwise to cause, or to permit the holder thereof to cause, such Debt to mature; or (iii) one or more items of Debt arising after the Petition Date of the Loan Parties and their Subsidiaries (excluding Debt outstanding hereunder) that is outstanding in an aggregate principal or notional amount (or, in the case of any Hedge Agreement, an Agreement Value) of at least $10,000,000 shall be declared to be due and payable or required to be prepaid or redeemed (other than by a regularly scheduled or required prepayment or redemption), purchased or defeased, or an offer to prepay, redeem, purchase or defease such Debt shall be required to be made, in each case prior to the stated maturity thereof; or

 

(f)            one or more final, non-appealable judgments or orders for the payment of money in excess of $10,000,000 in the aggregate at any time, as an administrative expense of the kind specified in section 503(b) of the Bankruptcy Code shall be rendered against any Loan Party or any of its Subsidiaries and enforcement proceedings shall have been commenced by any creditor upon such judgment or order and such proceedings are not stayed; or

 

(g)           one or more nonmonetary judgments or orders shall be rendered against any Loan Party or any of its Subsidiaries that is reasonably likely to have a Material Adverse Effect, and there shall be any period of 10 consecutive days during which a stay of enforcement of such judgment or order, by reason of a pending appeal or otherwise, shall not be in effect; or

 

(h)           any provision of any Loan Document after delivery thereof pursuant to Article III shall for any reason cease to be valid and binding on or enforceable against any Loan Party intended to be a party to it, or any such Loan Party shall so state in writing; or

 

(i)            any Collateral Document after delivery thereof pursuant to Article III shall for any reason (other than pursuant to the terms thereof) cease to create a valid and perfected Lien on and security interest in the Collateral purported to be covered thereby; or

 

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(j)            the Borrower or any of its ERISA Affiliates shall incur, or shall be reasonably likely to incur liability as a result of one or more of the following:  (i) the occurrence of any ERISA Event; (ii) the partial or complete withdrawal of the Borrower or any of its ERISA Affiliates from a Multiemployer Plan; or (iii) the reorganization or termination of a Multiemployer Plan, except, in each case, (a) any liability that is reasonably expected to be treated as a general unsecured claim in the Cases and could not reasonably be expected to result in a Material Adverse Effect and (b) other liabilities not greater than $10,000,000 in the aggregate; or

 

(k)           any of the Cases concerning the Borrower or Guarantors shall be dismissed or converted to a case under chapter 7 of the Bankruptcy Code or any Loan Party shall file a motion or other pleading or support a motion or other pleading filed by any other Person seeking the dismissal or conversion of any of the Cases concerning the Borrower or Guarantors under section 1112 of the Bankruptcy Code or otherwise; a trustee under chapter 7 or chapter 11 of the Bankruptcy Code, a responsible officer or an examiner with enlarged powers relating to the operation of the business (powers beyond those set forth in section 1106(a)(3) and (4) of the Bankruptcy Code) under section 1106(b) of the Bankruptcy Code shall be appointed in any of the Cases and such order shall not be reversed or vacated within 30 days after the entry thereof; or any Loan Party shall file a motion or other pleading or shall consent to a motion or other pleading filed by any other Person seeking any of the foregoing; or

 

(l)            the existence of any other Superpriority Claim (other than the Carve-Out) in any of the Cases which is pari passu with or senior to the claims of the Administrative Agent and the Lenders against the Borrower or any Guarantor hereunder, or there shall arise or be granted any such pari passu or senior Superpriority Claim (other than the Carve-Out); or

 

(m)          the Bankruptcy Court shall enter an order or orders granting relief from the automatic stay applicable under section 362 of the Bankruptcy Code to the holder or holders of any security interest to proceed against, including foreclosure (or the granting of a deed in lieu of foreclosure or the like) on, any assets of any of the Borrower or the Guarantors that have a value in excess of $10,000,000 in the aggregate, provided that this subsection (m) shall not apply to any order granting relief from the automatic stay to the extent of permitting a creditor to exercise valid setoff rights pursuant to section 553 of the Bankruptcy Code, the DIP Refinancing Orders, the First Day Orders, pursuant to Section 5.02(j), in connection with any Lien permitted pursuant to Section 5.02(a)(ii) through (v) or in connection with any Lien in existence on the Petition Date on cash collateral securing a performance obligation (other than indebtedness for borrowed money); or

 

(n)           an order of the Bankruptcy Court (or any other court of competent jurisdiction) shall be entered (A) reversing, amending, staying for a period in excess of 10 days or vacating either of the DIP Refinancing Orders, (B) without the written consent of the Administrative Agent the Required Lenders (and, to the extent such amendment, supplement or modification would have the effect of amending, supplementing or otherwise modifying the provisions of this Agreement in a manner that would require the consent of each Lender, each Initial Lender or each adversely affected Lender, the written consent of each Lender, each Initial Lender or each adversely affected Lender, as applicable), otherwise by its express terms, amending, supplementing or modifying either of the DIP Refinancing Orders in a manner that is adverse to the Agents and the Lenders or (C) terminating the use of cash collateral by the Borrower or the Guarantors pursuant to either of the DIP Refinancing Orders; or any Loan Party shall file a motion or other pleading or shall consent to a motion or other pleading filed by any other Person seeking any of the foregoing; provided that such event shall not constitute an Event of Default if

 

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such motion shall be dismissed or withdrawn within 5 Business Days of such filing and no such order is entered by the Bankruptcy Court as a result of such filing; or

 

(o)           default in any material respect shall be made by the Borrower or any Guarantor in the due observance or performance of any term or condition contained in the DIP Refinancing Orders; or

 

(p)           a final non-appealable order of the Bankruptcy Court shall be entered that provides for the recovery from any portions of the Collateral of any costs or expenses of preserving or disposing of such Collateral under section 506(c) of the Bankruptcy Code; or any Loan Party shall bring a motion in the Cases seeking, or otherwise consent to, authority from the Bankruptcy Court (i) to recover from any portions of the Collateral any costs or expenses of preserving or disposing of such Collateral under section 506(c) of the Bankruptcy Code or (ii) to effect any other action or actions adverse to the Administrative Agent or Lenders or their rights and remedies hereunder or their interest in the Collateral, except to the extent such action (or actions) is an integral part of a transaction expressly permitted under this Agreement;

 

(q)           any Loan Party shall bring a motion (other than with respect to a financing used, in whole or part, to repay in full the Obligations under this Agreement) in the Cases: (i) to obtain financing for any Loan Party from any Person other than the Lenders under section 364(c) or (d) of the Bankruptcy Code; or (ii) to grant any Lien other than those permitted under Section 5.02(a) upon or affecting any Collateral; or (iii) to use cash collateral of the Administrative Agent or Lenders under section 363(c) of the Bankruptcy Code without the prior written consent of the Required Lenders (as provided in Section 10.01), except to pay the Carve-Out; or

 

(r)            the entry of the Final Order shall not have occurred within 21 days of the entry of the Interim Order; or

 

(s)           the filing by any Loan Party of a Reorganization Plan in any of the Cases, or the filing by any Loan Party of a motion or pleading in support of a Reorganization Plan in any of the Cases, or a Reorganization Plan is confirmed by order of the Bankruptcy Court in any of the Cases, in each case that does not provide for the indefeasible payment in full upon substantial consummation of the Reorganization Plan in cash of all Obligations owed under the Loan Documents to the Lender Parties unless otherwise agreed to by the Lender Parties; or

 

(t)            any Loan Party shall challenge the validity of any Loan Document or the applicability or enforceability of any Loan Document or shall seek to void, avoid, limit, or otherwise adversely affect the security interest created by or in any Loan Document or any payment made pursuant thereto; provided that in the case that such challenge relates to the validity, applicability or enforceability of the DIP Refinancing Orders or security interests created by or in the DIP Refinancing Orders or any payment made pursuant thereto, such event shall not constitute an Event of Default if such challenge shall be dismissed or withdrawn within 5 Business Days and none of such validity, applicability or enforceability shall be affected and no such security interest or payment shall be adversely affected by such challenge; or

 

(u)           a Change of Control shall occur; or

 

(v)           any Non-Loan Party that is a Material Subsidiary shall generally not pay its debts as such debts become due, or shall admit in writing its inability to pay its debts generally, or shall make a general assignment for the benefit of creditors; or any proceeding shall be instituted by or against any Non-Loan Party that is a Material Subsidiary seeking to adjudicate it a bankrupt or

 

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insolvent, or seeking liquidation, winding up, reorganization, arrangement, adjustment, protection, relief, or composition of it or its debts under any law relating to bankruptcy, insolvency or reorganization or relief of debtors, or seeking the entry of an order for relief or the appointment of a receiver, trustee or other similar official for it or for any substantial part of its property and, in the case of any such proceeding instituted against it (but not instituted by it) that is being diligently contested by it in good faith, either such proceeding shall remain undismissed or unstayed for a period of 30 days or any of the actions sought in such proceeding (including, without limitation, the entry of an order for relief against, or the appointment of a receiver, trustee, custodian or other similar official for, it or any substantial part of its property) shall occur; or any Non-Loan Party that is a Material Subsidiary shall take any corporate action to authorize any of the actions set forth above in this subsection (v);

 

then, and in any such event, without further order of or application to the Bankruptcy Court, the Administrative Agent (i) shall at the request, or may with the consent, of the Required Lenders, by notice to the Borrower (with a copy to counsel for each of the Committees or any official committee appointed in the Cases and to the United States Trustee for the Southern District of New York), declare the obligation of each Lender to make Advances (other than Letter of Credit Advances by the Issuing Banks or a Lender pursuant to Section 2.03(c) and of the Issuing Banks to issue Letters of Credit to be terminated, whereupon the same shall forthwith terminate, (ii) shall at the request, or may with the consent, of the Required Lenders, by notice to the Borrower (with a copy to counsel for each of the Committees or any official committee appointed in the Cases and to the United States Trustee for the Southern District of New York), declare the Notes, all interest thereon and all other amounts payable under this Agreement and the other Loan Documents to be forthwith due and payable, whereupon the Notes, all such interest and all such amounts shall become and be forthwith due and payable, without presentment, demand, protest or further notice of any kind, all of which are hereby expressly waived by the Borrower, and (iii) shall at the request, or may with the consent, of the Required Lenders, by five days’ notice to the Borrower and subject to the Interim Order or the Final Order, as applicable, (A) set-off amounts in the L/C Cash Collateral Account, or any other accounts of the Loan Parties and apply such amounts to the Obligations of the Loan Parties hereunder and under the other Loan Documents, and (B) exercise any and all remedies against the Collateral under this Agreement, the Loan Documents, the DIP Refinancing Orders, and applicable law available to the Agents and the Lenders.

 

Section 6.02  Actions in Respect of the Letters of Credit upon Default.  If any Event of Default shall have occurred and be continuing, the Administrative Agent may, or shall at the request of the Required Lenders, irrespective of whether it is taking any of the actions described in Section 6.01 or otherwise, make demand upon the Borrower to, and forthwith upon such demand the Borrower will, pay to the Administrative Agent on behalf of the Lender Parties in same day funds at the Administrative Agent’s office designated in such demand, for deposit in the L/C Cash Collateral Account, an amount equal to 105% of the aggregate Available Amount of all Letters of Credit then outstanding.  If at any time the Administrative Agent determines that any funds held in the L/C Cash Collateral Account are subject to any right or claim of any Person other than the Administrative Agent and the Lender Parties or that the total amount of such funds is less than the aggregate Available Amount of all Letters of Credit, the Borrower will, forthwith upon demand by the Administrative Agent, pay to the Administrative Agent, as additional funds to be deposited and held in the L/C Cash Collateral Account, an amount equal to the excess of (a) such aggregate Available Amount over (b) the total amount of funds, if any, then held in the L/C Cash Collateral Account that the Administrative Agent determines to be free and clear of any such right and claim.

 

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ARTICLE VII

THE AGENTS

 

Section 7.01  Appointment and Authorization of the Agents.  (a)  Each Lender Party hereby irrevocably appoints Citibank to act on its behalf as the Administrative Agent hereunder and under the other Loan Documents and authorizes the Administrative Agent to take such actions on its behalf and to exercise such powers as are delegated to the Administrative Agent by the terms hereof or thereof, together with such actions and powers as are reasonably incidental thereto.  The provisions of this Article are solely for the benefit of the Administrative Agent and the Lender Parties, and neither the Borrower nor any other Loan Party shall have rights as a third party beneficiary of any of such provisions.

 

(b)           Each Issuing Bank shall act on behalf of the Lenders with respect to any Letters of Credit issued by it and the documents associated therewith, and each Issuing Bank shall have all of the benefits and immunities (i) provided to each Agent in this Article VII with respect to any acts taken or omissions suffered by such Issuing Bank in connection with Letters of Credit issued by it or proposed to be issued by it and the applications and agreements for letters of credit pertaining to such Letters of Credit as fully as if the term “Agent” as used in this Article VII included such Issuing Bank with respect to such acts or omissions, and (ii) as additionally provided herein with respect to such Issuing Bank.

 

Section 7.02  Administrative Agent Individually.  (a)  The Person serving as the Administrative Agent hereunder shall have the same rights and powers in its capacity as a Lender Party as any other Lender Party and may exercise the same as though it were not the Administrative Agent and the term “Lender Party” or “Lender Parties” shall, unless otherwise expressly indicated or unless the context otherwise requires, include the Person serving as the Administrative Agent hereunder in its individual capacity.  Such Person and its Affiliates may accept deposits from, lend money to, act as the financial advisor or in any other advisory capacity for and generally engage in any kind of business with the Borrower or any Subsidiary or other Affiliate thereof as if such Person were not the Administrative Agent hereunder and without any duty to account therefor to the Lender Parties.

 

(b)           Each Lender Party understands that the Person serving as Administrative Agent, acting in its individual capacity, and its Affiliates (collectively, the “Agent’s Group”) are engaged in a wide range of financial services and businesses (including investment management, financing, securities trading, corporate and investment banking and research) (such services and businesses are collectively referred to in this Section 7.02 as “Activities”) and may engage in the Activities with or on behalf of one or more of the Loan Parties or their respective Affiliates.  Furthermore, the Agent’s Group may, in undertaking the Activities, engage in trading in financial products or undertake other investment businesses for its own account or on behalf of others (including the Loan Parties and their Affiliates and including holding, for its own account or on behalf of others, equity, debt and similar positions in the Borrower, another Loan Party or their respective Affiliates), including trading in or holding long, short or derivative positions in securities, loans or other financial products of one or more of the Loan Parties or their Affiliates.  Each Lender Party understands and agrees that in engaging in the Activities, the Agent’s Group may receive or otherwise obtain information concerning the Loan Parties or their Affiliates (including information concerning the ability of the Loan Parties to perform their respective Obligations hereunder and under the other Loan Documents) which information may not be available to any of the Lender Parties that are not members of the Agent’s Group.  None of the Administrative Agent nor any member of the Agent’s Group shall have any duty to disclose to any Lender Party or use on behalf of the Lender Parties, and shall not be liable for the failure to so disclose or use, any information whatsoever about or derived from the Activities or otherwise (including any information concerning the business, prospects, operations, property, financial and other condition or creditworthiness of any Loan Party or any Affiliate of any Loan Party) or to account for any revenue or profits obtained in connection with the

 

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Activities, except that the Administrative Agent shall deliver or otherwise make available to each Lender Party such documents as are expressly required by any Loan Document to be transmitted by the Administrative Agent to the Lender Parties.

 

(c)           Each Lender Party further understands that there may be situations where members of the Agent’s Group or their respective customers (including the Loan Parties and their Affiliates) either now have or may in the future have interests or take actions that may conflict with the interests of any one or more of the Lender Parties (including the interests of the Lender Parties hereunder and under the other Loan Documents).  Each Lender Party agrees that no member of the Agent’s Group is or shall be required to restrict its activities as a result of the Person serving as Administrative Agent being a member of the Agent’s Group, and that each member of the Agent’s Group may undertake any Activities without further consultation with or notification to any Lender Party.  None of (i) this Agreement nor any other Loan Document, (ii) the receipt by the Agent’s Group of information (including Information) concerning the Loan Parties or their Affiliates (including information concerning the ability of the Loan Parties to perform their respective Obligations hereunder and under the other Loan Documents) nor (iii) any other matter shall give rise to any fiduciary, equitable or contractual duties (including without limitation any duty of trust or confidence) owing by the Administrative Agent or any member of the Agent’s Group to any Lender Party including any such duty that would prevent or restrict the Agent’s Group from acting on behalf of customers (including the Loan Parties or their Affiliates) or for its own account.

 

Section 7.03  Duties of Administrative Agent; Exculpatory Provisions.  (a)  The Administrative Agent’s duties hereunder and under the other Loan Documents are solely ministerial and administrative in nature and the Administrative Agent shall not have any duties or obligations except those expressly set forth herein and in the other Loan Documents.  Without limiting the generality of the foregoing, the Administrative Agent shall not have any duty to take any discretionary action or exercise any discretionary powers, but shall be required to act or refrain from acting (and shall be fully protected in so acting or refraining from acting) upon the written direction of the Required Lenders (or such other number or percentage of the Lenders as shall be expressly provided for herein or in the other Loan Documents), provided that the Administrative Agent shall not be required to take any action that, in its opinion or the opinion of its counsel, may expose the Administrative Agent or any of its Affiliates to liability or that is contrary to any Loan Document or applicable law.

 

(b)           The Administrative Agent shall not be liable for any action taken or not taken by it (i) with the consent or at the request of the Required Lenders (or such other number or percentage of the Lenders as shall be necessary, or as the Administrative Agent shall believe in good faith shall be necessary, under the circumstances as provided in Section 6.01, 6.02 or 10.01) or (ii) in the absence of its own gross negligence or willful misconduct.  The Administrative Agent shall be deemed not to have knowledge of any Default or the event or events that give or may give rise to any Default unless and until the Borrower or any Lender Party shall have given notice to the Administrative Agent describing such Default and such event or events.

 

(c)           Neither the Administrative Agent nor any member of the Agent’s Group shall be responsible for or have any duty to ascertain or inquire into (i) any statement, warranty, representation or other information made or supplied in or in connection with this Agreement any other Loan Document, (ii) the contents of any certificate, report or other document delivered hereunder or thereunder or in connection herewith or therewith or the adequacy, accuracy and/or completeness of the information contained therein, (iii) the performance or observance of any of the covenants, agreements or other terms or conditions set forth herein or therein or the occurrence of any Default, (iv) the validity, enforceability, effectiveness or genuineness of this Agreement, any other Loan Document or any other agreement, instrument or document or the perfection or priority of any Lien or security interest created or purported

 

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to be created by the Collateral Documents or (v) the satisfaction of any condition set forth in Article III or elsewhere herein, other than (but subject to the foregoing clause (ii)) to confirm receipt of items expressly required to be delivered to the Administrative Agent.

 

(d)           Nothing in this Agreement or any other Loan Document shall require the Administrative Agent or any of its Related Parties to carry out any “know your customer” or other checks in relation to any person on behalf of any Lender Party and each Lender Party confirms to the Administrative Agent that it is solely responsible for any such checks it is required to carry out and that it may not rely on any statement in relation to such checks made by the Administrative Agent or any of its Related Parties.

 

Section 7.04  Reliance by Administrative Agent.  The Administrative Agent shall be entitled to rely upon, and shall not incur any liability for relying upon, any notice, request, certificate, consent, statement, instrument, document or other writing (including any electronic message, Internet or intranet website posting or other distribution) believed by it to be genuine and to have been signed, sent or otherwise authenticated by the proper Person.  The Administrative Agent also may rely upon any statement made to it orally or by telephone and believed by it to have been made by the proper Person, and shall not incur any liability for relying thereon.  In determining compliance with any condition hereunder to the making of an Advance, or the issuance of a Letter of Credit, that by its terms must be fulfilled to the satisfaction of a Lender Party, the Administrative Agent may presume that such condition is satisfactory to such Lender Party unless an officer of the Administrative Agent responsible for the transactions contemplated hereby shall have received notice to the contrary from such Lender Party prior to the making of such Advance or the issuance of such Letter of Credit, and in the case of a Borrowing, such Lender Party shall not have made available to the Administrative Agent such Lender Party’s ratable portion of such Borrowing.  The Administrative Agent may consult with legal counsel (who may be counsel for the Borrower or any other Loan Party), independent accountants and other experts selected by it, and shall not be liable for any action taken or not taken by it in accordance with the advice of any such counsel, accountants or experts.

 

Section 7.05  Delegation of Duties.  The Administrative Agent may perform any and all of its duties and exercise its rights and powers hereunder or under any other Loan Document by or through any one or more sub agents appointed by the Administrative Agent.  The Administrative Agent and any such sub agent may perform any and all of its duties and exercise its rights and powers by or through their respective Related Parties.  Each such sub agent and the Related Parties of the Administrative Agent and each such sub agent shall be entitled to the benefits of all provisions of this Article VII and Section 10.04 (as though such sub-agents were the “Administrative Agent” under the Loan Documents) as if set forth in full herein with respect thereto.

 

Section 7.06  Resignation of Administrative Agent.  (a)  The Administrative Agent may at any time give 30 days’ prior written notice of its resignation to the Lender Parties and the Borrower.  Upon receipt of any such notice of resignation, the Required Lenders shall have the right, in consultation with the Borrower, to appoint a successor which shall be a bank with an office in the United States, or an Affiliate of any such bank with an office in the United States; provided that such successor shall comply with the requirements of Section 2.12(e) prior to becoming the successor under this Agreement; provided further that, so long as there has been no Event of Default, the Required Lenders shall not appoint a foreign agent as successor if such appointment would result in a tax gross-up or indemnification payment under this Agreement unless (i) the Required Lenders determine, in their reasonable discretion, that such appointment is necessary to avoid material adverse economic, legal or regulatory consequences, (ii) the appointment is at the request of the Borrowers’ Agent or (iii) the appointment is required by law.  If no such successor shall have been so appointed by the Required Lenders and shall have accepted such appointment within 30 days after the retiring Administrative Agent gives notice of its resignation (such

 

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30-day period, the “Lender Party Appointment Period”), then the retiring Administrative Agent may on behalf of the Lender Parties, appoint a successor Administrative Agent meeting the qualifications set forth above.  In addition and without any obligation on the part of the retiring Administrative Agent to appoint, on behalf of the Lender Parties, a successor Administrative Agent, the retiring Administrative Agent may at any time upon or after the end of the Lender Party Appointment Period notify the Borrower and the Lender Parties that no qualifying Person has accepted appointment as successor Administrative Agent and the effective date of such retiring Administrative Agent’s resignation.  Upon the resignation effective date established in such notice and regardless of whether a successor Administrative Agent has been appointed and accepted such appointment, the retiring Administrative Agent’s resignation shall nonetheless become effective in accordance with such notice and (i) the retiring Administrative Agent shall be discharged from its duties and obligations as Administrative Agent hereunder and under the other Loan Documents (except that in the case of any collateral security held by the Administrative Agent on behalf of the Lenders under any of the Loan Documents, the retiring Administrative Agent shall continue to hold such collateral security as nominee until such time as a successor Administrative Agent is appointed) and (ii) all payments, communications and determinations provided to be made by, to or through the Administrative Agent shall instead be made by or to each Lender Party directly, until such time as the Required Lenders appoint a successor Administrative Agent as provided for above in this paragraph.  Upon the acceptance of a successor’s appointment as Administrative Agent hereunder, such successor shall succeed to and become vested with all of the rights, powers, privileges and duties as Administrative Agent of the retiring (or retired) Administrative Agent, and the retiring Administrative Agent shall be discharged from all of its duties and obligations as Administrative Agent hereunder or under the other Loan Documents (if not already discharged therefrom as provided above in this paragraph).  The fees payable by the Borrower to a successor Administrative Agent shall be the same as those payable to its predecessor unless otherwise agreed between the Borrower and such successor.  After the retiring Administrative Agent’s resignation hereunder and under the other Loan Documents, the provisions of this Article and Section 10.04 shall continue in effect for the benefit of such retiring Administrative Agent, its sub agents and their respective Related Parties in respect of any actions taken or omitted to be taken by any of them while the retiring Administrative Agent was acting as Administrative Agent.

 

(b)           Any resignation pursuant to this Section by a Person acting as Administrative Agent shall, unless such Person shall notify the Borrower and the Lender Parties otherwise, also act to relieve such Person and its Affiliates of any obligation to issue new or extend existing Letters of Credit where such issuance or extension is to occur on or after the effective date of such resignation.  Upon the acceptance of a successor’s appointment as Administrative Agent hereunder, (i) such successor shall succeed to and become vested with all of the rights, powers, privileges and duties of the retiring Issuing Bank, (ii) the retiring Issuing Bank shall be discharged from all of their respective duties and obligations hereunder or under the other Loan Documents, and (iii) the successor Issuing Bank shall issue letters of credit in substitution for the Letters of Credit, if any, outstanding at the time of such succession or make other arrangement satisfactory to the retiring Issuing Bank to effectively assume the obligations of the retiring Issuing Bank with respect to such Letters of Credit.

 

(c)           In addition to the foregoing, if a Lender becomes, and during the period it remains, a Defaulting Lender or a Potential Defaulting Lender, any Issuing Bank may, upon prior written notice to the Borrower and the Administrative Agent, resign as Issuing Bank, effective at the close of business New York time on a date specified in such notice; provided that such resignation by such Issuing Bank will have no effect on the validity or enforceability of any Letter of Credit issued by such Issuing Bank then outstanding or on the obligations of the Borrower or any Lender under this Agreement with respect to any such outstanding Letter of Credit or otherwise to such Issuing Bank.

 

Section 7.07  Non-Reliance on Administrative Agent and Other Lender Parties.  (a)  Each Lender Party confirms to the Administrative Agent, each other Lender Party and each of their respective

 

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Related Parties that it (i) possesses (individually or through its Related Parties) such knowledge and experience in financial and business matters that it is capable, without reliance on the Administrative Agent, any other Lender Party or any of their respective Related Parties, of evaluating the merits and risks (including tax, legal, regulatory, credit, accounting and other financial matters) of (x) entering into this Agreement, (y) making Advances and other extensions of credit hereunder and under the other Loan Documents and (z) in taking or not taking actions hereunder and thereunder, (ii) is financially able to bear such risks and (iii) has determined that entering into this Agreement and making Advances and other extensions of credit hereunder and under the other Loan Documents is suitable and appropriate for it.

 

(b)           Each Lender Party acknowledges that (i) it is solely responsible for making its own independent appraisal and investigation of all risks arising under or in connection with this Agreement and the other Loan Documents, (ii) that it has, independently and without reliance upon the Administrative Agent, any other Lender Party or any of their respective Related Parties, made its own appraisal and investigation of all risks associated with, and its own credit analysis and decision to enter into, this Agreement based on such documents and information, as it has deemed appropriate and (iii) it will, independently and without reliance upon the Administrative Agent, any other Lender Party or any of their respective Related Parties, continue to be solely responsible for making its own appraisal and investigation of all risks arising under or in connection with, and its own credit analysis and decision to take or not take action under, this Agreement and the other Loan Documents based on such documents and information as it shall from time to time deem appropriate, which may include, in each case:

 

(A)          the financial condition, status and capitalization of the Borrower and each other Loan Party;

 

(B)           the legality, validity, effectiveness, adequacy or enforceability of this Agreement and each other Loan Document and any other agreement, arrangement or document entered into, made or executed in anticipation of, under or in connection with any Loan Document;

 

(C)           determining compliance or non-compliance with any condition hereunder to the making of an Advance, or the issuance of a Letter of Credit and the form and substance of all evidence delivered in connection with establishing the satisfaction of each such condition; and

 

(D)          the adequacy, accuracy and/or completeness of any information delivered by the Administrative Agent, any other Lender Party or by any of their respective Related Parties under or in connection with this Agreement or any other Loan Document, the transactions contemplated hereby and thereby or any other agreement, arrangement or document entered into, made or executed in anticipation of, under or in connection with any Loan Document.

 

Section 7.08  No Other Duties, etc.  Anything herein to the contrary notwithstanding, none of the Persons acting as Bookrunner or Lead Arranger listed on the cover page hereof shall have any powers, duties or responsibilities under this Agreement or any of the other Loan Documents, except in its capacity, as applicable, as the Administrative Agent or as a Lender Party hereunder.

 

Section 7.09  Indemnification of Agents.  Whether or not the transactions contemplated hereby are consummated, the Lenders shall indemnify upon demand each Agent and each of its Related Parties (to the extent not reimbursed by or on behalf of any Loan Party and without limiting the obligation of any Loan Party to do so), pro rata, and hold harmless each Agent and each Agent’s Related Parties from and against any and all Indemnified Liabilities incurred by it; provided, however, that no Lender shall be liable for the payment to any Agent or any of its Related Parties of any portion of such Indemnified Liabilities to the extent determined in a final, nonappealable judgment by a court of competent jurisdiction to have resulted primarily from such Agent’s or such Related Party’s own gross

 

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negligence or willful misconduct; provided, however, that no action taken in accordance with the directions of the Required Lenders shall be deemed to constitute gross negligence or willful misconduct for purposes of this Section.  Without limitation of the foregoing, each Lender shall reimburse each Agent upon demand for its ratable share of any costs or out-of-pocket expenses (including all reasonable fees and expenses of counsel for the Agent) incurred by any Agent in connection with the preparation, execution, delivery, administration, modification, amendment or enforcement (whether through negotiations, legal proceedings or otherwise) of, or legal advice in respect of rights or responsibilities under, this Agreement, any other Loan Document, or any document contemplated by or referred to herein, to the extent that such Agent is not reimbursed for such expenses by or on behalf of the Borrower.  The undertaking in this Section shall survive termination of the Commitments, the payment of all other Obligations and the resignation of each of the Agents.  In the case of an investigation, litigation or other proceeding to which the indemnity in this Section 7.09 applies, such indemnity shall be effective whether or not such investigation, litigation or proceeding is brought by any Lender Party, its directors, shareholders or creditors and whether or not the transactions contemplated hereby are consummated.

 

Section 7.10  Administrative Agent May File Proofs of Claim.  In case of the pendency of any receivership, insolvency, liquidation, bankruptcy, reorganization, arrangement, adjustment, composition or other judicial proceeding relative to any Loan Party, the Administrative Agent (irrespective of whether the principal of any Advance shall then be due and payable as herein expressed or by declaration or otherwise and irrespective of whether any Agent shall have made any demand on the Borrower) shall be entitled and empowered, by intervention in such proceeding or otherwise:

 

(a)           to file and prove a claim for the whole amount of the principal and interest owing and unpaid in respect of the Advances and all other Obligations that are owing and unpaid and to file such other documents as may be necessary or advisable in order to have the claims of the Lenders and the Agents (including any claim for the reasonable compensation, expenses, disbursements and advances of the Lenders and the Agents and their respective agents and counsel and all other amounts due the Lenders and the Agents under Sections 2.08 and 10.04) allowed in such judicial proceeding; and

 

(b)           to collect and receive any monies or other property payable or deliverable on any such claims and to distribute the same;

 

and any custodian, receiver, assignee, trustee, liquidator, sequestrator or other similar official in any such judicial proceeding is hereby authorized by each Lender to make such payments to the Administrative Agent and, in the event that the Administrative Agent shall consent to the making of such payments directly to the Lenders, to pay to the Administrative Agent any amount due for the reasonable compensation, expenses, disbursements and advances of the Administrative Agent and its agents and counsel, and any other amounts due to the Administrative Agent under Sections 2.08 and 10.04.

 

Nothing contained herein shall be deemed to authorize the Administrative Agent to authorize or consent to or accept or adopt on behalf of any Lender any plan of reorganization, arrangement, adjustment or composition affecting the Obligations or the rights of any Lender or to authorize the Administrative Agent to vote in respect of the claim of any Lender in any such proceeding.

 

Section 7.11  Collateral and Guaranty Matters.  The Lenders irrevocably authorize the Administrative Agent, at its option and in its discretion,

 

(a)           to release any Lien on any property granted to or held by the Administrative Agent under any Loan Document (i) upon termination of the Commitments and payment in full of all Obligations (other than contingent indemnification obligations) and the expiration or

 

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termination of all Letters of Credit, (ii) that is sold or to be sold as part of or in connection with any sale permitted hereunder or under any other Loan Document, or (iii) subject to Section 10.01, if approved, authorized or ratified in writing by the Required Lenders;

 

(b)           to subordinate any Lien on any property granted to or held by the Administrative Agent under any Loan Document to the holder of any Lien on such property that is permitted by Section 5.02(a);

 

(c)           to release any Guarantor from its obligations under the Guaranty if such Person ceases to be a Subsidiary as a result of a transaction permitted hereunder or if all of such Person’s assets are sold or liquidated as permitted under the terms of the Loan Documents and the proceeds thereof are distributed to the Borrower; and

 

(d)           to acquire, hold and enforce any and all Liens on Collateral granted by and of the Loan Parties to secure any of the Secured Obligations, together with such other powers and discretion as are reasonably incidental thereto.

 

Upon request by the Administrative Agent at any time, the Required Lenders (acting on behalf of all the Lenders) will confirm in writing that the Administrative Agent’s authority to release Liens or subordinate the interests of the Secured Parties  in particular types or items of property, or to release any Guarantor from its obligations under the Guaranty pursuant to this Section 7.11.

 

ARTICLE VIII

SUBSIDIARY GUARANTY

 

Section 8.01  Subsidiary Guaranty.  Each Guarantor, jointly and severally, unconditionally and irrevocably guarantees (the undertaking by each Guarantor under this Article VIII being the “Guaranty”) the punctual payment when due, whether at scheduled maturity or at a date fixed for prepayment or by acceleration, demand or otherwise, of all of the Obligations of each of the other Loan Parties now or hereafter existing under or in respect of the Loan Documents (including, without limitation, any extensions, modifications, substitutions, amendments or renewals of any or all of the foregoing Obligations), whether direct or indirect, absolute or contingent, and whether for principal, interest, premium, fees, indemnification payments, contract causes of action, costs, expenses or otherwise (such Obligations being the “Guaranteed Obligations”), and agrees to pay any and all expenses (including, without limitation, reasonable fees and expenses of counsel) incurred by the Administrative Agent or any of the other Secured Parties solely in enforcing any rights under this Guaranty.  Without limiting the generality of the foregoing, each Guarantor’s liability shall extend to all amounts that constitute part of the Guaranteed Obligations and would be owed by any of the other Loan Parties to the Administrative Agent or any of the other Secured Parties under or in respect of the Loan Documents but for the fact that they are unenforceable or not allowable due to the existence of a bankruptcy, reorganization or similar proceeding involving such other Loan Party.

 

Section 8.02  Guaranty Absolute.  Each Guarantor guarantees that the Guaranteed Obligations will be paid strictly in accordance with the terms of the Loan Documents, regardless of any law, regulation or order now or hereafter in effect in any jurisdiction affecting any of such terms or the rights of the Administrative Agent or any other Secured Party with respect thereto.  The Obligations of each Guarantor under this Guaranty are independent of the Guaranteed Obligations or any other Obligations of any Loan Party under the Loan Documents, and a separate action or actions may be brought and prosecuted against such Guarantor to enforce this Guaranty, irrespective of whether any action is brought against any other Loan Party or whether any other Loan Party is joined in any such

 

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action or actions.  The liability of each Guarantor under this Guaranty shall be absolute, unconditional and irrevocable irrespective of, and such Guarantor hereby irrevocably waives any defenses it may now or hereafter have in any way relating to, any and all of the following:

 

(a)           any lack of validity or enforceability of any Loan Document or any other agreement or instrument relating thereto;

 

(b)           any change in the time, manner or place of payment of, or in any other term of, all or any of the Guaranteed Obligations or any other Obligations of any Loan Party under the Loan Documents, or any other amendment or waiver of or any consent to departure from any Loan Document, including, without limitation, any increase in the Guaranteed Obligations resulting from the extension of additional credit to any Loan Party or any of its Subsidiaries or otherwise;

 

(c)           any taking, exchange, release or nonperfection of any Collateral, or any taking, release or amendment or waiver of or consent to departure from any Subsidiary Guaranty or any other guaranty, for all or any of the Guaranteed Obligations;

 

(d)           any manner of application of Collateral, or proceeds thereof, to all or any of the Guaranteed Obligations, or any manner of sale or other disposition of any Collateral for all or any of the Guaranteed Obligations or any other Obligations of any Loan Party under the Loan Documents, or any other property and assets of any other Loan Party or any of its Subsidiaries;

 

(e)           any change, restructuring or termination of the corporate structure or existence of any other Loan Party or any of its Subsidiaries;

 

(f)            any failure of the Administrative Agent or any other Secured Party to disclose to any Loan Party any information relating to the financial condition, operations, properties or prospects of any other Loan Party now or hereafter known to the Administrative Agent or such other Secured Party, as the case may be (such Guarantor waiving any duty on the part of the Secured Parties to disclose such information);

 

(g)           the failure of any other Person to execute this Guaranty or any other guarantee or agreement of the release or reduction of the liability of any of the other Loan Parties or any other guarantor or surety with respect to the Guaranteed Obligations; or

 

(h)           any other circumstance (including, without limitation, any statute of limitations or any existence of or reliance on any representation by the Administrative Agent or any other Secured Party) that might otherwise constitute a defense available to, or a discharge of, such Guarantor, any other Loan Party or any other guarantor or surety other than payment in full in cash of the Guaranteed Obligations.

 

This Guaranty shall continue to be effective or be reinstated, as the case may be, if at any time any payment of any of the Guaranteed Obligations is rescinded or must otherwise be returned by the Administrative Agent or any other Secured Party or by any other Person upon the insolvency, bankruptcy or reorganization of any other Loan Party or otherwise, all as though such payment had not been made.

 

Section 8.03  Waivers and Acknowledgments.  (a)  Each Guarantor hereby unconditionally and irrevocably waives promptness, diligence, notice of acceptance and any other notice with respect to any of the Guaranteed Obligations and this Guaranty, and any requirement that the Administrative Agent or any other Secured Party protect, secure, perfect or insure any Lien or any

 

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property or assets subject thereto or exhaust any right or take any action against any other Loan Party or any other Person or any Collateral.

 

(b)           Each Guarantor hereby unconditionally waives any right to revoke this Guaranty, and acknowledges that this Guaranty is continuing in nature and applies to all Guaranteed Obligations, whether existing now or in the future.

 

(c)           Each Guarantor hereby unconditionally and irrevocably waives (i) any defense arising by reason of any claim or defense based upon an election of remedies by the Secured Parties which in any manner impairs, reduces, releases or otherwise adversely affects the subrogation, reimbursement, exoneration, contribution or indemnification rights of such Guarantor or other rights to proceed against any of the other Loan Parties, any other guarantor or any other Person or any Collateral, and (ii) any defense based on any right of setoff or counterclaim against or in respect of such Guarantor’s obligations hereunder.

 

(d)           Each Guarantor acknowledges that the Administrative Agent may, without notice to or demand upon such Guarantor and without affecting the liability of the such Guarantor under this Guaranty, foreclose under any Mortgage by nonjudicial sale, and such Guarantor hereby waives any defense to the recovery by the Administrative Agent and the other Secured Parties against such Guarantor of any deficiency after such nonjudicial sale and any defense or benefits that may be afforded by applicable law.

 

(e)           Each Guarantor acknowledges that it will receive substantial direct and indirect benefits from the financing arrangements contemplated by the Loan Documents and that the waivers set forth in Section 8.02 and this Section 8.03 are knowingly made in contemplation of such benefits.

 

Section 8.04  Subrogation.  Each Guarantor hereby unconditionally and irrevocably agrees not to exercise any rights that it may now have or may hereafter acquire against any other Loan Party or any other insider guarantor that arise from the existence, payment, performance or enforcement of its Obligations under this Guaranty or under any other Loan Document, including, without limitation, any right of subrogation, reimbursement, exoneration, contribution or indemnification and any right to participate in any claim or remedy of the Administrative Agent or any other Secured Party against such other Loan Party or any other insider guarantor or any Collateral, whether or not such claim, remedy or right arises in equity or under contract, statute or common law, including, without limitation, the right to take or receive from such other Loan Party or any other insider guarantor, directly or indirectly, in cash or other property or by set-off or in any other manner, payment or security on account of such claim, remedy or right, until such time as all of the Guaranteed Obligations and all other amounts payable under this Guaranty shall have been paid in full in cash, all of the Letters of Credit and all Secured Hedge Agreements shall have expired or been terminated and the Commitments shall have expired or terminated.  If any amount shall be paid to any Guarantor in violation of the immediately preceding sentence at any time prior to the latest of (a) the payment in full in cash of all of the Guaranteed Obligations and all other amounts payable under this Guaranty, (b) the latest date of expiration or termination of all Letters of Credit and all Secured Hedge Agreements, and (c) the Termination Date, such amount shall be held in trust for the benefit of the Administrative Agent and the other Secured Parties and shall forthwith be paid to the Administrative Agent to be credited and applied to the Guaranteed Obligations and all other amounts payable under this Guaranty, whether matured or unmatured, in accordance with the terms of the Loan Documents, or to be held as Collateral for any Guaranteed Obligations or other amounts payable under this Guaranty thereafter arising.  If (i) any Guarantor shall pay to the Administrative Agent all or any part of the Guaranteed Obligations, (ii) all of the Guaranteed Obligations and all other amounts payable under this Guaranty shall have been paid in full in cash, (iii) all Letters of Credit and all Secured Hedge Agreements and Secured Cash Management

 

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Agreements shall have expired or been terminated, and (iv) the Termination Date shall have occurred, the Administrative Agent and the other Secured Parties will, at such Guarantor’s request and expense, execute and deliver to such Guarantor appropriate documents, without recourse and without representation or warranty, necessary to evidence the transfer of subrogation to such Guarantor of an interest in the Guaranteed Obligations resulting from the payment made by such Guarantor.

 

Section 8.05  Additional Guarantors.  Upon the execution and delivery by any Person of a guaranty joinder agreement in substantially the form of Exhibit H hereto (each, a “Guaranty Supplement”), (i) such Person shall be referred to as an “Additional Guarantor” and shall become and be a Guarantor hereunder, and each reference in this Guaranty to a “Guarantor” shall also mean and be a reference to such Additional Guarantor, and each reference in any other Loan Document to a “Guarantor” shall also mean and be a reference to such Additional Guarantor, and (ii) each reference herein to “this Guaranty”, “hereunder”, “hereof” or words of like import referring to this Guaranty, and each reference in any other Loan Document to the “Guaranty”, “thereunder”, “thereof” or words of like import referring to this Guaranty, shall include each such duly executed and delivered Guaranty Supplement.

 

Section 8.06  Continuing Guarantee; Assignments.  This Guaranty is a continuing guaranty and shall (a) remain in full force and effect until the latest of (i) the payment in full in cash of all of the Guaranteed Obligations and all other amounts payable under this Guaranty, (ii) the latest date of expiration or termination of all Letters of Credit and all Secured Hedge Agreements (or the date on which such obligations shall have been Cash Collateralized in the case of Letters of Credit or cash collateralized in a manner reasonably satisfactory to each applicable Hedge Bank in the case of Secured Hedge Agreements), and (iii) the Termination Date, (b) be binding upon each Guarantor and its successors and assigns and (c) inure to the benefit of, and be enforceable by, the Administrative Agent and the other Secured Parties and their respective successors, transferees and assigns.  Without limiting the generality of clause (c) of the immediately preceding sentence, any Lender Party may assign or otherwise transfer all or any portion of its rights and obligations under this Agreement (including, without limitation, all or any portion of its Commitment or Commitments, the Advances owing to it and the Notes held by it) to any other Person, and such other Person shall thereupon become vested with all the benefits in respect thereof granted to such Lender Party under this Article VIII or otherwise, in each case as provided in Section 10.07.

 

Section 8.07  No Reliance.  Each Guarantor has, independently and without reliance upon any Agent or any Lender Party and based on such documents and information as it has deemed appropriate, made its own credit analysis and decision to enter into this Guaranty and each other Loan Document to which it is or is to be a party, and such Guarantor has established adequate means of obtaining from each other Loan Party on a continuing basis information pertaining to, and is now and on a continuing basis will be completely familiar with, the business, condition (financial or otherwise), operations, performance, properties and prospects of such other Loan Party.

 

ARTICLE IX

SECURITY

 

Section 9.01  Grant of Security.  To induce the Lenders to make the Advances, and the Issuing Banks to issue Letters of Credit, each Loan Party hereby grants to the Administrative Agent, for itself and for the ratable benefit of the Secured Parties, as security for the full and prompt payment when due (whether at stated maturity, by acceleration or otherwise) of the Obligations of such Loan Party under the Loan Documents, all Obligations of such Loan Party under Secured Hedge Agreements and all Secured Cash Management Agreements, and each agreement or instrument delivered by any Loan Party pursuant to any of the foregoing (whether direct or indirect, absolute or contingent, and whether for principal, reimbursement obligations, interest, fees, premiums, penalties, indemnifications, contract

 

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causes of action, costs, expenses or otherwise) (collectively, the “Secured Obligations”) a continuing first priority Lien and security interest (but subject to the DIP Refinancing Orders) in accordance with subsections 364(c)(2) and (3) and 364(d)(1) of the Bankruptcy Code in and to all Collateral of such Loan Party.  “Collateral” means, except as otherwise specified in the DIP Refinancing Orders, all of the property and assets of each Loan Party and its estate, real and personal, tangible and intangible, whether now owned or hereafter acquired or arising and regardless of where located, including but not limited to:

 

(a)           all Equipment;

 

(b)           all Inventory;

 

(c)           all Accounts (and any and all such supporting obligations, security agreements, mortgages, Liens, leases, letters of credit and other contracts being the “Related Contracts”);

 

(d)           all General Intangibles;

 

(e)           the following (the “Security Collateral”):

 

(i)            the Initial Pledged Equity and the certificates, if any, representing the Initial Pledged Equity, and all dividends, distributions, return of capital, cash, instruments and other property from time to time received, receivable or otherwise distributed in respect of or in exchange for any or all of the Initial Pledged Equity and all subscription warrants, rights or options issued thereon or with respect thereto;
 
(ii)           the Initial Pledged Debt and the instruments, if any, evidencing the Initial Pledged Debt, and all interest, cash, instruments and other property from time to time received, receivable or otherwise distributed in respect of or in exchange for any or all of the Initial Pledged Debt;
 
(iii)          all additional shares of stock and other Equity Interests from time to time acquired by such Loan Party in any manner (such shares and other Equity Interests, together with the Initial Pledged Equity, being the “Pledged Equity”), and the certificates, if any, representing such additional shares or other Equity Interests, and all dividends, distributions, return of capital, cash, instruments and other property from time to time received, receivable or otherwise distributed in respect of or in exchange for any or all of such shares or other Equity Interests and all subscription warrants, rights or options issued thereon or with respect thereto; provided that solely to the extent and only for so long as the pledge by any Loan Party of more than 66% of the Voting Foreign Stock in a CFC under this Agreement to the Administrative Agent on behalf of the Secured Parties would result in material adverse tax consequences to the Borrower, no Loan Party shall be required to pledge any Equity Interests in any CFC (or any Equity Interests in any entity that is treated as a partnership or a disregarded entity for United States federal income tax purposes and in each case whose assets are solely Equity Interests in CFCs (a “Flow-Through Entity”) that own directly or indirectly through one or more other Flow-Through Entities, Equity Interests in any CFCs) owned or otherwise held by such Loan Party which, when aggregated with all of the other Equity Interests in such CFC (or Flow-Through Entity) pledged by any Loan Party, would result (or would be deemed to result for United States federal income tax purposes) in more than 66% of the total combined voting power of all classes of stock in a CFC entitled to vote (within the meaning of Treasury Regulation Section 1.956-2(c)(2) promulgated under the Internal Revenue Code) (the “Voting Foreign Stock”) (on a fully diluted basis) being pledged to

 

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the Administrative Agent, on behalf of the Secured Parties, under this Agreement (although all of the shares of stock in a Foreign Subsidiary not entitled to vote (within the meaning of Treasury Regulation Section 1.956-2(c)(2) promulgated under the Internal Revenue Code) (the “Non-Voting Foreign Stock”) shall be pledged by each of the Loan Parties that owns or otherwise holds any such Non-Voting Foreign Stock therein); provided further that, if, as a result of any change in the tax laws of the United States of America after the date of this Agreement or in any other circumstance, the pledge by such Loan Party of any additional shares of stock in any such Foreign Subsidiary to the Administrative Agent, on behalf of the Secured Parties, under this Agreement would not result in material adverse tax consequences to the Borrower, then, promptly after the change in such laws or circumstance, all such additional shares of stock shall be so pledged under this Agreement;
 
(iv)          all additional indebtedness from time to time owed to such Loan Party (such indebtedness, together with the Initial Pledged Debt, being the “Pledged Debt”) and the instruments, if any, evidencing such indebtedness, and all interest, cash, instruments and other property from time to time received, receivable or otherwise distributed in respect of or in exchange for any or all of such indebtedness; and
 
(v)           all other investment property (including, without limitation, all (A) securities, whether certificated or uncertificated, (B) security entitlements, (C) securities accounts, (D) commodity contracts and (E) commodity accounts) in which such Loan Party has now, or acquires from time to time hereafter, any right, title or interest in any manner, and the certificates or instruments, if any, representing or evidencing such investment property, and all dividends, distributions, return of capital, interest, distributions, value, cash, instruments and other property from time to time received, receivable or otherwise distributed in respect of or in exchange for any or all of such investment property and all subscription warrants, rights or options issued thereon or with respect thereto (the “Pledged Investment Property”);
 

(f)            the following (collectively, the “Account Collateral”):

 

(i)            all deposit and other bank accounts and all funds and financial assets from time to time credited thereto (including, without limitation, all Cash Equivalents), all interest, dividends, distributions, cash, instruments and other property from time to time received, receivable or otherwise distributed in respect of or in exchange for any or all of such funds and financial assets, and all certificates and instruments, if any, from time to time representing or evidencing such accounts;
 
(ii)           all promissory notes, certificates of deposit, deposit accounts, checks and other instruments from time to time delivered to or otherwise possessed by the Administrative Agent for or on behalf of such Loan Party, including, without limitation, those delivered or possessed in substitution for or in addition to any or all of the then existing Account Collateral; and
 
(iii)          all interest, dividends, distributions, cash, instruments and other property from time to time received, receivable or otherwise distributed in respect of or in exchange for any or all of the then existing Account Collateral;

 

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(g)           the following (collectively, the “Intellectual Property”):

 

(i)            all patents, patent applications, utility models and statutory invention registrations, all inventions claimed or disclosed therein and all improvements thereto (“Patents”);
 
(ii)           all trademarks, service marks, domain names, trade dress, logos, designs, slogans, trade names, business names, corporate names and other source identifiers, whether registered or unregistered (provided that no security interest shall be granted in United States intent-to-use trademark applications to the extent that, and solely during the period in which, the grant of a security interest therein would impair the validity or enforceability of such intent-to-use trademark applications under applicable federal law), together, in each case, with the goodwill symbolized thereby (“Trademarks”);
 
(iii)          all copyrights, including, without limitation, copyrights in Computer Software, internet web sites and the content thereof, whether registered or unregistered (“Copyrights”);
 
(iv)          all computer software, programs and databases (including, without limitation, source code, object code and all related applications and data files), firmware and documentation and materials relating thereto, together with any and all maintenance rights, service rights, programming rights, hosting rights, test rights, improvement rights, renewal rights and indemnification rights and any substitutions, replacements, improvements, error corrections, updates and new versions of any of the foregoing (“Computer Software”);
 
(v)           all confidential and proprietary information, including, without limitation, know-how, trade secrets, manufacturing and production processes and techniques, inventions, research and development information, databases and data, including, without limitation, technical data, financial, marketing and business data, pricing and cost information, business and marketing plans and customer and supplier lists and information (collectively, “Trade Secrets”), and all other intellectual, industrial and intangible property of any type, including, without limitation, industrial designs and mask works;
 
(vi)          all registrations and applications for registration for any of the foregoing, including, without limitation, those registrations and applications for registration set forth in Schedule II hereto (as such Schedule II may be supplemented from time to time by supplements to the IP Security Agreement, each such supplement being substantially in the form of Exhibit G hereto (an “IP Security Agreement Supplement”), executed by such Loan Party to the Administrative Agent from time to time), together with all reissues, divisions, continuations, continuations-in-part, extensions, renewals and reexaminations thereof;
 
(vii)         all tangible embodiments of the foregoing, all rights in the foregoing provided by international treaties or conventions, all rights corresponding thereto throughout the world and all other rights of any kind whatsoever of such Loan Party accruing thereunder or pertaining thereto;
 
(viii)        any and all claims for damages and injunctive relief for past, present and future infringement, dilution, misappropriation, violation, misuse or breach with respect

 

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to any of the foregoing, with the right, but not the obligation, to sue for and collect, or otherwise recover, such damages; and
 
(ix)           all agreements, permits, consents, orders and franchises relating to the license, development, use or disclosure of any of the foregoing to which such Loan Party, now or hereafter, is a party or a beneficiary, including, without limitation, the material and key agreements not entered into in the ordinary course of business set forth in Schedule III hereto (such scheduled agreements, the “IP Agreements”);
 

(h)           all of the right, title and interest of the Loan Parties in all real property the title to which is held by the Loan Parties, or the possession of which is held by the Loan Parties pursuant to leasehold interest, and in all such leasehold interests, together in each case with all of the right, title and interest of the Loan Parties in and to all buildings, improvements, and fixtures related thereto, any lease or sublease thereof, all general intangibles relating thereto and all proceeds thereof (collectively, the “Real Property Collateral”);

 

(i)            all books and records (including, without limitation, customer lists, credit files, printouts and other computer output materials and records) of such Loan Party pertaining to any of the Collateral; and

 

(j)            all proceeds of, collateral for, income, royalties and other payments now or hereafter due and payable with respect to, and supporting obligations relating to, any and all of the Collateral (including, without limitation, proceeds, collateral and supporting obligations that constitute property of the types described in clauses (a) through (i) of this Section 9.01 and this clause (k)) and, to the extent not otherwise included, all (A) payments under insurance (whether or not the Administrative Agent is the loss payee thereof), or any indemnity, warranty or guaranty, payable by reason of loss or damage to or otherwise with respect to any of the foregoing Collateral, (B) tort claims, including, without limitation, all commercial tort claims and (C) cash;

 

provided that Collateral shall not include any rights or interests of a Grantor in any joint venture if, under applicable law or the terms of the applicable contract with respect thereto, the valid grant of a security interest or other Lien therein hereunder is prohibited and such prohibition has not been or is not waived or the consent of each other party to such contract has not been or is not otherwise obtained or under applicable law such prohibition cannot be waived, provided further that the foregoing exclusion shall in no way be construed (i) to apply if any such prohibition is ineffective or unenforceable under the UCC (including Sections 9-406, 9-407, 9-408 or 9-409), by any order of the Bankruptcy Court or any other applicable law or (ii) so as to limit, impair or otherwise affects the Administrative Agent’s unconditional continuing security interest in and Lien upon any rights or interests of any Grantor in or to monies due or to become due under any such contract.

 

Section 9.02  Further Assurances.  (a)  Each Loan Party agrees that from time to time, at the expense of such Loan Party, such Loan Party will promptly execute and deliver, or otherwise authenticate, all further instruments and documents, and take all further action that may be necessary or desirable, or that any Agent may reasonably request, in order to perfect and protect any pledge or security interest granted or purported to be granted by such Loan Party hereunder or to enable such Agent to exercise and enforce its rights and remedies hereunder with respect to any Collateral of such Loan Party.  Without limiting the generality of the foregoing, each Loan Party will promptly with respect to Collateral of such Loan Party:  (i) if any such Collateral shall be evidenced by a promissory note or other instrument or chattel paper, deliver and pledge to such Agent hereunder such note or instrument or chattel paper duly indorsed and accompanied by duly executed instruments of transfer or assignment, all in form and

 

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substance reasonably satisfactory to such Agent; (ii) execute or authenticate and file such financing or continuation statements, or amendments thereto, and such other instruments or notices, as may be necessary or desirable, or as any Agent may reasonably request, in order to perfect and preserve the security interest granted or purported to be granted by such Loan Party hereunder; (iii) deliver to such Agent for benefit of the Secured Parties certificates representing Pledged Collateral that constitutes certificated securities, accompanied by undated stock or bond powers executed in blank; (iv) take all action necessary to ensure that such Agent has control of Pledged Collateral and of Collateral consisting of deposit accounts, electronic chattel paper, letter-of-credit rights and transferable records as provided in Sections 9-104, 9-105, 9-106 and 9-107 of the UCC and in Section 16 of the Uniform Electronics Transactions Act, as in effect in the jurisdiction governing such transferable record; (v) take all necessary action to ensure that such Agent’s security interest is noted on any certificate of ownership related to any Collateral evidenced by a certificate of ownership; (vi) cause such Agent to be the beneficiary under all letters of credit that constitute Collateral, with the exclusive right to make all draws under such letters of credit, and with all rights of a transferee under Section 5-114(e) of the UCC; and (vii) deliver to such Agent evidence that all other action that such Agent may deem reasonably necessary or desirable in order to perfect and protect the security interest created by such Loan Party under this Agreement has been taken.

 

(b)           Each Loan Party hereby authorizes each Agent to file one or more financing or continuation statements, and amendments thereto, including, without limitation, one or more financing statements indicating that such financing statements cover all assets or all personal property (or words of similar effect) of such Loan Party, in each case without the signature of such Loan Party, and regardless of whether any particular asset described in such financing statements falls within the scope of the UCC or the granting clause of this Agreement.  A photocopy or other reproduction of this Agreement or any financing statement covering the Collateral or any part thereof shall be sufficient as a financing statement where permitted by law.  Each Loan Party ratifies its authorization for each Agent to have filed such financing statements, continuation statements or amendments filed prior to the Effective Date.

 

(c)           Each Loan Party will furnish to each Agent from time to time statements and schedules further identifying and describing the Collateral of such Loan Party and such other reports in connection with such Collateral as such Agent may reasonably request, all in reasonable detail.

 

(d)           Notwithstanding subsections (a) and (b) of this Section 9.02, or any failure on the part of any Loan Party or any Agent to take any of the actions set forth in such subsections, the Liens and security interests granted herein shall be deemed valid, enforceable and perfected by entry of the Interim Order and the Final Order, as applicable if and to the extent perfection may be achieved by the entry of the DIP Refinancing Orders.  No financing statement, notice of Lien, mortgage, deed of trust or similar instrument in any jurisdiction or filing office need be filed or any other action taken in order to validate and perfect the Liens and security interests granted by or pursuant to this Agreement or Interim Order or Final Order.

 

Section 9.03  Rights of Lender; Limitations on Lenders’ Obligations.  (a)  Subject to each Loan Party’s rights and duties under the Bankruptcy Code (including section 365 of the Bankruptcy Code), and anything herein to the contrary notwithstanding, (i) each Loan Party shall remain liable under the contracts and agreements included in such Loan Party’s Collateral to the extent set forth therein to perform all of its duties and obligations thereunder to the same extent as if this Agreement had not been executed, (ii) the exercise by the Administrative Agent of any of the rights hereunder shall not release any Loan Party from any of its duties or obligations under the contracts and agreements included in the Collateral and (iii) no Secured Party shall have any obligation or liability under the contracts and agreements included in the Collateral by reason of this Agreement or any other Loan Document, nor shall

 

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any Secured Party be obligated to perform any of the obligations or duties of any Loan Party thereunder or to take any action to collect or enforce any claim for payment assigned hereunder.

 

(b)           Except as otherwise provided in this subsection (b), each Loan Party will continue to collect, at its own expense, all amounts due or to become due such Loan Party under the Accounts and Related Contracts.  In connection with such collections, such Loan Party may take (and at the Administrative Agent’s reasonable direction, will take) such action as such Loan Party or the Administrative Agent may reasonably deem necessary or advisable to enforce collection of the Accounts and Related Contracts; provided, however, that, subject to any requirement of notice provided in the DIP Refinancing Orders or in Section 6.01, the Administrative Agent shall have the right at any time, upon the occurrence and during the continuance of an Event of Default, to notify the obligors under any Accounts and Related Contracts of the assignment of such Accounts and Related Contracts to the Administrative Agent and to direct such obligors to make payment of all amounts due or to become due to such Loan Party thereunder directly to the Administrative Agent and, upon such notification and at the expense of such Loan Party, to enforce collection of any such Accounts and Related Contracts, to adjust, settle or compromise the amount or payment thereof, in the same manner and to the same extent as such Loan Party might have done, and to otherwise exercise all rights with respect to such Accounts and Related Contracts, including, without limitation, those set forth in Section 9-607 of the UCC.  Upon and during the exercise by the Administrative Agent on behalf of the Lenders of any of the remedies described in the proviso of the immediately preceding sentence, (i) any and all amounts and proceeds (including, without limitation, instruments) received by such Loan Party in respect of the Accounts and Related Contracts of such Loan Party shall be received in trust for the benefit of the Administrative Agent hereunder, shall be segregated from other funds of such Loan Party and shall be forthwith paid over to the Administrative Agent in the same form as so received (with any necessary endorsement) to be deposited in a collateral account maintained with the Administrative Agent and applied as provided in Section 9.07(b) and (ii) such Loan Party will not adjust, settle or compromise the amount or payment of any Account or amount due on any Related Contract, release wholly or partly any obligor thereof, or allow any credit or discount thereon.  No Loan Party will permit or consent to the subordination of its right to payment under any of the Accounts and Related Contracts to any other indebtedness or obligations of the obligor thereof.

 

(c)           The Administrative Agent shall have the right to make test verification of the Accounts (other than Accounts that any Loan Party is required to maintain as “classified”) in any manner and through any medium that it considers advisable in its reasonable discretion, and each Loan Party agrees to furnish all such assistance and information as the Administrative Agent may reasonably require in connection therewith.

 

Section 9.04  Covenants of the Loan Parties with Respect to Collateral.  Each Loan Party hereby covenants and agrees with the Administrative Agent that from and after the date of this Agreement and until the Secured Obligations (other than contingent indemnification obligations which are not then due and payable) are fully satisfied or Cash Collateralized:

 

(a)           Delivery and Control of Pledged Collateral.

 

(i)            All certificates or instruments representing or evidencing Pledged Collateral shall be delivered to and held by or on behalf of the Administrative Agent pursuant hereto, and shall be in suitable form for transfer by delivery, or shall be accompanied by duly executed instruments of transfer or assignment in blank, all in form and substance reasonably satisfactory to the Administrative Agent.  In addition, the Administrative Agent shall have the right at any time to exchange certificates or instruments representing or evidencing Pledged Collateral for certificates or instruments of smaller or larger denominations.

 

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(ii)           With respect to any Pledged Collateral in which any Loan Party has any right, title or interest and that constitutes an uncertificated security, such Loan Party will cause the issuer thereof either (i) to register the Administrative Agent as the registered owner of such security or (ii) to agree in an authenticated record with such Loan Party and the Administrative Agent that such issuer will comply with instructions with respect to such security originated by the Administrative Agent without further consent of such Loan Party, such authenticated record to be in form and substance reasonably satisfactory to the Administrative Agent.  With respect to any Pledged Collateral in which any Loan Party has any right, title or interest and that is not an uncertificated security, such Loan Party will notify each such issuer of Pledged Equity that such Pledged Equity is subject to the security interest granted hereunder.
 
(iii)          Except as provided in Section 9.07, such Loan Party shall be entitled to receive all cash dividends paid in respect of the Pledged Collateral (other than liquidating or distributing dividends).  Any sums paid upon or in respect of any of the Pledged Equity upon the liquidation or dissolution of any issuer of any of the Initial Pledged Equity, any distribution of capital made on or in respect of any of the Initial Pledged Equity or any property distributed upon or with respect to any of the Initial Pledged Equity pursuant to the recapitalization or reclassification of the capital of any issuer of Initial Pledged Equity or pursuant to the reorganization thereof shall be delivered to the Administrative Agent to hold as collateral for the Secured Obligations.
 
(iv)          Except as provided in Section 9.07, such Loan Party will be entitled to exercise all voting, consent and corporate rights with respect to Pledged Equity; provided, however, that no vote shall be cast, consent given or right exercised or other action taken by such Loan Party which would materially impair the Pledged Collateral or which would be inconsistent in any material respect with or result in any violation of any provision of this Agreement or any other Loan Document or, without prior notice to the Administrative Agent, to enable or take any other action to permit any issuer of Pledged Equity to issue any stock or other equity securities of any nature or to issue any other securities convertible into or granting the right to purchase or exchange for any stock or other equity securities of any nature of any issuer of Pledged Equity other than issuances, transfers and grants to a Loan Party.
 
(v)           Such Loan Party shall not grant control over any investment property to any Person other than the Administrative Agent, except to the extent permitted pursuant to this Agreement.
 
(vi)          In the case of each Loan Party which is an issuer of Pledged Equity, such Loan Party agrees to be bound by the terms of this Agreement relating to the Pledged Equity issued by it and will comply with such terms insofar as such terms are applicable to it.
 

(b)           Maintenance of Records.  Such Loan Party will keep and maintain, at its own cost and expense, reasonably satisfactory and complete records of the Collateral, in all material respects, including, without limitation, a record of all payments received and all credits granted with respect to the Collateral and all other material dealings concerning the Collateral.  For the Administrative Agent’s further security, each Loan Party agrees that the Administrative Agent shall have a property interest in all of such Loan Party’s books and records pertaining to the Collateral and, upon the occurrence and during the continuation of an Event of Default, such Loan Party shall deliver and turn over any such books and records to the Administrative Agent or to its representatives at any time on demand of the Administrative Agent.

 

(c)           Indemnification With Respect to Collateral.  In any suit, proceeding or action brought by the Administrative Agent relating to any Collateral for any sum owing thereunder or

 

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to enforce any provision of any Collateral, such Loan Party will save, indemnify and keep the Secured Parties harmless from and against all reasonable and documented out-of-pocket expense, loss or damage suffered by the Secured Parties by reason of any defense, setoff, counterclaim, recoupment or reduction of liability whatsoever of the obligor thereunder, arising out of a breach by such Loan Party of any obligation thereunder or arising out of any other agreement, indebtedness or liability at any time owing to, or in favor of, such obligor or its successors from such Loan Party, and all such obligations of such Loan Party shall be and remain enforceable against and only against such Loan Party and shall not be enforceable against the Administrative Agent.

 

(d)           Limitation on Liens on CollateralSuch Loan Party will not create, permit or suffer to exist, and will defend the Collateral against and take such other action as is necessary to remove, any Lien on the Collateral except Liens permitted under Section 5.02(a) and will defend the right, title and interest of the Administrative Agent in and to all of such Loan Party’s rights under the Collateral against the claims and demands of all Persons whomsoever other than claims or demands arising out of Liens permitted under Section 5.02(a).

 

(e)           Limitations on Modifications of Eligible Receivable.  Such Loan Party will not, without the Administrative Agent’s prior written consent, grant any extension of the time of payment under or in respect of any of the Eligible Receivable or Related Contracts, compromise, compound or settle the same for less than the full amount thereof, release, wholly or partly, any Person liable for the payment thereof, or allow any credit or discount whatsoever thereon other than any of the foregoing which are done in the ordinary course of business, consistent with past practices, and trade discounts granted in the ordinary course of business of such Loan Party.

 

(f)            Notices.  Such Loan Party will advise the Administrative Agent promptly after it obtains knowledge thereof, in reasonable detail, (i) of any Lien asserted against any of the Collateral other than Liens permitted under Section 5.02(a), and (ii) of the occurrence of any other event which would result in a Material Adverse Effect.

 

(g)           As to Intellectual Property.

 

(i)            Unless such Loan Party shall have previously determined that such Intellectual Property is no longer desirable in the conduct of such Loan Party’s business and that the loss thereof would not be reasonably likely to have a Material Adverse Effect, with respect to each item of Intellectual Property owned by such Loan Party and that is the subject of a patent, registration or application therefor, each Loan Party agrees to take, at its expense, all commercially reasonable steps, including, without limitation, in the U.S. Patent and Trademark Office, the U.S. Copyright Office and any other United States governmental authority, to (A) maintain the validity and enforceability of such Intellectual Property and maintain such Intellectual Property in full force and effect, and (B) pursue the registration and maintenance of each patent, trademark registration, or copyright registration or application therefor, now or hereafter included in such Intellectual Property owned by such Loan Party, including, without limitation, to the extent determined by such Loan Party to be desirable, the payment of required fees and taxes, the filing of responses to office actions issued by the U.S. Patent and Trademark Office, the U.S. Copyright Office or other governmental authorities, the filing of applications for renewal or extension, the filing of affidavits under Sections 8 and 15 of the U.S. Trademark Act, the filing of divisional, continuation, continuation-in-part, reissue and renewal applications or extensions, the payment of maintenance fees and the participation in interference, reexamination, opposition, cancellation, infringement and

 

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misappropriation proceedings, in each case as applicable.  Except to the extent permitted pursuant to this Agreement, no Loan Party shall, without the written consent of the Administrative Agent, abandon any patented or registered Intellectual Property owned by such Loan Party, or abandon any right to file an application for patent, trademark, or copyright, unless such Loan Party shall have previously determined that the pursuit or maintenance of such Intellectual Property is no longer desirable in the conduct of such Loan Party’s business and that the loss thereof would not be reasonably likely to have a Material Adverse Effect, in which case, such Loan Party will give notice quarterly of any such abandonment to the Administrative Agent.
 
(ii)           If the result of such abandonment, invalidity, unenforceability or any other action is reasonably likely to have a Material Adverse Effect, each Loan Party agrees promptly to notify the Administrative Agent if such Loan Party becomes aware (A) that any item of the Intellectual Property it owns may have become abandoned, placed in the public domain, invalid or unenforceable, or of any adverse determination or development regarding such Loan Party’s ownership of any of the Intellectual Property or its right to register the same or to keep and maintain and enforce the same, or (B) of any adverse determination or the institution of any proceeding (including, without limitation, the institution of any proceeding in the U.S. Patent and Trademark Office or any court) regarding any item of Intellectual Property owned by such Loan Party.
 
(iii)          In the event that any Loan Party becomes aware that any item of the Intellectual Property owned by such Loan Party is being infringed or misappropriated by a third party, and such infringement or misappropriation is reasonably likely to result in a Material Adverse Effect, such Loan Party shall promptly notify the Administrative Agent and shall take such actions, at its expense, as such Loan Party or the Administrative Agent deems reasonable and appropriate under the circumstances to protect or enforce such Intellectual Property, including, without limitation, suing for infringement or misappropriation and for an injunction against such infringement or misappropriation.
 
(iv)          Each Loan Party shall take all steps which it or the Administrative Agent deems reasonable and appropriate under the circumstances to preserve and protect each item of Intellectual Property owned by such Loan Party, including, without limitation, maintaining the quality of any and all products or services used or provided in connection with any of the Trademarks owned by such Loan Party, substantially consistent with the quality of the products and services as of the date hereof, and taking all steps necessary to ensure that all licensed users of any of the Trademarks owned by such Party use such consistent standards of quality.
 
(v)           Each Loan Party agrees that should it obtain a material ownership interest in any item of the type set forth in Section 9.01(g) that is not on the date hereof a part of the Intellectual Property (“After-Acquired Intellectual Property”) (i) the provisions of this Agreement shall automatically apply thereto, and (ii) any such After-Acquired Intellectual Property and, in the case of trademarks, the goodwill symbolized thereby, shall automatically become part of the Intellectual Property subject to the terms and conditions of this Agreement with respect thereto.  At the end of each quarter, each Loan Party shall give prompt written notice to the Administrative Agent identifying the After-Acquired Intellectual Property that is the subject of patents or registrations or applications for registration thereof (other than patent applications the disclosure of which shall not be required until a patent is issued) acquired during such quarter, and such Loan Party shall execute and deliver to the Administrative Agent with such written

 

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notice, or otherwise authenticate, an IP Security Agreement Supplement covering such After-Acquired Intellectual Property and any newly issued patents, which IP Security Agreement Supplement may be recorded by the Administrative Agent with the U.S. Patent and Trademark Office, the U.S. Copyright Office and any other governmental authorities necessary to perfect the security interest hereunder in such After-Acquired Intellectual Property.
 

Section 9.05  Performance by Agent of the Loan Parties’ Obligations.

 

(a)           Administrative Agent Appointed Attorney-in-Fact.  Each Loan Party hereby irrevocably appoints the Administrative Agent such Loan Party’s attorney-in-fact, with full authority in the place and stead of such Loan Party and in the name of such Loan Party or otherwise, from time to time following the occurrence and during the continuance of an Event of Default, in the Administrative Agent’s discretion, to take any action and to execute any instrument that the Administrative Agent may deem necessary or advisable to accomplish the purposes of this Agreement, including, without limitation:

 

(i)            to obtain and adjust insurance required to be paid to the Administrative Agent pursuant to this Agreement,
 
(ii)           to ask for, demand, collect, sue for, recover, compromise, receive and give acquittance and receipts for moneys due and to become due under or in respect of any of the Collateral,
 
(iii)          to receive, indorse and collect any drafts or other instruments, documents and chattel paper, in connection with clause (i) or (ii) above, and
 
(iv)          to file any claims or take any action or institute any proceedings that the Administrative Agent may deem necessary or desirable for the collection of any of the Collateral or otherwise to enforce the rights of the Administrative Agent with respect to any of the Collateral.
 

(b)           Administrative Agent May Perform.  If any Loan Party fails to perform any agreement contained herein related to the Lien and security interest granted hereunder in the Collateral, the Administrative Agent may, as the Administrative Agent deems reasonably necessary to protect the security interest granted hereunder in the Collateral or to protect the value thereof, but without any obligation to do so and without notice, itself perform, or cause performance of, such agreement, and the expenses of the Administrative Agent incurred in connection therewith shall be payable by such Loan Party under Section 10.04.

 

(c)           Performance of such Loan Party’s agreements as permitted under this Section 9.05 shall in no way constitute a violation of the automatic stay provided by section 362 of the Bankruptcy Code and each Loan Party hereby waives applicability thereof.  Moreover, the Administrative Agent shall in no way be responsible for the payment of any costs incurred in connection with preserving or disposing of Collateral pursuant to section 506(c) of the Bankruptcy Code and the Collateral may not be charged for the incurrence of any such cost.

 

Section 9.06  The Administrative Agent’s Duties.  (a)  The powers conferred on the Administrative Agent hereunder are solely to protect the Secured Parties’ interest in the Collateral and shall not impose any duty upon it to exercise any such powers.  Except for the safe custody of any Collateral in its possession and the accounting for moneys actually received by it hereunder, the Administrative Agent shall have no duty as to any Collateral, as to ascertaining or taking action with

 

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respect to calls, conversions, exchanges, maturities, tenders or other matters relative to any Collateral, whether or not any Secured Party has or is deemed to have knowledge of such matters, or as to the taking of any necessary steps to preserve rights against any parties or any other rights pertaining to any Collateral.  The Administrative Agent shall be deemed to have exercised reasonable care in the custody and preservation of any Collateral in its possession if such Collateral is accorded treatment substantially equal to that which it accords its own property.

 

(b)           Anything contained herein to the contrary notwithstanding, the Administrative Agent may from time to time, when the Administrative Agent deems it to be necessary, appoint one or more subagents (each a “Subagent”) for the Administrative Agent hereunder with respect to all or any part of the Collateral.  In the event that the Administrative Agent so appoints any Subagent with respect to any Collateral, (i) the assignment and pledge of such Collateral and the security interest granted in such Collateral by each Loan Party hereunder shall be deemed for purposes of this Security Agreement to have been made to such Subagent, in addition to the Administrative Agent, for the ratable benefit of the Secured Parties, as security for the Secured Obligations of such Loan Party, (ii) such Subagent shall automatically be vested, in addition to the Administrative Agent, with all rights, powers, privileges, interests and remedies of the Administrative Agent hereunder with respect to such Collateral, and (iii) the term “Administrative Agent,” when used herein in relation to any rights, powers, privileges, interests and remedies of the Administrative Agent with respect to such Collateral, shall include such Subagent; provided, however, that no such Subagent shall be authorized to take any action with respect to any such Collateral unless and except to the extent expressly authorized in writing by the Administrative Agent.

 

Section 9.07  Remedies.  If any Event of Default shall have occurred and be continuing, at the written request, or with the written consent, of the Required Lenders, by five days’ prior written notice to the Borrower and subject to the Interim Order or the Final Order, as applicable:

 

(a)           Subject to and in accordance with the DIP Refinancing Orders, the Administrative Agent may exercise in respect of the Collateral, in addition to other rights and remedies provided for herein or otherwise available to it, all the rights and remedies of a secured party upon default under the UCC (whether or not the UCC applies to the affected Collateral) and also may:  (i) require each Loan Party to, and each Loan Party hereby agrees that it will at its expense and upon request of the Administrative Agent forthwith, assemble all or part of the Collateral as directed by the Administrative Agent and make it available to the Administrative Agent at a place and time to be designated by the Administrative Agent that is reasonably convenient to both parties; (ii) without notice except as specified below or in the DIP Refinancing Orders, sell the Collateral or any part thereof in one or more parcels at public or private sale, at any of the Administrative Agent’s offices or elsewhere, for cash, on credit or for future delivery, and upon such other terms as the Administrative Agent may deem commercially reasonable; (iii) occupy any premises owned or leased by any of the Loan Parties where the Collateral or any part thereof is assembled or located for a reasonable period in order to effectuate its rights and remedies hereunder or under law, without obligation to such Loan Party in respect of such occupation; and (iv) exercise any and all rights and remedies of any of the Loan Parties under or in connection with the Collateral, or otherwise in respect of the Collateral, including, without limitation, (A) any and all rights of such Loan Party to demand or otherwise require payment of any amount under, or performance of any provision of, the Accounts, the Related Contracts and the other Collateral, (B) withdraw, or cause or direct the withdrawal, of all funds with respect to the Account Collateral and (C) exercise all other rights and remedies with respect to the Accounts, the Related Contracts and the other Collateral, including, without limitation, those set forth in Section 9-607 of the UCC.  Each Loan Party agrees that, to the extent notice of sale shall be required by law, at least 5 days’ notice to such Loan Party of the time and place of any public sale or the time after which any private sale is to be made shall constitute reasonable notification.

 

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The Administrative Agent shall not be obligated to make any sale of Collateral regardless of notice of sale having been given.  The Administrative Agent may adjourn any public or private sale from time to time by announcement at the time and place fixed therefor, and such sale may, without further notice, be made at the time and place to which it was so adjourned.

 

(b)           Any cash held by or on behalf of the Administrative Agent and all cash proceeds received by or on behalf of the Administrative Agent in respect of any sale of, collection from, or other realization upon all or any part of the Collateral may, subject to the DIP Refinancing Orders and in the discretion of the Administrative Agent, be held by the Administrative Agent as collateral for, and/or then or at any time thereafter applied (after payment of any amounts payable to the Administrative Agent pursuant to Section 9.08) in whole or in part by the Administrative Agent for the ratable benefit of the Secured Parties against, all or any part of the Secured Obligations, in the following manner:

 

(i)            first, paid ratably to each Agent for any amounts then owing to such Agent pursuant to Section 10.04 or otherwise under the Loan Documents;
 
(ii)           second: ratably (1) paid to the Lenders for any amounts then owing to them, in their capacities as such, in respect of the Obligations under the Facilities ratably in accordance with such respective amounts then owing to such Lenders, (2) paid to each Cash Management Bank or Hedge Bank in respect of Secured Cash Management Agreements and Secured Hedge Agreements in an aggregate amount for all such obligations not to exceed the Bank Product Reserves and (3) deposited as Collateral in the L/C Cash Collateral Account up to an amount equal to 105% of the aggregate Available Amount of all outstanding Letters of Credit, provided that in the event that any such Letter of Credit is drawn, the Administrative Agent shall pay to the Issuing Bank that issued such Letter of Credit the amount held in the L/C Cash Collateral Account in respect of such Letter of Credit, provided further that, to the extent that any such Letter of Credit shall expire or terminate undrawn and as a result thereof the amount of the Collateral in the L/C Cash Collateral Account shall exceed 105% of the aggregate Available Amount of all then outstanding Letters of Credit, such excess amount of such Collateral shall be applied in accordance with the remaining order of priority set out in this Section 9.07(b); and
 
(iii)          third: ratably to each Hedge Bank and Cash Management Bank, to the extent not included in clause (ii) above, in respect of all remaining Obligations under Secured Hedge Agreements and Secured Cash Management Agreements.
 

(c)           After the occurrence and during the continuance of an Event of Default, all payments received by any Loan Party under or in connection with the Collateral shall be received in trust for the benefit of the Administrative Agent, shall be segregated from other funds of such Loan Party and shall be forthwith paid over to the Administrative Agent in the same form as so received (with any necessary endorsement).

 

(d)           After the occurrence and during the continuance of an Event of Default, the Administrative Agent may, without notice to any Loan Party except as required by law or by the DIP Refinancing Orders and at any time or from time to time, charge, set off and otherwise apply all or any part of the Secured Obligations against any funds held with respect to the Account Collateral or in any other deposit account.

 

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(e)           In the event of any sale or other disposition of any of the Intellectual Property owned by any Loan Party, the goodwill symbolized by any Trademarks subject to such sale or other disposition shall be included therein, and such Loan Party shall supply to the Administrative Agent or its designee such Loan Party’s know-how and expertise, and documents and things relating to any Intellectual Property owned by such Loan Party and subject to such sale or other disposition, and such Loan Party’s customer lists and other records and documents relating to such Intellectual Property and to the manufacture, distribution, advertising and sale of products and services of such Loan Party.

 

(f)            The Administrative Agent is authorized, in connection with any sale of the Pledged Collateral pursuant to this Section 9.07, to deliver or otherwise disclose to any prospective purchaser of the Pledged Collateral any information in its possession relating to such Pledged Collateral.

 

(g)           To the extent that any rights and remedies under this Section 9.07 would otherwise be in violation of the automatic stay of section 362 of the Bankruptcy Code, such stay shall be deemed modified, as set forth in the DIP Refinancing Orders, to the extent necessary to permit the Administrative Agent to exercise such rights and remedies.

 

Section 9.08  Modifications.  (a)  Upon and following entry of the Final Order, the Liens, lien priority, administrative priorities and other rights and remedies granted to the Administrative Agent for the benefit of the Lenders pursuant to this Agreement and the DIP Refinancing Orders (specifically, including, but not limited to, the existence, perfection and priority of the Liens provided herein and therein and the administrative priority provided herein and therein) shall not be modified, altered or impaired in any manner by any other financing or extension of credit or incurrence of Debt by any of the Loan Parties (pursuant to section 364 of the Bankruptcy Code or otherwise), or by any dismissal or conversion of any of the Cases, or by any other act or omission whatsoever (other than in connection with any disposition permitted hereunder).  Without limitation, notwithstanding any such order, financing, extension, incurrence, dismissal, conversion, act or omission:

 

(i)            except for the Carve-Out having priority over the Secured Obligations, no costs or expenses of administration which have been or may be incurred in any of the Cases or any conversion of the same or in any other proceedings related thereto, and no priority claims, are or will be prior to or on a parity with any claim of the Administrative Agent or the Lenders against the Loan Parties in respect of any Obligation;
 
(ii)           the Liens and security interests granted herein and in the DIP Refinancing Orders shall constitute valid and perfected first priority Liens and security interests (if and to the extent perfection may be achieved by the entry of the DIP Refinancing Orders) (subject only to (A) the Carve-Out, (B) Permitted Liens in existence on the Petition Date, (C) Liens permitted under section 5.02(a)(v) and in existence on the Petition Date and (D) only to the extent such post-petition perfection is expressly permitted by the Bankruptcy Code, valid, nonavoidable and enforceable Liens existing as of the Petition Date, but perfected after the Petition Date, in accordance with subsections 364(c)(2) and (3) and 364(d) of the Bankruptcy Code), and shall be prior to all other Liens and security interests (other than those set forth in sub-clauses (A) through (D) herein), now existing or hereafter arising, in favor of any other creditor or any other Person whatsoever; and
 
(iii)          the Liens and security interests granted hereunder shall continue valid and perfected without the necessity that financing statements be filed or that any other action be taken

 

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under applicable nonbankruptcy law (if and to the extent perfection may be achieved by the entry of the DIP Refinancing Orders).
 

(b)           Notwithstanding any failure on the part of any Loan Party or the Administrative Agent or the Lenders to perfect, maintain, protect or enforce the Liens and security interests in the Collateral granted hereunder, the DIP Refinancing Orders shall automatically, and without further action by any Person, perfect such Liens and security interests against the Collateral (if and to the extent perfection may be achieved by the entry of the DIP Refinancing Orders).

 

Section 9.09  Release; Termination.  (a)  Upon any sale, lease, transfer or other disposition of any item of Collateral of any Loan Party in accordance with the terms of the Loan Documents (other than sales of Inventory in the ordinary course of business), the Administrative Agent will, at such Loan Party’s expense, execute and deliver to such Loan Party such documents as such Loan Party shall reasonably request to evidence the release of such item of Collateral from the assignment and security interest granted hereby; provided, however, that (i) at the time of such request and such release no Default shall have occurred and be continuing, (ii) such Loan Party shall have delivered to the Administrative Agent, at least 5 Business Days prior to the date of the proposed release, a written request for release describing the item of Collateral and the terms of the sale, lease, transfer or other disposition in reasonable detail, including, without limitation, the price thereof and any expenses in connection therewith, together with a form of release for execution by the Administrative Agent and a certificate of such Loan Party to the effect that the transaction is in compliance with the Loan Documents and as to such other matters as the Administrative Agent may reasonably request, and (iii) the Borrower shall comply with Section 2.06 with respect to such sale, lease, transfer or other disposition.

 

(b)           Upon the latest of (i) the payment in full in cash of the Secured Obligations (other than contingent indemnification obligations which are not then due and payable; provided that in the case of any such obligations as to which the Administrative Agent or any Lender Party has made a claim which has not been satisfied, such obligations have been cash collateralized in an amount sufficient in the reasonable judgment of the Administrative Agent or such Lender Party to satisfy such claim), (ii) the Termination Date and (iii) the termination or expiration of all Letters of Credit, the pledge and security interest granted hereby shall terminate and all rights to the Collateral shall revert to the applicable Loan Party.  Upon any such termination, the Administrative Agent will, at the applicable Loan Party’s expense, execute and deliver to such Loan Party such documents as such Loan Party shall reasonably request to evidence such termination.

 

ARTICLE X

MISCELLANEOUS

 

Section 10.01  Amendments, Etc.No amendment or waiver of any provision of this Agreement or any other Loan Document, and no consent to any departure by the Borrower or any other Loan Party therefrom, shall be effective unless in writing signed by the Required Lenders and the Borrower or the applicable Loan Party, as the case may be, and acknowledged by the Administrative Agent, and each such waiver or consent shall be effective only in the specific instance and for the specific purpose for which given; provided, however, that no such amendment, waiver or consent shall:

 

(a)           waive any condition set forth in Section 3.01 or 3.03 without the written consent of each Initial Lender;

 

(b)           extend or increase the Commitment of any Lender (or reinstate any Commitment terminated pursuant to Section 2.05 or Section 6.01) without the written consent of such Lender

 

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(it being understood that a waiver of any condition precedent in Article III or the waiver of any Default, Event of Default or mandatory prepayment shall not constitute an increase of any Commitment of a Lender);

 

(c)           postpone any date fixed by this Agreement or any other Loan Document for any payment (but not any prepayment) of principal, interest, fees or other amounts due to the Lenders (or any of them) hereunder or under any other Loan Document without the written consent of each Lender directly adversely affected thereby;

 

(d)           reduce the principal of, or the rate of interest specified herein on, any Advance, or any fees or other amounts payable hereunder or under any other Loan Document (it being understood that any waiver of default interest payable pursuant to Section 2.07 or any waiver of a Default or Event of Default, shall not constitute a decrease in the rate of interest or fees for this purpose) or alter the pro rata sharing of payments required hereunder, whether by modification of Section 2.11 or 2.13 or otherwise, without the written consent of each Lender directly adversely affected thereby;

 

(e)           change the definition of “Required Lenders”, “Supermajority Lenders” or any other provision hereof specifying the number or percentage of Lenders required to amend, waive or otherwise modify any rights hereunder or grant any consent hereunder, in each case in a manner that would have the direct effect of reducing the number or percentage of Lenders required to amend, waive or otherwise modify any rights hereunder or grant any consent hereunder, without the written consent of each Lender;

 

(f)            release one or more Guarantors (or otherwise limit such Guarantors’ liability with respect to the Obligations owing to the Agents and the Lender Parties under the Guaranties) if such release or limitation is in respect of all or substantially all of the value of the Guaranties to the Lender Parties, or release all or substantially all of the Collateral or release the Superpriority Claim of the Lenders, in each case without the written consent of each Lender;

 

(g)           amend, modify or waive the provisions of Section 5.04(b) without the consent of the Supermajority Lenders; and

 

(h)           change the definition of any of “Availability”, “Bank Product Reserves”, “Borrowing Base”, “Eligible Inventory”, “Eligible Receivables”, or “Reserves”, in each case in a manner adverse to the Lenders, without the written consent of the Supermajority Lenders;

 

and provided further that (i) no amendment, waiver or consent shall, unless in writing and signed by the Issuing Banks, in addition to the Lenders required above, by its terms adversely affect the rights or duties of the Issuing Banks under this Agreement or any Letter of Credit Application relating to any Letter of Credit issued or to be issued by it; (ii) no amendment, waiver or consent shall, unless in writing and signed by the Administrative Agent in addition to the Lenders required above, by its terms affect the rights or duties of the Administrative Agent under this Agreement or any other Loan Document.  Notwithstanding anything to the contrary herein, no Defaulting Lender shall have any right to approve or disapprove any amendment, waiver or consent hereunder, except that the Commitment of such Lender may not be increased or extended without the consent of such Lender (it being understood that a waiver of any condition precedent in Article III or the waiver of any Default, Event of Default or mandatory prepayment shall not constitute an increase of any Commitment of a Lender).

 

Section 10.02  Notices, Posting of Approved Electronic Communications, Etc.  (a) All notices, demands, requests, consents and other communications provided for in this Agreement shall be

 

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given in writing, or by any telecommunication device capable of creating a written record (including electronic mail), and addressed to the party to be notified as follows:

 

(i)            if to the Borrower or any other Loan Party, Chemtura Corporation, at 199 Benson Road, Middlebury, CT 06749, Attention: Chief Financial Officer, Telecopier number: (203) 573-2214, E-mail Address: stephen.forsyth@chemtura.com, with a copy to Kirkland & Ellis LLP, counsel to the Loan Parties, at its address at 153 E 53rd Street, New York, New York 10022, Attention: Yongjin Im, Telecopier number: (212) 446-6460, E-Mail Address: yim@kirkland.com

 

(ii)           if to the Administrative Agent, Citibank, N.A., Two Penns Way, New Castle, 19720, Attention: Bank Loan Syndications Department, Telecopier number (212) 994-0961, E-Mail Address: oploanswebadmin@citigroup.com

 

(iii)          if to any Issuing Bank or any other Lender Party, to it at its address (or telecopier number) set forth in its Administrative Questionnaire,

 

or at such other address as shall be notified in writing (x) in the case of the Borrower and the Administrative Agent, to the other parties and (y) in the case of all other parties, to the Borrower and the Administrative Agent.

 

(b)           All notices, demands, requests, consents and other communications described in Section 10.02(a) shall be effective (i) if delivered by hand, including any overnight courier service, upon personal delivery, (ii) if delivered by mail, when deposited in the mails, (iii) if delivered by posting to an Approved Electronic Platform, an Internet website or a similar telecommunication device requiring that a user have prior access to such Approved Electronic Platform, website or other device (to the extent permitted by this Section 10.2 to be delivered thereunder), when such notice, demand, request, consent and other communication shall have been made generally available on such Approved Electronic Platform, Internet website or similar device to the class of Person being notified (regardless of whether any such Person must accomplish, and whether or not any such Person shall have accomplished, any action prior to obtaining access to such items, including registration, disclosure of contact information, compliance with a standard user agreement or undertaking a duty of confidentiality) and such Person has been notified in respect of such posting that a communication has been posted to the Approved Electronic Platform and (iv) if delivered by electronic mail or any other telecommunications device, when transmitted to an electronic mail address (or by another means of electronic delivery) as provided in Section 10.02(a); provided, however, that notices and communications to the Administrative Agent pursuant to Article II, III or VII shall not be effective until received by the Administrative Agent.

 

(c)           Notwithstanding Sections 10.02(a) and (b) (unless the Administrative Agent requests that the provisions of Sections 10.02(a) and (b) be followed) and any other provision in this Agreement or any other Loan Document providing for the delivery of any Approved Electronic Communication by any other means, the Loan Parties shall deliver all Approved Electronic Communications to the Administrative Agent by properly transmitting such Approved Electronic Communications in an electronic/soft medium in a format acceptable to the Administrative Agent to oploanswebadmin@citigroup.com or such other electronic mail address (or similar means of electronic delivery) as the Administrative Agent may notify to the Borrower.  Nothing in this Section 10.02(c) shall prejudice the right of the Administrative Agent or any Lender Party to deliver any Approved Electronic Communication to any Loan Party in any manner authorized in this Agreement or to request that the Borrower effect delivery in such manner.

 

(d)           Each of the Lender Parties and each Loan Party agree that the Administrative Agent may, but shall not be obligated to, make the Approved Electronic Communications available to the

 

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Lender Parties by posting such Approved Electronic Communications on IntraLinks™ or a substantially similar electronic platform chosen by the Administrative Agent to be its electronic transmission system (the “Approved Electronic Platform”).

 

(e)           Although the Approved Electronic Platform and its primary web portal are secured with generally-applicable security procedures and policies implemented or modified by the Administrative Agent from time to time (including, as of the Effective Date, a dual firewall and a User ID/Password Authorization System) and the Approved Electronic Platform is secured through a single-user-per-deal authorization method whereby each user may access the Approved Electronic Platform only on a deal-by-deal basis, each of the Lender Parties and each Loan Party acknowledges and agrees that the distribution of material through an electronic medium is not necessarily secure and that there are confidentiality and other risks associated with such distribution.  In consideration for the convenience and other benefits afforded by such distribution and for the other consideration provided hereunder, the receipt and sufficiency of which is hereby acknowledged, each of the Lender Parties and each Loan Party hereby approves distribution of the Approved Electronic Communications through the Approved Electronic Platform and understands and assumes the risks of such distribution.

 

(f)            THE APPROVED ELECTRONIC PLATFORM AND THE APPROVED ELECTRONIC COMMUNICATIONS ARE PROVIDED “AS IS” AND “AS AVAILABLE”.  NONE OF THE ADMINISTRATIVE AGENT NOR ANY OTHER MEMBER OF THE AGENT’S GROUP WARRANT THE ACCURACY, ADEQUACY OR COMPLETENESS OF THE APPROVED ELECTRONIC COMMUNICATIONS OR THE APPROVED ELECTRONIC PLATFORM AND EACH EXPRESSLY DISCLAIMS ANY LIABILITY FOR ERRORS OR OMISSIONS IN THE APPROVED ELECTRONIC COMMUNICATIONS OR THE APPROVED ELECTRONIC PLATFORM.  NO WARRANTY OF ANY KIND, EXPRESS, IMPLIED OR STATUTORY, INCLUDING, WITHOUT LIMITATION, ANY WARRANTY OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, NON-INFRINGEMENT OF THIRD PARTY RIGHTS OR FREEDOM FROM VIRUSES OR OTHER CODE DEFECTS, IS MADE BY THE AGENT PARTIES IN CONNECTION WITH THE APPROVED ELECTRONIC COMMUNICATIONS OR THE APPROVED ELECTRONIC PLATFORM.

 

(g)           Each of the Lender Parties and each Loan Party agree that the Administrative Agent may, but (except as may be required by applicable law) shall not be obligated to, store the Approved Electronic Communications on the Approved Electronic Platform in accordance with the Administrative Agent’s generally-applicable document retention procedures and policies.

 

Section 10.03  No Waiver; Remedies.  No failure on the part of any Lender Party or the Administrative Agent to exercise, and no delay in exercising, any right hereunder or under any Note shall operate as a waiver thereof; nor shall any single or partial exercise of any such right preclude any other or further exercise thereof or the exercise of any other right.  The remedies herein provided are cumulative and not exclusive of any remedies provided by law.

 

Section 10.04  Costs, Fees and Expenses.  (a)  The Borrower agrees (i) to pay or reimburse the Administrative Agent (and, to the extent mutually agreed upon by the Borrower and the Administrative Agent, the Lenders) for all reasonable, documented and out-of-pocket costs and expenses incurred in connection with the development, preparation, negotiation and execution of this Agreement and the other Loan Documents and any amendment, waiver, consent or other modification of the provisions hereof and thereof (whether or not the transactions contemplated hereby or thereby are consummated), and the consummation and administration of the transactions contemplated hereby and thereby (including the monitoring of, and participation in, all aspects of the Cases), including all reasonable fees and expenses of outside counsel for the Administrative Agent and the reasonable fees and

 

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expenses of one outside counsel for all Lenders as a group, (ii) to pay or reimburse the Lenders (including, without limitation, Citibank in its capacity as Administrative Agent) for all documented out-of-pocket costs and expenses incurred in connection with the ongoing maintenance and monitoring of Availability and enforcement, attempted enforcement, or preservation of any rights or remedies under this Agreement or the other Loan Documents (including all such costs and expenses incurred during any “workout” or restructuring in respect of the Obligations and during any legal proceeding, including any proceeding under any Debtor Relief Law), including all reasonable fees and expenses of counsel for the Lenders (including, without limitation, Citibank in its capacity as Administrative Agent).  The foregoing fees, costs and expenses shall include all search, filing, recording, title insurance, collateral review, monitoring, and appraisal charges and fees and taxes related thereto, and other reasonable out-of-pocket expenses incurred by the Initial Lenders and the cost of independent public accountants and other outside experts retained jointly by the Initial Lenders.  All amounts due under this Section 10.04(a) shall be payable within ten Business Days after demand therefor.  The agreements in this Section shall survive the termination of the Commitments and repayment of all other Obligations.

 

(b)           Whether or not the transactions contemplated hereby are consummated, the Borrower shall indemnify and hold harmless each Agent, each Agent’s Related Parties, each Lender and their respective Affiliates, directors, officers, employees, counsel, agents, advisors, attorneys-in-fact and representatives (collectively the “Indemnitees”) from and against any and all claims, damages, losses, liabilities and expenses (including, without limitation, reasonable and documented fees and expenses of outside counsel), joint or several that may be incurred by, or asserted or awarded against any Indemnitee, in each case arising out of or in connection with or relating to any investigation, litigation or proceeding or the preparation of any defense with respect thereto arising out of or in connection with (i) the execution, delivery, enforcement, performance or administration of any Loan Document or any other agreement, letter or instrument delivered in connection with the transactions contemplated thereby or the consummation of the transactions contemplated thereby, (ii) any Commitment, Advance or Letter of Credit or the use or proposed use of the proceeds therefrom (including any refusal by an Issuing Bank to honor a demand for payment under a Letter of Credit if the documents presented in connection with such demand do not strictly comply with the terms of such Letter of Credit), (iii) any actual or alleged presence or release of Hazardous Materials on or from any property currently or formerly owned or operated by the Borrower or any other Loan Party, or any Liability related in any way to the Borrower or any other Loan Party in respect of Environmental Laws, or (iv) any actual or prospective claim, litigation, investigation or proceeding relating to any of the foregoing, whether based on contract, tort or any other theory (including any investigation of, preparation for, or defense of any pending or threatened claim, investigation, litigation or proceeding) and regardless of whether any Indemnitee is a party thereto (all the foregoing, collectively, the “Indemnified Liabilities”), in all cases, whether or not caused by or arising, in whole or in part, out of the negligence of the Indemnitee; provided that such indemnity shall not, as to any Indemnitee, be available to the extent that such claim, damage, loss, liability or expense is determined by a court of competent jurisdiction by final and nonappealable judgment to have resulted primarily from the gross negligence or willful misconduct of such Indemnitee.  In the case of an investigation, litigation or other proceeding to which the indemnity in this Section 10.04(b) applies, such indemnity shall be effective whether or not such investigation, litigation or proceeding is brought by the Borrower or any of its Subsidiaries, any security holders or creditors of the foregoing an Indemnitee or any other Person, or an Indemnitee is otherwise a party thereto and whether or not the transactions contemplated hereby are consummated.  No Indemnitee shall have any liability (whether direct or indirect, in contract, tort or otherwise) to the Borrower or any of its Subsidiaries for or in connection with the transactions contemplated hereby, except to the extent such liability is determined in a final non-appealable judgment by a court of competent jurisdiction to have resulted from such Indemnitee’s gross negligence or willful misconduct.  In no event, however, shall any Indemnitee be liable on any theory of liability for any special, indirect, consequential or punitive damages (including, without limitation, any loss of profits, business or anticipated savings).  No Indemnitee shall be liable for any damages arising from the use by

 

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others of any information or other materials obtained through IntraLinks or other similar information transmission systems in connection with this Agreement.  All amounts due under this Section 10.04(b) shall be payable within ten Business Days after demand therefor.  The agreements in this Section shall survive the resignation of the Administrative Agent, the replacement of any Lender, the termination of the Commitments and the repayment, satisfaction or discharge of all the other Obligations.

 

(c)           If any payment of principal of, or Conversion of, any Eurodollar Rate Advance is made by the Borrower to or for the account of a Lender Party other than on the last day of the Interest Period for such Advance, as a result of a payment or Conversion pursuant to Section 2.06, 2.09(b)(i) or 2.10(d), acceleration of the maturity of the Notes pursuant to Section 6.01 or for any other reason, or if the Borrower fails to make any payment or prepayment of an Advance for which a notice of prepayment has been given or that is otherwise required to be made, whether pursuant to Section 2.04, 2.06 or 6.01 or otherwise, the Borrower shall, upon demand by such Lender Party (with a copy of such demand to the Administrative Agent), pay to the Administrative Agent for the account of such Lender Party any amounts required to compensate such Lender Party for any additional losses, costs or expenses that it may reasonably incur as a result of such payment or Conversion or such failure to pay or prepay, as the case may be, including, without limitation, any loss (including loss of anticipated profits), cost or expense incurred by reason of the liquidation or reemployment of deposits or other funds acquired by any Lender Party to fund or maintain such Advance.

 

Section 10.05  Right of Set-off.  Subject to the DIP Refinancing Orders and the last sentence of Section 6.01, upon (a) the occurrence and during the continuance of any Event of Default and (b) the making of the request or the granting of the consent specified by Section 6.01 to authorize the Administrative Agent to declare the Notes due and payable pursuant to the provisions of Section 6.01, each Lender Party and each of its respective Affiliates is hereby authorized at any time and from time to time, to the fullest extent permitted by law, to set off and otherwise apply any and all deposits (general or special, time or demand, provisional or final) at any time held and other indebtedness at any time owing by such Lender Party or such Affiliate to or for the credit or the account of the Borrower against any and all of the Obligations of the Borrower now or hereafter existing under this Agreement and the Note or Notes (if any) held by such Lender Party, irrespective of whether such Lender Party shall have made any demand under this Agreement or such Note or Notes and although such obligations may be unmatured.  Each Lender Party agrees promptly to notify the Borrower after any such set-off and application; provided, however, that the failure to give such notice shall not affect the validity of such set-off and application.  The rights of each Lender Party and its respective Affiliates under this Section are in addition to other rights and remedies (including, without limitation, other rights of set-off) that such Lender Party and its respective Affiliates may have.

 

Section 10.06  Binding Effect.  This Agreement shall become effective when it shall have been executed by the Borrower, the Guarantors, each Agent, the Initial Issuing Bank and the Administrative Agent shall have been notified by each Initial Lender that such Initial Lender has executed it and thereafter shall be binding upon and inure to the benefit of the Borrower, each Agent and each Lender Party and their respective successors and assigns, except that the Borrower shall not have the right to assign its rights hereunder or any interest herein without the prior written consent of each Lender Party.

 

Section 10.07  Successors and Assigns.  (a)  Each Lender may assign all or a portion of its rights and obligations under this Agreement (including, without limitation, all or a portion of its Commitment or Commitments, the Advances owing to it and the Note or Notes held by it); provided, however, that (i) unless otherwise agreed by the Administrative Agent each such assignment shall be of a uniform, and not a varying, percentage of all rights and obligations under and in respect of any or all Facilities, (ii) except in the case of an assignment to a Person that, immediately prior to such assignment, was a Lender, an Affiliate of any Lender or an Approved Fund of any Lender or an assignment of all of a

 

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Lender’s rights and obligations under this Agreement, the aggregate amount of the Commitments being assigned to any such Eligible Assignee pursuant to such assignment (determined as of the date of the Assignment and Acceptance with respect to such assignment) shall be (A) in the case of the Revolving Credit Facility, at least $5,000,000 and (B) in the case of the Term Facility, unless the Administrative Agent shall otherwise consent, $1,000,000 or an integral multiple of $500,000 in excess thereof, (iii) each such assignment shall be to an Eligible Assignee, (iv) the parties to each such assignment shall execute and deliver to the Administrative Agent, for its acceptance and recording in the Register, an Assignment and Acceptance, together with any Note or Notes (if any) subject to such assignment and a processing and recordation fee of $3,500, (v) to the extent any such assignment immediately upon becoming effective shall increase amounts payable under Section 2.10 or 2.12, the Borrower shall not be liable for payment of such increased amounts unless such assignment is made with the Borrower’s prior consent after the Borrower has been informed of such increased amounts and (vi) prior to such assignment, the assignor or the Administrative Agent shall have given notice of such assignment to the Borrower.

 

(b)           Upon such execution, delivery, acceptance and recording, from and after the effective date specified in such Assignment and Acceptance, (i) the assignee thereunder shall be a party hereto and, to the extent that rights and obligations hereunder have been assigned to it pursuant to such Assignment and Acceptance, have the rights and obligations of a Lender or Issuing Bank, as the case may be, hereunder and (ii) the Lender or Issuing Bank assignor thereunder shall, to the extent that rights and obligations hereunder have been assigned by it pursuant to such Assignment and Acceptance, relinquish its rights (other than its rights under Sections 2.10, 2.12 and 10.04 to the extent any claim thereunder relates to an event arising prior to such assignment) and be released from its obligations under this Agreement (and, in the case of an Assignment and Acceptance covering all of the remaining portion of an assigning Lender’s or Issuing Bank’s rights and obligations under this Agreement, such Lender or Issuing Bank shall cease to be a party hereto).

 

(c)           By executing and delivering an Assignment and Acceptance, each Lender Party assignor thereunder and each assignee thereunder confirm to and agree with each other and the other parties thereto and hereto as follows:  (i) other than as provided in such Assignment and Acceptance, such assigning Lender Party makes no representation or warranty and assumes no responsibility with respect to any statements, warranties or representations made in or in connection with any Loan Document or the execution, legality, validity, enforceability, genuineness, sufficiency or value of, or the perfection or priority of any Lien or security interest created or purported to be created under or in connection with, any Loan Document or any other instrument or document furnished pursuant thereto; (ii) such assigning Lender Party makes no representation or warranty and assumes no responsibility with respect to the financial condition of any Loan Party or the performance or observance by any Loan Party of any of its obligations under any Loan Document or any other instrument or document furnished pursuant thereto; (iii) such assignee confirms that it has received a copy of this Agreement, together with copies of the financial statements referred to in Section 4.01 and such other documents and information as it has deemed appropriate to make its own credit analysis and decision to enter into such Assignment and Acceptance; (iv) such assignee will, independently and without reliance upon any Agent, such assigning Lender Party or any other Lender Party and based on such documents and information as it shall deem appropriate at the time, continue to make its own credit decisions in taking or not taking action under this Agreement; (v) such assignee confirms that it is an Eligible Assignee; (vi) such assignee appoints and authorizes each Agent to take such action as agent on its behalf and to exercise such powers and discretion under the Loan Documents as are delegated to such Agent by the terms hereof and thereof, together with such powers and discretion as are reasonably incidental thereto; and (vii) such assignee agrees that it will perform in accordance with their terms all of the obligations that by the terms of this Agreement are required to be performed by it as a Lender or Issuing Bank, as the case may be.

 

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(d)           The Administrative Agent, acting for this purpose (but only for this purpose) as the agent of the Borrower, shall maintain at its address referred to in Section 10.02 a copy of each Assignment and Acceptance delivered to and accepted by it and a register for the recordation of the names and addresses of the Lender Parties and the Commitment under each Facility of, and principal amount of the Advances owing under each Facility to, each Lender Party from time to time (the “Register”).  The entries in the Register shall be conclusive and binding for all purposes, absent manifest error, and the Borrower, the Agents and the Lender Parties may treat each Person whose name is recorded in the Register as a Lender Party hereunder for all purposes of this Agreement.  The Register shall be available for inspection by the Borrower or any Agent or any Lender Party at any reasonable time and from time to time upon reasonable prior notice.

 

(e)           Upon its receipt of an Assignment and Acceptance executed by an assigning Lender Party and an assignee, together with any Note or Notes subject to such assignment, the Administrative Agent shall, if such Assignment and Acceptance has been completed and is in substantially the form of Exhibit C hereto, (i) accept such Assignment and Acceptance, (ii) record the information contained therein in the Register and (iii) give prompt notice thereof to the Borrower and each other Agent.  In the case of any assignment by a Lender, within five Business Days after its receipt of such notice, the Borrower, at its own expense, shall execute and deliver to the Administrative Agent in exchange for the surrendered Note or Notes (if any) a new Note to the order of such Eligible Assignee in an amount equal to the Commitment assumed by it under each Facility pursuant to such Assignment and Acceptance and, if any assigning Lender that had a Note or Notes prior to such assignment has retained a Commitment hereunder under such Facility, a new Note to the order of such assigning Lender in an amount equal to the Commitment retained by it hereunder.  Such new Note or Notes shall be dated the effective date of such Assignment and Acceptance and shall otherwise be in substantially the form of Exhibit A-1, A-2 or A-3 hereto, as the case may be.

 

(f)            Each Issuing Bank may assign to one or more Eligible Assignees all or a portion of its rights and obligations under the undrawn portion of its Letter of Credit Commitment at any time; provided, however, that (i) each such assignment shall be to an Eligible Assignee and (ii) the parties to each such assignment shall execute and deliver to the Administrative Agent, for its acceptance and recording in the Register, an Assignment and Acceptance, together with a processing and recordation fee of $3,500.

 

(g)           Each Lender Party may sell participations to one or more Persons (other than any Loan Party or any of its Affiliates) in or to all or a portion of its rights and obligations under this Agreement (including, without limitation, all or a portion of its Commitments, the Advances owing to it and any Note or Notes held by it); provided, however, that (i) such Lender Party’s obligations under this Agreement (including, without limitation, its Commitments) shall remain unchanged, (ii) such Lender Party shall remain solely responsible to the other parties hereto for the performance of such obligations, (iii) such Lender Party shall remain the holder of any such Note for all purposes of this Agreement, (iv) the Borrower, the Agents and the other Lender Parties shall continue to deal solely and directly with such Lender Party in connection with such Lender Party’s rights and obligations under this Agreement, (v) no participant under any such participation shall have any right to approve any amendment or waiver of any provision of any Loan Document, or any consent to any departure by any Loan Party therefrom, except to the extent that such amendment, waiver or consent would reduce the principal of, or interest (other than default interest) on, the Advances or any fees or other amounts payable hereunder, in each case to the extent subject to such participation, postpone any date fixed for any payment of principal of, or interest on, the Advances or any fees or other amounts payable hereunder, in each case to the extent subject to such participation, or release all or substantially all of the value of the Collateral or of the value of the Guaranties, (vi) the participating banks or other entities shall be entitled to the benefit of Section 2.12 to the same extent as if they were a Lender Party but, with respect to any particular participant, to no

 

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greater extent than the Lender Party that sold the participation to such participant and only if such participant agrees to comply with Section 2.12(e) as though it were a Lender Party and (vii) to the extent any such participation immediately upon becoming effective shall increase amounts payable under Section 2.10 or 2.12, the Borrower shall not be liable for payment of such increased amounts unless such participation is made with the Borrower’s prior consent after the Borrower has been informed of such increased amounts.

 

(h)           Any Lender Party may, in connection with any assignment or participation or proposed assignment or participation pursuant to this Section 10.07, disclose to the assignee or participant or proposed assignee or participant any information relating to the Borrower furnished to such Lender Party by or on behalf of the Borrower; provided, however, that, prior to any such disclosure, the assignee or participant or proposed assignee or participant shall agree to preserve the confidentiality of any Information received by it from such Lender Party in accordance with Section 10.09 hereof.

 

(i)            Notwithstanding any other provision set forth in this Agreement, any Lender Party may at any time (and without the consent of the Administrative Agent or the Borrower) create a security interest in all or any portion of its rights under this Agreement (including, without limitation, the Advances owing to it and any Note or Notes held by it) in favor of any Federal Reserve Bank in accordance with Regulation A of the Board of Governors of the Federal Reserve System

 

(j)            Notwithstanding anything to the contrary contained herein, any Lender that is a fund that invests in bank loans may create a security interest in all or any portion of the Advances owing to it and the Note or Notes held by it to the trustee for holders of obligations owed, or securities issued, by such fund as security for such obligations or securities, provided, however, that unless and until such trustee actually becomes a Lender in compliance with the other provisions of this Section 10.07, (i) no such pledge shall release the pledging Lender from any of its obligations under the Loan Documents and (ii) such trustee shall not be entitled to exercise any of the rights of a Lender under the Loan Documents even though such trustee may have acquired ownership rights with respect to the pledged interest through foreclosure or otherwise.

 

(k)           Notwithstanding anything to the contrary contained herein, any Lender Party (a “Granting Lender”) may grant to a special purpose funding vehicle organized and administered by such Lender Party identified as such in writing from time to time by the Granting Lender to the Administrative Agent and the Borrower (an “SPC”) the option to provide all or any part of any Advance that such Granting Lender would otherwise be obligated to make pursuant to this Agreement; provided that (i) nothing herein shall constitute a commitment by any SPC to fund any Advance, and (ii) if an SPC elects not to exercise such option or otherwise fails to make all or any part of such Advance, the Granting Lender shall be obligated to make such Advance pursuant to the terms hereof.  The making of an Advance by an SPC hereunder shall utilize the Commitment of the Granting Lender to the same extent, and as if, such Advance were made by such Granting Lender.  Each party hereto hereby agrees that (i) no SPC shall be liable for any indemnity or similar payment obligation under this Agreement for which a Lender Party would be liable, (ii) no SPC shall be entitled to the benefits of Sections 2.10 and 2.12 (or any other increased costs protection provision) and (iii) the Granting Lender shall for all purposes, including, without limitation, the approval of any amendment or waiver of any provision of any Loan Document, remain the Lender Party of record hereunder.  In furtherance of the foregoing, each party hereto hereby agrees (which agreement shall survive the termination of this Agreement) that, prior to the date that is one year and one day after the payment in full of all outstanding commercial paper or other senior Debt of any SPC, it will not institute against, or join any other person in instituting against, such SPC any bankruptcy, reorganization, arrangement, insolvency, or liquidation proceeding under the laws of the United States or any State thereof; provided that each Lender Party designating any SPC hereby agrees to indemnify and hold harmless each other party hereto for any loss, cost, damage or expense

 

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arising out of its inability to institute such a proceeding against such SPC during such period of forbearance.  Notwithstanding anything to the contrary contained in this Agreement, any SPC may (i) with notice to, but without prior consent of, the Borrower and the Administrative Agent, assign all or any portion of its interest in any Advance to the Granting Lender and (ii) disclose on a confidential basis any non-public information relating to its funding of Advances to any rating agency, commercial paper dealer or provider of any surety or guarantee or credit or liquidity enhancement to such SPC.  This subsection (k) may not be amended without the prior written consent of each Granting Lender, all or any part of whose Advances are being funded by the SPC at the time of such amendment.

 

Section 10.08  Execution in Counterparts.  This Agreement may be executed in any number of counterparts and by different parties hereto in separate counterparts, each of which when so executed shall be deemed to be an original and all of which when taken together shall constitute one and the same agreement.  Delivery of an executed counterpart of a signature page to this Agreement by telecopier or by electronic transmission (e.g. “.pdf” or “tiff”) shall be effective as delivery of a manually executed counterpart of this Agreement.

 

Section 10.09  Confidentiality and Related Matters.  Each of the Administrative Agent and the Lender Parties agrees to maintain the confidentiality of the Information (as defined below), except that Information may be disclosed (a) on a need-to-know basis to its Related Parties (it being understood that the Persons to whom such disclosure is made will be informed of the confidential nature of such Information and instructed to keep such Information confidential), (b) to the extent requested by any regulatory authority purporting to have jurisdiction over it (including any self-regulatory authority, such as the National Association of Insurance Commissioners), (c) to the extent required by applicable laws or regulations or by any subpoena or similar legal process, (d) to any other party hereto, (e) in connection with the exercise of any remedies hereunder or under any other Loan Document, any action or proceeding relating to this Agreement or any other Loan Document, the enforcement of rights hereunder or thereunder or any litigation or proceeding to which the Administrative Agent or any Lender Party or any of its respective Affiliates may be a party, (f) subject to an agreement containing provisions substantially the same as those of this Section, to (i) any assignee of or participant in, or any prospective assignee of or participant in, any of its rights or obligations under this Agreement, (ii) any actual or prospective party (or its managers, administrators, trustees, partners, directors, officers, employees, agents, advisors and other representatives) surety, reinsurer, guarantor or credit liquidity enhancer (or their advisors) to or in connection with any swap, derivative or other similar transaction under which payments are to be made by reference to the Obligations under the Loan Documents or to the Borrower and its obligations or to this Agreement or payments hereunder, (iii) to any rating agency when required by it, (iv) the CUSIP Service Bureau or any similar organization, (g) with the consent of the Borrower or (h) to the extent such Information (i) becomes publicly available other than as a result of a breach of this Section or (ii) becomes available to the Administrative Agent, any Lender Party or any of their respective Affiliates on a nonconfidential basis from a source other than an Loan Party; provided that in the case of disclosure under subsections (b) (excluding disclosure to any bank regulatory authority) and (c) of this Section 10.09, such party subject to such requirement or request shall, to the extent permitted by law, provide the applicable Loan Party written notice of such requirement and cooperate with such Loan Party to obtain a protective order or other confidential treatment.  For purposes of this Section, “Information” means all information received from an Loan Party or any of its respective Subsidiaries relating to an Loan Party or any of its respective Subsidiaries or any of their respective businesses, other than any such information that is available to the Administrative Agent or any Lender Party on a nonconfidential basis prior to disclosure by any Loan Party or any of its respective Subsidiaries.  Any Person required to maintain the confidentiality of Information as provided in this Section shall be considered to have complied with its obligation to do so if such Person has exercised the same degree of care to maintain the confidentiality of such Information as such Person would accord to its own confidential information.

 

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Section 10.10  Treatment of Information.  (a)  Certain of the Lenders may enter into this Agreement and take or not take action hereunder or under the other Loan Documents on the basis of information that does not contain material non-public information with respect to any of the Loan Parties or their securities (“Restricting Information”).  Other Lenders may enter into this Agreement and take or not take action hereunder or under the other Loan Documents on the basis of information that may contain Restricting Information.  Each Lender Party acknowledges that United States federal and state securities laws prohibit any person from purchasing or selling securities on the basis of material, non-public information concerning the such issuer of such securities or, subject to certain limited exceptions, from communicating such information to any other Person.  Neither the Administrative Agent nor any of its Related Parties shall, by making any Communications (including Restricting Information) available to a Lender Party, by participating in any conversations or other interactions with a Lender Party or otherwise, make or be deemed to make any statement with regard to or otherwise warrant that any such information or Communication does or does not contain Restricting Information nor shall the Administrative Agent or any of its Related Parties be responsible or liable in any way for any decision a Lender Party may make to limit or to not limit its access to Restricting Information.  In particular, none of the Administrative Agent nor any of its Related Parties (i) shall have, and the Administrative Agent, on behalf of itself and each of its Related Parties, hereby disclaims, any duty to ascertain or inquire as to whether or not a Lender Party has or has not limited its access to Restricting Information, such Lender Party’s policies or procedures regarding the safeguarding of material, nonpublic information or such Lender Party’s compliance with applicable laws related thereto or (ii) shall have, or incur, any liability to any Loan Party or Lender Party or any of their respective Related Parties arising out of or relating to the Administrative Agent or any of its Related Parties providing or not providing Restricting Information to any Lender Party.

 

(b)           Each Loan Party agrees that (i) all Communications it provides to the Administrative Agent intended for delivery to the Lender Parties whether by posting to the Approved Electronic Platform or otherwise shall be clearly and conspicuously marked “PUBLIC” if such Communications do not contain Restricting Information which, at a minimum, shall mean that the word “PUBLIC” shall appear prominently on the first page thereof, (ii) by marking Communications “PUBLIC,” each Loan Party shall be deemed to have authorized the Administrative Agent and the Lender Parties to treat such Communications as either publicly available information or not material information (although, in this latter case, such Communications may contain sensitive business information and, therefore, remain subject to the confidentiality undertakings of Section 10.09) with respect to such Loan Party or its securities for purposes of United States Federal and state securities laws, (iii) all Communications marked “PUBLIC” may be delivered to all Lender Parties and may be made available through a portion of the Approved Electronic Platform designated “Public Side Information,” and (iv) the Administrative Agent shall be entitled to treat any Communications that are not marked “PUBLIC” as Restricting Information and may post such Communications to a portion of the Approved Electronic Platform not designated “Public Side Information.”  Neither the Administrative Agent nor any of its Affiliates shall be responsible for any statement or other designation by an Loan Party regarding whether a Communication contains or does not contain material non-public information with respect to any of the Loan Parties or their securities nor shall the Administrative Agent or any of its Affiliates incur any liability to any Loan Party, any Lender Party or any other Person for any action taken by the Administrative Agent or any of its Affiliates based upon such statement or designation, including any action as a result of which Restricting Information is provided to a Lender Party that may decide not to take access to Restricting Information.  Nothing in this Section 10.10 shall modify or limit a Lender Party’s obligations under Section 10.09 with regard to Communications and the maintenance of the confidentiality of or other treatment of Information.

 

(c)           Each Lender Party acknowledges that circumstances may arise that require it to refer to Communications that might contain Restricting Information.  Accordingly, each Lender Party

 

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agrees that it will nominate at least one designee to receive Communications (including Restricting Information) on its behalf and identify such designee (including such designee’s contact information) on such Lender Party’s Administrative Questionnaire.  Each Lender Party agrees to notify the Administrative Agent from time to time of such Lender Party’s designee’s e-mail address to which notice of the availability of Restricting Information may be sent by electronic transmission.

 

(d)           Each Lender Party acknowledges that Communications delivered hereunder and under the other Loan Documents may contain Restricting Information and that such Communications are available to all Lender Parties generally.  Each Lender Party that elects not to take access to Restricting Information does so voluntarily and, by such election, acknowledges and agrees that the Administrative Agent and other Lender Parties may have access to Restricting Information that is not available to such electing Lender Party.  None of the Administrative Agent nor any Lender Party with access to Restricting Information shall have any duty to disclose such Restricting Information to such electing Lender Party or to use such Restricting Information on behalf of such electing Lender Party, and shall not be liable for the failure to so disclose or use, such Restricting Information.

 

(e)           The provisions of the foregoing clauses of this Section 10.10 are designed to assist the Administrative Agent, the Lender Parties and the Loan Parties, in complying with their respective contractual obligations and applicable law in circumstances where certain Lender Parties express a desire not to receive Restricting Information notwithstanding that certain Communications hereunder or under the other Loan Documents or other information provided to the Lender Parties hereunder or thereunder may contain Restricting Information.  Neither the Administrative Agent nor any of its Related Parties warrants or makes any other statement with respect to the adequacy of such provisions to achieve such purpose nor does the Administrative Agent or any of its Related Parties warrant or make any other statement to the effect that an Loan Party’s or Lender Party’s adherence to such provisions will be sufficient to ensure compliance by such Loan Party or Lender Party with its contractual obligations or its duties under applicable law in respect of Restricting Information and each of the Lender Parties and each Loan Party assumes the risks associated therewith.

 

Section 10.11  Patriot Act Notice.  Each Lender Party and each Agent (for itself and not on behalf of any Lender Party) hereby notifies the Loan Parties that pursuant to the requirements of the Patriot Act, it is required to obtain, verify and record information that identifies each Loan Party, which information includes the name and address of such Loan Party and other information that will allow such Lender Party or such Agent, as applicable, to identify such Loan Party in accordance with the Patriot Act.  The Borrower shall, and shall cause each of its Subsidiaries to, provide the extent commercially reasonable, such information and take such actions as are reasonably requested by any Agents or any Lender Party in order to assist the Agents and the Lender Parties in maintaining compliance with the Patriot Act.

 

Section 10.12  Jurisdiction, Etc.  (a)  Each of the parties hereto hereby irrevocably and unconditionally submits, for itself and its property, to the nonexclusive jurisdiction of the Bankruptcy Court and, if the Bankruptcy Court does not have (or abstains from) jurisdiction, to the nonexclusive jurisdiction of any New York State court or federal court of the United States of America sitting in New York City, and any appellate court from any thereof, in any action or proceeding arising out of or relating to this Agreement or any of the other Loan Documents to which it is a party, or for recognition or enforcement of any judgment, and each of the parties hereto hereby irrevocably and unconditionally agrees that all claims in respect of any such action or proceeding may be heard and determined in any such New York State court or, to the extent permitted by law, in such federal court.  Each of the parties hereto agrees that a final judgment in any such action or proceeding shall be conclusive and may be enforced in other jurisdictions by suit on the judgment or in any other manner provided by law.  Nothing in this Agreement shall affect any right that any party may otherwise have to bring any action or

 

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proceeding relating to this Agreement or any of the other Loan Documents in the courts of any jurisdiction.

 

(b)           Each of the parties hereto irrevocably and unconditionally waives, to the fullest extent it may legally and effectively do so, any objection that it may now or hereafter have to the laying of venue of any suit, action or proceeding arising out of or relating to this Agreement or any of the other Loan Documents to which it is a party in any New York State or federal court.  Each of the parties hereto hereby irrevocably waives, to the fullest extent permitted by law, the defense of an inconvenient forum to the maintenance of such action or proceeding in any such court.

 

Section 10.13  Governing Law.  This Agreement and the Notes shall be governed by, and construed in accordance with, the laws of the State of New York and, to the extent applicable, the Bankruptcy Code.

 

Section 10.14  Waiver of Jury Trial.  Each of the Guarantors, the Borrower, the Agents and the Lender Parties irrevocably waives all right to trial by jury in any action, proceeding or counterclaim (whether based on contract, tort or otherwise) arising out of or relating to any of the Loan Documents, the Advances or the actions of the Administrative Agent or any Lender Party in the negotiation, administration, performance or enforcement thereof.

 

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IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed by their respective officers thereunto duly authorized, as of the date first above written.

 

 

 

CHEMTURA CORPORATION, a debtor and a
debtor-in-possession, as Borrower

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

S-1



 

 

A & M CLEANING PRODUCTS, LLC

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

AQUA CLEAR INDUSTRIES, LLC

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

ASCK, INC.

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

ASEPSIS, INC.

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

BIOLAB COMPANY STORE, LLC

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

S-2



 

 

BIOLAB FRANCHISE COMPANY, LLC

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

BIOLAB TEXTILE ADDITIVES, LLC

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

BIO-LAB, INC.

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

CNK CHEMICAL REALTY CORPORATION

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

CROMPTON COLORS INCORPORATED

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

S-3



 

 

CROMPTON HOLDING CORPORATION

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

CROMPTON MONOCHEM, INC.

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

GLCC LAUREL, LLC

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

GREAT LAKES CHEMICAL CORPORATION

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

GREAT LAKES CHEMICAL GLOBAL, INC.

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

S-4



 

 

GT SEED TREATMENT, INC.

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

HOMECARE LABS, INC.

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

ISCI, INC.

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

KEM MANUFACTURING

 

CORPORATION

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

LAUREL INDUSTRIES HOLDINGS, INC.

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

S-5



 

 

MONOCHEM, INC.

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

NAUGATUCK TREATMENT COMPANY

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

RECREATIONAL WATER PRODUCTS, INC.

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

UNIROYAL CHEMICAL COMPANY LIMITED (DELAWARE)

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

 

 

 

 

WEBER CITY ROAD LLC

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

S-6



 

 

WRL OF INDIANA, INC.

 

As a debtor and a debtor-in-possession, and as a Guarantor

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

S-7



 

 

CITIBANK, N.A., as

 

Administrative Agent, Initial Lender and Initial Issuing Bank

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

S-8



 

 

[                                            ], as

 

Initial Lender

 

 

 

 

 

By:

 

 

 

Name:

 

 

Title:

 

S-9



 

EXECUTION

 

SCHEDULES

 

TO

 

AMENDED AND RESTATED SENIOR SECURED SUPERPRIORITY

DEBTOR-IN-POSSESSION CREDIT AGREEMENT

 

Dated as of February 3, 2010

Among

CHEMTURA CORPORATION,
as Debtor and Debtor-in-Possession

and

THE GUARANTORS PARTY HERETO,
as Debtors and Debtors in Possession under Chapter 11 of the Bankruptcy Code

and

CITIBANK, N.A.,

as Administrative Agent

and

WELLS FARGO FOOTHILL, LLC

as Syndication Agent

and

BARCLAYS BANK PLC

and

BANK OF AMERICA, N.A.

as Co-Documentation Agents

and

CITIBANK, N.A.,

as Initial Issuing Bank,

and

THE INITIAL LENDERS AND THE OTHER LENDERS PARTY HERETO

 



 

Schedule I

Commitments and Applicable Lending Offices

 

 

 

AMOUNT

 

COMMITMENT

 

FACILITIES TOTAL

 

 

 

 

 

Citibank, N.A.

 

$

350,000,000.00

 

77.78

%

The Foothill Group, LLC

 

$

30,000,000.00

 

6.667

%

Bank of America N.A.

 

$

30,000,000.00

 

6.667

%

Barclays Bank PLC

 

$

30,000,000.00

 

6.667

%

Commerzbank AG, New York and Grand Cayman Branches

 

$

10,000,000.00

 

2.22

%

 

 

 

 

 

 

Total

 

$

450,000,000.00

 

100.00

%

 

 

 

AMOUNT

 

COMMITMENT

 

TERM CREDIT FACILITY

 

 

 

 

 

Citibank, N.A.

 

$

300,000,000.00

 

100.00

%

 

 

 

 

 

 

Total

 

$

300,000,000.00

 

100.00

%

 

 

 

AMOUNT

 

COMMITMENT

 

REVOLVING CREDIT FACILITY

 

 

 

 

 

Citibank, N.A.

 

$

50,000,000.00

(1)

33.33

%

The Foothill Group, LLC

 

$

30,000,000.00

 

20.00

%

Bank of America, N.A.

 

$

30,000,000.00

 

20.00

%

Barclays Bank PLC

 

$

30,000,000.00

 

20.00

%

Commerzbank AG, New York and Grand Cayman Branches

 

$

10,000,000.00

 

6.67

%

 

 

 

 

 

 

Total

 

$

150,000,000.00

 

100.00

%

 


(1) Also with a Letter of Credit Commitment of $50,000,000.00.

 

2



 

LENDER

 

APPLICABLE LENDING OFFICE

 

 

 

Citibank, N.A.

 

1615 Brett Road

 

 

New Castle, DE 19720

 

 

Attn: Diane Weaver

 

 

T: (302) 323 3854

 

 

F: (212) 994 0849

 

 

 

The Foothill Group, LLC

 

2450 Colorado Avenue, Suite 3000W

 

 

Santa Monica, CA 90404

 

 

Attn: Dennis Ascher

 

 

T: (310) 453 7377

 

 

F: (310) 453 7470

 

 

 

Bank of America, N.A.

 

200 Glastonbury Blvd

 

 

Glastonbury, CT 06033

 

 

Attn: Edgar Ezerins

 

 

T: (860) 368 6024

 

 

F: (860) 368 6029

 

 

 

Barclays Bank PLC

 

745 7th Ave

 

 

New York, NY 10019

 

 

Attn: Sam Yoo

 

 

T: (212) 526 1264

 

 

F: (212) 526 5115

 

 

 

Commerzbank AG, New York and Grand Cayman Branches

 

2 World Financial Center

 

 

New York, NY 10281

 

 

Attn: Robert Taylor

 

 

T: (212) 266-7708

 

 

F: (212) 266-7594

 

3



 

Schedule II

Intellectual Property

 

See attached.

 

4



 

CHEMTURA COPYRIGHTS

 

Copyright Registrations

 

Title

 

Record Owner

 

Reg. Date

 

Reg. Number

 

K&E
Comments

AQUA CLEAR

 

Aqua Clear Industries, LLC

 

31-Dec-97

 

TX0005069576

 

 

ASK ALAN: SWIMMING POOL & SPA Q&A

 

Aqua Clear Industries, LLC

 

19-Aug-99

 

TX0005050042

 

 

POOL CARE MAINTENANCE GUIDE

 

Aqua Clear Industries, LLC

 

20-Aug-99

 

TX0005019487

 

 

SPA CARE GUIDE

 

Aqua Clear Industries, LLC

 

23-Aug-23

 

TX0005040197

 

 

SUN INFOSOURCE POOL & SPA WATER CARE

 

Aqua Clear Industries, LLC

 

20-Dec-99

 

TX0005085773

 

 

DISTRIBUTOR WATER ANALYSIS SOFTWARE.

 

Asepsis, Inc.

 

27-Feb-98

 

TX4737285

 

 

OMNI POOL CARE GUIDE

 

Asepsis, Inc., a wholly-owned subsidiary of Bio-Lab, Inc.

 

8-Jul-86

 

TX0001867589

 

 

OMNI TRAINING MANUAL

 

Asepsis, Inc., a wholly-owned subsidiary of Bio-Lab, Inc.

 

8-Jul-86

 

TX0001867103

 

 

SPA CARE GUIDE

 

Asepsis, Inc., a wholly-owned subsidiary of Bio-Lab, Inc.

 

8-Jul-86

 

TX0001858386

 

 

SOFTSWIM POOL CARE GUIDE : A COMPLETE GUIDE TO PERSONALIZED POOL CARE FROM BIOGUARD.

 

BioLab, Inc.

 

5-Apr-93

 

TX3515891

 

 

[KISS]

 

Bio-Lab, Inc.

 

31-Mar-94

 

TX0003663057

 

 

ALEX BAS

 

Bio-Lab, Inc.

 

10-Apr-96

 

TX0004254213

 

 

ALEX INTERACTIVE SOFTWARE

 

Bio-Lab, Inc.

 

15-Jun-89

 

TX0002748927

 

 

ALEX SOFTWARE PROGRAM

 

Bio-Lab, Inc.

 

15-Oct-93

 

TX0003665449

 

 

ALGAE CONTROL AND TREATMENT IN SWIMMING POOLS

 

Bio-Lab, Inc.

 

7-Jan-74

 

A506078

 

 

AUTOMATIC CHLORINATION

 

Bio-Lab, Inc.

 

5-Jan-73

 

A419253

 

 

BIOGUARD

 

Bio-Lab, Inc.

 

8-Jul-86

 

TX0001858286

 

 

BIO-GUARD

 

Bio-Lab, Inc.

 

15-Aug-89

 

TX2633127

 

 

CHEMICAL TECHNOLOGY & MARKETING PROGRAM

 

Bio-Lab, Inc.

 

14-Oct-74

 

A589720

 

 

COMPUTERIZED POOL WATER ANALYSIS AND TREATMENT

 

Bio-Lab, Inc.

 

17-Sep-79

 

TX0000329737

 

 

 

1



 

Title

 

Record Owner

 

Reg. Date

 

Reg. Number

 

K&E
Comments

SEQUENCE

 

 

 

 

 

 

 

 

COMPUTERIZED WATER ANALYSIS DATA SHEET

 

Bio-Lab, Inc.

 

17-Sep-79

 

TX0000329738

 

 

LOOK UP COMPUTERIZED WATER ANALYSIS DATA SHEET FOR WINTERIZATION

 

Bio-Lab, Inc.

 

17-Sep-79

 

TX0000329739

 

 

OMNI/PROGUARD: DISTRIBUTOR VERSION

 

Bio-Lab, Inc.

 

15-Aug-89

 

TX0002642151

 

 

POOL BOOK: A COMPLETE GUIDE TO POOL CARE, OPENING TO CLOSING

 

Bio-Lab, Inc.

 

15-May-86

 

TX0001797302

 

 

POOL GUARDIAN: A PUBLICATION FOR BIOGUARD POOL & SPA DEALERS

 

Bio-Lab, Inc.

 

1-Jan-87

 

CSN0074704

 

CSN registrations are for collective works. It can be used as a reference to the entire collection of multiple registered works. This collection includes registration TX0002102981.

POOL GUARDIAN: A PUBLICATION FOR BIOGUARD POOL & SPA DEALERS

 

Bio-Lab, Inc.

 

1-May-87

 

TX2102981

 

 

THE BIO-GUARD TECHNICAL SERVICES MANUAL

 

Bio-Lab, Inc.

 

1-Mar-72

 

A348006

 

 

THE SPA BOOK: A COMPLETE GUIDE TO SPA AND HOT TUB CARE

 

Bio-Lab, Inc.

 

31-Oct-84

 

TX00018588287

 

 

THE POOL BOOK : A COMPLETE GUIDE TO PERSONALIZED POOL CARE.

 

Biolabs, Inc.

 

26-May-92

 

TX3321190

 

 

SADTLER SPECTRA 300 MHZ PROTON NUCLEAR MAGNETIC RESONANCE STATNDARDS : VOL. 21

 

Bio-Labs, Inc.; Sadtler Research Laboratories

 

2-Oct-96

 

TX4352390

 

Company to advise if Sadtler Research Laboratories maintains an interest in this copyright.

GREAT LAKES CHEMICAL CORP. : A HISTORY OF INNOVATION AND SUCCESS / EMERSON KAMPEN.

 

Great Lakes Chemical Corporation

 

22-Jun-90

 

TX2847365

 

 

K E M ELECTRONIC IGNITION : BOX NO. 117.

 

KEM Manufacturing Company, Inc.

 

11-Oct-84

 

VA182711

 

 

 

2



 

Title

 

Record Owner

 

Reg. Date

 

Reg. Number

 

K&E
Comments

K E M MAG-PLUS : MAGNETIC SUPPRESSION IGNITION WIRE SET.

 

KEM Manufacturing Company, Inc.

 

1-Jun-87

 

VA266417

 

 

AERACE SPRAY MARK & STAIN REMOVER

 

Systems General, Inc.; Kem Manufacturing Corporation; and Madison Bionics

 

3-Jul-89

 

TX2585109

 

Company to advise if Systems General, Inc. and Madison Bionics maintain an interest in this copyright.

RUS-T-RACE DE-RUSTS, DEGREASES, CLEANS, ETCHES

 

Systems General, Inc.; Kem Manufacturing Corporation; and Madison Bionics

 

3-Jul-89

 

TX2585111

 

Company to advise if Systems General, Inc. and Madison Bionics maintain an interest in this copyright.

[SAFE AND SORRY]

 

Uniroyal Chemical Company, Inc. (NJ)

 

8-Jul-86

 

TXu000278155

 

 

PESTICIDE WORKER SAFETY INFORMATION

 

Uniroyal Chemical Company, Inc. (NJ)

 

8-Sep-82

 

PA0000607479

 

 

PESTICIDE WORKER SAFETY INFORMATION

 

Uniroyal Chemical Company, Inc. (NJ)

 

8-Sep-82

 

TX0003501412

 

 

POWERGRIP HTD SYSTEMS FOR INDUSTRIAL DRIVES: POWER TRANSMISSION BELT DRIVES.

 

Uniroyal, Inc.

 

1-Jul-85

 

TX0001626668

 

 

SAFETY COMMUNICATIONS FOR SUPERVISORS AND EMPLOYEES

 

Uniroyal, Inc.

 

1-Feb-79

 

TX0000186144

 

 

HARD WORK AND INTEGRITY: THE WITCO STORY/BY ALAN S. BROWN

 

Witco Corporation(1)

 

16-Jan-96

 

TX0004214643

 

 

SONNEBORN INVENTORY CONTROL SYSTEM

 

Witco Corporation

 

12-Oct-88

 

TXu000343458

 

 

 


(1) Company has confirmed that Chemtura Corporation is the beneficial owner of all copyrights currently held by Witco Corporation.

 

3



 

CHEMTURA CORPORATION

TRADEMARKS

 

Trademark Applications and Registrations

 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ANDEROL

 

Algeria

 

Anderol, Inc.(1)

 

Pending

 

073383

 

25-Dec-2007

 

 

 

 

ANDEROL

 

Argentina

 

Anderol, Inc.

 

Pending

 

2792653

 

14-Dec-2007

 

 

 

 

EVEREST

 

Australia

 

Chemtura Corporation.

 

Registered

 

980363

 

17-Sep-2008

 

1270988

 

17-Sep-2008

ROYCO

 

Australia

 

Anderol, Inc.

 

Registered

 

1164102

 

02-Mar-2007

 

1164102

 

15-Oct-2007

ANDEROL

 

Austria

 

Anderol, Inc.

 

Registered

 

941130

 

02-Oct-2007

 

941130

 

02-Oct-2007

ANDEROL

 

Bangladesh

 

Anderol, Inc.

 

Pending

 

110925

 

30-Dec-2007

 

 

 

 

ANDEROL

 

Bolivia

 

Anderol, Inc.

 

Pending

 

SM585907

 

14-Dec-2007

 

 

 

 

ANDEROL

 

Brazil

 

Anderol, Inc.

 

Published

 

829249885

 

25-Jul-2007

 

 

 

 

ROYCO

 

Brazil

 

Anderol, Inc.

 

Pending

 

829651144

 

20-Mar-2008

 

 

 

 

ROYCO

 

Brazil

 

Anderol, Inc.

 

Pending

 

829651163

 

20-Mar-2008

 

 

 

 

ANDEROL

 

Bulgaria

 

Anderol, Inc.

 

Registered

 

941130

 

02-Oct-2007

 

941130

 

02-Oct-2007

ANDEROL

 

Chile

 

Anderol, Inc.

 

Registered

 

799780

 

13-Dec-2007

 

832795

 

13-Nov-2008

ANDEROL

 

China (Peoples Republic)

 

Anderol, Inc.

 

Pending

 

6219218

 

13-Aug-2007

 

 

 

 

ANDEROL in Chinese

 

China (Peoples Republic)

 

Anderol, Inc.

 

Registered

 

4650010

 

11-May-2005

 

4650010

 

07-Oct-2008

ANDEROL in Chinese

 

China (Peoples Republic)

 

Anderol, Inc.

 

Registered

 

4650011

 

11-May-2005

 

4650011

 

07-Oct-2008

EVEREST

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

980363

 

17-Sep-2008

 

980363

 

17-Sep-2008

ANDEROL

 

Czech Republic

 

Anderol, Inc.

 

Registered

 

941130

 

02-Oct-2007

 

941130

 

02-Oct-2007

 


(1)  Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Anderol, Inc.

 

1



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ANDEROL

 

Dominican Republic

 

Anderol, Inc.

 

Registered

 

200744064

 

21-Dec-2007

 

166268

 

17-Mar-2008

EVEREST

 

European Community

 

Chemtura Corporation

 

Registered

 

980363

 

17-Sep-2008

 

980363

 

17-Sep-2008

ROYCO

 

European Community

 

Anderol, Inc.

 

Registered

 

006249734

 

21-Aug-2007

 

006249734

 

19-Jun-2008

ANDEROL

 

Finland

 

Anderol, Inc.

 

Registered

 

0280167

 

21-Jul-1967

 

52822

 

22-Jul-1968

ANDEROL

 

France

 

Anderol, Inc.

 

Registered

 

INPI868414

 

23-Jul-1987

 

1419584

 

23-Jul-1987

ANDEROL

 

France

 

Anderol, Inc.

 

Registered

 

INPI211513

 

22-May-1990

 

1593399

 

22-May-1990

ANDEROL

 

Germany

 

Anderol, Inc.

 

Registered

 

R121164WZ

 

25-Jul-1967

 

920620

 

18-Jul-1974

ANDEROL

 

Indonesia

 

Anderol, Inc.

 

Pending

 

D002007043223

 

28-Dec-2007

 

 

 

 

ANDEROL

 

Int’l Registration - Madrid Agreement / Protocol

 

Chemtura Corporation

 

Registered

 

941130

 

02-Oct-2007

 

941130

 

02-Oct-2007

EVEREST

 

Int’l Registration

 

Chemtura Corporation

 

Registered

 

980363

 

 

 

980363

 

17-Sep-2008

ANDEROL PQ

 

Japan

 

Anderol, Inc.

 

Pending

 

217142008

 

24-Mar-2008

 

 

 

 

AOSYN

 

Japan

 

Anderol, Inc.

 

Registered

 

860422007

 

03-Aug-2007

 

5143498

 

20-Jun-2008

EVEREST

 

Japan

 

Chemtura Corporation

 

Registered

 

980363

 

17-Sep-2008

 

980363

 

17-Sep-2008

ROYCO

 

Japan

 

Anderol, Inc.

 

Registered

 

860412007

 

03-Aug-2007

 

5135802

 

23-May-2008

ROYCO (in Katakana)

 

Japan

 

Anderol, Inc.

 

Registered

 

877232007

 

09-Aug-2007

 

5135806

 

23-May-2008

ANDEROL

 

Korea, Republic of

 

Anderol, Inc.

 

Registered

 

941130

 

02-Oct-2007

 

941130

 

02-Oct-2007

ANDEROL

 

Kosovo

 

Anderol, Inc.

 

Pending

 

2435

 

23-Sep-2008

 

 

 

 

ANDEROL

 

Montenegro

 

Anderol, Inc.

 

Registered

 

941130

 

02-Oct-2007

 

941130

 

02-Oct-2007

ANDEROL

 

Nicaragua

 

Anderol, Inc.

 

Registered

 

20074616

 

14-Dec-2007

 

 

 

 

ANDEROL

 

Norway

 

Anderol, Inc.

 

Registered

 

93439

 

21-Jul-1967

 

75043

 

29-Aug-1968

EVEREST

 

Norway

 

Chemtura Corporation

 

Registered

 

980363

 

17-Sep-2008

 

980363

 

17-Sep-2008

ANDEROL

 

Panama

 

Anderol, Inc.

 

Registered

 

200733967

 

14-Dec-2007

 

167267

 

22-Aug-2008

 

2



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ANDEROL

 

Paraguay

 

Anderol, Inc.

 

Pending

 

431002007

 

17-Dec-2007

 

 

 

 

ANDEROL

 

Peru

 

Anderol, Inc.

 

Registered

 

3384422007

 

13-Dec-2007

 

139331

 

10-Jun-2008

ANDEROL

 

Philippines

 

Anderol, Inc.

 

Registered

 

42007012382

 

08-Nov-2007

 

42007012382

 

03-Mar-2008

ANDEROL

 

Poland

 

Anderol, Inc.

 

Registered

 

941130

 

02-Oct-2007

 

941130

 

02-Oct-2007

ANDEROL

 

Russian Federation

 

Anderol, Inc.

 

Registered

 

941130

 

02-Oct-2007

 

941130

 

02-Oct-2007

EVEREST

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

980363

 

17-Sep-2008

 

980363

 

17-Sep-2008

ANDEROL

 

Serbia

 

Anderol, Inc.

 

Registered

 

941130

 

02-Oct-2007

 

941130

 

02-Oct-2007

ANDEROL

 

Singapore

 

Anderol, Inc.

 

Registered

 

941130

 

02-Oct-2007

 

941130

 

02-Oct-2007

EVEREST

 

Singapore

 

Chemtura Corporation

 

Registered

 

980363

 

17-Sep-2008

 

980363

 

17-Sep-2008

ANDEROL

 

Slovakia

 

Anderol, Inc.

 

Registered

 

941130

 

02-Oct-2007

 

941130

 

02-Oct-2007

ANDEROL

 

South Africa

 

Anderol, Inc.

 

Registered

 

673217

 

24-Jul-1967

 

673217

 

24-Jul-1997

ANDEROL

 

Switzerland

 

Anderol, Inc.

 

Registered

 

4708

 

10-Aug-1967

 

356837

 

10-Aug-1967

ANDEROL

 

Taiwan

 

Anderol, Inc.

 

Registered

 

95055503

 

25-Oct-2007

 

1270305

 

16-Jul-07

ANDEROL

 

Trinidad and Tobago

 

Anderol, Inc.

 

Published

 

39310

 

19-Dec-2007

 

 

 

 

ANDEROL

 

Turkey

 

Anderol, Inc.

 

Registered

 

941130

 

02-Oct-2007

 

941130

 

02-Oct-2007

EVEREST

 

Turkey

 

Chemtura Corporation

 

Registered

 

980363

 

17-Sep-2008

 

980363

 

17-Sep-2008

ANDEROL

 

Ukraine

 

Anderol, Inc.

 

Registered

 

941130

 

02-Oct-2007

 

941130

 

02-Oct-2007

EVEREST

 

Ukraine

 

Chemtura Corporation

 

Registered

 

980363

 

17-Sep-2008

 

980363

 

17-Sep-2008

ANDEROL

 

United States of America

 

Chemtura Corporation

 

Registered

 

76148904

 

18-Oct-2000

 

2503969

 

06-Nov-2001

PQ

 

United States of America

 

Chemtura Corporation

 

Registered

 

75006147

 

09-Sep-1988

 

1549762

 

01-Aug-1989

R in circle design with ROYCO

 

United States of America

 

Chemtura Corporation

 

Pending, ITU

 

77260292

 

21-Aug-2007

 

 

 

 

ROYCO

 

United States of America

 

Chemtura Corporation

 

Registered

 

74265106

 

05-Jan-1993

 

1744221

 

05-Jan-1993

 

3



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ROYCO

 

United States of America

 

Chemtura Corporation

 

Registered

 

77252282

 

10-Aug-2007

 

3401602

 

25-Mar-2008

ROYCO Stylized

 

United States of America

 

Chemtura Corporation

 

Registered

 

73785828

 

10-Mar-1989

 

1572700

 

26-Dec-1989

TRIPLE DROP DEVICE

 

United States of America

 

Chemtura Corporation

 

Registered

 

75006147

 

16-Oct-1995

 

2050404

 

08-Apr-1997

TIMONOX

 

Italy

 

Anzon Limited(2)

 

Registered

 

213724

 

08-May-1967

 

781802

 

08-May-1967

SUN-BURN

 

Australia

 

Aqua Clear Industries, LLC

 

Registered

 

469326

 

21-Jul-1987

 

469326

 

02-Nov-1989

SUN

 

Canada

 

Aqua Clear Industries, LLC

 

Registered

 

562568

 

14-May-1986

 

TMA325855

 

10-Apr-1987

SUN

 

Canada

 

Aqua Clear Industries, LLC

 

Registered

 

406065

 

11-Jan-1977

 

TMA226692

 

17-Mar-1978

SUN & Full Sun Design

 

Canada

 

Aqua Clear Industries, LLC

 

Registered

 

562567

 

14-May-1986

 

TMA342195

 

30-Jun-1988

SUN & Full Sun Design

 

France

 

Aqua Clear Industries, LLC

 

Registered

 

592216

 

26-Mar-1981

 

1721717

 

26-Mar-1981

SUN & Full Sun Design

 

Germany

 

Aqua Clear Industries, LLC

 

Registered

 

F303885Wz

 

20-Mar-1981

 

1034862

 

24-Jun-1982

SUN & Full Sun Design

 

Italy

 

Aqua Clear Industries, LLC

 

Registered

 

18322C/81

 

03-Apr-1981

 

393891

 

22-Jan-1986

SUN

 

Mexico

 

Aqua Clear Industries, LLC

 

Registered

 

178371

 

05-Jan-1981

 

272554

 

06-Apr-1982

SUN & Full Sun Design

 

United Kingdom

 

Aqua Clear Industries, LLC

 

Registered

 

1126242

 

28-Dec-1979

 

1126242

 

11-Apr-1984

MARK WITH CAT DESIGN

 

Switzerland

 

Argus Chemical Corporation(3)

 

Registered

 

3828

 

18-May-1989

 

372765

 

30-Oct-1989

POOL SEASON

 

Canada

 

Asepsis Inc.

 

Registered

 

692198

 

21-Oct-1991

 

509559

 

18-Mar-1999

BIOLAB

 

Australia

 

Biolab Services, Inc.

 

Registered

 

 

 

07-Aug-2003

 

965337

 

23-Dec-2005

 


(2)   Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Anzon Limited.

(3)   Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Argus Chemical Corporation.

 

4



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BIOLAB

 

Australia

 

Biolab Services, Inc.

 

Registered

 

612272

 

22-Sep-1993

 

612272

 

05-Nov-1996

BIOLAB

 

Australia

 

Biolab Services, Inc.

 

Registered

 

612273

 

22-Sep-1993

 

612273

 

16-Jul-1996

BIOLAB

 

Australia

 

Biolab Services, Inc.

 

Registered

 

612274

 

22-Sep-1993

 

612274

 

16-Jul-1996

BIOLAB

 

Australia

 

Biolab Services, Inc.

 

Registered

 

612275

 

22-Sep-1993

 

612275

 

05-Nov-1996

PROGUARD WATER SOLUTIONS

 

Australia

 

Biolab Services, Inc.

 

Registered

 

1023647

 

05-Oct-2004

 

1,023,647

 

21-Feb-2005

PROGUARD WATER SOLUTIONS

 

Canada

 

Biolab Services, Inc.

 

Published

 

1233132

 

07-Oct-2004

 

 

 

 

BIOLAB

 

European Community

 

Biolab Services, Inc.

 

Registered

 

4175477

 

30-Dec-2004

 

4175477

 

05-Dec-2005

PROGUARD WATER SOLUTIONS

 

European Community

 

Biolab Services, Inc.

 

Published

 

4061776

 

05-Oct-2004

 

 

 

 

LIQUIBROM

 

France

 

Biolab Services, Inc.

 

Registered

 

033219077

 

04-Apr-2003

 

033219077

 

12-Sep-2003

PROGUARD WATER SOLUTIONS

 

Mexico

 

Biolab Services, Inc.

 

Registered

 

680490

 

05-Oct-2004

 

860,455

 

25-Nov-2004

LIQUIBROM

 

United States of America

 

Biolab Services, Inc.

 

Registered

 

78289890

 

20-Aug-2003

 

2895633

 

19-Oct-2004

PROGUARD WATER SOLUTIONS

 

United States of America

 

Biolab Services, Inc.

 

Registered

 

78/398,942

 

08-Apr-2004

 

3074498

 

28-Mar-2006

Miscellaneous Design (2-Wave Swimmer Logo) in color

 

Argentina

 

Bio-Lab, Inc.

 

Registered

 

2069785

 

17-Feb-1997

 

1672773

 

29-Jun-1998

POOL TIME

 

Argentina

 

Bio-Lab, Inc.

 

Registered

 

2312448

 

20-Oct-2000

 

1869189

 

26-Apr-2002

POOL TIME & Ladder Design

 

Argentina

 

Bio-Lab, Inc.

 

Registered

 

2312449

 

20-Oct-2000

 

1869190

 

26-Apr-2002

BACK-UP

 

Australia

 

Bio-Lab, Inc.

 

Registered

 

419345

 

07-Dec-1984

 

419345

 

07-Dec-1984

BEGINNINGS

 

Australia

 

Bio-Lab, Inc.

 

Registered

 

858330

 

24-Nov-2000

 

858330

 

24-Nov-2000

BURN OUT EXTREME

 

Australia

 

Bio-Lab, Inc.

 

Registered

 

878089

 

05-Jun-2001

 

878089

 

01-Mar-2004

 

5



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BURN OUT SMART SHOCK

 

Australia

 

Bio-Lab, Inc.

 

Registered

 

878088

 

05-Jun-2001

 

878088

 

01-Mar-2004

BURN-OUT

 

Australia

 

Bio-Lab, Inc.

 

Registered

 

377024

 

18-Jun-1982

 

377024

 

18-Jun-1982

CLEARGUARD

 

Australia

 

Bio-Lab, Inc.

 

Registered

 

649621

 

30-Dec-1994

 

649621

 

07-Mar-1996

LIQUIBROM

 

Australia

 

Bio-Lab, Inc.

 

Registered

 

591084

 

23-Nov-1992

 

591084

 

06-Jul-1994

LITE

 

Australia

 

Bio-Lab, Inc.

 

Registered

 

667087

 

19-Jul-1995

 

667087

 

20-Jun-1997

MAGIC PILL

 

Australia

 

Bio-Lab, Inc.

 

Registered

 

757968

 

23-Mar-1998

 

757968

 

06-Nov-1998

POOLSIDE and Sun Design

 

Australia

 

Bio-Lab, Inc.

 

Pending

 

1328922

 

30-Oct-2009

 

 

 

 

POOLSIDE ASSIST and Sun Design

 

Australia

 

Bio-Lab, Inc.

 

Pending

 

1328923

 

30-Oct-2009

 

 

 

 

SMART SHOCK

 

Australia

 

Bio-Lab, Inc.

 

Registered

 

988246

 

09-Feb-2004

 

988246

 

15-Jun-2004

SMART STICKS

 

Australia

 

Bio-Lab, Inc.

 

Registered

 

581295

 

26-Jun-1992

 

581295

 

25-Mar-1994

SOFT SWIM

 

Australia

 

Bio-Lab, Inc.

 

Registered

 

580849

 

22-Jun-1992

 

580849

 

25-Oct-1993

STINGY STICK (Stylized)

 

Australia

 

Bio-Lab, Inc.

 

Registered

 

419346

 

07-Dec-1984

 

419346

 

03-Dec-1987

AQUABROME

 

Austria

 

Bio-Lab, Inc.

 

Registered

 

AM40002008

 

10-Jun-2008

 

247617

 

22-Oct-2008

AQUABROME DIHALO & Globe Design

 

Austria

 

Bio-Lab, Inc.

 

Registered

 

AM103983

 

20-Apr-1983

 

103859

 

12-Oct-1983

AQUABROME

 

Benelux

 

Bio-Lab, Inc.

 

Registered

 

651758

 

30-Jul-1982

 

383158

 

18-Feb-1983

AQUA CHEM

 

Brazil

 

Bio-Lab, Inc.

 

Published

 

825627907

 

30-Jun-2003

 

 

 

 

AQUA CHEM

 

Brazil

 

Bio-Lab, Inc.

 

Registered

 

819976334

 

17-Jul-1997

 

819976334

 

07-May-2002

AQUA CHEM

 

Brazil

 

Bio-Lab, Inc.

 

Registered

 

825627893

 

30-Jun-2003

 

825627893

 

05-Jun-2007

BIOGUARD

 

Brazil

 

Bio-Lab, Inc.

 

Registered

 

819886831

 

15-Apr-1997

 

819886831

 

24-Aug-1999

BIOGUARD & 2-Wave Swimmer Logo

 

Brazil

 

Bio-Lab, Inc.

 

Published

 

827501617

 

10-Jun-2005

 

 

 

 

BIOGUARD & 2-Wave Swimmer Logo

 

Brazil

 

Bio-Lab, Inc.

 

Published

 

827501633

 

10-Jun-2005

 

 

 

 

BIOGUARD & 2-Wave Swimmer Logo

 

Brazil

 

Bio-Lab, Inc.

 

Published

 

827501625

 

10-Jun-2005

 

 

 

 

 

6



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

Miscellaneous Design (2-Wave Swimmer Logo)

 

Brazil

 

Bio-Lab, Inc.

 

Registered

 

819886858

 

15-Apr-1997

 

819886858

 

24-Aug-1999

ALGICIDE PLUS

 

Canada

 

Bio-Lab, Inc.

 

Published

 

1373550

 

26-Nov-2007

 

 

 

 

AQUA CHEM

 

Canada

 

Bio-Lab, Inc.

 

Registered

 

734690

 

09-Aug-1993

 

TMA478011

 

18-Jun-1997

AQUA CHEM (Stylized)

 

Canada

 

Bio-Lab, Inc.

 

Registered

 

653455

 

19-Mar-1990

 

TMA452908

 

26-Jan-1996

BLN & Design

 

Canada

 

Bio-Lab, Inc.

 

Registered

 

774243

 

24-Dec-1993

 

TMA451502

 

08-Dec-1995

BURN OUT EXTREME

 

Canada

 

Bio-Lab, Inc.

 

Registered

 

1105368

 

05-Jun-2001

 

709562

 

14-Mar-2008

BURN-OUT

 

Canada

 

Bio-Lab, Inc.

 

Registered

 

388202

 

25-Jul-1975

 

TMA233332

 

01-Jun-1979

MAGIC PILL

 

Canada

 

Bio-Lab, Inc.

 

Registered

 

872700

 

19-Mar-1998

 

TMA562041

 

15-May-2002

MAINTAIN

 

Canada

 

Bio-Lab, Inc.

 

Published

 

1407251

 

14-Aug-2008

 

 

 

 

PRODUCT ADVISOR

 

Canada

 

Bio-Lab, Inc.

 

Registered

 

772726

 

11-Jan-1995

 

TMA512590

 

30-Jun-1999

SMART SHOCK

 

Canada

 

Bio-Lab, Inc.

 

Registered

 

1205420

 

05-Feb-2004

 

TMA638368

 

26-Apr-2005

SMART STICKS

 

Canada

 

Bio-Lab, Inc.

 

Registered

 

707912

 

29-Jun-1992

 

TMA458221

 

31-May-1996

SMART TABS

 

Canada

 

Bio-Lab, Inc.

 

Registered

 

751468

 

05-Apr-1994

 

TMA454997

 

08-Mar-1996

SOFTSWIM

 

Canada

 

Bio-Lab, Inc.

 

Registered

 

707618

 

23-Jun-1992

 

TMA471571

 

25-Feb-1997

SPOT CLEAR

 

Canada

 

Bio-Lab, Inc.

 

Pending

 

1446742

 

31-Jul-2009

 

 

 

 

WATER MASTER

 

Canada

 

Bio-Lab, Inc.

 

Registered

 

748697

 

02-Mar-1994

 

TMA463365

 

13-Sep-1996

POOL TIME

 

Chile

 

Bio-Lab, Inc.

 

Registered

 

514996

 

18-Jan-2001

 

625549

 

25-May-2002

POOL TIME & Ladder Design

 

Chile

 

Bio-Lab, Inc.

 

Registered

 

514995

 

18-Jan-2001

 

625548

 

25-Mar-2002

BIOGUARD

 

China (Peoples Republic)

 

Bio-Lab, Inc.

 

Pending

 

6015554

 

23-Apr-2007

 

 

 

 

BIOGUARD

 

China (Peoples Republic)

 

Bio-Lab, Inc.

 

Pending

 

6015553

 

23-Apr-2007

 

 

 

 

BIOGUARD

 

China (Peoples Republic)

 

Bio-Lab, Inc.

 

Published

 

6015552

 

23-Apr-2007

 

 

 

 

BIOGUARD

 

China (Peoples Republic)

 

Bio-Lab, Inc.

 

Pending

 

6015551

 

23-Apr-2007

 

 

 

 

 

7



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BIOGUARD (in Chinese)

 

China (Peoples Republic)

 

Bio-Lab, Inc.

 

Pending

 

6024201

 

27-Apr-2007

 

 

 

 

BIOGUARD (in Chinese)

 

China (Peoples Republic)

 

Bio-Lab, Inc.

 

Pending

 

6024200

 

27-Apr-2007

 

 

 

 

BIOGUARD (in Chinese)

 

China (Peoples Republic)

 

Bio-Lab, Inc.

 

Published

 

6024199

 

27-Apr-2007

 

 

 

 

BIOGUARD (in Chinese)

 

China (Peoples Republic)

 

Bio-Lab, Inc.

 

Published

 

6024268

 

23-Apr-2007

 

 

 

 

BIOGUARD & 3-Wave Swimmer Logo (Stacked)

 

Costa Rica

 

Bio-Lab, Inc.

 

Registered

 

 

 

04-Oct-1988

 

76202

 

10-Jul-1991

GUARDEX & Squares Design

 

Costa Rica

 

Bio-Lab, Inc.

 

Registered

 

20028626

 

28-Nov-2002

 

139679

 

06-Aug-2003

GUARDEX & Squares Design

 

Costa Rica

 

Bio-Lab, Inc.

 

Registered

 

20028627

 

28-Nov-2002

 

139678

 

06-Aug-2003

Miscellaneous Design (2-Wave Swimmer Logo)

 

Costa Rica

 

Bio-Lab, Inc.

 

Pending

 

2009009441

 

20-Oct-3009

 

 

 

 

Miscellaneous Design (2-Wave Swimmer Logo)

 

Costa Rica

 

Bio-Lab, Inc.

 

Pending

 

20090782

 

29-Jan-2009

 

 

 

 

Miscellaneous Design (2-Wave Swimmer Logo)

 

Costa Rica

 

Bio-Lab, Inc.

 

Registered

 

54198

 

28-Jan-1998

 

120995

 

30-Jun-2000

GUARDEX & Squares Design

 

Dominican Republic

 

Bio-Lab, Inc.

 

Registered

 

2002169173

 

27-Nov-2002

 

139056

 

30-Nov-2003

GUARDEX & Squares Design

 

Dominican Republic

 

Bio-Lab, Inc.

 

Registered

 

2002169174

 

27-Nov-2002

 

139011

 

30-Nov-2003

GUARDEX & Squares Design

 

European Community

 

Bio-Lab, Inc.

 

Registered

 

2968485

 

28-Nov-2002

 

2968485

 

17-Mar-2004

SMART SHOCK

 

European Community

 

Bio-Lab, Inc.

 

Registered

 

3663655

 

11-Feb-2004

 

3663655

 

11-Feb-2004

AQUABROME & Globe Design

 

France

 

Bio-Lab, Inc.

 

Registered

 

636397

 

26-Jul-1982

 

1210196

 

26-Jul-1982

 

8



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BIOGUARD & 3-Wave Swimmer Logo (Stacked)

 

France

 

Bio-Lab, Inc.

 

Registered

 

681791

 

17-Nov-1983

 

1251311

 

17-Nov-1983

GUARDEX

 

France

 

Bio-Lab, Inc.

 

Registered

 

243355

 

28-Mar-1977

 

1428411

 

28-Mar-1977

Miscellaneous Design (2-Wave Swimmer Logo)

 

France

 

Bio-Lab, Inc.

 

Registered

 

97/709299

 

17-Dec-1997

 

97709299

 

29-May-1998

SMART STICKS

 

France

 

Bio-Lab, Inc.

 

Registered

 

97699,048

 

13-Oct-1997

 

97699048

 

27-Mar-1998

BIOGUARD & 3-Wave Swimmer Logo (Stacked)

 

Georgia (State)

 

Bio-Lab, Inc.

 

Registered

 

T2445

 

01-Oct-1980

 

T2445

 

01-Oct-1980

BIOGUARD & 3-Wave Swimmer Logo (Stacked)

 

Georgia (State)

 

Bio-Lab, Inc.

 

Registered

 

T2446

 

01-Oct-1980

 

T2446

 

01-Oct-1980

WKND.

 

Georgia (State)

 

Bio-Lab, Inc.

 

Registered

 

1304

 

09-Sep-2008

 

S24288

 

09-Sep-2008

WKND.

 

Georgia (State)

 

Bio-Lab, Inc.

 

Registered

 

1305

 

09-Sep-2008

 

S24309

 

09-Sep-2008

WKND.

 

Georgia (State)

 

Bio-Lab, Inc.

 

Registered

 

 

 

 

 

S24284

 

02-Oct-2008

AQUABROME

 

Germany

 

Bio-Lab, Inc.

 

Registered

 

H50872/5Wz

 

22-Jan-1983

 

1061831

 

03-Apr-1984

AQUABROME & Globe Design (label)

 

Germany

 

Bio-Lab, Inc.

 

Registered

 

H50277/1 Wz

 

02-Aug-1982

 

1047326

 

19-Apr-1983

BIOGUARD & 3-Wave Swimmer Logo (Stacked)

 

Germany

 

Bio-Lab, Inc.

 

Registered

 

B721521 Wz

 

27-Sep-1983

 

1154503

 

16-Feb-1990

BROMINATOR

 

Germany

 

Bio-Lab, Inc.

 

Registered

 

39510982.5

 

10-Mar-1995

 

39510982

 

20-May-1996

Miscellaneous Design (2-Wave Swimmer Logo)

 

Germany

 

Bio-Lab, Inc.

 

Registered

 

39760885.3

 

18-Dec-1997

 

39760885

 

14-Jan-1999

SMART STICKS

 

Great Britain

 

Bio-Lab, Inc.

 

Registered

 

1505266

 

03-Jul-1992

 

1505266

 

16-Apr-1993

GUARDEX & Squares Design

 

Guatemala

 

Bio-Lab, Inc.

 

Registered

 

2002-8366

 

27-Nov-2002

 

126799

 

13-Nov-2003

GUARDEX & Squares Design

 

Guatemala

 

Bio-Lab, Inc.

 

Registered

 

2002-8367

 

27-Nov-2002

 

126801

 

13-Nov-2003

AQUABROME

 

Japan

 

Bio-Lab, Inc.

 

Registered

 

722951991

 

09-Jul-1991

 

4365436

 

03-Mar-2000

 

9



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

AQUABROME with Katakana

 

Japan

 

Bio-Lab, Inc.

 

Registered

 

H03025223

 

12-Mar-1991

 

2537008

 

31-May-1993

HYDROTECH & Globe Design

 

Japan

 

Bio-Lab, Inc.

 

Registered

 

952012004

 

18-Oct-2004

 

4993860

 

06-Oct-2006

HYDROTECH & Globe Design

 

Japan

 

Bio-Lab, Inc.

 

Registered

 

722941991

 

09-Jul-1991

 

2643882

 

28-Apr-1994

AQUA CHEM

 

Mexico

 

Bio-Lab, Inc.

 

Registered

 

242938

 

11-Sep-1995

 

556337

 

28-Aug-1997

BIOGUARD

 

Mexico

 

Bio-Lab, Inc.

 

Registered

 

706662

 

10-Mar-2005

 

952257

 

14-Sep-2006

BIOGUARD

 

Mexico

 

Bio-Lab, Inc.

 

Registered

 

600130

 

09-May-2003

 

842380

 

09-May-2003

BIOGUARD & 3-Wave Swimmer Logo (Stacked)

 

Mexico

 

Bio-Lab, Inc.

 

Registered

 

147841

 

19-Aug-1992

 

429567

 

20-Jan-1993

Miscellaneous Design (2-Wave Swimmer Logo)

 

Mexico

 

Bio-Lab, Inc.

 

Registered

 

318148

 

18-Dec-1997

 

577034

 

22-May-1998

Miscellaneous Design (2-Wave Swimmer Logo)

 

Mexico

 

Bio-Lab, Inc.

 

Registered

 

318147

 

18-Dec-1997

 

656206

 

30-May-2000

Miscellaneous Design (2-Wave Swimmer Logo)

 

Mexico

 

Bio-Lab, Inc.

 

Registered

 

318146

 

18-Dec-1997

 

577243

 

25-May-1998

LITE

 

New Zealand

 

Bio-Lab, Inc.

 

Registered

 

251365

 

18-Jul-1995

 

251365

 

10-Nov-1997

Miscellaneous Design (2-Wave Swimmer Logo)

 

New Zealand

 

Bio-Lab, Inc.

 

Registered

 

286309

 

17-Dec-1997

 

286309

 

17-Jun-1998

Miscellaneous Design (2-Wave Swimmer Logo)

 

New Zealand

 

Bio-Lab, Inc.

 

Registered

 

286310

 

17-Dec-1997

 

286310

 

21-Oct-1998

Miscellaneous Design (2-Wave Swimmer Logo)

 

New Zealand

 

Bio-Lab, Inc.

 

Registered

 

286311

 

17-Dec-1997

 

286311

 

21-Oct-1998

POOLSIDE and Sun Design

 

New Zealand

 

Bio-Lab, Inc.

 

Pending

 

815057

 

30-Oct-2009

 

 

 

 

 

10



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

POOLSIDE ASSIST and Sun Design

 

New Zealand

 

Bio-Lab, Inc.

 

Pending

 

815058

 

30-Oct-2009

 

 

 

 

SMART SHOCK

 

New Zealand

 

Bio-Lab, Inc.

 

Registered

 

707828

 

09-Feb-2004

 

707828

 

12-Aug-2004

AQUA CHEM

 

Panama

 

Bio-Lab, Inc.

 

Registered

 

103487

 

28-Oct-1999

 

103487

 

28-Oct-1999

BIOGUARD

 

Panama

 

Bio-Lab, Inc.

 

Registered

 

103486

 

28-Oct-1999

 

103486

 

28-Oct-1999

GUARDEX & Squares Design

 

Panama

 

Bio-Lab, Inc.

 

Registered

 

124432

 

28-Nov-2002

 

124432

 

22-Dec-2003

GUARDEX & Squares Design

 

Panama

 

Bio-Lab, Inc.

 

Registered

 

124431

 

28-Nov-2002

 

124431

 

22-Dec-2003

AQUABROME (Stylized)

 

Portugal

 

Bio-Lab, Inc.

 

Registered

 

217264

 

05-Aug-1982

 

217264

 

20-Dec-1988

GUARDEX & Squares Design

 

Singapore

 

Bio-Lab, Inc.

 

Registered

 

T0218217H

 

27-Nov-2002

 

T02/18217H

 

28-May-2002

GUARDEX & Squares Design

 

Singapore

 

Bio-Lab, Inc.

 

Registered

 

T0218218F

 

27-Nov-2002

 

T02/18218F

 

28-May-2002

BACK-UP

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

846137

 

12-Jul-1984

 

846137

 

17-Sep-1985

BEGINNINGS

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

200023634

 

27-Nov-2000

 

200023634

 

12-Oct-2005

BIOGUARD

 

South Africa

 

Bio-Lab, Inc.

 

Pending

 

200522646

 

21-Oct-2005

 

 

 

11-Aug-1982

BIOGUARD

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

826200

 

11-Aug-1982

 

826200

 

11-Aug-1982

BIOGUARD

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

86199

 

11-Aug-1982

 

826199

 

11-Aug-1982

BIOGUARD & 3-Wave Swimmer Logo (Stacked)

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

837125

 

05-Oct-1983

 

837125

 

30-Apr-1986

BIOGUARD & 3-Wave Swimmer Logo (Stacked)

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

837129

 

05-Oct-1983

 

837129

 

30-Apr-1986

BIOGUARD & 3-Wave Swimmer Logo (Stacked)

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

837126

 

05-Oct-1983

 

837126

 

29-Nov-1984

BIOGUARD & 3-Wave Swimmer Logo (Stacked)

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

837127

 

05-Oct-1983

 

837127

 

29-Nov-1984

 

11



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BIOGUARD & 3-Wave Swimmer Logo (Stacked)

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

837128

 

05-Oct-1983

 

837128

 

29-Nov-1984

BURN OUT EXTREME

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

200109723

 

06-Jun-2001

 

200109723

 

07-May-2007

BURN-OUT

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

846138

 

12-Jul-1984

 

846138

 

17-Sep-1985

Miscellaneous Design (2-Wave Swimmer Logo)

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

9719504

 

17-Dec-1997

 

9719504

 

03-Jan-2002

Miscellaneous Design (2-Wave Swimmer Logo)

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

9719505

 

17-Dec-1997

 

9719505

 

03-Jan-2002

Miscellaneous Design (2-Wave Swimmer Logo)

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

9719506

 

17-Dec-1997

 

9719506

 

03-Jan-2002

SOFTSWIM

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

925162

 

22-Jun-1992

 

925162

 

04-Dec-1994

SOFTSWIM

 

South Africa

 

Bio-Lab, Inc.

 

Registered

 

925163

 

22-Jun-1992

 

925163

 

04-Dec-1994

AQUABROME

 

Spain

 

Bio-Lab, Inc.

 

Registered

 

1013378

 

29-Jul-1982

 

1013378

 

20-Dec-1983

SOFTSWIM

 

Spain

 

Bio-Lab, Inc.

 

Registered

 

1709718

 

26-Jun-1992

 

1709718

 

05-May-1995

SOFTSWIM

 

Spain

 

Bio-Lab, Inc.

 

Registered

 

1709719

 

26-Jun-1992

 

1709719

 

05-May-1995

AQUABROME

 

Sweden

 

Bio-Lab, Inc.

 

Registered

 

824580

 

04-Aug-1982

 

187687

 

12-Aug-1983

AQUABROME

 

Switzerland

 

Bio-Lab, Inc.

 

Registered

 

01280/2003

 

27-Feb-2003

 

520635

 

20-Apr-2004

REOMOL

 

Tunisia

 

Bio-Lab, Inc.

 

Pending

 

EE081131

 

30-Apr-2008

 

 

 

 

BEGINNINGS

 

United Kingdom

 

Bio-Lab, Inc.

 

Registered

 

2254262

 

28-Nov-2000

 

2254262

 

25-May-2001

LIQUIBROM

 

United Kingdom

 

Bio-Lab, Inc.

 

Registered

 

1518883

 

13-Nov-1992

 

1518883

 

24-Jun-1994

Miscellaneous Design (2-Wave Swimmer Logo)

 

United Kingdom

 

Bio-Lab, Inc.

 

Registered

 

2154248

 

22-Dec-1997

 

2154248

 

19-Feb-1999

3 Droplets Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75381539

 

29-Oct-1997

 

2217231

 

12-Jan-1999

3” TABLETS PLUS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76392163

 

08-Apr-2002

 

2692851

 

04-Mar-2003

 

12



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

4-IN-1

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78269185

 

01-Jul-2003

 

2903296

 

16-Nov-2004

4-IN-1 (Stylized)

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73072053

 

17-Dec-1975

 

1060530

 

08-Mar-1977

ACCU-DEMAND 30

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78724190

 

30-Sep-2005

 

3341365

 

20-Nov-2007

ACCU-SCAN

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75399313

 

03-Dec-1997

 

2247398

 

25-May-1999

ALGAE ALL 60

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78553738

 

25-Jan-2005

 

3054436

 

31-Jan-2006

ALGAE PREDATOR

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76378038

 

06-Mar-2002

 

2832648

 

13-Apr-2004

ALGAECIDE PLUS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

77079962

 

20-Jan-2007

 

3285366

 

25-Aug-2007

ALGALATOR

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73222924

 

11-Jul-1979

 

1174683

 

27-Oct-1981

ALGICIDE PLUS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75811586

 

29-Sep-1999

 

2505287

 

06-Nov-2001

AQUA BURN

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74235491

 

23-Dec-1991

 

1717321

 

22-Sep-1992

AQUA CHEM

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74090109

 

21-Aug-1990

 

1664646

 

19-Nov-1991

AQUA CHEM (Stylized)

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73396774

 

30-Sep-1982

 

1428018

 

10-Feb-1987

AQUA CHEM and Swirl Design

 

United States of America

 

Bio-Lab, Inc.

 

Pending, ITU

 

77/610298

 

07-Nov-2008

 

 

 

 

AQUA CHEM SKIMMER SCREEN

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78310466

 

07-Oct-2003

 

3130548

 

15-Aug-2006

 

13



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

AQUA CHLOR

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74234580

 

02-Jan-1992

 

1753484

 

23-Feb-1993

AQUA CLEAR

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75381538

 

29-Oct-1997

 

2207204

 

01-Dec-1998

AQUA CLEAR & Stylized 3 Droplet Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78351279

 

13-Jan-2004

 

2970220

 

19-Jul-2005

AQUA STICKS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74235490

 

23-Dec-1991

 

1723106

 

13-Oct-1992

AQUA TABS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74235492

 

23-Dec-1991

 

1717322

 

22-Sep-1992

AQUABROME

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73350457

 

16-Feb-1982

 

1246145

 

26-Jul-1983

ARCTIC BLUE

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75764084

 

30-Jul-1999

 

2507761

 

13-Nov-2001

ASSIST

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74666307

 

27-Apr-1995

 

1960371

 

05-Mar-1996

BACK UP

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73400603

 

25-Oct-1982

 

1266822

 

14-Feb-1984

BACKYARD ESSENTIALS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78498596

 

12-Oct-2004

 

3151890

 

03-Oct-2006

BACKYARD ESSENTIALS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78360447

 

30-Jan-2004

 

3030345

 

13-Dec-2005

BALANCE PAK

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

72409870

 

10-Dec-1971

 

949632

 

02-Jan-1973

BANISH

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75522664

 

21-Jul-1998

 

2396307

 

17-Oct-2000

BEGINNINGS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76058909

 

30-May-2000

 

2523516

 

25-Dec-2001

BIO-CLEAR

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74294812

 

16-Jul-1992

 

1769578

 

11-May-1993

BIOGUARD

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73683779

 

14-Sep-1987

 

1599055

 

05-Jun-1990

BIOGUARD

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

72167697

 

29-Apr-1963

 

782646

 

05-Jan-1965

 

14



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BIOGUARD & 2-Wave Swimmer Logo (Stacked)

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73266764

 

18-Jun-1980

 

1210211

 

28-Sep-1982

BREAKOUT

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

77434261

 

28-Mar-2008

 

3520429

 

21-Oct-2008

BREAKOUT TOTAL

 

United States of America

 

Bio-Lab, Inc.

 

Published ITU

 

77774767

 

6-Jul-2009

 

 

 

 

BURN OUT EXTREME

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76177559

 

07-Dec-2000

 

2929942

 

08-Mar-2005

BURN-OUT

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

72/291958

 

27-Feb-1968

 

866704

 

18-Mar-1969

CHEM-OUT

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73126649

 

16-May-1977

 

1083039

 

24-Jan-1978

CHLOREXTRA

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78499726

 

14-Oct-2004

 

3189944

 

26-Dec-2006

CHLOREXTRA II

 

United States of America

 

Bio-Lab, Inc.

 

Pending ITU

 

77894399

 

16-Dec-2009

 

 

 

 

CHLORINATING GRANULES PLUS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76389866

 

02-Apr-2002

 

2697567

 

18-Mar-2003

CLARITABS (Stylized)

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73002276

 

28-Sep-1973

 

1039017

 

11-May-1976

CLC2

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

77262427

 

23-Aug-2007

 

3641376

 

16-June-2009

CLEAR COMFORT

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75530942

 

04-Aug-1998

 

2375956

 

08-Aug-2000

CLEAR MAGIC

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74257886

 

23-Mar-1992

 

1964360

 

26-Mar-1996

CLEAR-OUT

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74435939

 

15-Sep-1993

 

1841596

 

28-Jun-1994

CONVERT

 

United States of America

 

Bio-Lab, Inc.

 

Published ITU

 

77/546,746

 

14-Aug-2008

 

 

 

 

 

15



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CPC

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73010180

 

04-Jan-1974

 

997826

 

12-Nov-1974

CRYSTAL CLEAR MULTI-SHOCK

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75565805

 

07-Oct-1998

 

2449677

 

08-May-2001

DUOTAB

 

United States of America

 

Bio-Lab, Inc.

 

Pending ITU

 

77871514

 

12-Nov-2009

 

 

 

 

EASY SHOCK & SWIM

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78386562

 

18-Mar-2004

 

2933333

 

15-Mar-2005

ECOKLEAN

 

United States of America

 

Bio-Lab, Inc.

 

Published ITU

 

77771151

 

30-Jun-2009

 

 

 

 

ENZY-CLEAN

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74294811

 

16-Jul-1992

 

1769577

 

11-May-1993

ERASE

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75348898

 

28-Aug-1997

 

2175148

 

21-Jul-1998

EVERYDAY CHLORINATING GRANULES

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78287534

 

14-Aug-2003

 

2934762

 

22-Mar-2005

FERRITABS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73033882

 

07-Oct-1974

 

1029120

 

06-Jan-1976

FILTER CLEANER PLUS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76189805

 

04-Jan-2001

 

2840692

 

11-May-2004

FILTER SAND PLUS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78316304

 

21-Oct-2003

 

3098873

 

30-May-2006

FOAM BUSTER

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73361723

 

26-Apr-1982

 

1281142

 

12-Jun-1984

GREAT POOL CARE. EXPECT IT.

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76355219

 

07-Jan-2002

 

2860780

 

06-Jul-2004

 

16



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

GUARDEX

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73030374

 

26-Aug-1974

 

1031099

 

27-Jan-1976

GUARDEX & Squares Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76417436

 

28-May-2002

 

2690819

 

25-Feb-2003

HARMONY

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78465185

 

10-Aug-2004

 

3286795

 

28-Aug-2007

HYDRO-QUEST

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73/222,922

 

11-Jul-1979

 

1159610

 

07-Jul-1981

HYDROTECH

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78420132

 

17-May-2004

 

2955134

 

24-May-2005

HYDROTECH

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78420141

 

17-May-2004

 

2955136

 

24-May-2005

HYDROTECH

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78420144

 

17-May-2004

 

2965238

 

05-Jul-2005

HYDROTECH & Sun Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78420635

 

18-May-2004

 

2983223

 

09-Aug-2005

HYDROTECH & Sun Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78420641

 

18-May-2004

 

2955139

 

24-May-2005

HYDROTECH & Sun Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78420645

 

18-May-2004

 

2965244

 

05-Jul-2005

IMAGINE

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78/465,191

 

10-Aug-2004

 

3015354

 

15-Nov-2005

IMPROVE

 

United States of America

 

Bio-Lab, Inc.

 

Published ITU

 

77/546,729

 

14-Aug-2008

 

 

 

 

INHIBIT

 

United States of America

 

Bio-Lab, Inc.

 

Published ITU

 

77/546738

 

14-Aug-2008

 

 

 

 

INITIATOR

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74519328

 

15-Apr-1994

 

1928723

 

17-Oct-1995

INSIGNIA

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78386180

 

17-Mar-2004

 

2943847

 

26-Apr-2005

KLEEN IT

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73345253

 

11-Jan-1982

 

1,252,055

 

27-Sep-1983

 

17



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

LO ‘N SLO

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

72/300,549

 

17-Jun-1968

 

0877630

 

30-Sep-1969

MAINTAIN

 

United States of America

 

Bio-Lab, Inc.

 

Pending, ITU

 

77/546,741

 

14-Aug-2008

 

 

 

 

MAINTAIN

 

United States of America

 

Bio-Lab, Inc.

 

Pending ITU

 

77871954

 

13-Nov-2009

 

 

 

 

MAXIMIZER

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78472506

 

24-Aug-2004

 

3143177

 

12-Sep-2006

MINERAL SPRINGS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75741044

 

01-Jul-1999

 

2472207

 

24-Jul-2001

Miscellaneous Design (2-Wave Swimmer Logo)

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75315980

 

27-Jun-1997

 

2212469

 

22-Dec-1998

Miscellaneous Design (2-Wave Swimmer Logo)

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73387959

 

23-Sep-1982

 

1257256

 

15-Nov-1983

MOMENTS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75565806

 

07-Oct-1998

 

2482919

 

28-Aug-2001

MUSTARD BUSTER

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74011166

 

15-Dec-1989

 

1652119

 

30-Jul-1991

MUSTARD MASTER

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74011167

 

15-Dec-1989

 

1646586

 

04-Jun-1991

‘NICE-N-CLEAR’ (Stylized)

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73423016

 

25-Apr-1983

 

1314238

 

15-Jan-1985

OFF THE WALL

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73592439

 

09-Apr-1986

 

1433517

 

24-Mar-1987

OMNI

 

United States of America

 

Bio-Lab, Inc.

 

Pending

 

77472054

 

12-May-2008

 

 

 

 

OMNI & Swatch O Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73690551

 

16-Oct-1987

 

1504458

 

20-Sep-1988

OPTIMIZER

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74666309

 

27-Apr-1995

 

1960373

 

05-Mar-1996

OPTIMIZER PLUS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78322283

 

03-Nov-2003

 

2906643

 

30-Nov-2004

 

18



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

OPTIMUM

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

77437619

 

02-Apr-2008

 

3658997

 

21-Jul-2009

OXYSHEEN

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73417815

 

18-Mar-1983

 

1282899

 

26-Jun-1984

OXY-SHOCK

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73222923

 

11-Jul-1979

 

1160514

 

14-Jul-1981

PERFECTLY CLEAR

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74302945

 

10-Aug-1992

 

1801781

 

02-Nov-1993

PHOS-AWAY

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75718360

 

01-Jun-1999

 

2400987

 

31-Oct-2000

POLYSHEEN

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73083767

 

13-Apr-1976

 

1052711

 

16-Nov-1976

POOL MAGNET

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73/027,545

 

23-Jul-1974

 

1012715

 

10-Jun-1975

POOL POD Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78793820

 

18-Jan-2006

 

3248724

 

29-May-2007

POOL PODS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78722902

 

29-Sep-2005

 

3299354

 

25-Sep-2007

POOL SALT PLUS and Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

77/535,697

 

31-Jul-2008

 

3734921

 

05-Jan-2010

POOL TIME

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73144095

 

11-Oct-1977

 

1139129

 

02-Sep-1980

POOL TIME & Ladder Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76174294

 

01-Dec-2000

 

2708426

 

22-Apr-2003

POWER CHLOR

 

United States of America

 

Bio-Lab, Inc.

 

Published ITU

 

77622135

 

26-Nov-2008

 

 

 

 

POWER CHLOR

 

United States of America

 

Bio-Lab, Inc.

 

Published ITU

 

77659168

 

29-Jan-2009

 

 

 

 

PRO CARE & Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73822838

 

25-Aug-1989

 

1612517

 

11-Sep-1990

PRO GUARD

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75895689

 

12-Jan-2000

 

2415844

 

26-Dec-2000

PRO GUARD

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73514229

 

18-Dec-1984

 

1353530

 

13-Aug-1985

 

19



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PRO GUARD

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78395709

 

02-Apr-2004

 

2938257

 

05-Apr-2005

PRO GUARD

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78395706

 

02-Apr-2004

 

2938256

 

05-Apr-2005

PRO GUARD

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78395700

 

02-Apr-2004

 

3036710

 

27-Dec-2005

QUICK CLEAR

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74011168

 

15-Dec-1989

 

1639448

 

02-Apr-1991

REMEDY

 

United States of America

 

Bio-Lab, Inc.

 

Published ITU

 

77/546,734

 

14-Aug-2008

 

 

 

 

RENEWAL

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76008077

 

23-Mar-2000

 

2534823

 

29-Jan-2002

REOLUBE

 

United States of America

 

Bio-Lab, Inc.

 

Pending ITU

 

77732297

 

8-May-2009

 

 

 

 

RESTORE

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78465198

 

10-Aug-2004

 

3031771

 

20-Dec-2005

SHOCK AND SWIM

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74160481

 

24-Apr-1991

 

1693869

 

16-Jun-1992

SHOCK ‘N CLEAR

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76384798

 

20-Mar-2002

 

2726732

 

17-Jun-2003

SHOCK PLUS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75367012

 

02-Oct-1997

 

2178683

 

04-Aug-1998

SHOCKRIGHT

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73795090

 

24-Apr-1989

 

1572714

 

26-Dec-1989

SHOCKXTRA BLUE

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78305328

 

25-Sep-2003

 

2884410

 

14-Sep-2004

SILK SMART STICKS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

77480911

 

22-May-2008

 

3596416

 

24-Mar-2009

SILK STICKS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78912381

 

20-Jun-2006

 

3,360,881

 

25-Dec-2007

SILK TABS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78912366

 

20-Jun-2006

 

3446932

 

10-Jun-2008

SILKGUARD

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78912317

 

20-Jun-2006

 

3416140

 

22-Apr-2008

 

20



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

SILKGUARD & Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

77042361

 

13-Nov-2006

 

3379152

 

05-Feb-2008

SIMPLICITY

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74593475

 

01-Nov-1994

 

2024409

 

17-Dec-1996

SINK ‘N SWEEP

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

77438898

 

03-Apr-2008

 

3636454

 

09-Jun-2009

SKIM MOR

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76478371

 

26-Dec-2002

 

2884911

 

14-Sep-2004

SMART GUARD

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74593483

 

01-Nov-1994

 

2044348

 

11-Mar-1997

SMART SHOCK

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78287543

 

14-Aug-2003

 

2877552

 

24-Aug-2004

SMART STICKS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74235634

 

07-Jan-1992

 

1805023

 

16-Nov-1993

SNAP

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74593476

 

01-Nov-1994

 

2027593

 

31-Dec-1996

SOFT SOAK

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74427121

 

20-Aug-1993

 

1899500

 

13-Jun-1995

SOFTSWIM

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74483444

 

27-Jan-1994

 

1922782

 

26-Sep-1995

SPA BROM

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73235692

 

18-Oct-1979

 

1192704

 

30-Mar-1982

SPA ESSENTIALS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75187287

 

24-Oct-1996

 

2241811

 

27-Apr-1999

SPA GUARD (Stylized)

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73175723

 

23-Jun-1978

 

1125285

 

25-Sep-1979

SPA SILKEN

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75793972

 

03-Sep-1999

 

2375198

 

08-Aug-2000

SPA SYMMETRY

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

77103355

 

09-Feb-2007

 

3412378

 

15-Apr-2008

SPA TIME Stylized

 

United States of America

 

Bio-Lab, Inc.

 

Pending ITU

 

77785893

 

21-Jul-2009

 

 

 

 

SPACLEAR

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76450552

 

12-Sep-2002

 

2717535

 

20-May-2003

 

21



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

SPACLEAR & Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76461055

 

21-Oct-2002

 

2717539

 

20-May-2003

SPARKALIZER

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73361725

 

26-Apr-1982

 

1277590

 

15-May-1984

SPARKLE UP

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73027549

 

23-Jul-1974

 

1008667

 

15-Apr-1975

SPA-TIME

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73592403

 

09-Apr-1986

 

1418819

 

02-Dec-1986

SPOT CLEAR

 

United States of America

 

Bio-Lab, Inc.

 

Pending ITU

 

77781387

 

15-Jul-2009

 

 

 

 

SPOT KILL

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73041314

 

09-Jan-1975

 

1053827

 

07-Dec-1976

STINGY STICK

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75128732

 

25-Jun-1996

 

2071759

 

17-Jun-1997

STOW-AWAY

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73082126

 

30-Mar-1976

 

1051665

 

02-Nov-1976

STRIP-KWIK

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73082125

 

30-Mar-1976

 

1061451

 

15-Mar-1977

SUMMER ALGAE PROTECTOR

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75697047

 

04-May-1999

 

2351034

 

16-May-2000

SUMMER ALGAE PROTECTOR

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78825442

 

28-Feb-2006

 

3180990

 

05-Dec-2006

SUN

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73720150

 

31-Mar-1988

 

1513263

 

22-Nov-1988

SUN

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73059384

 

01-Aug-1975

 

1044613

 

27-Jul-1976

SUN & Full Sun Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73204518

 

21-Feb-1979

 

1154338

 

19-May-1981

SUN & Full Sun Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73216221

 

18-May-1979

 

1138312

 

29-Jul-1980

SUN & Full Sun Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73207091

 

12-Mar-1979

 

1135461

 

20-May-1980

SUN SUPER TAB & Full Sun Design

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74120213

 

03-Dec-1990

 

1676464

 

25-Feb-1992

 

22



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

SUN-BRITE

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74645764

 

13-Mar-1995

 

2018342

 

19-Nov-1996

SUN-BURN

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

75131637

 

09-Jul-1996

 

2081365

 

22-Jul-1997

SUN-BURN EXTRA

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

77278724

 

13-Sep-2007

 

3491595

 

26-Aug-2008

SUN-BURN FORCE

 

United States of America

 

Bio-Lab, Inc.

 

Pending

 

77909734

 

12-Jan-2010

 

 

 

 

SUNSHIELD

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

76020767

 

07-Apr-2000

 

2446373

 

24-Apr-2001

SUPER TAB

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74120579

 

03-Dec-1990

 

1669049

 

24-Dec-1991

SWIM FREE

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73055852

 

23-Jun-1975

 

1031173

 

27-Jan-1976

SYNERGY

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74368851

 

18-Mar-1993

 

1852826

 

06-Sep-1994

TABGARD

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

72/378163

 

08-Dec-1970

 

928533

 

08-Feb-1972

TRU-BLUE

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74645763

 

13-Mar-1995

 

2014462

 

05-Nov-1996

WATER MASTER

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

73571478

 

03-Dec-1985

 

1401044

 

15-Jul-1986

WE KNOW POOLS

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

74161403

 

11-Apr-1991

 

1678035

 

03-Mar-1992

WKND.

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

77223660

 

06-Jul-2007

 

3632093

 

02-Jun-2009

WKND.

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

77975591

 

06-Jul-2007

 

3633047

 

02-Jun-2009

WONDER TAB

 

United States of America

 

Bio-Lab, Inc.

 

Registered

 

78354090

 

20-Jan-2004

 

2999140

 

20-Sep-2005

AQUA CHEM

 

Venezuela

 

Bio-Lab, Inc.

 

Registered

 

6288-1995

 

09-Nov-1995

 

P204917

 

08-May-1998

BIOLAB

 

Venezuela

 

Bio-Lab, Inc.

 

Registered

 

305087

 

12-Mar-1987

 

D25882

 

01-Dec-1989

CHEMTURA

 

Albania

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

 

23



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA AND DESIGN

 

Albania

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ENVIROMITE

 

Angola

 

Chemtura Corporation

 

Pending

 

19964

 

29-Aug-2008

 

 

 

 

CHEMTURA

 

Antigua and Barbuda

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Antigua and Barbuda

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ABDERUS

 

Argentina

 

Chemtura Corporation

 

Registered

 

2664639

 

20-Apr-2006

 

2162814

 

07-Jun-2007

CHEMTURA

 

Argentina

 

Chemtura Corporation

 

Registered

 

2600834

 

01-Jul-2005

 

2176780

 

24-Aug-2007

CHEMTURA

 

Argentina

 

Chemtura Corporation

 

Registered

 

2600835

 

01-Jul-2005

 

2176781

 

24-Aug-2007

CHEMTURA

 

Argentina

 

Chemtura Corporation

 

Registered

 

2600836

 

01-Jul-2005

 

2176779

 

24-Aug-2007

CHEMTURA

 

Argentina

 

Chemtura Corporation

 

Registered

 

2600838

 

01-Jul-2005

 

2176778

 

24-Aug-2007

CHEMTURA

 

Argentina

 

Chemtura Corporation

 

Registered

 

2600840

 

01-Jul-2005

 

2176777

 

24-Aug-2007

CHEMTURA

 

Argentina

 

Chemtura Corporation

 

Registered

 

2600841

 

01-Jul-2005

 

2176317

 

24-Aug-2007

CROMPTON

 

Argentina

 

Chemtura Corporation

 

Registered

 

2386108

 

15-Aug-2002

 

1970856

 

19-Feb-2004

CROMPTON

 

Argentina

 

Chemtura Corporation

 

Registered

 

2386111

 

15-Aug-2002

 

1930577

 

05-Jun-2003

DIMENSION

 

Argentina

 

Chemtura Corporation

 

Registered

 

2664057

 

18-Apr-2006

 

2246878

 

04-Sep-2008

HIVALLOY

 

Argentina

 

Chemtura Corporation

 

Registered

 

2421406

 

28-Mar-2003

 

1982915

 

31-Mar-1993

HYBASE

 

Argentina

 

Chemtura Corporation

 

Registered

 

1341238

 

10-Aug-1982

 

2059044

 

19-Nov-1984

INOVATE

 

Argentina

 

Chemtura Corporation

 

Pending

 

2664056

 

18-Apr-2006

 

 

 

 

 

24



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

LANGIS

 

Argentina

 

Chemtura Corporation

 

Registered

 

2677936

 

13-Jun-2006

 

2223351

 

08-Apr-2008

LOGICO

 

Argentina

 

Chemtura Corporation

 

Registered

 

 

 

 

 

1668286

 

15-May-1998

MARK OBS

 

Argentina

 

Chemtura Corporation

 

Registered

 

2601540

 

04-Jul-2005

 

2246732

 

20-Aug-2009

PLANTSEG

 

Argentina

 

Chemtura Corporation

 

Registered

 

2664637

 

20-Apr-2006

 

2162810

 

07-Jun-2007

ROYALFLO

 

Argentina

 

Chemtura Corporation

 

Registered

 

2645440

 

16-Jan-2006

 

2150574

 

30-Mar-2007

SEED LOCK

 

Argentina

 

Chemtura Corporation

 

Registered

 

2664638

 

20-Apr-2006

 

2162812

 

07-Jun-2007

CHEMTURA

 

Armenia

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Armenia

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ACRAMITE

 

Australia

 

Chemtura Corporation

 

Registered

 

840733

 

29-Jun-2000

 

840733

 

17-May-2001

ADIPRENE

 

Australia

 

Chemtura Corporation

 

Registered

 

118487

 

25-May-1954

 

118487

 

25-May-1954

ADIPRENE EXTREME

 

Australia

 

Chemtura Corporation

 

Registered

 

978130

 

13-Nov-2003

 

978130

 

07-Jul-2004

ADOBE

 

Australia

 

Chemtura Corporation

 

Registered

 

866962

 

23-Feb-2001

 

866962

 

24-Oct-2001

ALAR

 

Australia

 

Chemtura Corporation

 

Registered

 

196826

 

20-Aug-1965

 

A196826

 

20-Aug-1965

ASSAULT

 

Australia

 

Chemtura Corporation

 

Registered

 

895067

 

15-Nov-2001

 

895067

 

24-Mar-2003

BLENDEX

 

Australia

 

Chemtura Corporation

 

Registered

 

 

 

06-Mar-1962

 

172414

 

30-Aug-1964

B-NINE

 

Australia

 

Chemtura Corporation

 

Registered

 

542846

 

27-Sep-1990

 

542846

 

17-Dec-1992

BRYTON

 

Australia

 

Chemtura Corporation

 

Registered

 

154183

 

02-Jun-1959

 

A154183

 

25-Oct-1960

 

25



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CASORON

 

Australia

 

Chemtura Corporation

 

Registered

 

0000160588

 

08-Jun-1960

 

160588

 

18-Oct-1961

CHEMTURA AND DESIGN

 

Australia

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

1096678

 

01-Aug-2005

CROMPTON

 

Australia

 

Chemtura Corporation

 

Registered

 

923019

 

13-Aug-2002

 

923019

 

06-Dec-2004

DEVICE (BULLSEYE)

 

Australia

 

Chemtura Corporation

 

Registered

 

0000321988

 

12-Sep-1978

 

321988

 

12-Sep-1978

HEAD Design (Primitive)

 

Australia

 

Chemtura Corporation

 

Registered

 

344875

 

10-Apr-1980

 

A344875

 

10-Apr-1980

DIMILIN

 

Australia

 

Chemtura Corporation

 

Registered

 

000283068

 

06-Nov-1974

 

283068

 

02-Mar-1977

DRAPEX

 

Australia

 

Chemtura Corporation

 

Registered

 

0000342839

 

13-Feb-1980

 

342839

 

26-Oct-1981

DU-CASON

 

Australia

 

Chemtura Corporation

 

Registered

 

233181

 

10-Oct-1969

 

233181

 

04-Feb-1971

DURAZONE

 

Australia

 

Chemtura Corporation

 

Registered

 

566145

 

29-Oct-1991

 

566145

 

28-May-1993

EVERSHIELD

 

Australia

 

Chemtura Corporation

 

Registered

 

834297

 

09-May-2000

 

834297

 

28-Mar-2001

FLEXZONE

 

Australia

 

Chemtura Corporation

 

Registered

 

0000158204

 

03-Feb-1960

 

A158204

 

03-Feb-1960

FLORAMITE

 

Australia

 

Chemtura Corporation

 

Registered

 

1134956

 

12-Sep-2006

 

1134956

 

30-Apr-2007

HYBASE

 

Australia

 

Chemtura Corporation

 

Registered

 

154011

 

21-May-1959

 

154011

 

21-May-1994

INTERLOY

 

Australia

 

Chemtura Corporation

 

Registered

 

955756

 

29-May-2003

 

955756

 

17-Nov-2003

JAG

 

Australia

 

Chemtura Corporation

 

Registered

 

895068

 

15-Nov-2001

 

895068

 

15-Jul-2002

MARK

 

Australia

 

Chemtura Corporation

 

Registered

 

932551

 

31-Oct-2002

 

932551

 

16-Feb-2004

MICROMITE

 

Australia

 

Chemtura Corporation

 

Registered

 

0000337428

 

05-Sep-1979

 

A337428

 

05-Sep-1979

 

26



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

NAUGALUBE

 

Australia

 

Chemtura Corporation

 

Registered

 

340462

 

23-Nov-1979

 

A340462

 

23-Nov-1979

NAUGARD

 

Australia

 

Chemtura Corporation

 

Registered

 

0000207339

 

06-Jan-1967

 

A207339

 

06-Jan-1967

NAUGAWHITE

 

Australia

 

Chemtura Corporation

 

Registered

 

0000158203

 

03-Feb-1960

 

A158203

 

03-Feb-1960

OBS

 

Australia

 

Chemtura Corporation

 

Registered

 

764638

 

18-Jul-2001

 

764638

 

18-Jul-2001

OMITE

 

Australia

 

Chemtura Corporation

 

Registered

 

0000208214

 

20-Feb-1967

 

208214

 

20-Feb-1967

PANTERA

 

Australia

 

Chemtura Corporation

 

Registered

 

486105

 

29-Apr-1988

 

A486105

 

03-Jan-1991

PLANTVAX

 

Australia

 

Chemtura Corporation

 

Registered

 

0235252

 

24-Dec-1969

 

A235252

 

24-Dec-1969

POLYBOND

 

Australia

 

Chemtura Corporation

 

Registered

 

344280

 

24-Mar-1980

 

344280

 

24-Mar-1980

POLYLOC

 

Australia

 

Chemtura Corporation

 

Registered

 

882342

 

13-Jul-2001

 

882342

 

22-May-2003

POLYWET

 

Australia

 

Chemtura Corporation

 

Registered

 

340463

 

23-Nov-1979

 

A340463

 

23-Nov-1979

RANCONA

 

Australia

 

Chemtura Corporation

 

Registered

 

1274244

 

03-Nov-2008

 

982331

 

03-Nov-2008

RIBBON FLOW

 

Australia

 

Chemtura Corporation

 

Registered

 

614936

 

29-Oct-1993

 

A614936

 

03-Feb-1995

ROYALFLO

 

Australia

 

Chemtura Corporation

 

Registered

 

657370

 

31-Mar-1995

 

657370

 

01-Jul-1996

SCREEN

 

Australia

 

Chemtura Corporation

 

Registered

 

866961

 

23-Feb-2001

 

866961

 

24-Oct-2001

TEDION V18

 

Australia

 

Chemtura Corporation

 

Registered

 

123938

 

04-Mar-1955

 

123938

 

31-Oct-1969

TERRA-COAT

 

Australia

 

Chemtura Corporation

 

Registered

 

0000264772

 

04-Jan-1973

 

A264772

 

04-Jan-1973

TERRAZOLE

 

Australia

 

Chemtura Corporation

 

Registered

 

0000265057

 

18-Jan-1973

 

A265057

 

18-Jan-1973

 

27



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ULTRANOX

 

Australia

 

Chemtura Corporation

 

Registered

 

 

 

20-Jun-1985

 

428608

 

16-Oct-1987

UNIMITE

 

Australia

 

Chemtura Corporation

 

Registered

 

561582

 

13-Aug-1991

 

A561582

 

11-Mar-1993

VIBRABOND

 

Australia

 

Chemtura Corporation

 

Registered

 

339687

 

01-Nov-1979

 

A339687

 

01-Nov-1979

VIBRASPRAY

 

Australia

 

Chemtura Corporation

 

Registered

 

360173

 

13-May-1981

 

360173

 

13-May-1981

VIBRASPRAY

 

Australia

 

Chemtura Corporation

 

Registered

 

0000332652

 

10-May-1979

 

332652

 

10-May-1979

VITAFLO

 

Australia

 

Chemtura Corporation

 

Registered

 

 

 

22-Mar-1978

 

316710

 

22-Mar-1978

VITAVAX

 

Australia

 

Chemtura Corporation

 

Registered

 

210815

 

09-Jun-1967

 

210815

 

09-Jun-1967

WITCOBOND

 

Australia

 

Chemtura Corporation

 

Registered

 

500047

 

22-Nov-1988

 

500047

 

28-Dec-1990

WRM

 

Australia

 

Chemtura Corporation

 

Registered

 

612231

 

24-Sep-1993

 

612231

 

19-Feb-1996

ALAR

 

Austria

 

Chemtura Corporation

 

Registered

 

012/67

 

03-Jan-1967

 

59486

 

16-May-1967

BLENDEX

 

Austria

 

Chemtura Corporation

 

Registered

 

64878

 

24-Jul-1969

 

64878

 

20-Oct-1969

HIVALLOY

 

Austria

 

Chemtura Corporation

 

Registered

 

AM 5057/90

 

05-Oct-1990

 

134854

 

26-Feb-1991

INTERLOY

 

Austria

 

Chemtura Corporation

 

Registered

 

AM35662003

 

27-May-2003

 

212302

 

12-Sep-2003

ULTRANOX

 

Austria

 

Chemtura Corporation

 

Registered

 

 

 

26-May-1992

 

144196

 

08-Oct-1992

WESTON

 

Austria

 

Chemtura Corporation

 

Registered

 

 

 

06-Feb-1984

 

107559

 

30-Nov-1984

BLENDEX

 

Azerbaijan

 

Chemtura Corporation

 

Registered

 

1498-PRT

 

15-Apr-1994

 

960082

 

02-Oct-1996

ULTRANOX

 

Azerbaijan

 

Chemtura Corporation

 

Registered

 

940497

 

11-May-1994

 

981971

 

30-Nov-1998

 

28



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

WESTON

 

Azerbaijan

 

Chemtura Corporation

 

Registered

 

940533

 

18-May-1994

 

981970

 

30-Nov-1998

BLENDEX

 

Belarus

 

Chemtura Corporation

 

Registered

 

 

 

04-Oct-1993

 

1818

 

23-Nov-1993

CHEMTURA

 

Belarus

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA (in Cyrillic)

 

Belarus

 

Chemtura Corporation

 

Registered

 

20052837

 

19-Oct-2005

 

27862

 

23-Jul-2008

CHEMTURA AND DESIGN

 

Belarus

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ELASTIQ (in Cyrillic)

 

Belarus

 

Chemtura Corporation

 

Pending

 

20071091

 

27-Mar-2007

 

 

 

 

RANCONA

 

Belarus

 

Chemtura Corporation

 

Pending

 

982331

 

03-Nov-2008

 

 

 

 

SIGNAL

 

Belarus

 

Chemtura Corporation

 

Pending

 

20093996

 

30-Oct-2009

 

 

 

 

STIRRUP

 

Belarus

 

Chemtura Corporation

 

Pending

 

20083913

 

17-Oct-2008

 

 

 

 

STIRRUP in Cyrillic

 

Belarus

 

Chemtura Corporation

 

Pending

 

20083914

 

17-Oct-2008

 

 

 

 

ULTRANOX

 

Belarus

 

Chemtura Corporation

 

Registered

 

1591

 

10-Dec-1993

 

4422

 

02-Jul-1996

WESTON

 

Belarus

 

Chemtura Corporation

 

Registered

 

1632

 

10-Dec-1993

 

4825

 

30-Aug-1996

BLENDEX

 

Benelux

 

Chemtura Corporation

 

Registered

 

568868

 

24-Dec-1971

 

102624

 

24-Sep-1974

CHEMTURA AND DESIGN

 

Benelux

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

DRAPEX

 

Benelux

 

Chemtura Corporation

 

Registered

 

65589

 

13-Dec-1988

 

459241

 

01-Dec-1989

DUCASON

 

Benelux

 

Chemtura Corporation

 

Registered

 

1110394

 

21-Apr-2006

 

804615

 

21-Apr-2006

DU-DIM

 

Benelux

 

Chemtura Corporation

 

Registered

 

699498

 

30-Jun-1987

 

430999

 

04-Jan-1988

 

29



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

FLEXZONE

 

Benelux

 

Chemtura Corporation

 

Registered

 

0069417

 

22-Oct-1971

 

0069417

 

14-Sep-1973

HIVALLOY

 

Benelux

 

Chemtura Corporation

 

Registered

 

752831

 

03-Oct-1990

 

486959

 

01-Jul-1991

HYBASE

 

Benelux

 

Chemtura Corporation

 

Registered

 

504678

 

04-Feb-1971

 

005545

 

11-Aug-1971

INTERLOY

 

Benelux

 

Chemtura Corporation

 

Registered

 

1033557

 

26-May-2003

 

745107

 

26-May-2003

ISOFOAM

 

Benelux

 

Chemtura Corporation

 

Registered

 

633486

 

21-Nov-1979

 

363240

 

20-Jun-1980

MARK

 

Benelux

 

Chemtura Corporation

 

Registered

 

65590

 

13-Dec-1988

 

459242

 

01-Dec-1989

PETRONATE

 

Benelux

 

Chemtura Corporation

 

Registered

 

027609

 

30-Dec-1971

 

104167

 

30-Dec-1996

ULTRANOX

 

Benelux

 

Chemtura Corporation

 

Registered

 

 

 

20-Jun-1985

 

410736

 

12-Feb-1986

WESTON

 

Benelux

 

Chemtura Corporation

 

Registered

 

25303

 

22-Dec-1971

 

98422

 

22-Dec-1980

CHEMTURA

 

Bhutan

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Bhutan

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

CHEMTURA

 

Bolivia

 

Chemtura Corporation

 

Registered

 

 

 

21-Oct-2005

 

105076

 

26-Aug-2006

CHEMTURA

 

Bolivia

 

Chemtura Corporation

 

Registered

 

 

 

21-Oct-2005

 

105116

 

28-Aug-2006

CHEMTURA

 

Bolivia

 

Chemtura Corporation

 

Registered

 

 

 

21-Oct-2005

 

105077

 

25-Aug-2006

CHEMTURA

 

Bolivia

 

Chemtura Corporation

 

Registered

 

 

 

21-Oct-2005

 

105066

 

25-Aug-2006

CHEMTURA

 

Bolivia

 

Chemtura Corporation

 

Registered

 

 

 

21-Oct-2005

 

105068

 

25-Aug-2006

 

30



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA

 

Bolivia

 

Chemtura Corporation

 

Registered

 

 

 

21-Oct-2005

 

105067

 

25-Aug-2006

CHEMTURA

 

Bolivia

 

Chemtura Corporation

 

Registered

 

 

 

21-Oct-2005

 

105075

 

25-Aug-2006

CHEMTURA

 

Bolivia

 

Chemtura Corporation

 

Registered

 

 

 

21-Oct-2005

 

105078

 

25-Aug-2006

CRUSADER

 

Bolivia

 

Chemtura Corporation

 

Registered

 

 

 

03-Dec-2004

 

101905-C

 

09-Jan-2006

RANCONA

 

Bolivia

 

Chemtura Corporation

 

Pending

 

014511

 

30-Oct-2008

 

 

 

 

RANCONA

 

Bolivia

 

Chemtura Corporation

 

Pending

 

014512

 

30-Oct-2008

 

 

 

 

BLENDEX

 

Bosnia and Herzegovina

 

Chemtura Corporation

 

Registered

 

BAZR 972505A

 

11-Jul-1997

 

BAZR972505

 

19-Feb-2002

ENVIROMITE

 

Botswana

 

Chemtura Corporation

 

Registered

 

BW/M/08/00546

 

02-Sep-2008

 

BW/M/08/00546

 

09-Jun-2009

ACTAFOAM

 

Brazil

 

Chemtura Corporation

 

Published

 

829958452

 

15-Sep-2008

 

 

 

 

ARRANKE

 

Brazil

 

Chemtura Corporation

 

Registered

 

827541961

 

27-Jun-2005

 

827541961

 

29-Apr-2008

CHEMTURA

 

Brazil

 

Chemtura Corporation

 

Registered

 

827528418

 

22-Jun-2005

 

827528418

 

03-Jun-2008

CHEMTURA

 

Brazil

 

Chemtura Corporation

 

Registered

 

827529570

 

22-Jun-2005

 

827529570

 

03-Jun-2008

CHEMTURA

 

Brazil

 

Chemtura Corporation

 

Registered

 

827528450

 

22-Jun-2005

 

827528450

 

03-Jun-2008

CHEMTURA

 

Brazil

 

Chemtura Corporation

 

Registered

 

827529562

 

22-Jun-2005

 

827529562

 

03-Jun-2008

CHEMTURA

 

Brazil

 

Chemtura Corporation

 

Registered

 

827528469

 

22-Jun-2005

 

827528469

 

03-Jun-2008

CHEMTURA

 

Brazil

 

Chemtura Corporation

 

Registered

 

827528400

 

22-Jun-2005

 

827528400

 

03-Jun-2008

CHEMTURA

 

Brazil

 

Chemtura Corporation

 

Registered

 

827529597

 

22-Jun-2005

 

827529597

 

03-Jun-2008

 

31



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA

 

Brazil

 

Chemtura Corporation

 

Registered

 

827529589

 

22-Jun-2005

 

827529589

 

03-Jun-2008

DIMENSION

 

Brazil

 

Chemtura Corporation

 

Published

 

828289727

 

17-Apr-2006

 

 

 

 

FLORAMITE

 

Brazil

 

Chemtura Corporation

 

Registered

 

827207026

 

28-Feb-2005

 

827207026

 

02-Oct-2007

INOVATE

 

Brazil

 

Chemtura Corporation

 

Published

 

828389179

 

19-May-2006

 

 

 

 

RANCONA

 

Brazil

 

Chemtura Corporation

 

Pending

 

 

 

31-Oct-2008

 

 

 

 

RANCONA

 

Brazil

 

Chemtura Corporation

 

Pending

 

 

 

31-Oct-2008

 

 

 

 

TEMPRANO

 

Brazil

 

Chemtura Corporation

 

Published

 

830.114.203

 

17-Nov-2008

 

 

 

 

WITCOLINK

 

Brazil

 

Chemtura Corporation

 

Registered

 

828272492

 

22-Mar-2006

 

828272492

 

03-Jun-2008

ANCHOR

 

Bulgaria

 

Chemtura Corporation

 

Pending

 

111455

 

23-Sep-2009

 

 

 

 

CHEMTURA

 

Bulgaria

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Bulgaria

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

DEVICE (BULLSEYE)

 

Bulgaria

 

Chemtura Corporation

 

Registered

 

 

 

13-Sep-1978

 

11839

 

25-May-1979

ELASTIQ

 

Bulgaria

 

Chemtura Corporation

 

Registered

 

84029

 

17-Jan-2006

 

61581

 

17-Jan-2006

ELASTIQ (in Cyrillic)

 

Bulgaria

 

Chemtura Corporation

 

Registered

 

85757

 

23-Mar-2006

 

62969

 

23-Mar-2006

LEVEL

 

Bulgaria

 

Chemtura Corporation

 

Pending

 

94658

 

16-Mar-2007

 

 

 

 

RANCONA

 

Bulgaria

 

Chemtura Corporation

 

Pending

 

982331

 

03-Nov-2008

 

 

 

 

BI-LARV

 

Cambodia

 

Chemtura Corporation

 

Registered

 

2543506

 

20-Jun-2006

 

2466406

 

20-Jun-2006

 

32



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ADOBE

 

Canada

 

Chemtura Corporation

 

Pending

 

1372395

 

16-Nov-2007

 

 

 

 

ATTENDANT

 

Canada

 

Chemtura Corporation

 

Published

 

1382308

 

06-Feb-2008

 

 

 

 

BI-LARV

 

Canada

 

Chemtura Corporation

 

Published

 

1317928

 

26-Sep-2006

 

 

 

 

BLENDEX

 

Canada

 

Chemtura Corporation

 

Registered

 

267912

 

02-Mar-1962

 

134359

 

24-Jan-1964

BROADSWORD

 

Canada

 

Chemtura Corporation

 

Pending

 

1401051

 

25-Jun-2008

 

 

 

 

CHEMTURA

 

Canada

 

Chemtura Corporation

 

Published

 

1292195

 

02-Mar-2006

 

 

 

 

DELAC

 

Canada

 

Chemtura Corporation

 

Registered

 

0000237496

 

21-Sep-1956

 

106614

 

10-May-1957

DELETE

 

Canada

 

Chemtura Corporation

 

Registered

 

0347823

 

15-Nov-1971

 

187988

 

19-Jan-1973

FLEXZONE

 

Canada

 

Chemtura Corporation

 

Registered

 

0000260823

 

21-Jan-1961

 

TMA123076

 

04-Aug-1961

FLORAMITE

 

Canada

 

Chemtura Corporation

 

Registered

 

1245107

 

27-Jan-2005

 

TMA702203

 

04-Dec-2007

HYBASE

 

Canada

 

Chemtura Corporation

 

Registered

 

239595

 

23-Feb-1957

 

107975

 

13-Sep-1957

INOVATE

 

Canada

 

Chemtura Corporation

 

Published

 

1319319

 

10-Oct-2006

 

 

 

 

INTERLOY

 

Canada

 

Chemtura Corporation

 

Published

 

1181165

 

10-Jun-2003

 

 

 

 

ISO-FLO

 

Canada

 

Chemtura Corporation

 

Registered

 

0447017

 

22-Nov-1979

 

TMA248195

 

18-Jul-1980

OXAF

 

Canada

 

Chemtura Corporation

 

Registered

 

0000341222

 

22-Mar-1971

 

TMA182201

 

30-Mar-1972

PREVAMITE

 

Canada

 

Chemtura Corporation

 

Published

 

1,379,437

 

16-Jan-2008

 

 

 

 

RANCONA

 

Canada

 

Chemtura Corporation

 

Published

 

1416167

 

28-Oct-2008

 

 

 

 

 

33



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

REPRESS

 

Canada

 

Chemtura Corporation

 

Pending

 

1401053

 

25-Jun-2008

 

 

 

 

SEENOX

 

Canada

 

Chemtura Corporation

 

Registered

 

470635

 

29-May-1981

 

280373

 

17-Jun-1983

TEMPRANO

 

Canada

 

Chemtura Corporation

 

Published

 

1379433

 

16-Jan-2008

 

 

 

 

TRIMENE BASE

 

Canada

 

Chemtura Corporation

 

Registered

 

588884

 

29-Jul-1987

 

398876

 

05-Jun-1992

ULTRANOX

 

Canada

 

Chemtura Corporation

 

Registered

 

547790

 

16-Aug-1985

 

TMA339645

 

29-Apr-1988

VETO

 

Canada

 

Chemtura Corporation

 

Pending

 

1372791

 

19-Nov-2007

 

 

 

 

WESTON

 

Canada

 

Chemtura Corporation

 

Published

 

1417786

 

10-Nov-2008

 

 

 

 

WIT-CA-FIL

 

Canada

 

Chemtura Corporation

 

Registered

 

500010

 

09-Mar-1983

 

304853

 

16-Oct-2000

ACTAFOAM

 

Chile

 

Chemtura Corporation

 

Pending

 

840017

 

07-Oct-2008

 

 

 

 

BLENDEX

 

Chile

 

Chemtura Corporation

 

Registered

 

 

 

 

 

731867

 

25-May-1995

CHEMTURA

 

Chile

 

Chemtura Corporation

 

Registered

 

692533

 

22-Jun-2005

 

754039

 

21-Mar-2006

INOVATE

 

Chile

 

Chemtura Corporation

 

Registered

 

745187

 

25-Sep-2006

 

781966

 

12-Mar-2007

RANCONA

 

Chile

 

Chemtura Corporation

 

Pending

 

843436

 

04-Nov-2008

 

 

 

 

VITAVAX S.P.

 

Chile

 

Chemtura Corporation

 

Registered

 

211347

 

16-Jun-1992

 

582439

 

27-Oct-1972

WESTON

 

Chile

 

Chemtura Corporation

 

Registered

 

 

 

23-May-1984

 

705206

 

08-Aug-1984

ACRAMITE

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

6316724

 

11-Oct-2007

 

 

 

 

ACRAMITE (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

6024203

 

27-Apr-2007

 

 

 

 

 

34



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ADIPRENE

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3800710

 

27-Nov-2003

 

3800710

 

14-Sep-2005

ADIPRENE EXTREME

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3800711

 

17-Nov-2003

 

3800711

 

14-Sep-2005

ASSAULT

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3013681

 

08-Nov-2001

 

3013681

 

21-Dec-2002

BLENDEX

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

4404309

 

08-Dec-2004

 

4404309

 

14-Mar-2008

B-NINE

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

930001146

 

28-Apr-1993

 

70508

 

25-Oct-1993

BXA

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0940001011

 

14-Dec-1994

 

75038

 

15-Jan-1995

CHEMTURA

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA (in Chinese - Phase I)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

4965947

 

27-Oct-2005

 

4965947

 

14-Feb-2009

CHEMTURA (in Chinese - Phase I)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

4965949

 

27-Oct-2005

 

4965949

 

14-Feb-2009

CHEMTURA (in Chinese - Phase I)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

4965950

 

27-Oct-2005

 

4965950

 

14-Feb-2009

CHEMTURA (in Chinese - Phase I)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

4965954

 

27-Oct-2005

 

4965954

 

14-Feb-2009

CHEMTURA (in Chinese - Phase I)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

4965951

 

27-Oct-2005

 

4965951

 

21-Sep-2008

CHEMTURA (in Chinese - Phase I)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

4965952

 

27-Oct-2005

 

4965952

 

21-Sep-2008

CHEMTURA (in Chinese) (Phase I)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

4965953

 

27-Oct-2005

 

4965953

 

28-Apr-2009

CHEMTURA AND DESIGN

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

CHEMTURA (in Chinese - Simplified II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5146806

 

28-Jan-2006

 

 

 

 

CHEMTURA (in Chinese - Simplified II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5146805

 

28-Jan-2006

 

 

 

 

 

35



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA (in Chinese - Simplified II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5146804

 

28-Jan-2006

 

 

 

 

CHEMTURA (in Chinese - Simplified II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5146803

 

28-Jan-2006

 

 

 

 

CHEMTURA (in Chinese - Simplified II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5146820

 

28-Jan-2006

 

 

 

 

CHEMTURA (in Chinese - Simplified II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5146821

 

28-Jan-2006

 

 

 

 

CHEMTURA (in Chinese - Simplified II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Published

 

5146802

 

28-Jan-2006

 

 

 

 

CHEMTURA (in Chinese - Simplified II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Published

 

5146801

 

28-Jan-2006

 

 

 

 

CHEMTURA (in Chinese - Traditional II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5146809

 

28-Jan-2006

 

 

 

 

CHEMTURA (in Chinese - Traditional II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5146807

 

28-Jan-2006

 

 

 

 

CHEMTURA (in Chinese - Traditional II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5146808

 

28-Jan-2006

 

 

 

 

CHEMTURA (in Chinese - Traditional II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5146810

 

28-Jan-2006

 

 

 

 

CHEMTURA in Chinese (Traditional) (Phase II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5146812

 

28-Jan-2006

 

 

 

 

CHEMTURA (in Chinese - Traditional II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5146822

 

28-Jan-2006

 

 

 

 

CHEMTURA (in Chinese - Traditional II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Published

 

5146811

 

28-Jan-2006

 

 

 

 

CHEMTURA (in Chinese - Traditional II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Published

 

5146813

 

28-Jan-2006

 

 

 

 

COMITE

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

94097104

 

24-Sep-1994

 

854078

 

14-Jul-1996

COMITE (in Chinese) (Simplified)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

09800063892

 

12-Jun-1998

 

1322783

 

14-Oct-1999

COMITE (in Chinese) (Simplified)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

200321038

 

25-Oct-2000

 

2018123

 

07-Dec-2004

 

36



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

COMITE and Bullseye Design

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

6886343

 

07-Aug-2008

 

 

 

 

COMITE in Chinese (Traditional Characters)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

7109386

 

12-Dec-2008

 

 

 

 

CROMPTON

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3320585

 

26-Sep-2002

 

3320585

 

21-Sep-2004

CROMPTON

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3320586

 

26-Sep-2002

 

3320586

 

07-May-2004

CROMPTON

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3320587

 

26-Sep-2002

 

3320587

 

14-Mar-2004

CROMPTON

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3320588

 

26-Sep-2002

 

3320588

 

28-May-2004

CROMPTON

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3320589

 

26-Sep-2002

 

3320589

 

28-May-2004

CROMPTON (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3320592

 

26-Sep-2002

 

3320592

 

14-Mar-2004

CROMPTON (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3320593

 

26-Sep-2002

 

3320593

 

28-May-2004

CROMPTON (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3320594

 

26-Sep-2002

 

3320594

 

28-May-2004

DELAC

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0092001221

 

13-Jul-1992

 

166114

 

30-Nov-1992

DELAC MOR

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0092001222

 

13-Jul-1992

 

166115

 

29-Nov-1992

DELAC NS

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0092001223

 

13-Jul-1992

 

166116

 

30-Nov-1982

DELAC S

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0092001225

 

13-Jul-1992

 

166117

 

30-Nov-1982

DI MEI LING in Chinese Characters

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

7941443

 

24-Dec-2009

 

 

 

 

DI MI LING in Chinese Characters

 

China (Peoples Republic).

 

Chemtura Corporation

 

Pending

 

7941442

 

24-Dec-09

 

 

 

 

DIMILIN in Chinese Characters

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

6834914

 

11-Jul-2008

 

 

 

 

 

37



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

FLEXZONE

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0092001224

 

13-Jul-1992

 

166118

 

30-Nov-1992

FLEXZONE 3C

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0092001226

 

13-Jul-1991

 

166119

 

30-Nov-1992

FLEXZONE 7F

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0092001198

 

13-Jul-1992

 

166120

 

30-Nov-1992

FLEXZONE 7L

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0092001199

 

13-Jul-1992

 

166121

 

30-Nov-1992

GENOX

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3260643

 

01-Aug-2002

 

3260643

 

21-Mar-2004

HIVALLOY

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

90050753

 

04-Dec-1990

 

573926

 

10-Dec-1991

INTERLOY

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3576340

 

02-Jun-2003

 

3576340

 

14-May-2005

JAG

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3013683

 

08-Nov-2001

 

3013683

 

20-Dec-2002

LANCER (in Chinese)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

6019589

 

25-Apr-2007

 

 

 

 

LANGIS

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3484870

 

13-Mar-2003

 

3484870

 

14-Dec-2004

LANGIS (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3484869

 

13-Mar-2003

 

3484869

 

14-Dec-2004

LANGIS SUPER

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

6750787

 

28-May-2008

 

 

 

 

LANGIS SUPER (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

4865703

 

29-Aug-2005

 

4865703

 

21-Jan-2009

MARK OBS

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

 

 

23-Jun-2005

 

 

 

 

MBT

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0092001200

 

13-Jul-1992

 

166122

 

29-Nov-1992

MBTS

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0092001201

 

13-Jul-1992

 

166123

 

29-Nov-1992

NAUGARD

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0940001009

 

14-Dec-1994

 

75036

 

15-Jan-1995

 

38



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

OBS

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

764638

 

18-Jul-2001

 

764638

 

18-Jul-2001

OCTAMINE

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0940001010

 

14-Dec-1994

 

75037

 

15-Jan-1995

OMITE

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0930001829

 

23-Oct-1993

 

70506

 

25-Oct-1993

OMITE (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0960082921

 

16-Jul-1996

 

1099523

 

14-Sep-1997

OXAF

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0940001007

 

14-Dec-1994

 

75039

 

15-Jan-1995

PANTERA

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0950108005

 

25-Aug-1995

 

978798

 

13-Apr-1997

PANTERA

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0008821034

 

28-Jun-1988

 

345858

 

20-Apr-1989

PANTERA (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

09800065985

 

17-Jun-1998

 

1322750

 

14-Oct-1999

Paraquat Herbicide Chinese Characters

 

China (Peoples Republic).

 

Chemtura Corporation

 

Pending

 

7462361

 

11-Jun-09

 

 

 

 

POLYLOC

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3023315

 

23-Nov-2001

 

3023315

 

28-Dec-2002

POLYLOC (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3023311

 

23-Nov-2001

 

3023311

 

28-Dec-2002

PROVAX

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0088026364

 

04-Aug-1988

 

351785

 

20-Jun-1989

RANCONA

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

 

 

03-Nov-2008

 

 

 

 

RANCONA DIMENSION

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

7497643

 

25-Jun-2009

 

 

 

 

RANCONA DIMENSION

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

7461983

 

11-Jun-2009

 

 

 

 

RANCONA DIMENSION in Chinese Characters (Version I)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

7497644

 

25-Jun-2009

 

 

 

 

 

39



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

RANCONA DIMENSION in Chinese Characters (Version I)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

7497643

 

11-Jun-2009

 

 

 

 

RANCONA DIMENSION in Chinese Characters (Version II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

7462045

 

25-Jun-2009

 

 

 

 

RANCONA DIMENSION in Chinese Characters (Version II)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

7462043

 

11-June-2009

 

 

 

 

RIBBON FLOW

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0093114429

 

24-Nov-1993

 

751218

 

21-Jun-1995

ROYAL MH (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

9800063853

 

12-Jun-1998

 

1322596

 

14-Oct-1999

ROYAL MH-30

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0930001147

 

28-Apr-1993

 

70509

 

25-Oct-1993

ROYALCAP

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

6822320

 

04-Jul-2008

 

 

 

 

ROYALCAP (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5443072

 

26-Jun-2006

 

 

 

 

ROYALFLO

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0095046975

 

21-Apr-1995

 

932584

 

21-Jan-1997

SEEDKARE

 

China (Peoples Republic)

 

Chemtura Corporation

 

Published

 

5990162

 

10-Apr-2007

 

 

 

 

SEEDKARE

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

5990163

 

10-Apr-2007

 

 

 

 

SIGNAL (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

3008965

 

01-Nov-2001

 

3008965

 

14-Dec-2002

TEBUCONAZOLE (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

6024205

 

27-Apr-2007

 

 

 

 

TEBUCONAZOLE (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

6024204

 

27-Apr-2007

 

 

 

 

 

40



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TEBUVAX

 

China (Peoples Republic)

 

Chemtura Corporation

 

Pending

 

6116233

 

18-Jun-2007

 

 

 

 

TUEX

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0092001202

 

13-Jul-1992

 

166124

 

29-Nov-1992

ULTRANOX

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

 

 

11-Nov-1985

 

263669

 

29-Sep-1986

UNIROYAL CHEMICAL COMPANY (IN CHINESE)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

2000163850

 

25-Oct-2000

 

1900038

 

21-Nov-2002

VIBRATHANE

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0940001024

 

16-Dec-1994

 

75040

 

15-Jan-1995

VITAVAX

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0930001337

 

20-May-1993

 

70503

 

25-Oct-1993

VITAVAX (IN CHINESE CHARACTERS)

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

0960002689

 

14-Aug-1997

 

300007

 

30-Sep-1987

WESTON

 

China (Peoples Republic)

 

Chemtura Corporation

 

Registered

 

 

 

10-May-1994

 

798348

 

14-Dec-1995

BLENDEX

 

Colombia

 

Chemtura Corporation

 

Registered

 

311295

 

10-Oct-1989

 

137111

 

13-Feb-1992

FLEXZONE

 

Colombia

 

Chemtura Corporation

 

Registered

 

97864

 

25-May-1966

 

67902

 

19-Sep-1968

INOVATE

 

Colombia

 

Chemtura Corporation

 

Registered

 

06105049

 

18-Oct-2006

 

333830

 

29-May-2007

ULTRANOX

 

Colombia

 

Chemtura Corporation

 

Registered

 

Not known

 

11-Aug-1992

 

144795

 

31-Dec-1993

VITAVAX

 

Colombia

 

Chemtura Corporation

 

Registered

 

06016900

 

21-Feb-2006

 

389004

 

28-Sep-2009

VITAVAX

 

Colombia

 

Chemtura Corporation

 

Registered

 

262873

 

12-Nov-1986

 

129527

 

23-Jul-1990

WESTON

 

Colombia

 

Chemtura Corporation

 

Registered

 

 

 

30-May-1984

 

119168

 

31-Aug-1987

ARROMAX

 

Costa Rica

 

Chemtura Corporation

 

Registered

 

6860-2005

 

06-Sep-2005

 

182335

 

17-Nov-2008

 

41



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

LOGICO

 

Costa Rica

 

Chemtura Corporation

 

Registered

 

2005-743

 

01-Feb-2005

 

158553

 

18-May-2006

MARK OBS

 

Costa Rica

 

Chemtura Corporation

 

Registered

 

2005-5092

 

07-Jul-2005

 

159966

 

06-Jul-2006

PANAREX

 

Costa Rica

 

Chemtura Corporation

 

Registered

 

2005-2509

 

06-Apr-2005

 

159294

 

05-Jun-2006

PANTHER

 

Costa Rica

 

Chemtura Corporation

 

Pending

 

2005-744

 

01-Feb-2005

 

 

 

 

BLENDEX

 

Croatia

 

Chemtura Corporation

 

Registered

 

Z931517

 

21-Apr-1993

 

Z931517

 

01-Jun-1995

CHEMTURA

 

Croatia

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Croatia

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

FLEXZONE

 

Croatia

 

Chemtura Corporation

 

Registered

 

00Z942276N

 

09-Nov-1994

 

Z942276

 

04-Dec-1995

CHEMTURA

 

Cuba

 

Chemtura Corporation

 

Published

 

A0001803

 

21-Jun-2005

 

 

 

 

CHEMTURA AND DESIGN

 

Cuba

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

BLENDEX

 

Czech Republic

 

Chemtura Corporation

 

Registered

 

42917

 

13-Mar-1969

 

160690

 

13-Mar-1969

CHEMTURA

 

Czech Republic

 

Chemtura Corporation

 

Registered

 

 

 

24-Jun-2005

 

278296

 

23-Jan-2006

ELASTIQ

 

Czech Republic

 

Chemtura Corporation

 

Registered

 

0426026

 

04-May-2005

 

285358

 

27-Nov-2006

OBS

 

Czech Republic

 

Chemtura Corporation

 

Registered

 

764638

 

18-Jul-2001

 

764638

 

18-Jul-2001

ULTRANOX

 

Czech Republic

 

Chemtura Corporation

 

Registered

 

68810

 

26-May-1992

 

175524

 

29-Mar-1994

BLENDEX

 

Denmark

 

Chemtura Corporation

 

Registered

 

VA198605084

 

05-Aug-1986

 

VR199000234

 

19-Jan-1990

CK & DESIGN

 

Denmark

 

Chemtura Corporation

 

Registered

 

VA199207643

 

28-Oct-1992

 

VR199407585

 

11-Nov-1994

 

42



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CK CROMPTON & KNOWLES CORPORATION

 

Denmark

 

Chemtura Corporation

 

Registered

 

VA199207642

 

28-Oct-1992

 

US

 

11-Nov-1994

CYCLOL

 

Denmark

 

Chemtura Corporation

 

Registered

 

VA198908785

 

24-Nov-1989

 

VR199200513

 

31-Jan-1992

DRAPEX

 

Denmark

 

Chemtura Corporation

 

Registered

 

VA200101391

 

05-Apr-2001

 

VR200102065

 

09-May-2001

HIVALLOY

 

Denmark

 

Chemtura Corporation

 

Registered

 

VA199007539

 

04-Oct-1990

 

VR199106988

 

18-Oct-1991

HYBASE

 

Denmark

 

Chemtura Corporation

 

Registered

 

VA195703031

 

03-Dec-1957

 

VR195802259

 

15-Nov-1958

INTERLOY

 

Denmark

 

Chemtura Corporation

 

Registered

 

VA200302077

 

27-May-2003

 

VR200301944

 

04-Jun-2003

ARROMAX

 

Dominican Republic

 

Chemtura Corporation

 

Registered

 

2005-60845

 

14-Sep-2005

 

173361

 

16-Apr-2009

ARROMAX

 

Ecuador

 

Chemtura Corporation

 

Registered

 

161382

 

31-Aug-2005

 

6011-07

 

06-Jun-2007

CARBOVAX

 

Ecuador

 

Chemtura Corporation

 

Pending

 

222229

 

25-Nov-2009

 

 

 

 

CARBOVAX

 

Ecuador

 

Chemtura Corporation

 

Pending

 

222230

 

25-Nov-09

 

 

 

 

CHEMTURA

 

Ecuador

 

Chemtura Corporation

 

Registered

 

163673

 

26-Oct-2005

 

375506

 

06-Sep-2006

CHEMTURA

 

Ecuador

 

Chemtura Corporation

 

Registered

 

163672

 

26-Oct-2005

 

375406

 

06-Sep-2006

CHEMTURA

 

Ecuador

 

Chemtura Corporation

 

Registered

 

163671

 

26-Oct-2005

 

375306

 

06-Sep-2006

CHEMTURA

 

Ecuador

 

Chemtura Corporation

 

Registered

 

163670

 

26-Oct-2005

 

375206

 

06-Sep-2006

CHEMTURA

 

Ecuador

 

Chemtura Corporation

 

Registered

 

163677

 

26-Oct-2005

 

374906

 

06-Sep-2006

CHEMTURA

 

Ecuador

 

Chemtura Corporation

 

Registered

 

163668

 

26-Oct-2005

 

375006

 

06-Sep-2006

CHEMTURA

 

Ecuador

 

Chemtura Corporation

 

Registered

 

163669

 

26-Oct-2005

 

375106

 

06-Sep-2006

 

43



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA

 

Ecuador

 

Chemtura Corporation

 

Registered

 

163666

 

26-Oct-2005

 

374806

 

06-Sep-2006

DIMILIN

 

Ecuador

 

Chemtura Corporation

 

Registered

 

 

 

05-Jul-1979

 

4031

 

22-Nov-1979

TERRAVAX

 

Ecuador

 

Chemtura Corporation

 

Pending

 

222227

 

25-Nov-09

 

 

 

 

TERRAVAX

 

Ecuador

 

Chemtura Corporation

 

Pending

 

222228

 

25-Nov-09

 

 

 

 

CHEMTURA

 

Egypt

 

Chemtura Corporation

 

Registered

 

176552

 

25-Jun-2005

 

176552

 

25-Jun-2005

CHEMTURA

 

Egypt

 

Chemtura Corporation

 

Registered

 

176553

 

25-Jun-2005

 

176553

 

25-Jun-2005

CHEMTURA

 

Egypt

 

Chemtura Corporation

 

Registered

 

176554

 

25-Jun-2005

 

176554

 

25-Jun-2005

CHEMTURA

 

Egypt

 

Chemtura Corporation

 

Registered

 

176555

 

25-Jun-2005

 

176555

 

25-Jun-2005

CHEMTURA

 

Egypt

 

Chemtura Corporation

 

Registered

 

176556

 

25-Jun-2005

 

176556

 

25-Jun-2005

CHEMTURA

 

Egypt

 

Chemtura Corporation

 

Registered

 

176557

 

25-Jun-2005

 

176557

 

25-Jun-2005

CHEMTURA

 

Egypt

 

Chemtura Corporation

 

Registered

 

176558

 

25-Jun-2005

 

176558

 

25-Jun-2005

CHEMTURA

 

Egypt

 

Chemtura Corporation

 

Registered

 

176559

 

25-Jun-2005

 

176559

 

25-Jun-2005

ENVIROMITE

 

Egypt

 

Chemtura Corporation

 

Pending

 

221182

 

02-Sep-2008

 

 

 

 

ELASTIQ

 

Estonia

 

Chemtura Corporation

 

Registered

 

m200700375

 

19-Mar-2007

 

45482

 

01-Sep-2008

ULTRANOX

 

Estonia

 

Chemtura Corporation

 

Registered

 

 

 

13-Dec-1993

 

18068

 

19-Dec-1995

WESTON

 

Estonia

 

Chemtura Corporation

 

Registered

 

 

 

13-Dec-1993

 

18067

 

19-Dec-1995

ENVIROMITE

 

Ethiopia

 

Chemtura Corporation

 

Registered

 

4190

 

11-Feb-09

 

6145

 

16-Mar-09

 

44



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

AXION

 

European Community

 

Chemtura Corporation

 

Registered

 

845506

 

25-Feb-2005

 

845506

 

25-Feb-2005

BLENDEX

 

European Community

 

Chemtura Corporation

 

Registered

 

002821494

 

02-Aug-2002

 

002821494

 

14-Oct-2003

CHEMTURA

 

European Community

 

Chemtura Corporation

 

Published

 

007189467

 

26-Aug-2008

 

 

 

 

CHEMTURA AND DESIGN

 

European Community

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

 

CROMPTON

 

European Community

 

Chemtura Corporation

 

Registered

 

2207108

 

07-May-2001

 

2207108

 

26-Aug-2002

DEVICE

 

European Community

 

Chemtura Corporation

 

Registered

 

4623609

 

07-Sep-2005

 

4623609

 

31-Aug-2006

GENOX

 

European Community

 

Chemtura Corporation

 

Registered

 

002790632

 

26-Jul-2002

 

002790632

 

07-Dec-2004

INOVATE

 

European Community

 

Chemtura Corporation

 

Registered

 

A0005904

 

20-Sep-2006

 

900762

 

20-Sep-2006

MARK OBS

 

European Community

 

Chemtura Corporation

 

Registered

 

 

 

23-Jun-2005

 

858778

 

23-Jun-2005

RANCONA

 

European Community

 

Chemtura Corporation

 

Registered

 

982331

 

03-Nov-2008

 

982331

 

03-Nov-2008

RANGO

 

European Community

 

Chemtura Corporation

 

Registered

 

4509485

 

27-Jun-2005

 

4509485

 

25-Aug-2006

THIRAFLO

 

European Community

 

Chemtura Corporation

 

Registered

 

5915641

 

18-May-2007

 

5915641

 

26-Mar-2008

ULTRANOX

 

European Community

 

Chemtura Corporation

 

Registered

 

002821502

 

02-Aug-2002

 

002821502

 

30-Oct-2003

WESTON

 

European Community

 

Chemtura Corporation

 

Registered

 

002821403

 

02-Aug-2002

 

002821403

 

29-Jun-2004

BLENDEX

 

Finland

 

Chemtura Corporation

 

Registered

 

275569

 

17-Jun-1969

 

58347

 

05-May-1971

DRAPEX

 

Finland

 

Chemtura Corporation

 

Registered

 

101680

 

14-Feb-1980

 

81717

 

20-May-1982

HIVALLOY

 

Finland

 

Chemtura Corporation

 

Registered

 

503590

 

04-Oct-1990

 

117935

 

20-Mar-1992

 

45



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

INTERLOY

 

Finland

 

Chemtura Corporation

 

Registered

 

200301342

 

28-May-2003

 

229638

 

13-Feb-2004

MARK

 

Finland

 

Chemtura Corporation

 

Registered

 

T200400339

 

13-Feb-2004

 

233966

 

31-Aug-2005

TAYSSATO

 

Finland

 

Chemtura Corporation

 

Pending

 

T200901103

 

21-Apr-09

 

 

 

 

ULTRANOX

 

Finland

 

Chemtura Corporation

 

Registered

 

 

 

18-Jun-1992

 

131119

 

07-Mar-1994

WESTON

 

Finland

 

Chemtura Corporation

 

Registered

 

 

 

08-Feb-1984

 

93548

 

20-Aug-1985

ACTAFOAM

 

France

 

Chemtura Corporation

 

Registered

 

083598933

 

17-Sep-2008

 

083598933

 

20-Feb-2009

BLENDEX

 

France

 

Chemtura Corporation

 

Registered

 

 

 

27-Nov-1986

 

1381768

 

27-Nov-1986

CASTOCURE

 

France

 

Chemtura Corporation

 

Registered

 

194388

 

09-Mar-1990

 

1579575

 

09-Mar-1990

CASTOMER

 

France

 

Chemtura Corporation

 

Registered

 

194389

 

09-Mar-1990

 

1579576

 

09-Mar-1990

CAYTUR

 

France

 

Chemtura Corporation

 

Registered

 

846012

 

20-Mar-1987

 

1399603

 

20-Mar-1987

FLEXZONE

 

France

 

Chemtura Corporation

 

Registered

 

718578

 

23-Oct-1984

 

1287566

 

23-Oct-1994

HIVALLOY

 

France

 

Chemtura Corporation

 

Registered

 

243063

 

12-Oct-1990

 

1638121

 

12-Oct-1990

HYBASE

 

France

 

Chemtura Corporation

 

Registered

 

645315

 

16-Nov-1982

 

1223924

 

16-Nov-1982

INTERLOY

 

France

 

Chemtura Corporation

 

Registered

 

033245759

 

16-Sep-2003

 

033245759

 

06-Sep-2004

ISO-FLO

 

France

 

Chemtura Corporation

 

Registered

 

194387

 

09-Mar-1990

 

1579574

 

09-Mar-1990

ISOFOAM

 

France

 

Chemtura Corporation

 

Registered

 

194390

 

09-Mar-1990

 

1579577

 

09-Mar-1990

NAUGARD

 

France

 

Chemtura Corporation

 

Registered

 

 

 

10-Oct-1986

 

1374210

 

10-Oct-1986

 

46



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

OMITE

 

France

 

Chemtura Corporation

 

Registered

 

817152

 

03-Oct-1986

 

1373353

 

03-Oct-1986

PETROMIX and Design

 

France

 

Chemtura Corporation

 

Registered

 

190612

 

23-Feb-1990

 

1577150

 

23-Feb-1990

TERRAZOLE

 

France

 

Chemtura Corporation

 

Registered

 

795487

 

09-May-1986

 

1354021

 

09-May-1986

ULTRANOX

 

France

 

Chemtura Corporation

 

Registered

 

 

 

21-Jun-1985

 

1315992

 

21-Jun-1985

WESTON

 

France

 

Chemtura Corporation

 

Registered

 

 

 

07-Feb-1984

 

1259823

 

07-Feb-1984

WITCO

 

France

 

Chemtura Corporation

 

Registered

 

1197419

 

05-Mar-1982

 

1197419

 

05-Mar-1982

CHEMTURA

 

Georgia

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA (in Cyrillic)

 

Georgia

 

Chemtura Corporation

 

Registered

 

AM2005036024

 

20-Oct-2005

 

M17129

 

28-Nov-2006

CHEMTURA AND DESIGN

 

Georgia

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ULTRANOX

 

Georgia

 

Chemtura Corporation

 

Registered

 

T1993001952

 

27-Jul-1993

 

8013

 

08-Jan-1998

WESTON

 

Georgia

 

Chemtura Corporation

 

Registered

 

T1993001951

 

27-Jul-1993

 

8012

 

08-Jan-1998

ACTAFOAM

 

Germany

 

Chemtura Corporation

 

Registered

 

DE302008052238.8/01

 

07-Aug-2008

 

020080522

 

26-Jan-2009

BLENDEX

 

Germany

 

Chemtura Corporation

 

Registered

 

W46368

 

19-Mar-1969

 

636975

 

26-Jan-1970

CASTOMER

 

Germany

 

Chemtura Corporation

 

Registered

 

W 30248/1 Wz

 

27-Nov-1979

 

1037328

 

25-Aug-1982

DRAPEX

 

Germany

 

Chemtura Corporation

 

Registered

 

30659887601

 

28-Sep-2006

 

30659887.6

 

23-Mar-2007

HIVALLOY

 

Germany

 

Chemtura Corporation

 

Registered

 

H64146/1Wz

 

04-Oct-1990

 

2014466

 

22-May-1992

HYBASE

 

Germany

 

Chemtura Corporation

 

Registered

 

C 7559/20bWz

 

25-Nov-1957

 

727070

 

25-Nov-1987

 

47



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

INTERLOY

 

Germany

 

Chemtura Corporation

 

Registered

 

303273232

 

27-May-2003

 

30327323

 

19-Nov-2003

NAUGARD

 

Germany

 

Chemtura Corporation

 

Registered

 

U2795/6 WZ

 

03-Jan-1967

 

838556

 

31-Oct-1967

PANAREX

 

Germany

 

Chemtura Corporation

 

Registered

 

DE 302008038466.2/05

 

13-Jun-2008

 

302008038466

 

03-Dec-2008

POLYGARD

 

Germany

 

Chemtura Corporation

 

Registered

 

 

 

26-Jan-1957

 

710677

 

26-Jan-1957

ULTRANOX

 

Germany

 

Chemtura Corporation

 

Registered

 

 

 

14-Jun-1985

 

1081440

 

06-Sep-1985

ULTRANOX

 

Germany

 

Chemtura Corporation

 

Registered

 

 

 

12-Sep-1990

 

650480

 

06-Apr-1992

ACRAMITE

 

Greece

 

Chemtura Corporation

 

Registered

 

146017

 

06-Feb-2001

 

146017

 

17-Jul-2002

ALAR

 

Greece

 

Chemtura Corporation

 

Registered

 

36797

 

17-Jan-1967

 

36797

 

17-Jan-1968

BLENDEX

 

Greece

 

Chemtura Corporation

 

Registered

 

42057

 

16-Jun-1969

 

42057

 

17-Aug-1970

B-NINE

 

Greece

 

Chemtura Corporation

 

Registered

 

152221

 

07-Feb-2007

 

152221

 

18-Jun-2008

CASORON

 

Greece

 

Chemtura Corporation

 

Registered

 

25719

 

11-Jun-1960

 

25719

 

17-Aug-1961

CHEMTURA SEEDKARE

 

Greece

 

Chemtura Corporation

 

Registered

 

152848

 

09-Nov-2007

 

152848

 

19-May-2009

COMITE

 

Greece

 

Chemtura Corporation

 

Registered

 

113681

 

09-Apr-1993

 

113681

 

17-Oct-1995

COMITE (IN GREEK)

 

Greece

 

Chemtura Corporation

 

Registered

 

114613

 

11-Jun-1993

 

114613

 

17-May-1996

DEVICE (BULLSEYE)

 

Greece

 

Chemtura Corporation

 

Registered

 

61935

 

08-Sep-1978

 

61935

 

17-Feb-1980

DIMILIN

 

Greece

 

Chemtura Corporation

 

Registered

 

60560

 

09-Feb-1978

 

60560

 

17-Aug-1979

DU-DIM

 

Greece

 

Chemtura Corporation

 

Registered

 

87887

 

02-Feb-1988

 

87887

 

17-Apr-1990

 

48



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

FLORAMITE

 

Greece

 

Chemtura Corporation

 

Registered

 

146016

 

06-Feb-2001

 

146016

 

17-Jul-2002

HIVALLOY

 

Greece

 

Chemtura Corporation

 

Registered

 

101032

 

10-Oct-1990

 

101032

 

17-Dec-1993

INTERLOY

 

Greece

 

Chemtura Corporation

 

Registered

 

148829

 

12-Jun-2003

 

148829

 

19-Oct-2004

OMITE

 

Greece

 

Chemtura Corporation

 

Registered

 

49165

 

03-Oct-1972

 

49165

 

17-Oct-1973

OMITE (IN GREEK)

 

Greece

 

Chemtura Corporation

 

Registered

 

114614

 

11-Jun-1993

 

114614

 

17-May-1996

PANAREX

 

Greece

 

Chemtura Corporation

 

Registered

 

145533

 

27-Oct-2000

 

145533

 

17-May-2002

PROVAX

 

Greece

 

Chemtura Corporation

 

Registered

 

90097

 

09-Aug-1988

 

90097

 

19-May-1992

R. MH-30

 

Greece

 

Chemtura Corporation

 

Registered

 

87136

 

03-Nov-1987

 

87136

 

19-Mar-1990

R. MH-30

 

Greece

 

Chemtura Corporation

 

Registered

 

87669

 

13-Jan-1988

 

87669

 

17-Jan-1990

ROYALTAC

 

Greece

 

Chemtura Corporation

 

Registered

 

78204

 

05-Oct-1984

 

78204

 

17-Feb-1987

ROYALTAC

 

Greece

 

Chemtura Corporation

 

Registered

 

87650

 

12-Jan-1988

 

87650

 

17-Apr-1992

TERRAZOLE

 

Greece

 

Chemtura Corporation

 

Registered

 

59278

 

15-Jul-1977

 

59278

 

17-Jan-1981

TRIVAX

 

Greece

 

Chemtura Corporation

 

Registered

 

61828

 

24-Aug-1978

 

61828

 

17-Jul-1987

VITAVAX

 

Greece

 

Chemtura Corporation

 

Registered

 

37576

 

09-Jun-1967

 

37576

 

17-Jul-1968

VITAVAX (IN GREEK)

 

Greece

 

Chemtura Corporation

 

Registered

 

114637

 

14-Jun-1993

 

114637

 

17-May-1996

VITAVAX-C

 

Greece

 

Chemtura Corporation

 

Pending

 

152605

 

26-Jul-2007

 

 

 

 

WESTON

 

Greece

 

Chemtura Corporation

 

Registered

 

76742

 

21-Mar-1984

 

76742

 

17-Jul-1986

 

49



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ACTAFOAM

 

Guatemala

 

Chemtura Corporation

 

Registered

 

2008-7899

 

26-Sep-2008

 

162775

 

13-Apr-2009

MARK OBS

 

Guatemala

 

Chemtura Corporation

 

Registered

 

2005-4904

 

07-Jul-2005

 

143827

 

20-Jul-2006

BLENDEX

 

Hong Kong

 

Chemtura Corporation

 

Registered

 

863

 

01-Sep-1965

 

19660130

 

31-Jan-1986

CHEMTURA

 

Hong Kong

 

Chemtura Corporation

 

Registered

 

300499131

 

22-Sep-2005

 

300499131

 

22-Sep-2005

CHEMTURA in Chinese (Simplified And Traditional)

 

Hong Kong

 

Chemtura Corporation

 

Registered

 

300572724

 

26-Jan-2006

 

300572724

 

26-Jan-2006

HIVALLOY

 

Hong Kong

 

Chemtura Corporation

 

Registered

 

8245/90

 

10-Oct-1990

 

199201736

 

30-Apr-1992

INTERLOY

 

Hong Kong

 

Chemtura Corporation

 

Registered

 

300026171

 

29-May-2003

 

300026171

 

26-Nov-2003

POLYBOND

 

Hong Kong

 

Chemtura Corporation

 

Registered

 

300579376

 

11-Feb-2006

 

300579376

 

11-Feb-2006

ULTRANOX

 

Hong Kong

 

Chemtura Corporation

 

Registered

 

19852103

 

21-Jun-1985

 

19861236

 

21-May-1986

BLENDEX

 

Hungary

 

Chemtura Corporation

 

Registered

 

121250

 

18-Apr-1969

 

121250

 

30-Oct-1969

CHEMTURA

 

Hungary

 

Chemtura Corporation

 

Registered

 

M0502100

 

21-Jun-2005

 

187621

 

21-Jun-2005

ELASTIQ

 

Hungary

 

Chemtura Corporation

 

Registered

 

M0502131

 

23-Jun-2005

 

187008

 

07-Nov-2006

FLEXZONE

 

Hungary

 

Chemtura Corporation

 

Registered

 

111684

 

21-Oct-1968

 

120523

 

13-Mar-1969

HARDFLEX

 

Hungary

 

Chemtura Corporation

 

Registered

 

M0704101

 

11-Dec-2007

 

195265

 

03-Sep-2008

HIVALLOY

 

Hungary

 

Chemtura Corporation

 

Registered

 

3934/90

 

05-Oct-1990

 

131607

 

15-Jun-2002

INTERLOY

 

Hungary

 

Chemtura Corporation

 

Registered

 

M0302374

 

02-Jun-2003

 

180166

 

16-Dec-2004

OBS

 

Hungary

 

Chemtura Corporation

 

Registered

 

764638

 

17-Jul-2001

 

764638

 

17-Jul-2001

 

50



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

SUNFLEX

 

Hungary

 

Chemtura Corporation

 

Registered

 

M0704100

 

11-Dec-2007

 

195273

 

03-Sep-2008

ULTRANOX

 

Hungary

 

Chemtura Corporation

 

Registered

 

M9203058

 

05-Jun-1992

 

136048

 

28-Jun-1993

UNIREX

 

Hungary

 

Chemtura Corporation

 

Registered

 

M0900401

 

13-Feb-09

 

198731

 

21-Oct-09

CHEMTURA

 

Iceland

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Iceland

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ALLEGIANCE

 

India

 

Chemtura Corporation

 

Published

 

1409467

 

27-Dec-2005

 

 

 

 

AXION

 

India

 

Chemtura Corporation

 

Published

 

01348879

 

05-Apr-2005

 

 

 

 

BI-LARV

 

India

 

Chemtura Corporation

 

Registered

 

1390429

 

07-Oct-2005

 

1390420

 

09-Aug-2008

CHEMTURA

 

India

 

Chemtura Corporation

 

Registered

 

1373204

 

22-Jul-2005

 

1373204

 

22-Jul-2005

CROMPTON

 

India

 

Chemtura Corporation

 

Published

 

1335373

 

31-Jan-2005

 

 

 

 

DRAPEX

 

India

 

Chemtura Corporation

 

Registered

 

359382

 

10-Mar-1980

 

359382

 

10-Mar-1980

HYBASE

 

India

 

Chemtura Corporation

 

Registered

 

190426

 

23-May-1959

 

190426

 

23-May-1959

IMIVAX

 

India

 

Chemtura Corporation

 

Pending

 

1428362

 

06-Mar-2006

 

 

 

 

INTERLOY

 

India

 

Chemtura Corporation

 

Registered

 

01204013

 

04-Jun-2003

 

1204013

 

04-Jun-2003

MASTAMITE

 

India

 

Chemtura Corporation

 

Pending

 

awaiting

 

19-Jan-2009

 

 

 

 

PANTERA

 

India

 

Chemtura Corporation

 

Published

 

1354742

 

03-May-2005

 

 

 

 

PETRONATE

 

India

 

Chemtura Corporation

 

Registered

 

 

 

18-Aug-1971

 

274370

 

02-Apr-1974

 

51



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VORTEX

 

India

 

Chemtura Corporation

 

Pending

 

1687185

 

14-May-2008

 

 

 

 

ACRAMITE

 

Indonesia

 

Chemtura Corporation

 

Published

 

D00200502179

 

07-Oct-2005

 

 

 

 

RANCONA

 

International

 

Chemtura Corporation

 

Pending

 

A0014334

 

03-Nov-2008

 

 

 

 

OBS

 

International

 

Chemtura Corporation

 

Registered

 

76468

 

18-Jul-2001

 

764638

 

18-Jul-2001

AXION

 

International

 

Chemtura Corporation

 

Registered

 

845506

 

25-Feb-2005

 

845506

 

25-Feb-2005

CHEMTURA

 

International

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

International

 

Chemtura Corporation

 

Registered

 

A0002161

 

01-Aug-2005

 

873323

 

01-Aug-2005

INOVATE

 

International

 

Chemtura Corporation

 

Registered

 

A0005904

 

20-Sep-2006

 

900762

 

20-Sep-2006

MARK OBS

 

International

 

Chemtura Corporation

 

Registered

 

858778

 

23-Jan-2005

 

858778

 

23-Jun-2005

BLENDEX

 

Iran

 

Chemtura Corporation

 

Registered

 

46886

 

19-Jun-1969

 

33154

 

28-Sep-1969

CHEMTURA

 

Iran

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Iran

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

BLENDEX

 

Ireland

 

Chemtura Corporation

 

Registered

 

42969

 

10-Mar-1969

 

74820

 

25-Nov-1970

DIMILIN

 

Ireland

 

Chemtura Corporation

 

Registered

 

0003294/77

 

30-Dec-1977

 

94538

 

19-Sep-1984

DRAPEX

 

Ireland

 

Chemtura Corporation

 

Registered

 

344/80

 

11-Feb-1980

 

97015

 

30-Sep-1982

INTERLOY

 

Ireland

 

Chemtura Corporation

 

Registered

 

9622003

 

26-May-2003

 

227178

 

26-May-2003

VITAVAX

 

Ireland

 

Chemtura Corporation

 

Registered

 

0000001664

 

01-Aug-1972

 

81561

 

13-Jul-1976

 

52



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BLENDEX

 

Israel

 

Chemtura Corporation

 

Registered

 

29968

 

13-Mar-1969

 

29968

 

18-Feb-1971

B-NINE

 

Israel

 

Chemtura Corporation

 

Registered

 

 

 

31-Jul-1972

 

35934

 

03-Oct-1974

ENVIROMITE

 

Israel

 

Chemtura Corporation

 

Pending

 

214435

 

21-Aug-2008

 

 

 

 

FLORAMITE

 

Israel

 

Chemtura Corporation

 

Registered

 

146479

 

05-Feb-2001

 

146479

 

02-Jan-2002

HIVALLOY

 

Israel

 

Chemtura Corporation

 

Registered

 

77767

 

03-Oct-1990

 

77767

 

08-Dec-1993

INTERLOY

 

Israel

 

Chemtura Corporation

 

Registered

 

164587

 

26-May-2003

 

164587

 

14-Apr-2004

TERRAZOLE

 

Israel

 

Chemtura Corporation

 

Registered

 

 

 

01-Aug-1972

 

35936

 

04-Mar-1974

BI-LARV

 

Italy

 

Chemtura Corporation

 

Pending

 

TO2006C001081

 

18-Apr-2006

 

 

 

 

BLENDEX

 

Italy

 

Chemtura Corporation

 

Registered

 

MI96C002183

 

04-Mar-1996

 

00747755

 

15-May-1998

CHEMTURA SEEDKARE

 

Italy

 

Chemtura Corporation

 

Pending

 

T02007C003843

 

30-Nov-2007

 

 

 

 

CLEAN-SOIL

 

Italy

 

Chemtura Corporation

 

Registered

 

2004C003338

 

15-Nov-2004

 

1102621

 

18-Mar-2008

DICLOSOL

 

Italy

 

Chemtura Corporation

 

Registered

 

2004C003339

 

15-Nov-2004

 

1102622

 

18-Mar-2008

DRAPEX

 

Italy

 

Chemtura Corporation

 

Registered

 

RM99C005062

 

08-Oct-1999

 

892953

 

21-May-2003

ENVIROMITE

 

Italy

 

Chemtura Corporation

 

Pending

 

MI2008C009321

 

26-Aug-2008

 

 

 

 

FLEXZONE

 

Italy

 

Chemtura Corporation

 

Registered

 

21071960

 

31-Mar-1960

 

158745

 

05-Apr-1962

FORTUNE

 

Italy

 

Chemtura Corporation

 

Registered

 

2004C003336

 

15-Nov-2004

 

1102599

 

18-Mar-2008

HIVALLOY

 

Italy

 

Chemtura Corporation

 

Registered

 

2000C006054

 

18-Oct-1990

 

601735

 

14-Jul-1993

 

53



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

HYBASE

 

Italy

 

Chemtura Corporation

 

Registered

 

097C007657

 

13-Aug-1957

 

810796

 

13-Apr-2000

INDIPENDENT

 

Italy

 

Chemtura Corporation

 

Pending

 

2004C003337

 

15-Nov-2004

 

 

 

 

INTERLOY

 

Italy

 

Chemtura Corporation

 

Registered

 

T02003C001556

 

04-Jun-2003

 

1056348

 

07-Jul-2007

MARK

 

Italy

 

Chemtura Corporation

 

Registered

 

RM99C005061

 

08-Oct-1999

 

892952

 

08-Oct-1999

NO-LARV

 

Italy

 

Chemtura Corporation

 

Registered

 

MI2007C005031

 

09-May-2007

 

awaiting

 

14-May-2007

OXAF

 

Italy

 

Chemtura Corporation

 

Registered

 

092C000453

 

03-May-1992

 

634571

 

21-Nov-1994

ULTRANOX

 

Italy

 

Chemtura Corporation

 

Registered

 

95C006309

 

19-Jun-1995

 

728103

 

13-Oct-1997

WESTON

 

Italy

 

Chemtura Corporation

 

Registered

 

RM94C000685

 

18-Feb-1994

 

686876

 

18-Sep-1996

ZETOS

 

Italy

 

Chemtura Corporation

 

Pending

 

MI2007C010948

 

14-Oct-2007

 

 

 

 

ADIPRENE

 

Japan

 

Chemtura Corporation

 

Registered

 

2007117290

 

21-Nov-2007

 

5132241

 

25-Apr-2008

AXION

 

Japan

 

Chemtura Corporation

 

Registered

 

845506

 

25-Feb-2005

 

845506

 

25-Feb-2005

BLENDEX

 

Japan

 

Chemtura Corporation

 

Registered

 

2711962

 

10-Jan-1962

 

0612768

 

16-May-1963

BLENDEX (IN KATAKANA)

 

Japan

 

Chemtura Corporation

 

Registered

 

S53-087472

 

04-Dec-1978

 

1527102

 

30-Jul-1982

B-NINE

 

Japan

 

Chemtura Corporation

 

Registered

 

0135602/96

 

29-Nov-1996

 

4145976

 

15-May-1998

B-NINE (IN KATAKANA)

 

Japan

 

Chemtura Corporation

 

Registered

 

0141202/96

 

13-Dec-1996

 

4151407

 

29-May-1998

CHEMTURA

 

Japan

 

Chemtura Corporation

 

Registered

 

2007-126227

 

21-Dec-2007

 

5141882

 

13-Jun-2008

CHEMTURA (in Katakana)

 

Japan

 

Chemtura Corporation

 

Registered

 

2005-097125

 

12-Oct-2005

 

5015061

 

05-Jan-2007

 

54



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA AND DESIGN

 

Japan

 

Chemtura Corporation

 

Registered

 

2007-126228

 

21-Dec-2007

 

5141883

 

13-Jun-2008

CROMPTON

 

Japan

 

Chemtura Corporation

 

Registered

 

2002-071262

 

22-Aug-2002

 

4753509

 

05-Mar-2004

DEMILIN

 

Japan

 

Chemtura Corporation

 

Registered

 

0023296/76

 

14-Apr-1976

 

1459897

 

30-Apr-1981

DEMILIN (IN KATAKANA)

 

Japan

 

Chemtura Corporation

 

Registered

 

0163616/74

 

17-Dec-1974

 

1381208

 

29-Jun-1979

DIMILIN (in Katakana)

 

Japan

 

Chemtura Corporation

 

Registered

 

2007086609

 

07-Aug-2007

 

5107396

 

25-Jan-2008

FLEXZONE

 

Japan

 

Chemtura Corporation

 

Registered

 

0207036/92

 

05-Feb-1960

 

0576203

 

01-Jul-1961

FLEXZONE

 

Japan

 

Chemtura Corporation

 

Registered

 

2004-026035

 

19-Mar-2004

 

4843300

 

04-Mar-2005

GENOX

 

Japan

 

Chemtura Corporation

 

Registered

 

2002065439

 

02-Aug-2002

 

4684996

 

20-Jun-2003

HIVALLOY

 

Japan

 

Chemtura Corporation

 

Registered

 

110896/90

 

03-Oct-1990

 

2525820

 

28-Apr-1993

HYBASE

 

Japan

 

Chemtura Corporation

 

Registered

 

4684/1961

 

17-Feb-1961

 

0597441

 

18-Sep-1962

INTERLOY

 

Japan

 

Chemtura Corporation

 

Registered

 

2003-056850

 

08-Jul-2003

 

4818091

 

12-Nov-2004

MARK OBS

 

Japan

 

Chemtura Corporation

 

Registered

 

858778

 

23-Jun-2005

 

858778

 

23-Jun-2005

MITO-KOHNE and Katakana

 

Japan

 

Chemtura Corporation

 

Registered

 

 

 

 

 

4489946

 

13-Jul-2001

MITOKOHNE in Katakana

 

Japan

 

Chemtura Corporation

 

Registered

 

 

 

 

 

2097089

 

30-Nov-1988

NAUGARD XL-1

 

Japan

 

Chemtura Corporation

 

Registered

 

0120452/84

 

01-Nov-1984

 

1926464

 

28-Jan-1987

OBS

 

Japan

 

Chemtura Corporation

 

Registered

 

764638

 

18-Jul-2001

 

764638

 

18-Jul-2001

PETRONATE

 

Japan

 

Chemtura Corporation

 

Registered

 

34389/1955

 

15-Dec-1955

 

493608

 

19-Dec-1956

 

55



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PLANTVAX

 

Japan

 

Chemtura Corporation

 

Registered

 

0200991/87

 

 

 

1270885

 

16-May-1977

PLANTVAX (IN KATAKANA)

 

Japan

 

Chemtura Corporation

 

Registered

 

0017234/72

 

07-Feb-1972

 

1313151

 

25-Nov-1977

POLYBOND

 

Japan

 

Chemtura Corporation

 

Pending

 

200601474

 

21-Feb-2006

 

 

 

 

POLYGARD

 

Japan

 

Chemtura Corporation

 

Registered

 

 

 

28-Jan-1957

 

508594

 

12-Oct-1957

TEDEON V18 (IN KATAKANA)

 

Japan

 

Chemtura Corporation

 

Registered

 

0000018968

 

16-May-1956

 

500376

 

17-Apr-1957

ULTRANOX

 

Japan

 

Chemtura Corporation

 

Registered

 

63655/1985

 

24-Jun-1985

 

2302355

 

27-Feb-1991

WITCOBOND

 

Japan

 

Chemtura Corporation

 

Registered

 

27268/1988

 

11-Mar-1988

 

2701771

 

22-Dec-1994

WITCOBOND

 

Japan

 

Chemtura Corporation

 

Registered

 

111350/1992

 

08-May-1992

 

2708017

 

30-Jun-1995

ULTRANOX

 

Jersey

 

Chemtura Corporation

 

Registered

 

2821502

 

02-Aug-2002

 

2821502

 

30-Oct-2003

WESTON

 

Jersey

 

Chemtura Corporation

 

Registered

 

2821403

 

02-Aug-2002

 

2821403

 

29-Jun-2004

BLENDEX

 

Jordan

 

Chemtura Corporation

 

Registered

 

 

 

07-Nov-1986

 

24127

 

07-Nov-1986

ENVIROMITE

 

Jordan

 

Chemtura Corporation

 

Registered

 

103108

 

09-Oct-2008

 

103108

 

10-Mar-2009

BLENDEX

 

Kazakhstan

 

Chemtura Corporation

 

Registered

 

4037

 

21-Oct-1993

 

2369

 

17-Jul-1995

CHEMTURA (in Cyrillic)

 

Kazakhstan

 

Chemtura Corporation

 

Registered

 

32454

 

18-Oct-2005

 

22761

 

18-Oct-2005

ELASTIQ

 

Kazakhstan

 

Chemtura Corporation

 

Registered

 

33367

 

18-Jan-2006

 

23146

 

14-Sep-2007

ELASTIQ (in Cyrillic)

 

Kazakhstan

 

Chemtura Corporation

 

Registered

 

34294

 

30-Mar-2006

 

24044

 

07-Feb-2008

RANCONA

 

Kazakhstan

 

Chemtura Corporation

 

Pending

 

45092

 

31-Oct-2008

 

 

 

 

 

56



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

STIRRUP

 

Kazakhstan

 

Chemtura Corporation

 

Pending

 

44944

 

17-Oct-2008

 

 

 

 

STIRRUP in Cyrillic

 

Kazakhstan

 

Chemtura Corporation

 

Pending

 

44945

 

17-Oct-2008

 

 

 

 

ULTRANOX

 

Kazakhstan

 

Chemtura Corporation

 

Registered

 

10850

 

21-Oct-1993

 

2370

 

21-Oct-2003

WESTON

 

Kazakhstan

 

Chemtura Corporation

 

Registered

 

4039

 

21-Oct-1993

 

4162

 

02-Sep-1996

BADGER

 

Kenya

 

Chemtura Corporation

 

Registered

 

56754

 

11-Nov-2004

 

56754

 

11-Nov-2004

CHEMTURA

 

Kenya

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Kenya

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ENVIROMITE

 

Kenya

 

Chemtura Corporation

 

Registered

 

63955

 

27-Aug-2008

 

63955

 

17-Feb-2009

INGWE

 

Kenya

 

Chemtura Corporation

 

Registered

 

56779

 

22-Nov-2004

 

56779

 

22-Nov-2004

INOVATE

 

Kenya

 

Chemtura Corporation

 

Pending

 

A0005904

 

20-Sep-2006

 

 

 

 

ROYALKARE

 

Kenya

 

Chemtura Corporation

 

Registered

 

60039

 

23-Oct-2006

 

60039

 

07-Mar-2007

ROYALKOTE

 

Kenya

 

Chemtura Corporation

 

Registered

 

60040

 

23-Oct-2006

 

60040

 

06-Feb-2007

ROYALMARQ

 

Kenya

 

Chemtura Corporation

 

Registered

 

60041

 

23-Oct-2006

 

60041

 

06-Feb-2007

ROYALNEX

 

Kenya

 

Chemtura Corporation

 

Registered

 

60042

 

23-Oct-2006

 

60042

 

06-Feb-2007

TERRAGUARD

 

Kenya

 

Chemtura Corporation

 

Registered

 

58059

 

20-Sep-2005

 

58059

 

20-Sep-2005

CHEMTURA

 

Korea, Democratic People’s Republic of

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

 

57



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA AND DESIGN

 

Korea, Democratic People’s Republic of

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ACTAFOAM

 

Korea, Republic of

 

Chemtura Corporation

 

Published

 

4020080045118

 

18-Sep-2008

 

 

 

 

CHEMTURA

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

19-Nov-2008

CHEMTURA AND DESIGN

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

 

 

01-Aug-2005

 

873323

 

01-Aug-2005

CROMPTON

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

200236668

 

12-Aug-2002

 

596510

 

20-Oct-2004

GENOX

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

200235101

 

31-Jul-2002

 

604267

 

29-Dec-2004

GENOX

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

199313267

 

22-Apr-1993

 

338496

 

29-Apr-1996

HIVALLOY

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

90-29721

 

10-Oct-1990

 

235219

 

07-Apr-1992

INTERLOY

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

40200323556

 

26-May-2003

 

592808

 

09-Sep-2004

MARK OBS

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

858778

 

23-Jun-2005

 

858778

 

23-Jun-2005

NAUGARD

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

4020080010671

 

06-Mar-2008

 

400784424

 

01-Apr-2009

NAUGARD PHR

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

4020080010672

 

06-Mar-2008

 

400784425

 

01-Apr-2009

ULTRANOX

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

92-16630

 

17-Jun-1992

 

274428

 

16-Sep-1993

VITATHIRAM (IN KOREAN CHARACTERS)

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

86-9899

 

30-May-1986

 

143712

 

30-Jul-1987

WESTON

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

9416508

 

25-Apr-1994

 

331063

 

11-Jan-1996

WITCO

 

Korea, Republic of

 

Chemtura Corporation

 

Registered

 

2449/1980

 

18-Nov-1980

 

72765

 

18-Nov-1980

 

58



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BLENDEX

 

Kosovo

 

Chemtura Corporation

 

Pending

 

2481

 

23-Sep-2008

 

 

 

 

CHEMTURA

 

Kosovo

 

Chemtura Corporation

 

Pending

 

2439

 

23-Sep-2008

 

 

 

 

CHEMTURA and Design

 

Kosovo

 

Chemtura Corporation

 

Pending

 

2444

 

23-Sep-2008

 

 

 

 

FLEXZONE

 

Kosovo

 

Chemtura Corporation

 

Pending

 

2482

 

23-Sep-2008

 

 

 

 

ENVIROMITE

 

Kuwait

 

Chemtura Corporation

 

Pending

 

99473

 

18-Nov-2008

 

 

 

 

BLENDEX

 

Kyrgyz Republic

 

Chemtura Corporation

 

Registered

 

2294

 

31-Mar-1999

 

1697

 

30-Nov-1994

CHEMTURA

 

Kyrgyz Republic

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA (in Cyrillic)

 

Kyrgyz Republic

 

Chemtura Corporation

 

Registered

 

200504133

 

19-Oct-2005

 

8129

 

31-May-2007

CHEMTURA AND DESIGN

 

Kyrgyz Republic

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ULTRANOX

 

Kyrgyz Republic

 

Chemtura Corporation

 

Registered

 

940632.3

 

31-Oct-1994

 

3069

 

30-Jan-1996

WESTON

 

Kyrgyz Republic

 

Chemtura Corporation

 

Registered

 

940631.3

 

31-Oct-1994

 

3261

 

29-Mar-1996

BI-LARV

 

Laos

 

Chemtura Corporation

 

Registered

 

14834

 

20-Jul-2006

 

14382

 

13-Mar-2007

ELASTIQ

 

Latvia

 

Chemtura Corporation

 

Registered

 

M0652

 

17-Jan-2006

 

M58042

 

20-Sep-2007

ULTRANOX

 

Latvia

 

Chemtura Corporation

 

Registered

 

M922269

 

01-Dec-1992

 

M30838

 

30-Sep-1995

WESTON

 

Latvia

 

Chemtura Corporation

 

Registered

 

M92-2268

 

01-Dec-1992

 

M30837

 

30-Sep-1995

BLENDEX

 

Lebanon

 

Chemtura Corporation

 

Registered

 

 

 

02-Apr-1969

 

79062

 

08-Mar-1999

ENVIROMITE

 

Lebanon

 

Chemtura Corporation

 

Registered

 

6225

 

03-Sep-2008

 

118375

 

12-Sep-2008

 

59



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA

 

Lesotho

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Lesotho

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

CHEMTURA

 

Liechtenstein

 

Chemtura Corporation

 

Registered

 

 

 

01-Aug-2005

 

13650

 

01-Aug-2005

CHEMTURA

 

Liechtenstein

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Liechtenstein

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ELASTIQ

 

Lithuania

 

Chemtura Corporation

 

Registered

 

20060935

 

12-May-2006

 

55408

 

12-May-2006

ULTRANOX

 

Lithuania

 

Chemtura Corporation

 

Registered

 

ZP12547

 

30-Sep-1993

 

23707

 

09-May-1997

WESTON

 

Lithuania

 

Chemtura Corporation

 

Registered

 

12548

 

30-Sep-1993

 

23708

 

18-Oct-1996

CHEMTURA

 

Macedonia

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Macedonia

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

BADGER

 

Malawi

 

Chemtura Corporation

 

Registered

 

562/2004

 

11-Nov-2004

 

562/2004

 

11-Nov-2004

INGWE

 

Malawi

 

Chemtura Corporation

 

Registered

 

608/2004

 

25-Nov-2004

 

6082004

 

25-Nov-2004

ANDEROL

 

Malaysia

 

Chemtura Corporation

 

Pending

 

08016150

 

13-Aug-2008

 

 

 

 

BI-LARV

 

Malaysia

 

Chemtura Corporation

 

Registered

 

2006/09196

 

30-May-2006

 

2006/09196

 

15-Oct-2008

BLENDEX

 

Malaysia

 

Chemtura Corporation

 

Registered

 

 

 

12-Sep-1968

 

MB50688

 

12-Sep-1968

DRAPEX

 

Malaysia

 

Chemtura Corporation

 

Registered

 

M/85868

 

27-Mar-1980

 

M/85868

 

16-Jul-1987

PANTERA

 

Malaysia

 

Chemtura Corporation

 

Registered

 

MA/2626/88

 

06-Jun-1988

 

88002626

 

19-Jul-1994

 

60



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

POLYBOND

 

Malaysia

 

Chemtura Corporation

 

Registered

 

200602610

 

23-Feb-2006

 

06002610

 

23-Feb-2006

RIBBON FLOW

 

Malaysia

 

Chemtura Corporation

 

Registered

 

MA/8578/93

 

01-Nov-1993

 

93008578

 

19-May-1995

TEDION V18

 

Malaysia

 

Chemtura Corporation

 

Registered

 

0MA67286

 

21-Feb-1986

 

86000672

 

16-Mar-1995

TERRAZOLE

 

Malaysia

 

Chemtura Corporation

 

Registered

 

MA/7422/89

 

30-Nov-1989

 

89007422

 

30-Jul-1994

ULTRANOX

 

Malaysia

 

Chemtura Corporation

 

Registered

 

200210552

 

27-Aug-2002

 

201010552

 

27-Aug-2002

ACTAFOAM

 

Mexico

 

Chemtura Corporation

 

Registered

 

962350

 

19-Sep-2008

 

1064993

 

30-Sep-2008

ADOBE

 

Mexico

 

Chemtura Corporation

 

Registered

 

968306

 

16-Oct-2008

 

1092778

 

30-Oct-2008

ADOBE

 

Mexico

 

Chemtura Corporation

 

Registered

 

968305

 

16-Oct-2008

 

1070074

 

30-Oct-2008

BLENDEX

 

Mexico

 

Chemtura Corporation

 

Registered

 

 

 

07-Aug-1979

 

236039

 

15-Nov-1979

CARBOVAX

 

Mexico

 

Chemtura Corporation

 

Registered

 

677882

 

21-Sep-2004

 

913362

 

21-Sep-2004

CHEMTURA

 

Mexico

 

Chemtura Corporation

 

Registered

 

725848

 

29-Jun-2005

 

897433

 

26-Aug-2005

CHEMTURA

 

Mexico

 

Chemtura Corporation

 

Registered

 

725849

 

29-Jun-2005

 

897434

 

26-Aug-2005

CHEMTURA

 

Mexico

 

Chemtura Corporation

 

Registered

 

725850

 

29-Jun-2005

 

897435

 

26-Aug-2005

CHEMTURA

 

Mexico

 

Chemtura Corporation

 

Registered

 

725851

 

29-Jun-2005

 

897436

 

26-Aug-2005

CHEMTURA

 

Mexico

 

Chemtura Corporation

 

Registered

 

725852

 

29-Jun-2005

 

903849

 

17-Oct-2005

CHEMTURA

 

Mexico

 

Chemtura Corporation

 

Registered

 

725853

 

29-Jun-2005

 

897437

 

26-Aug-2005

CHEMTURA

 

Mexico

 

Chemtura Corporation

 

Registered

 

725854

 

29-Jun-2005

 

925710

 

27-Mar-2006

 

61



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA

 

Mexico

 

Chemtura Corporation

 

Registered

 

725855

 

29-Jun-2005

 

897438

 

26-Aug-2005

CROMPTON

 

Mexico

 

Chemtura Corporation

 

Registered

 

560929

 

13-Aug-2002

 

814000

 

25-Nov-2003

CROMPTON

 

Mexico

 

Chemtura Corporation

 

Registered

 

560,930

 

13-Aug-2002

 

761,834

 

27-Aug-2002

CROMPTON

 

Mexico

 

Chemtura Corporation

 

Registered

 

560,931

 

13-Aug-2002

 

761,835

 

27-Aug-2002

CROMPTON

 

Mexico

 

Chemtura Corporation

 

Registered

 

560932

 

13-Aug-2002

 

795107

 

12-Jun-2003

CROMPTON

 

Mexico

 

Chemtura Corporation

 

Registered

 

560,933

 

13-Aug-2002

 

761,836

 

27-Aug-2002

DELAC

 

Mexico

 

Chemtura Corporation

 

Registered

 

95609

 

07-Sep-1990

 

424203

 

22-Oct-1992

DRAPEX

 

Mexico

 

Chemtura Corporation

 

Registered

 

601715

 

21-May-2003

 

795603

 

23-Jun-2003

FLEXZONE

 

Mexico

 

Chemtura Corporation

 

Registered

 

 

 

12-Feb-1960

 

101845

 

20-Oct-1960

INOVATE

 

Mexico

 

Chemtura Corporation

 

Registered

 

816138

 

30-Oct-2006

 

983099

 

30-Oct-2006

INTERLOY

 

Mexico

 

Chemtura Corporation

 

Registered

 

604705

 

10-Jun-2003

 

808022

 

29-Sep-2003

MARK OBS

 

Mexico

 

Chemtura Corporation

 

Registered

 

726786

 

05-Jul-2005

 

975478

 

05-Jul-2005

RANCONA

 

Mexico

 

Chemtura Corporation

 

Registered

 

971641

 

31-Oct-2008

 

1080097

 

21-Jan-2009

RANCONA

 

Mexico

 

Chemtura Corporation

 

Registered

 

971642

 

31-Oct-2008

 

1080097

 

21-Jan-2009

ULTRANOX

 

Mexico

 

Chemtura Corporation

 

Registered

 

74035

 

19-Oct-1989

 

457296

 

19-Oct-1989

WESTON

 

Mexico

 

Chemtura Corporation

 

Registered

 

 

 

14-Jun-1979

 

252064

 

03-Oct-1980

WITCOLINK

 

Mexico

 

Chemtura Corporation

 

Registered

 

774120

 

27-Mar-2006

 

986169

 

27-Mar-2006

 

62



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BLENDEX

 

Moldova

 

Chemtura Corporation

 

Registered

 

002801

 

12-Jul-1994

 

R2035

 

03-Aug-1995

CHEMTURA

 

Moldova

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Moldova

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ELASTIQ

 

Moldova

 

Chemtura Corporation

 

Registered

 

020902

 

19-Mar-2007

 

16648

 

19-Jun-2008

RANCONA

 

Moldova

 

Chemtura Corporation

 

Pending

 

982331

 

03-Nov-2008

 

 

 

 

ROYALFLO

 

Moldova

 

Chemtura Corporation

 

Registered

 

020732

 

16-Feb-2007

 

16710

 

09-Jul-2008

STIRRUP

 

Moldova

 

Chemtura Corporation

 

Registered

 

024439

 

16-Oct-2008

 

19033

 

05-Oct-2009

STIRRUP in Cyrillic

 

Moldova

 

Chemtura Corporation

 

Registered

 

024440

 

16-Oct-2008

 

19034

 

05-Oct-2009

ULTRANOX

 

Moldova

 

Chemtura Corporation

 

Registered

 

002447

 

13-Jul-1994

 

R 2780

 

01-Dec-1995

WESTON

 

Moldova

 

Chemtura Corporation

 

Registered

 

002428

 

12-Jul-1994

 

R3671

 

27-Mar-1996

BLENDEX

 

Monaco

 

Chemtura Corporation

 

Registered

 

 

 

29-Aug-1986

 

17234

 

28-Aug-1996

CHEMTURA

 

Monaco

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Monaco

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

CHEMTURA

 

Mongolia

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Mongolia

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

CHEMTURA

 

Montenegro

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Montenegro

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

 

63



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA

 

Morocco

 

Chemtura Corporation

 

Registered

 

 

 

30-Jun-2005

 

98507

 

30-Jun-2005

CHEMTURA

 

Morocco

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Morocco

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

CHEMTURA

 

Mozambique

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Mozambique

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

CHEMTURA

 

Namibia

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Namibia

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

DRAPEX

 

Nepal

 

Chemtura Corporation

 

Registered

 

 

 

26-Jul-2001

 

17093058

 

18-Oct-2001

MARK

 

Nepal

 

Chemtura Corporation

 

Registered

 

 

 

 

 

18604/059

 

03-Jan-2003

VITAVAX

 

Nepal

 

Chemtura Corporation

 

Registered

 

 

 

01-Oct-1993

 

9486/050

 

04-Nov-1993

CHEMTURA

 

Netherlands Antilles

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Netherlands Antilles

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ACRAMITE

 

New Zealand

 

Chemtura Corporation

 

Registered

 

617753

 

28-Jun-2000

 

617753

 

04-Jan-2001

BANISH

 

New Zealand

 

Chemtura Corporation

 

Registered

 

755645

 

22-Sep-2006

 

755645

 

22-Mar-2007

BLENDEX

 

New Zealand

 

Chemtura Corporation

 

Registered

 

83122

 

06-Jan-1967

 

83122

 

15-Jan-1968

BRYTON

 

New Zealand

 

Chemtura Corporation

 

Registered

 

63994

 

02-Jun-1959

 

63994

 

19-Aug-1960

CHEMTURA

 

New Zealand

 

Chemtura Corporation

 

Registered

 

731468

 

21-Jun-2005

 

731468

 

10-May-2007

 

64



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

DRAPEX

 

New Zealand

 

Chemtura Corporation

 

Registered

 

131364

 

14-Feb-1980

 

131364

 

28-Jun-1982

HIVALLOY

 

New Zealand

 

Chemtura Corporation

 

Registered

 

205215

 

03-Oct-1990

 

205215

 

13-Feb-1995

HYBASE

 

New Zealand

 

Chemtura Corporation

 

Registered

 

63919

 

19-May-1959

 

63919

 

13-May-1960

INTERLOY

 

New Zealand

 

Chemtura Corporation

 

Registered

 

679619

 

26-May-2003

 

679619

 

09-Oct-2003

TERRA-COAT

 

New Zealand

 

Chemtura Corporation

 

Registered

 

102823

 

04-Jan-1973

 

102823

 

16-Mar-1974

FLEXZONE

 

Nicaragua

 

Chemtura Corporation

 

Registered

 

 

 

24-Oct-1969

 

22176

 

30-Jan-1970

CHEMTURA

 

Norway

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Norway

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

DRAPEX

 

Norway

 

Chemtura Corporation

 

Registered

 

800412

 

12-Feb-1980

 

108045

 

09-Apr-1981

HIVALLOY

 

Norway

 

Chemtura Corporation

 

Registered

 

905114

 

04-Oct-1990

 

151843

 

20-Aug-1992

INTERLOY

 

Norway

 

Chemtura Corporation

 

Registered

 

20030527

 

27-May-2003

 

224048

 

17-Aug-2004

MARK OBS

 

Norway

 

Chemtura Corporation

 

Registered

 

858778

 

23-Jun-2005

 

858778

 

23-Jun-2005

ENVIROMITE

 

Oman

 

Chemtura Corporation

 

Pending

 

52992

 

24-Aug-2008

 

 

 

 

CHEMTURA

 

Pakistan

 

Chemtura Corporation

 

Registered

 

210812

 

23-Jun-2005

 

210812

 

15-May-2008

CHEMTURA

 

Pakistan

 

Chemtura Corporation

 

Registered

 

210811

 

23-Jun-2005

 

210811

 

15-May-2008

CHEMTURA

 

Pakistan

 

Chemtura Corporation

 

Registered

 

210805

 

23-Jun-2005

 

210805

 

15-May-2008

CHEMTURA

 

Pakistan

 

Chemtura Corporation

 

Registered

 

210810

 

23-Jun-2005

 

210810

 

15-May-2008

 

65



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA

 

Pakistan

 

Chemtura Corporation

 

Registered

 

210809

 

23-Jun-2005

 

210809

 

15-May-2008

CHEMTURA

 

Pakistan

 

Chemtura Corporation

 

Registered

 

210808

 

23-Jun-2005

 

210808

 

15-May-2008

CHEMTURA

 

Pakistan

 

Chemtura Corporation

 

Registered

 

210807

 

23-Jun-2005

 

210807

 

15-May-2008

CHEMTURA

 

Pakistan

 

Chemtura Corporation

 

Registered

 

210806

 

23-Jun-2005

 

210806

 

15-May-2008

DRAPEX

 

Pakistan

 

Chemtura Corporation

 

Registered

 

175213

 

01-Dec-2001

 

175213

 

07-Dec-2001

CHEMTURA

 

Paraguay

 

Chemtura Corporation

 

Registered

 

32619-2005

 

26-Oct-2005

 

294177

 

11-Jul-2006

CHEMTURA

 

Paraguay

 

Chemtura Corporation

 

Registered

 

32620-2005

 

26-Oct-2005

 

294178

 

11-Jul-2006

CHEMTURA

 

Paraguay

 

Chemtura Corporation

 

Registered

 

32621-2005

 

26-Oct-2005

 

294179

 

11-Jul-2006

CHEMTURA

 

Paraguay

 

Chemtura Corporation

 

Registered

 

32622-2005

 

26-Oct-2005

 

294180

 

11-Jul-2006

CHEMTURA

 

Paraguay

 

Chemtura Corporation

 

Registered

 

32623-2005

 

26-Oct-2005

 

294181

 

11-Jul-2006

CHEMTURA

 

Paraguay

 

Chemtura Corporation

 

Registered

 

32624-2005

 

26-Oct-2005

 

294182

 

11-Jul-2006

CHEMTURA

 

Paraguay

 

Chemtura Corporation

 

Registered

 

32625-2005

 

26-Oct-2005

 

291768

 

21-Aug-2006

CHEMTURA

 

Paraguay

 

Chemtura Corporation

 

Registered

 

32626-2005

 

26-Oct-2005

 

291769

 

21-Aug-2006

CRUSADER

 

Paraguay

 

Chemtura Corporation

 

Registered

 

34189-2004

 

02-Dec-2004

 

279446

 

21-Jun-2005

BLENDEX

 

Peru

 

Chemtura Corporation

 

Registered

 

52269

 

28-Dec-1981

 

45322

 

19-Aug-1982

CHEMTURA

 

Peru

 

Chemtura Corporation

 

Registered

 

258757-2005/OSD

 

26-Oct-2005

 

118030

 

07-Aug-2006

CHEMTURA

 

Peru

 

Chemtura Corporation

 

Registered

 

258758-2005/OSD

 

26-Oct-2005

 

116213

 

12-Jun-2006

 

66



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA

 

Peru

 

Chemtura Corporation

 

Registered

 

258759-2005/OSD

 

26-Oct-2005

 

113446

 

15-Mar-2006

CHEMTURA

 

Peru

 

Chemtura Corporation

 

Registered

 

258760-2005/OSD

 

26-Oct-2005

 

118031

 

07-Aug-2006

CHEMTURA

 

Peru

 

Chemtura Corporation

 

Registered

 

258761-2005/OSD

 

26-Oct-2005

 

118032

 

07-Aug-2006

CHEMTURA

 

Peru

 

Chemtura Corporation

 

Registered

 

258762-2005/OSD

 

26-Oct-2005

 

118033

 

07-Aug-2006

CHEMTURA

 

Peru

 

Chemtura Corporation

 

Registered

 

258763-2005/OSD

 

26-Oct-2005

 

113447

 

15-Mar-2006

CHEMTURA

 

Peru

 

Chemtura Corporation

 

Registered

 

258764-2005/OSD

 

26-Oct-2005

 

118034

 

07-Aug-2006

B-NINE

 

Poland

 

Chemtura Corporation

 

Pending

 

Z362159

 

27-Oct-09

 

 

 

 

BLENDEX

 

Poland

 

Chemtura Corporation

 

Registered

 

68318

 

07-May-1969

 

48680

 

28-Nov-1969

CASORON

 

Poland

 

Chemtura Corporation

 

Registered

 

000Z-85011

 

29-Sep-1987

 

63260

 

02-Sep-1989

ELASTIQ

 

Poland

 

Chemtura Corporation

 

Registered

 

Z296479

 

14-Jun-2005

 

R193840

 

14-Jun-2005

FLEXZONE

 

Poland

 

Chemtura Corporation

 

Registered

 

0000Z67765

 

03-Oct-1968

 

048468

 

03-Oct-1968

MARK OBS

 

Poland

 

Chemtura Corporation

 

Registered

 

858778

 

23-Jun-2005

 

858778

 

23-Jun-2005

OBS

 

Poland

 

Chemtura Corporation

 

Registered

 

764638

 

18-Jul-2001

 

764638

 

18-Jul-2001

ULTRANOX

 

Poland

 

Chemtura Corporation

 

Registered

 

108916

 

05-May-1992

 

78679

 

27-Sep-1994

WESTON

 

Poland

 

Chemtura Corporation

 

Registered

 

108915

 

05-May-1992

 

78678

 

12-Oct-1994

ANDEROL

 

Portugal

 

Chemtura Corporation

 

Registered

 

211858

 

28-May-1981

 

211858

 

02-Nov-1998

BLENDEX

 

Portugal

 

Chemtura Corporation

 

Registered

 

236322

 

08-Aug-1986

 

236322

 

17-Jul-1992

 

67



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ENVIROMITE

 

Qatar

 

Chemtura Corporation

 

Published

 

54527

 

28-Oct-2008

 

 

 

 

CHEMTURA

 

Romania

 

Chemtura Corporation

 

Registered

 

M2005007065

 

22-Jun-2005

 

70949

 

22-Jun-2005

CHEMTURA

 

Romania

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Romania

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ELASTIQ

 

Romania

 

Chemtura Corporation

 

Registered

 

2005006533

 

08-Jun-2005

 

70346

 

08-Jun-2005

LEVEL

 

Romania

 

Chemtura Corporation

 

Registered

 

M2009000056

 

07-Jan-2009

 

100147

 

07-Jan-2009

RANCONA

 

Romania

 

Chemtura Corporation

 

Pending

 

 

 

03-Nov-2008

 

 

 

 

ULTRANOX

 

Romania

 

Chemtura Corporation

 

Registered

 

 

 

 

 

18147

 

21-Jul-1992

WESTON

 

Romania

 

Chemtura Corporation

 

Registered

 

27364

 

21-Jul-1992

 

18148

 

21-Jul-1992

BLENDEX

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

53172

 

31-Mar-1969

 

39078

 

12-Dec-1969

B-NINE

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

84347

 

07-Sep-1978

 

63827

 

23-Mar-1979

CHEMTURA

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA (in Cyrillic)

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

2005724064

 

20-Sep-2005

 

324871

 

21-Sep-2005

CHEMTURA (in Cyrillic)

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

2005725727

 

10-Oct-2005

 

319064

 

10-Oct-2005

CHEMTURA AND DESIGN

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

DIMILIN (IN CYRILLIC)

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

107961

 

19-Jan-1998

 

83667

 

12-Sep-1988

ELASTIQ (in Cyrillic)

 

Russian Federation

 

Chemtura Corporation

 

Pending

 

2007708248

 

26-Mar-2007

 

 

 

 

 

68



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

FLEXZONE

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

51604

 

30-Sep-1968

 

37948

 

23-Jun-1969

FOMREZ

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

2008707500

 

14-Mar-2008

 

379611

 

20-May-2009

HIVALLOY

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

126920

 

04-Oct-1990

 

96764

 

17-Mar-1991

INOVATE

 

Russian Federation

 

Chemtura Corporation

 

Pending

 

A0005904

 

20-Sep-2006

 

 

 

 

INTERLOY

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

2003711074

 

04-Jun-2003

 

267989

 

28-Apr-2004

NAUGARD

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

83701

 

21-Jun-1978

 

63671

 

19-Jan-1979

POLYBOND

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

2007731214

 

09-Oct-2007

 

366837

 

08-Dec-2008

RANCONA

 

Russian Federation

 

Chemtura Corporation

 

Pending

 

 

 

03-Nov-2008

 

 

 

 

STIRRUP

 

Russian Federation

 

Chemtura Corporation

 

Pending

 

20087330079

 

16-Oct-2008

 

 

 

 

STIRRUP in Cyrillic

 

Russian Federation

 

Chemtura Corporation

 

Pending

 

20087330078

 

16-Oct-2008

 

 

 

 

TRIMENE BASE

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

5106

 

30-Sep-1968

 

37949

 

23-Jun-1969

ULTRANOX

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

159506

 

01-Jun-1992

 

117480

 

26-Apr-1994

VIBRATHANE

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

83703

 

21-Jun-1978

 

63343

 

26-Jan-1979

WESTON

 

Russian Federation

 

Chemtura Corporation

 

Registered

 

159507

 

01-Jun-1992

 

122123

 

09-Dec-1994

DU-DIM

 

Saudi Arabia

 

Chemtura Corporation

 

Registered

 

116715

 

24-Apr-2007

 

96626

 

06-Jan-2008

BLENDEX

 

Serbia

 

Chemtura Corporation

 

Registered

 

Z184/69

 

27-Mar-1969

 

18946

 

22-Jun-1971

CHEMTURA

 

Serbia

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

 

69



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA AND DESIGN

 

Serbia

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

FLEXZONE

 

Serbia

 

Chemtura Corporation

 

Registered

 

00Z-691/68

 

26-Sep-1968

 

0018570

 

21-Apr-1970

CHEMTURA

 

Sierra Leone

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Sierra Leone

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ADIPRENE EXTREME

 

Singapore

 

Chemtura Corporation

 

Registered

 

T04/10974E

 

06-Jul-2004

 

T04/10974E

 

06-Jul-2004

BLENDEX

 

Singapore

 

Chemtura Corporation

 

Registered

 

44670

 

11-Sep-1968

 

T68/44670Z

 

11-Sep-1968

CHEMTURA

 

Singapore

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA (in Chinese Characters Simplified) (Phase I)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T0520746E

 

20-Oct-2005

 

T0520746E

 

20-Oct-2005

CHEMTURA (in Chinese Characters Simplified) (Phase I)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T0520754F

 

20-Oct-2005

 

T0520754F

 

20-Oct-2005

CHEMTURA AND DESIGN

 

Singapore

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

CHEMTURA in Chinese (Simplified) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T06/02232I

 

06-Feb-2006

 

T06/022321

 

06-Feb-2006

CHEMTURA in Chinese (Simplified) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T0602233G

 

06-Feb-2006

 

T0602233G

 

06-Feb-2006

CHEMTURA in Chinese (Simplified) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T06/02234E

 

06-Feb-2006

 

T06/02234E

 

06-Feb-2006

CHEMTURA in Chinese (Simplified) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T06/02235C

 

06-Feb-2006

 

T06/02235C

 

06-Feb-2006

 

70



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA in Chinese (Simplified) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T06/02236A

 

06-Feb-2006

 

T06/02236A

 

06-Feb-2006

CHEMTURA in Chinese (Simplified) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T06/02237Z

 

06-Feb-2006

 

T06/02237Z

 

06-Feb-2006

CHEMTURA in Chinese (Simplified) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T06/02238H

 

06-Feb-2006

 

T06/02238H

 

06-Feb-2006

CHEMTURA in Chinese (Simplified) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T0602239F

 

06-Feb-2006

 

T06/02239F

 

06-Feb-2006

CHEMTURA in Chinese (Traditional) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T0602221C

 

06-Feb-2006

 

T0602221C

 

06-Feb-2006

CHEMTURA in Chinese (Traditional) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T0602222A

 

06-Feb-2006

 

T0602222A

 

06-Feb-2006

CHEMTURA in Chinese (Traditional) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T0602223Z

 

06-Feb-2006

 

T06/02223Z

 

02-Jun-2006

CHEMTURA in Chinese (Traditional) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T0602224H

 

06-Feb-2006

 

T0602224H

 

06-Feb-2006

CHEMTURA in Chinese (Traditional) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T0602225F

 

06-Feb-2006

 

T0602225F

 

06-Feb-2006

CHEMTURA in Chinese (Traditional) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T0602226D

 

06-Feb-2006

 

T0602226D

 

06-Feb-2006

CHEMTURA in Chinese (Traditional) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T06/02228J

 

06-Feb-2006

 

T06/02228J

 

06-Feb-2006

 

71



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA in Chinese (Traditional) (Phase II)

 

Singapore

 

Chemtura Corporation

 

Registered

 

T0602229I

 

06-Feb-2006

 

T06/02229I

 

06-Feb-2006

DRAPEX

 

Singapore

 

Chemtura Corporation

 

Registered

 

1159/80

 

24-Mar-1980

 

T80/01159

 

24-Mar-1980

INTERLOY

 

Singapore

 

Chemtura Corporation

 

Registered

 

0308572I

 

06-Jun-2003

 

T03/08572I

 

04-Aug-2003

OBS

 

Singapore

 

Chemtura Corporation

 

Registered

 

764638

 

18-Jul-2001

 

764638

 

18-Jul-2001

POLYBOND

 

Singapore

 

Chemtura Corporation

 

Registered

 

T06/02829G

 

13-Feb-2006

 

T0602829G

 

13-Feb-2006

ULTRANOX

 

Singapore

 

Chemtura Corporation

 

Registered

 

2786/85

 

21-Jun-1985

 

T85/02736A

 

21-Jun-1985

WESTON

 

Singapore

 

Chemtura Corporation

 

Registered

 

4309/92

 

10-Jun-1992

 

T92/04309A

 

10-Jun-1992

BLENDEX

 

Slovak Republic

 

Chemtura Corporation

 

Registered

 

42917

 

13-Mar-1969

 

160690

 

07-Feb-1972

ELASTIQ

 

Slovak Republic

 

Chemtura Corporation

 

Registered

 

11212005

 

16-Jun-2005

 

213845

 

09-May-2006

FLEXZONE

 

Slovak Republic

 

Chemtura Corporation

 

Registered

 

0000042327

 

27-Sep-1968

 

159170

 

04-Aug-1969

ULTRANOX

 

Slovak Republic

 

Chemtura Corporation

 

Registered

 

68810

 

26-May-1992

 

173775

 

10-Feb-1995

BLENDEX

 

Slovenia

 

Chemtura Corporation

 

Registered

 

Z6980184

 

16-Feb-1994

 

6980184

 

22-Aug-1996

ACRAMITE

 

South Africa

 

Chemtura Corporation

 

Published

 

2007/25661

 

06-Nov-2007

 

 

 

 

BADGER

 

South Africa

 

Chemtura Corporation

 

Published

 

200420349

 

09-Nov-2004

 

 

 

 

BLENDEX

 

South Africa

 

Chemtura Corporation

 

Registered

 

 

 

10-Mar-1969

 

690955

 

19-May-1970

CASTOMER

 

South Africa

 

Chemtura Corporation

 

Registered

 

79/6251

 

22-Nov-1979

 

79/6251

 

15-Jan-1982

CHEMTURA

 

South Africa

 

Chemtura Corporation

 

Registered

 

200512222

 

21-Jun-2005

 

200512222

 

21-Jun-2005

 

72



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA

 

South Africa

 

Chemtura Corporation

 

Registered

 

200512223

 

21-Jun-2005

 

200512223

 

21-Jun-2005

CHEMTURA

 

South Africa

 

Chemtura Corporation

 

Registered

 

200512224

 

21-Jun-2005

 

200512224

 

21-Jun-2005

CHEMTURA

 

South Africa

 

Chemtura Corporation

 

Registered

 

200512225

 

21-Jun-2005

 

200512225

 

21-Jun-2005

CHEMTURA

 

South Africa

 

Chemtura Corporation

 

Registered

 

200512226

 

21-Jun-2005

 

200512226

 

21-Jun-2005

CHEMTURA

 

South Africa

 

Chemtura Corporation

 

Registered

 

200512227

 

21-Jun-2005

 

200512227

 

21-Jun-2005

CHEMTURA

 

South Africa

 

Chemtura Corporation

 

Registered

 

200512228

 

21-Jun-2005

 

200512228

 

21-Jun-2005

CHEMTURA

 

South Africa

 

Chemtura Corporation

 

Registered

 

200512229

 

21-Jun-2005

 

200512229

 

21-Jun-2005

CROMPTON

 

South Africa

 

Chemtura Corporation

 

Registered

 

200500986

 

19-Jan-2005

 

200500986

 

04-Aug-2008

CROMPTON

 

South Africa

 

Chemtura Corporation

 

Registered

 

200500987

 

19-Jan-2005

 

200500987

 

27-Aug-2008

CROMPTON

 

South Africa

 

Chemtura Corporation

 

Registered

 

200500988

 

19-Jan-2005

 

200500988

 

26-Aug-2008

CROMPTON

 

South Africa

 

Chemtura Corporation

 

Registered

 

200500989

 

19-Jan-2005

 

200500989

 

18-Jan-2005

CROMPTON

 

South Africa

 

Chemtura Corporation

 

Registered

 

200500990

 

19-Jan-2005

 

200500990

 

26-Aug-2008

DRAPEX

 

South Africa

 

Chemtura Corporation

 

Registered

 

80/0800

 

18-Feb-1980

 

80/0800

 

10-Apr-1981

ENVIROMITE

 

South Africa

 

Chemtura Corporation

 

Pending

 

200819724

 

25-Aug-2008

 

 

 

 

FLEXZONE

 

South Africa

 

Chemtura Corporation

 

Registered

 

690124

 

14-Jan-1969

 

690124

 

09-Mar-1970

HIVALLOY

 

South Africa

 

Chemtura Corporation

 

Registered

 

90/8609

 

03-Oct-1990

 

90/8609

 

31-Aug-1993

HYBASE

 

South Africa

 

Chemtura Corporation

 

Registered

 

59/1482

 

20-May-1959

 

59/1482

 

14-Sep-1959

 

73



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

INGWE

 

South Africa

 

Chemtura Corporation

 

Registered

 

200421132

 

22-Nov-2004

 

200421132

 

26-Aug-2008

INOVATE

 

South Africa

 

Chemtura Corporation

 

Pending

 

2006/22745

 

22-Sep-2006

 

 

 

 

INTERLOY

 

South Africa

 

Chemtura Corporation

 

Registered

 

200308524

 

26-May-2003

 

2003/08524

 

08-Apr-2003

NAUGARD

 

South Africa

 

Chemtura Corporation

 

Registered

 

670019

 

03-Jan-1967

 

670019

 

24-Aug-1967

OMITE

 

South Africa

 

Chemtura Corporation

 

Registered

 

670577

 

16-Feb-1967

 

670577

 

04-Mar-1968

PETRONATE

 

South Africa

 

Chemtura Corporation

 

Registered

 

72/3279

 

20-Jun-1972

 

72/3279

 

20-Jun-1972

PROCURE

 

South Africa

 

Chemtura Corporation

 

Registered

 

200512890

 

28-Jun-2005

 

2005/12890

 

04-Aug-2008

ROYALKARE

 

South Africa

 

Chemtura Corporation

 

Published

 

200623307

 

02-Oct-2006

 

 

 

 

ROYALKOTE

 

South Africa

 

Chemtura Corporation

 

Published

 

200623308

 

02-Oct-2006

 

 

 

 

ROYALMARQ

 

South Africa

 

Chemtura Corporation

 

Published

 

200623309

 

02-Oct-2006

 

 

 

 

ROYALNEX

 

South Africa

 

Chemtura Corporation

 

Pending

 

2007/05395

 

14-Mar-2007

 

 

 

 

ROYALNEX

 

South Africa

 

Chemtura Corporation

 

Published

 

200623310

 

02-Oct-2006

 

 

 

 

TERRAGUARD

 

South Africa

 

Chemtura Corporation

 

Registered

 

200512891

 

28-Jun-2005

 

2005/12891

 

04-Aug-2008

ULTRANOX

 

South Africa

 

Chemtura Corporation

 

Registered

 

 

 

08-Jun-1992

 

924735

 

16-May-1995

VIBRABOND

 

South Africa

 

Chemtura Corporation

 

Registered

 

873087

 

30-Apr-1987

 

873087

 

19-Feb-1991

VIBRABOND

 

South Africa

 

Chemtura Corporation

 

Registered

 

873088

 

30-Apr-1987

 

873088

 

19-Feb-1991

VIBRACURE

 

South Africa

 

Chemtura Corporation

 

Registered

 

873085

 

30-Apr-1987

 

873085

 

19-Feb-1991

 

74



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VIBRACURE

 

South Africa

 

Chemtura Corporation

 

Registered

 

873086

 

30-Apr-1987

 

873086

 

19-Feb-1991

VIBRASPRAY

 

South Africa

 

Chemtura Corporation

 

Registered

 

873083

 

30-Apr-1987

 

873083

 

19-Feb-1991

VIBRASPRAY

 

South Africa

 

Chemtura Corporation

 

Registered

 

873084

 

30-Apr-1987

 

873084

 

19-Feb-1991

VIBRATHANE

 

South Africa

 

Chemtura Corporation

 

Registered

 

873081

 

30-Apr-1987

 

873081

 

30-May-1991

VIBRATHANE

 

South Africa

 

Chemtura Corporation

 

Registered

 

873082

 

30-Apr-1987

 

873082

 

30-May-1991

VITAFLO

 

South Africa

 

Chemtura Corporation

 

Registered

 

771489

 

07-Apr-1977

 

771489

 

21-Jul-1978

VITAVAX

 

South Africa

 

Chemtura Corporation

 

Registered

 

672375

 

06-Jun-1967

 

672375

 

04-Aug-1968

WESTON

 

South Africa

 

Chemtura Corporation

 

Registered

 

92/24734

 

08-Jun-1992

 

B92/4734

 

03-May-1995

BLENDEX

 

Spain

 

Chemtura Corporation

 

Registered

 

398729

 

17-Mar-1962

 

398729

 

25-Feb-1965

B-NINE

 

Spain

 

Chemtura Corporation

 

Registered

 

2841872(7)

 

26-Aug-2008

 

2841872

 

01-Feb-2009

CAYTUR

 

Spain

 

Chemtura Corporation

 

Registered

 

 

 

19-Apr-1967

 

532096

 

23-Sep-1969

MARK

 

Spain

 

Chemtura Corporation

 

Registered

 

2686765

 

26-Dec-2005

 

2686765

 

29-Mar-2007

OMITE

 

Spain

 

Chemtura Corporation

 

Registered

 

 

 

17-Feb-1967

 

524834

 

10-Jul-1969

PETRONATE

 

Spain

 

Chemtura Corporation

 

Registered

 

666691

 

15-Feb-1972

 

666691

 

01-Feb-1978

POLYBOND

 

Spain

 

Chemtura Corporation

 

Registered

 

1689021

 

01-Jul-1992

 

1689021

 

03-Mar-1995

ROYAL MH

 

Spain

 

Chemtura Corporation

 

Registered

 

02781871/3

 

09-Jul-2007

 

2781871

 

17-Jan-2008

ROYAL MH NO BROTES

 

Spain

 

Chemtura Corporation

 

Registered

 

02781876/4

 

09-Jul-2007

 

2781876

 

17-Jan-2008

 

75



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ROYAL MH-30

 

Spain

 

Chemtura Corporation

 

Registered

 

1706553

 

10-Jun-1992

 

1706553

 

21-Feb-1994

ULTRANOX

 

Spain

 

Chemtura Corporation

 

Registered

 

1109753

 

21-Jun-1985

 

1109753

 

05-May-1992

WESTON

 

Spain

 

Chemtura Corporation

 

Registered

 

1959234

 

13-Feb-1984

 

1060234

 

13-Feb-1987

MARK

 

Sri Lanka

 

Chemtura Corporation

 

Pending

 

128946

 

23-Nov-2005

 

 

 

 

CHEMTURA

 

Swaziland

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Swaziland

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

BLENDEX

 

Sweden

 

Chemtura Corporation

 

Registered

 

86-5766

 

05-Aug-1986

 

238810

 

14-Aug-1992

DRAPEX

 

Sweden

 

Chemtura Corporation

 

Registered

 

80-0806

 

14-Feb-1980

 

175189

 

06-Feb-1981

HIVALLOY

 

Sweden

 

Chemtura Corporation

 

Registered

 

909054

 

03-Oct-1990

 

234531

 

15-May-1992

INTERLOY

 

Sweden

 

Chemtura Corporation

 

Registered

 

200303292

 

26-May-2003

 

363458

 

10-Oct-2003

ULTRANOX

 

Sweden

 

Chemtura Corporation

 

Registered

 

85-4511

 

20-Jun-1985

 

204839

 

06-Mar-1987

BLENDEX

 

Switzerland

 

Chemtura Corporation

 

Registered

 

00527/1989

 

25-Apr-1989

 

369498

 

13-Jun-1989

CHEMTURA

 

Switzerland

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Switzerland

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

HIVALLOY

 

Switzerland

 

Chemtura Corporation

 

Registered

 

7252/1990.3

 

03-Oct-1990

 

394590

 

21-Aug-1991

INTERLOY

 

Switzerland

 

Chemtura Corporation

 

Registered

 

04061/2003

 

06-Aug-2003

 

514436

 

24-Sep-2003

OBS

 

Switzerland

 

Chemtura Corporation

 

Registered

 

764638

 

18-Jul-2001

 

764638

 

18-Jul-2001

 

76



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ULTRANOX

 

Switzerland

 

Chemtura Corporation

 

Registered

 

3884

 

20-Jun-1985

 

340312

 

23-Sep-1985

WESTON

 

Switzerland

 

Chemtura Corporation

 

Registered

 

691

 

09-Feb-1984

 

P332266

 

12-Sep-1984

CHEMTURA

 

Syria

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Syria

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ANDEROL

 

Taiwan

 

Chemtura Corporation

 

Registered

 

96050212

 

06-Nov-2006

 

01361728

 

16-Jul-2007

BLENDEX

 

Taiwan

 

Chemtura Corporation

 

Registered

 

14316

 

01-Jul-1962

 

14592

 

01-Jan-1963

CHEMTURA

 

Taiwan

 

Chemtura Corporation

 

Registered

 

094029722

 

22-Jun-2005

 

1229896

 

16-Sep-2006

CHEMTURA in Chinese (Simplified) (Phase II)

 

Taiwan

 

Chemtura Corporation

 

Registered

 

095008034

 

21-Feb-2006

 

1235577

 

01-Nov-2006

CHEMTURA in Chinese (Traditional) (Phase I)

 

Taiwan

 

Chemtura Corporation

 

Registered

 

094052954

 

02-Nov-2005

 

1235479

 

01-Nov-2006

CROMPTON

 

Taiwan

 

Chemtura Corporation

 

Registered

 

91036832

 

30-Aug-2002

 

1056674

 

16-Sep-2003

CROMPTON

 

Taiwan

 

Chemtura Corporation

 

Registered

 

91036833

 

30-Aug-2002

 

1053041

 

16-Aug-2003

CROMPTON

 

Taiwan

 

Chemtura Corporation

 

Registered

 

91036834

 

30-Aug-2002

 

1056963

 

16-Sep-2003

CROMPTON

 

Taiwan

 

Chemtura Corporation

 

Registered

 

91036835

 

30-Aug-2002

 

1063033

 

31-Oct-2003

CROMPTON

 

Taiwan

 

Chemtura Corporation

 

Registered

 

91036836

 

30-Aug-2002

 

1059685

 

01-Oct-2003

CROMPTON (IN TAIWANESE)

 

Taiwan

 

Chemtura Corporation

 

Registered

 

91036837

 

30-Aug-2002

 

1056675

 

16-Sep-2003

CROMPTON (IN TAIWANESE)

 

Taiwan

 

Chemtura Corporation

 

Registered

 

91036838

 

30-Aug-2002

 

1053042

 

16-Aug-2003

 

77



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CROMPTON (IN TAIWANESE)

 

Taiwan

 

Chemtura Corporation

 

Registered

 

91036839

 

30-Aug-2002

 

1056964

 

16-Sep-2003

CROMPTON (IN TAIWANESE)

 

Taiwan

 

Chemtura Corporation

 

Registered

 

91036840

 

30-Aug-2002

 

1063034

 

01-Nov-2003

CROMPTON (IN TAIWANESE)

 

Taiwan

 

Chemtura Corporation

 

Registered

 

91036841

 

30-Aug-2002

 

1059686

 

01-Oct-2003

FLEXZONE

 

Taiwan

 

Chemtura Corporation

 

Registered

 

0087040747

 

19-Aug-1998

 

866521

 

16-Sep-1999

FLEXZONE 11

 

Taiwan

 

Chemtura Corporation

 

Registered

 

0087040743

 

19-Aug-1998

 

866582

 

16-Sep-1999

FLEXZONE 3C

 

Taiwan

 

Chemtura Corporation

 

Registered

 

0087040741

 

19-Aug-1998

 

866580

 

16-Sep-1999

FLEXZONE 4L

 

Taiwan

 

Chemtura Corporation

 

Registered

 

0870040742

 

19-Aug-1998

 

866581

 

16-Sep-1999

FLEXZONE 7F

 

Taiwan

 

Chemtura Corporation

 

Registered

 

0087040744

 

19-Aug-1998

 

866583

 

16-Sep-1999

HIVALLOY

 

Taiwan

 

Chemtura Corporation

 

Registered

 

79-44024

 

08-Oct-1990

 

520358

 

16-May-1991

HIVALLOY

 

Taiwan

 

Chemtura Corporation

 

Registered

 

79050453

 

20-Nov-1990

 

530064

 

16-Jul-1991

MARK OBS

 

Taiwan

 

Chemtura Corporation

 

Registered

 

94031534

 

30-Jun-2005

 

1195631

 

16-Feb-2006

NAUGALUBE

 

Taiwan

 

Chemtura Corporation

 

Registered

 

098000567

 

09-Jan-2009

 

1373655

 

16-Aug-09

NAUGEX

 

Taiwan

 

Chemtura Corporation

 

Registered

 

79039547

 

07-Sep-1990

 

530853

 

16-Aug-1991

PANTERA

 

Taiwan

 

Chemtura Corporation

 

Registered

 

85031322

 

26-Jun-1996

 

752551

 

16-Mar-1997

POLYBOND

 

Taiwan

 

Chemtura Corporation

 

Registered

 

95006748

 

14-Feb-2006

 

1246128

 

16-Jan-2007

TERRAZOLE

 

Taiwan

 

Chemtura Corporation

 

Registered

 

75011815

 

18-Mar-1986

 

342697

 

01-Nov-1986

ULTRANOX

 

Taiwan

 

Chemtura Corporation

 

Registered

 

 

 

01-Jul-1985

 

312902

 

01-Feb-1976

 

78



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

WESTON

 

Taiwan

 

Chemtura Corporation

 

Registered

 

91035450

 

16-Aug-2002

 

1046033

 

16-Jun-2003

BLENDEX

 

Tajikistan

 

Chemtura Corporation

 

Registered

 

94000421

 

01-Jul-1994

 

276

 

01-Jul-1994

ULTRANOX

 

Tajikistan

 

Chemtura Corporation

 

Registered

 

94000433

 

01-Jul-1994

 

2360

 

01-Jul-1994

WESTON

 

Tajikistan

 

Chemtura Corporation

 

Registered

 

94000422

 

01-Jul-1994

 

2574

 

16-Jul-1997

ENVIROMITE

 

Tanganyika

 

Chemtura Corporation

 

Pending

 

awaiting

 

28-Aug-2008

 

 

 

 

BLENDEX

 

Thailand

 

Chemtura Corporation

 

Registered

 

369337

 

18-Sep-1968

 

TM80603

 

10-Sep-1998

CHEMTURA

 

Thailand

 

Chemtura Corporation

 

Registered

 

603536

 

16-Sep-2005

 

TM278209

 

24-Mar-2008

CHEMTURA

 

Thailand

 

Chemtura Corporation

 

Registered

 

603537

 

16-Sep-2005

 

TM260122

 

16-Sep-2005

CHEMTURA

 

Thailand

 

Chemtura Corporation

 

Registered

 

603538

 

16-Sep-2005

 

TM251670

 

27-Nov-2006

CHEMTURA

 

Thailand

 

Chemtura Corporation

 

Registered

 

603539

 

16-Sep-2005

 

TM242061

 

26-May-2006

CHEMTURA

 

Thailand

 

Chemtura Corporation

 

Registered

 

603540

 

16-Sep-2005

 

TM257435

 

16-Sep-2005

CHEMTURA

 

Thailand

 

Chemtura Corporation

 

Registered

 

603541

 

16-Sep-2005

 

TM255603

 

16-Sep-2005

CHEMTURA

 

Thailand

 

Chemtura Corporation

 

Registered

 

603542

 

16-Sep-2005

 

TM275984

 

16-Sep-2005

CHEMTURA

 

Thailand

 

Chemtura Corporation

 

Registered

 

603543

 

16-Sep-2005

 

TM269039

 

16-Oct-2007

FLEXZONE

 

Thailand

 

Chemtura Corporation

 

Registered

 

405272

 

26-Dec-1989

 

TM107472

 

14-Jan-1991

HIVALLOY

 

Thailand

 

Chemtura Corporation

 

Registered

 

435129

 

17-Oct-2000

 

126338

 

18-Jan-2003

POLYBOND

 

Thailand

 

Chemtura Corporation

 

Registered

 

618889

 

24-Feb-2006

 

TM259820

 

24-Feb-2006

 

79



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TERRAZOLE

 

Thailand

 

Chemtura Corporation

 

Registered

 

310572

 

30-Jun-1976

 

TM47158

 

30-Jun-1976

ULTRANOX

 

Thailand

 

Chemtura Corporation

 

Registered

 

230966

 

21-Jul-1992

 

TM4481

 

25-Aug-1993

WESTON

 

Thailand

 

Chemtura Corporation

 

Registered

 

230965

 

21-Jul-1992

 

TM13308

 

25-Jul-1994

BLENDEX

 

Tunisia

 

Chemtura Corporation

 

Registered

 

 

 

29-Oct-1986

 

EE011996

 

29-Oct-1986

ENVIROMITE

 

Tunisia

 

Chemtura Corporation

 

Published

 

EE08 2181

 

28-Aug-2008

 

 

 

 

BLENDEX

 

Turkey

 

Chemtura Corporation

 

Registered

 

17325

 

15-Apr-1969

 

110566

 

15-Apr-1989

CHEMTURA

 

Turkey

 

Chemtura Corporation

 

Registered

 

2005/032666

 

05-Aug-2005

 

2005 32666

 

05-Aug-2005

CHEMTURA

 

Turkey

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

DIMILIN

 

Turkey

 

Chemtura Corporation

 

Registered

 

97/6558

 

12-May-1997

 

184875

 

12-May-1997

FLORAMITE

 

Turkey

 

Chemtura Corporation

 

Registered

 

2006042410

 

04-Sep-2006

 

200642410

 

04-Sep-2006

OBS

 

Turkey

 

Chemtura Corporation

 

Registered

 

764638

 

18-Jul-2001

 

764638

 

18-Jul-2001

ULTRANOX

 

Turkey

 

Chemtura Corporation

 

Registered

 

5767/92

 

13-Jul-1992

 

137320

 

13-Jul-1992

WESTON

 

Turkey

 

Chemtura Corporation

 

Registered

 

9346/84

 

13-Feb-1984

 

80465

 

13-Feb-1984

WESTON CHEMICAL

 

Turkey

 

Chemtura Corporation

 

Registered

 

43872

 

15-Jul-1971

 

129659

 

15-Jul-1971

CHEMTURA

 

Turkmenistan

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Turkmenistan

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ULTRANOX

 

Turkmenistan

 

Chemtura Corporation

 

Registered

 

1(3600)

 

28-Jun-1996

 

380

 

25-Feb-1997

 

80



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

WESTON

 

Turkmenistan

 

Chemtura Corporation

 

Registered

 

1(3601)

 

28-Jun-1996

 

382

 

25-Feb-1997

BADGER

 

Uganda

 

Chemtura Corporation

 

Registered

 

27148

 

09-Nov-2004

 

27148

 

15-Nov-2004

ENVIROMITE

 

Uganda

 

Chemtura Corporation

 

Registered

 

31428

 

27-Aug-2008

 

31428

 

12-Mar-2009

INGWE

 

Uganda

 

Chemtura Corporation

 

Registered

 

27168

 

19-Nov-2004

 

27168

 

19-Nov-2004

BLENDEX

 

Ukraine

 

Chemtura Corporation

 

Registered

 

39078

 

31-Mar-1989

 

5756

 

30-Jun-1994

CASORON

 

Ukraine

 

Chemtura Corporation

 

Registered

 

m200703652

 

07-Mar-2007

 

86756

 

10-Jan-2008

CHEMTURA

 

Ukraine

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Ukraine

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

DIMILIN

 

Ukraine

 

Chemtura Corporation

 

Registered

 

200617747

 

13-Nov-2006

 

91359

 

12-May-2008

ELASTIQ

 

Ukraine

 

Chemtura Corporation

 

Registered

 

200506225

 

08-Jun-2005

 

74250

 

10-Apr-2007

ELASTIQ (in Cyrillic)

 

Ukraine

 

Chemtura Corporation

 

Registered

 

m200604619

 

30-Mar-2006

 

81988

 

10-Sep-2007

FAZOR

 

Ukraine

 

Chemtura Corporation

 

Registered

 

200617746

 

13-Nov-2006

 

91538

 

12-May-2008

INOVATE

 

Ukraine

 

Chemtura Corporation

 

Pending

 

A0005904

 

20-Sep-2006

 

 

 

 

LEVEL

 

Ukraine

 

Chemtura Corporation

 

Pending

 

M200820176

 

12-Nov-2008

 

 

 

 

OMITE

 

Ukraine

 

Chemtura Corporation

 

Registered

 

200703653

 

07-Mar-2007

 

87247

 

25-Jan-2008

QUARK

 

Ukraine

 

Chemtura Corporation

 

Pending

 

M200820175

 

12-Nov-2008

 

 

 

 

RANCONA

 

Ukraine

 

Chemtura Corporation

 

Pending

 

 

 

03-Nov-2008

 

 

 

 

 

81



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

STIRRUP

 

Ukraine

 

Chemtura Corporation

 

Pending

 

m200818780

 

16-Oct-2008

 

 

 

 

STIRRUP in Cyrillic

 

Ukraine

 

Chemtura Corporation

 

Pending

 

m200818779

 

16-Oct-2008

 

 

 

 

ULTRANOX

 

Ukraine

 

Chemtura Corporation

 

Registered

 

2001095622

 

07-Sep-2001

 

35828

 

17-Nov-2003

WESTON

 

Ukraine

 

Chemtura Corporation

 

Registered

 

2001095623

 

07-Sep-2001

 

35829

 

17-Nov-2003

DU-DIM

 

United Arab Emirates

 

Chemtura Corporation

 

Pending

 

96292

 

19-Jun-2007

 

 

 

 

ENVIROMITE

 

United Arab Emirates

 

Chemtura Corporation

 

Pending

 

120871

 

20-Oct-2008

 

 

 

 

ACTAFOAM

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

2497664

 

15-Sep-2008

 

2497664

 

09-Jan-2009

BLENDEX

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

831835

 

09-Mar-1962

 

831835

 

09-Mar-1962

B-NINE

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

996005

 

28-Jul-1972

 

996005

 

28-Jul-1972

CASTOMER

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

836173

 

25-Jun-1962

 

836173

 

25-Jun-1962

CYCLOFOR

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

900166

 

06-Oct-1966

 

900166

 

06-Oct-1987

CYCLOFOR

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

718555

 

30-May-1953

 

718555

 

30-May-1953

DIMILIN

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

1066911

 

09-Aug-1976

 

1066911

 

23-May-1977

DRAPEX

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

1124514

 

23-Nov-1979

 

1124514

 

02-Sep-1981

FAZOR SG

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

1290387

 

08-Nov-1986

 

1290387

 

08-Nov-1986

FOMREZ

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

1189699

 

01-Feb-1983

 

1189699

 

06-Feb-1985

FORMREZ

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

1189698

 

01-Feb-1983

 

1189698

 

06-Feb-1985

 

82



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

HYBASE

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

770908

 

06-Nov-1957

 

770908

 

10-Jun-1958

INTERLOY

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

2333219

 

27-May-2003

 

2333219

 

19-Dec-2003

NAUGAWHITE

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

0000783293

 

29-Oct-1958

 

783293

 

29-Oct-1958

POLYBOND

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

2376720

 

27-Oct-2004

 

2376720

 

27-Oct-2004

SEEDKARE

 

United Kingdom

 

Chemtura Corporation

 

Published

 

2471643

 

07-Nov-2007

 

 

 

 

TERRAZOLE

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

1003908

 

29-Dec-1972

 

1003908

 

29-Dec-1972

ULTRANOX

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

1244466

 

20-Jun-1985

 

1244466

 

13-Oct-1989

WESTON

 

United Kingdom

 

Chemtura Corporation

 

Registered

 

1508701

 

04-Aug-1992

 

1508701

 

03-May-1996

ACRAMITE

 

United States of America

 

Chemtura Corporation

 

Registered

 

076/021640

 

10-Apr-2000

 

2669716

 

31-Dec-2002

ADIPRENE EXTREME

 

United States of America

 

Chemtura Corporation

 

Registered

 

76/389930

 

02-Apr-2002

 

2674910

 

14-Jan-2003

ADOBE

 

United States of America

 

Chemtura Corporation

 

Published ITU

 

77588032

 

09-Oct-2008

 

 

 

 

ANDEROL

 

United States of America

 

Chemtura Corporation

 

Registered

 

76301630

 

09-Aug-2001

 

2707819

 

15-Apr-2003

ATTENDANT

 

United States of America

 

Chemtura Corporation

 

Registered

 

77/671655

 

17-Feb-2009

 

3676115

 

01-Sep-2009

ATTENDANT

 

United States of America

 

Chemtura Corporation

 

Registered

 

77/544049

 

11-Aug-2008

 

3624559

 

19-May-2009

AXION

 

United States of America

 

Chemtura Corporation

 

Registered

 

78546531

 

12-Jan-2005

 

3,442,269

 

03-Jun-2008

BARIUM PETRONATE

 

United States of America

 

Chemtura Corporation

 

Registered

 

268492

 

30-Jun-1980

 

1188288

 

02-Feb-1982

BEAN GUARD

 

United States of America

 

Chemtura Corporation

 

Registered

 

74014200

 

26-Dec-1989

 

1640896

 

09-Apr-1991

 

83



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BI-LARV

 

United States of America

 

Chemtura Corporation

 

Registered

 

77006868

 

25-Sep-2006

 

3587616

 

10-Mar-2009

BLENDEX

 

United States of America

 

Chemtura Corporation

 

Registered

 

72077900

 

17-Jul-1959

 

724952

 

12-Dec-1961

BROADSWORD

 

United States of America

 

Chemtura Corporation

 

Published ITU

 

77506105

 

24-Jun-2008

 

 

 

 

CALCIUM PETRONATE

 

United States of America

 

Chemtura Corporation

 

Registered

 

72454084

 

06-Apr-1973

 

984262

 

21-May-1974

CAYTUR

 

United States of America

 

Chemtura Corporation

 

Registered

 

72243428

 

14-Apr-1966

 

820999

 

27-Dec-1966

CHEMTURA

 

United States of America

 

Chemtura Corporation

 

Published ITU

 

78624868

 

06-May-2005

 

 

 

 

CHEMTURA AND DESIGN

 

United States of America

 

Chemtura Corporation

 

Published ITU

 

78656421

 

22-Jun-2005

 

 

 

 

CROMPTON

 

United States of America

 

Chemtura Corporation

 

Registered

 

75/917235

 

14-Feb-2000

 

2843342

 

18-May-2004

CROMPTON and Design

 

United States of America

 

Chemtura Corporation

 

Registered

 

75934820

 

03-Mar-2000

 

2825452

 

23-Mar-2004

DELAC

 

United States of America

 

Chemtura Corporation

 

Registered

 

71442080

 

29-Mar-1941

 

389108

 

22-Jul-1941

DEO-BASE (STYLIZED)

 

United States of America

 

Chemtura Corporation

 

Registered

 

71331126

 

10-Oct-1932

 

300910

 

14-Feb-1933

DIAMOND

 

United States of America

 

Chemtura Corporation

 

Registered

 

76319561

 

28-Sep-2001

 

3407641

 

08-Apr-2008

DIMILIN

 

United States of America

 

Chemtura Corporation

 

Registered

 

73122448

 

12-Apr-1977

 

1091663

 

23-May-1978

DRAPEX

 

United States of America

 

Chemtura Corporation

 

Registered

 

72388181

 

02-Apr-1971

 

938406

 

25-Jul-1972

DURACAST

 

United States of America

 

Chemtura Corporation

 

Registed

 

77571319

 

16-Sep-2008

 

3710105

 

10-Nov-2009

DURAZONE

 

United States of America

 

Chemtura Corporation

 

Registered

 

75/138268

 

10-Jul-1996

 

2069836

 

10-Jun-1997

ENHANCE

 

United States of America

 

Chemtura Corporation

 

Registered

 

73443833

 

15-Sep-1983

 

1297311

 

25-Sep-1984

 

84



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

EVEREST

 

United States of America

 

Chemtura Corporation

 

Pending, ITU

 

77317832

 

31-Oct-2007

 

 

 

 

FINDING BETTER SOLUTIONS

 

United States of America

 

Chemtura Corporation

 

Registered

 

76975677

 

09-Feb-2001

 

2921370

 

25-Jan-2005

FIRESTORM

 

United States of America

 

Chemtura Corporation

 

Registered

 

78686504

 

05-Aug-2005

 

3262698

 

10-Jul-2007

FLEXZONE

 

United States of America

 

Chemtura Corporation

 

Registered

 

72056897

 

08-Aug-1958

 

0688940

 

01-Dec-1959

FLORAMITE

 

United States of America

 

Chemtura Corporation

 

Registered

 

75443383

 

02-Mar-1998

 

2512973

 

27-Nov-2001

FOMREZ

 

United States of America

 

Chemtura Corporation

 

Registered

 

72013944

 

14-Aug-1956

 

651899

 

24-Sep-1957

FOMREZ

 

United States of America

 

Chemtura Corporation

 

Registered

 

72094539

 

06-Apr-1960

 

706829

 

08-Nov-1960

FOMREZ

 

United States of America

 

Chemtura Corporation

 

Registered

 

73539857

 

28-May-1985

 

1374445

 

10-Dec-1985

GENOX

 

United States of America

 

Chemtura Corporation

 

Registered

 

78/148898

 

30-Jul-2002

 

2791181

 

09-Dec-2003

GERMATE

 

United States of America

 

Chemtura Corporation

 

Registered

 

74163223

 

03-May-1991

 

1736007

 

01-Dec-1992

GRAIN GUARD

 

United States of America

 

Chemtura Corporation

 

Registered

 

74118830

 

28-Nov-1990

 

1712864

 

08-Sep-1992

HI MOLY/CAPTAN

 

United States of America

 

Chemtura Corporation

 

Registered

 

73342516

 

21-Dec-1981

 

1258197

 

22-Nov-1983

HIVALLOY

 

United States of America

 

Chemtura Corporation

 

Registered

 

78/235267

 

08-Apr-2003

 

2844843

 

25-May-2004

HYBASE

 

United States of America

 

Chemtura Corporation

 

Registered

 

71698339

 

16-Nov-1955

 

642468

 

12-Mar-1957

HYDROSLIP

 

United States of America

 

Chemtura Corporation

 

Registered

 

75/416944

 

12-Jan-1998

 

2376454

 

16-Aug-2000

INOVATE

 

United States of America

 

Chemtura Corporation

 

Pending, ITU

 

77002998

 

20-Sep-2006

 

 

 

 

INTERLOY

 

United States of America

 

Chemtura Corporation

 

Registered

 

78/235254

 

08-Apr-2003

 

2840271

 

11-May-2004

 

85



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

KERNEL GUARD

 

United States of America

 

Chemtura Corporation

 

Registered

 

73663032

 

26-May-1987

 

1516981

 

20-Dec-1988

KERNEL GUARD

 

United States of America

 

Chemtura Corporation

 

Registered

 

73621905

 

25-Sep-1986

 

1480304

 

15-Mar-1988

LIQUID MOLY

 

United States of America

 

Chemtura Corporation

 

Registered

 

73179300

 

24-Jul-1978

 

1132500

 

08-Apr-1980

LOBASE

 

United States of America

 

Chemtura Corporation

 

Registered

 

74/691750

 

21-Jun-1995

 

1996731

 

27-Aug-1996

MARK

 

United States of America

 

Chemtura Corporation

 

Registered

 

72164302

 

11-Mar-1963

 

780503

 

24-Nov-1964

MARKLEAR

 

United States of America

 

Chemtura Corporation

 

Registered

 

75/550689

 

10-Sep-1998

 

2380460

 

29-Aug-2000

MARKLUBE

 

United States of America

 

Chemtura Corporation

 

Registered

 

75550899

 

10-Sep-1998

 

2389163

 

26-Sep-2000

MARKSCREEN

 

United States of America

 

Chemtura Corporation

 

Registered

 

78257976

 

04-Jun-2003

 

2958151

 

31-May-2005

MARKSTAT

 

United States of America

 

Chemtura Corporation

 

Registered

 

72389513

 

19-Apr-1971

 

939393

 

01-Aug-1972

MONEX

 

United States of America

 

Chemtura Corporation

 

Registered

 

75119365

 

14-Jun-1996

 

2055380

 

02-Apr-1997

NAUGALUBE

 

United States of America

 

Chemtura Corporation

 

Registered

 

72248269

 

16-Jun-1966

 

835794

 

26-Sep-1967

NAUGARD

 

United States of America

 

Chemtura Corporation

 

Registered

 

72243606

 

15-Apr-1966

 

822207

 

17-Jan-1967

NITRO-FIX

 

United States of America

 

Chemtura Corporation

 

Registered

 

73179537

 

24-Jul-1978

 

1120803

 

26-Jun-1979

OFF-SHOOT-T

 

United States of America

 

Chemtura Corporation

 

Registered

 

72314855

 

19-Dec-1968

 

873293

 

22-Jul-1969

OXAF

 

United States of America

 

Chemtura Corporation

 

Registered

 

75/119364

 

14-Jun-1996

 

2055379

 

22-Apr-1997

PETROFLOTE (STYLIZED)

 

United States of America

 

Chemtura Corporation

 

Registered

 

71656532

 

17-Nov-1953

 

595051

 

14-Sep-1954

PETRONATE (STYLIZED)

 

United States of America

 

Chemtura Corporation

 

Registered

 

71388853

 

12-Feb-1937

 

348440

 

27-Jul-1937

 

86



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PLANTVAX

 

United States of America

 

Chemtura Corporation

 

Registered

 

72253371

 

29-Aug-1966

 

0837381

 

24-Oct-1967

PREVAIL

 

United States of America

 

Chemtura Corporation

 

Registered

 

74081178

 

23-Jul-1990

 

1677314

 

03-Mar-1992

PREVAMITE

 

United States of America

 

Chemtura Corporation

 

Published ITU

 

77366160

 

08-Jan-2008

 

 

 

 

R in circle design

 

United States of America

 

Chemtura Corporation

 

Pending, ITU

 

77260263

 

21-Aug-2007

 

 

 

 

RANCONA

 

United States of America

 

Chemtura Corporation

 

Published ITU

 

77589064

 

09-Oct-2008

 

 

 

 

REPRESS

 

United States of America

 

Chemtura Corporation

 

Published ITU

 

77506115

 

24-Jun-2008

 

 

 

 

SEENOX

 

United States of America

 

Chemtura Corporation

 

Registered

 

73291122

 

29-Dec-1980

 

1212045

 

12-Oct-1982

TEMPRANO

 

United States of America

 

Chemtura Corporation

 

Published ITU

 

77366152

 

08-Jan-2008

 

 

 

 

TERRAGUARD

 

United States of America

 

Chemtura Corporation

 

Registered

 

73604949

 

19-Jun-1986

 

1460567

 

13-Oct-1987

TERRAMASTER

 

United States of America

 

Chemtura Corporation

 

Registered

 

76051222

 

18-May-2000

 

2586245

 

25-Jun-2002

TERRAZOLE

 

United States of America

 

Chemtura Corporation

 

Registered

 

72241505

 

21-Mar-1966

 

835756

 

26-Sep-1967

TRIPLE-NOCTIN

 

United States of America

 

Chemtura Corporation

 

Registered

 

72456069

 

30-Apr-1973

 

982426

 

23-Apr-1974

UBOB

 

United States of America

 

Chemtura Corporation

 

Registered

 

73205573

 

26-Feb-1979

 

1151356

 

21-Apr-1981

ULTRANOX

 

United States of America

 

Chemtura Corporation

 

Registered

 

73391087

 

28-Sep-1982

 

1417977

 

25-Nov-1986

VETO

 

United States of America

 

Chemtura Corporation

 

Registered

 

77297303

 

05-Oct-2007

 

3525377

 

28-Oct-2008

VITAFLO

 

United States of America

 

Chemtura Corporation

 

Pending ITU

 

77284121

 

20-Sep-2007

 

 

 

 

VITAVAX

 

United States of America

 

Chemtura Corporation

 

Registered

 

72253369

 

29-Aug-1966

 

862225

 

24-Dec-1968

 

87



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VITICURE

 

United States of America

 

Chemtura Corporation

 

Registered

 

77589504

 

09-Oct-2008

 

3726464

 

12-Dec-2009

WESTON

 

United States of America

 

Chemtura Corporation

 

Registered

 

78/060496

 

26-Apr-2001

 

2702620

 

01-Apr-2003

WITCOBOND

 

United States of America

 

Chemtura Corporation

 

Registered

 

72350018

 

29-Jan-1970

 

919631

 

07-Sep-1971

WITCOBOND

 

United States of America

 

Chemtura Corporation

 

Registered

 

72403216

 

20-Sep-1971

 

951716

 

30-Jan-1973

WITCOLINK

 

United States of America

 

Chemtura Corporation

 

Registered

 

78827636

 

02-Mar-2006

 

3386667

 

19-Feb-2008

Leaf Design (Single)

 

United States of America

 

Chemtura Corporation

 

Pending ITU

 

77886712

 

04-Dec-2009

 

 

 

 

CHEMTURA AGROSOLUTIONS and Leaf Design

 

United States of America

 

Chemtura Corporation

 

Pending ITU

 

77811803

 

25-Aug-2009

 

 

 

 

CHEMTURA CROP PROTECTION and Leaf Design

 

United States of America

 

Chemtura Corporation

 

Pending ITU

 

77825812

 

14-Sep-2009

 

 

 

 

CHEMTURA CROP SOLUTIONS and Leaf Design

 

United States of America

 

Chemtura Corporation

 

Pending ITU

 

77825819

 

14-Sep-2009

 

 

 

 

LIQUIDITY PRODUCTIVITY PLATFORM

 

United States of America

 

Chemtura Corporation

 

Pending ITU

 

77734651

 

12-May-2009

 

 

 

 

MARK OBS

 

United States of America

 

Chemtura Corporation

 

Pending ITU

 

77738361

 

15-May-2009

 

 

 

 

RIBBON FLOW

 

United States of America

 

Chemtura Corporation

 

Pending ITU

 

77688535

 

11-Mar-2009

 

 

 

 

 

88



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BLENDEX

 

Uruguay

 

Chemtura Corporation

 

Registered

 

100905

 

14-Feb-1964

 

362333

 

30-May-1995

CHEMTURA

 

Uruguay

 

Chemtura Corporation

 

Registered

 

366681

 

04-Nov-2005

 

366681

 

15-Sep-2006

CRUSADER

 

Uruguay

 

Chemtura Corporation

 

Registered

 

359639

 

18-Jan-2005

 

359639

 

02-Sep-2005

DIMILIN

 

Uruguay

 

Chemtura Corporation

 

Registered

 

310550

 

12-Feb-1999

 

310550

 

08-May-1999

FAZOR

 

Uruguay

 

Chemtura Corporation

 

Registered

 

332664

 

12-Jul-2001

 

332664

 

28-Nov-2001

OMITE

 

Uruguay

 

Chemtura Corporation

 

Registered

 

334558

 

11-Oct-2001

 

334558

 

03-Dec-2001

VITAVAX

 

Uruguay

 

Chemtura Corporation

 

Registered

 

339783

 

16-Apr-2002

 

339783

 

15-May-2002

BLENDEX

 

Uzbekistan

 

Chemtura Corporation

 

Registered

 

3635

 

21-Mar-1989

 

2154

 

25-Nov-1994

ULTRANOX

 

Uzbekistan

 

Chemtura Corporation

 

Registered

 

10880

 

24-Dec-1993

 

4197

 

27-May-1996

WESTON

 

Uzbekistan

 

Chemtura Corporation

 

Registered

 

9301045.3

 

24-Dec-1993

 

4196

 

27-May-1996

CHEMTURA

 

Venezuela

 

Chemtura Corporation

 

Registered

 

137042005

 

23-Jun-2005

 

269718

 

17-Apr-2006

CHEMTURA

 

Venezuela

 

Chemtura Corporation

 

Registered

 

137052005

 

23-Jun-2005

 

269719

 

17-Apr-2006

CHEMTURA

 

Venezuela

 

Chemtura Corporation

 

Registered

 

137062005

 

23-Jun-2005

 

269720

 

17-Apr-2006

CHEMTURA

 

Venezuela

 

Chemtura Corporation

 

Registered

 

137072005

 

23-Jun-2005

 

269721

 

17-Apr-2006

CHEMTURA

 

Venezuela

 

Chemtura Corporation

 

Registered

 

137082005

 

23-Jun-2005

 

269722

 

17-Apr-2006

CHEMTURA

 

Venezuela

 

Chemtura Corporation

 

Registered

 

130792005

 

23-Jun-2005

 

research1

 

17-Jul-2006

CROMPTON

 

Venezuela

 

Chemtura Corporation

 

Registered

 

1031-2005

 

25-Jan-2005

 

265905

 

11-Nov-2005

 

89



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

DIMILIN

 

Venezuela

 

Chemtura Corporation

 

Registered

 

3794-1979

 

04-Jun-1979

 

100485-F

 

27-Aug-1982

BI-LARV

 

Viet Nam

 

Chemtura Corporation

 

Registered

 

4-2006-11349

 

19-Jul-2006

 

83305

 

25-Jun-2007

OMITE

 

Viet Nam

 

Chemtura Corporation

 

Registered

 

4200511328

 

01-Sep-2005

 

86821

 

21-Aug-2007

BADGER

 

Zambia

 

Chemtura Corporation

 

Registered

 

748/2004

 

17-Nov-2004

 

7482004

 

17-Nov-2004

CHEMTURA

 

Zambia

 

Chemtura Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

876101

 

21-Jun-2005

CHEMTURA AND DESIGN

 

Zambia

 

Chemtura Corporation

 

Registered

 

873323

 

01-Aug-2005

 

873323

 

01-Aug-2005

ENVIROMITE

 

Zambia

 

Chemtura Corporation

 

Registered

 

717/2008

 

28-Aug-2008

 

717/2008

 

21-May-2009

INGWE

 

Zambia

 

Chemtura Corporation

 

Registered

 

758/2004

 

22-Nov-2004

 

7582004

 

22-Nov-2004

ROYALKARE

 

Zambia

 

Chemtura Corporation

 

Registered

 

7982006

 

19-Oct-2006

 

7982006

 

11-Sep-2008

ROYALKOTE

 

Zambia

 

Chemtura Corporation

 

Registered

 

7992006

 

19-Oct-2006

 

7992006

 

11-Sep-2008

ROYALMARQ

 

Zambia

 

Chemtura Corporation

 

Registered

 

8002006

 

19-Oct-2006

 

8002006

 

11-Sep-2008

ROYALNEX

 

Zambia

 

Chemtura Corporation

 

Registered

 

8012006

 

19-Oct-2006

 

8012006

 

11-Sep-2008

PROVAX

 

Zimbabwe

 

Chemtura Corporation

 

Registered

 

447/88

 

25-Jul-1988

 

447/88

 

28-Mar-1989

ROYALKARE

 

Zimbabwe

 

Chemtura Corporation

 

Published

 

128306

 

20-Oct-2006

 

 

 

 

ROYALKOTE

 

Zimbabwe

 

Chemtura Corporation

 

Published

 

128406

 

20-Oct-2006

 

 

 

 

ROYALMARQ

 

Zimbabwe

 

Chemtura Corporation

 

Published

 

125806

 

20-Oct-2006

 

 

 

 

ROYALNEX

 

Zimbabwe

 

Chemtura Corporation

 

Published

 

128606

 

20-Oct-2006

 

 

 

 

 

90



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VIBRATHANE

 

Argentina

 

Chemtura USA Corporation(4)

 

Registered

 

0002030799

 

23-Apr-1996

 

2197898

 

28-Oct-1996

VIBRATHANE

 

Argentina

 

Chemtura USA Corporation

 

Registered

 

2030798

 

23-Apr-1996

 

2197848

 

28-Oct-1996

VIBRATHANE

 

Argentina

 

Chemtura USA Corporation

 

Registered

 

2030800

 

23-Apr-1996

 

2197896

 

28-Oct-1996

NAUGARD

 

Benelux

 

Chemtura USA Corporation

 

Registered

 

547224

 

17-Sep-1971

 

50943

 

21-Feb-1973

TERRAZOLE

 

Benelux

 

Chemtura USA Corporation

 

Registered

 

0000009188

 

06-Aug-1971

 

0000056039

 

06-Aug-1971

DIMILIN

 

Colombia

 

Chemtura USA Corporation

 

Registered

 

0151351

 

16-Apr-1975

 

88553

 

25-Oct-1976

B-NINE

 

Costa Rica

 

Chemtura USA Corporation

 

Registered

 

1991-3864

 

27-Aug-1991

 

95788

 

08-Aug-1996

VITAVAX

 

Costa Rica

 

Chemtura USA Corporation

 

Registered

 

1900-6689205

 

19-Jan-1984

 

66892

 

22-Sep-1986

ALAR

 

Finland

 

Chemtura USA Corporation

 

Registered

 

 

 

23-Aug-1965

 

48268

 

05-Aug-1966

TERRAZOLE

 

Germany

 

Chemtura USA Corporation

 

Registered

 

O5695

 

10-Oct-1966

 

834873

 

07-Jul-1967

ALANAP

 

Greece

 

Chemtura USA Corporation

 

Registered

 

78243

 

11-Oct-1984

 

78243

 

15-Jun-1990

ALLEGIANCE

 

Greece

 

Chemtura USA Corporation

 

Registered

 

141623

 

01-Sep-1999

 

141623

 

19-Jun-2001

FAZOR

 

Greece

 

Chemtura USA Corporation

 

Registered

 

75338

 

12-Aug-1983

 

75338

 

17-May-1985

NEMAREX

 

Greece

 

Chemtura USA Corporation

 

Registered

 

146032

 

08-Feb-2001

 

146032

 

17-Jul-2002

PLANTVAX

 

Greece

 

Chemtura USA Corporation

 

Registered

 

49166

 

03-Oct-1972

 

49166

 

17-Oct-1973

PLANTVAX (IN GREEK)

 

Greece

 

Chemtura USA Corporation

 

Registered

 

114638

 

14-Jun-1993

 

114638

 

17-May-1996

 

 


(4)               Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Chemtura USA Corporation.

 

91



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

POLYBOND

 

Greece

 

Chemtura USA Corporation

 

Registered

 

108368

 

31-Mar-1992

 

108368

 

17-Apr-1995

POLYLOC

 

Greece

 

Chemtura USA Corporation

 

Registered

 

146772

 

26-Jul-2001

 

146772

 

17-Dec-2002

ROYALFLO

 

Greece

 

Chemtura USA Corporation

 

Registered

 

120723

 

31-Aug-1994

 

120723

 

17-Sep-1997

ADIPRENE

 

Indonesia

 

Chemtura Corporation

 

Published

 

D002006037064

 

14-Nov-2006

 

 

 

 

VIBRATHANE

 

Ireland

 

Chemtura USA Corporation

 

Registered

 

 

 

12-Oct-1971

 

79426

 

07-Feb-1974

VIBRATHANE

 

Ireland

 

Chemtura USA Corporation

 

Registered

 

 

 

14-Oct-1971

 

79427

 

07-Feb-1974

NAUGARD

 

Italy

 

Chemtura USA Corporation

 

Registered

 

096C002817

 

23-Oct-1996

 

754205

 

20-Aug-1998

OMITE

 

Malaysia

 

Chemtura Corporation

 

Registered

 

M060546

 

01-Sep-1972

 

60546

 

01-Sep-1972

ACRAMITE

 

Norway

 

Chemtura USA Corporation

 

Registered

 

200101817

 

07-Feb-2001

 

210103

 

23-Aug-2001

ADIPRENE

 

Norway

 

Chemtura USA Corporation

 

Registered

 

 

 

18-May-1954

 

45139

 

04-Nov-1954

ALAR

 

Norway

 

Chemtura USA Corporation

 

Registered

 

86122

 

05-Jul-1965

 

79349

 

05-Nov-1969

CASORON

 

Norway

 

Chemtura USA Corporation

 

Registered

 

70077

 

07-Jun-1960

 

56000

 

08-Sep-1960

DIMILIN

 

Norway

 

Chemtura USA Corporation

 

Registered

 

791331

 

10-May-1979

 

108082

 

15-Apr-1981

POLYBOND

 

Norway

 

Chemtura USA Corporation

 

Registered

 

921137

 

06-Mar-1992

 

169712

 

05-Nov-1995

RIBBON FLOW

 

Norway

 

Chemtura USA Corporation

 

Registered

 

935396

 

05-Nov-1993

 

175373

 

18-Jul-1996

VIBRABOND

 

Norway

 

Chemtura USA Corporation

 

Registered

 

811895

 

14-Jul-1981

 

115045

 

08-Dec-1983

VIBRASPRAY

 

Norway

 

Chemtura USA Corporation

 

Registered

 

811895

 

14-Jul-1981

 

115046

 

08-Dec-1983

 

92



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VITAVAX

 

Norway

 

Chemtura USA Corporation

 

Registered

 

92993

 

05-Jun-1967

 

74797

 

18-Jul-1968

COMITE

 

Peru

 

Chemtura USA Corporation

 

Registered

 

0010172/96

 

09-May-1996

 

0000029395

 

20-Sep-1996

FUERA

 

Peru

 

Chemtura USA Corporation

 

Registered

 

 

 

 

 

30103

 

16-Oct-1996

FUERA

 

Peru

 

Chemtura USA Corporation

 

Registered

 

 

 

 

 

30104

 

16-Oct-1996

VITAVAX

 

Peru

 

Chemtura USA Corporation

 

Registered

 

93146

 

01-Aug-1985

 

61980

 

03-Jul-1986

DIMILIN

 

Poland

 

Chemtura USA Corporation

 

Registered

 

0000Z76088

 

06-Jan-1977

 

R55284

 

06-Jan-1977

ACRAMITE

 

Portugal

 

Chemtura USA Corporation

 

Registered

 

353361

 

07-Feb-2001

 

353361

 

26-Nov-2001

FLORAMITE

 

Portugal

 

Chemtura USA Corporation

 

Registered

 

353362

 

07-Feb-2001

 

353362

 

26-Nov-2001

VIBRATHANE

 

United Kingdom

 

Chemtura USA Corporation

 

Registered

 

981842

 

14-Oct-1971

 

981842

 

14-Oct-1971

VIBRATHANE

 

United Kingdom

 

Chemtura USA Corporation

 

Registered

 

981843

 

14-Oct-1971

 

981843

 

14-Oct-1971

VITAVAX

 

United Kingdom

 

Chemtura USA Corporation

 

Registered

 

977158

 

02-Jul-1971

 

977158

 

02-Jul-1971

LINTPLUS

 

United States of America

 

Chemtura USA Corporation

 

Registered

 

75/749039

 

14-Jun-1999

 

2451966

 

15-May-2001

MICROMITE

 

United States of America

 

Chemtura USA Corporation

 

Registered

 

73561013

 

30-Sep-1985

 

1409149

 

16-Sep-1986

NAUGEX

 

United States of America

 

Chemtura USA Corporation

 

Registered

 

73559838

 

23-Sep-1985

 

1395444

 

03-Jun-1986

OMITE

 

United States of America

 

Chemtura USA Corporation

 

Registered

 

72194086

 

23-May-1964

 

0811553

 

26-Jul-1966

ROYALCAST

 

United States of America

 

Chemtura USA Corporation

 

Registered

 

73574346

 

19-Dec-1985

 

1406366

 

26-Aug-1986

TIMONOX

 

India

 

Anderol, Inc.

 

Registered

 

138689

 

09-May-1949

 

138689

 

09-May-1949

TIMONOX

 

India

 

Anderol, Inc.

 

Registered

 

138690

 

09-May-1949

 

138690

 

09-May-1949

 

93



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BIOGUARD & 2-Wave Swimmer Logo (Horizontal)

 

European Community

 

CPC Bayrol Limited(5)

 

Registered

 

940940

 

25-Sep-1998

 

940940

 

16-Jul-2001

ANDEROL

 

Australia

 

Creanova Inc.(6)

 

Registered

 

211977

 

25-Jul-1967

 

A211977

 

25-Jul-1967

ANDEROL

 

Australia

 

Creanova Inc.

 

Registered

 

211978

 

25-Jul-1967

 

A211978

 

25-Jul-1967

CK CROMPTON & KNOWLES CORPORATION

 

Italy

 

Crompton & Knowles Corp.(7)

 

Registered

 

092C003999

 

30-Oct-1992

 

00644604

 

02-Mar-1995

ALANAP

 

Canada

 

Crompton Co./Cie.(8)

 

Registered

 

0000227925

 

08-Dec-1954

 

0000100818

 

17-Jun-1955

ANCHOR

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000521840

 

14-May-1984

 

TMA304781

 

12-Jul-1985

ARANOX

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000241243

 

29-Jun-1957

 

0000109134

 

17-Jan-1958

ARREST

 

Canada

 

Chemtura Canada Co./Cie

 

Registered

 

0000648399

 

09-Jan-1990

 

388634

 

06-Sep-1991

BLE

 

Canada

 

Crompton Co./Cie.

 

Registered

 

598710

 

12-Jan-1988

 

352537

 

03-Mar-1989

B-NINE

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000278438

 

22-Oct-1963

 

0000137088

 

28-Aug-1964

BUTAZATE

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000255148

 

04-Feb-1960

 

119265

 

26-Aug-1960

BXA

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000325245

 

20-Aug-1969

 

0000169905

 

03-Jul-1970

CATAPULT

 

Canada

 

Crompton Co./Cie.

 

Registered

 

460104

 

15-Oct-1980

 

264278

 

13-Nov-1981

CEREVAX

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000621772

 

23-Dec-1988

 

362503

 

03-Nov-1989

 


(5)          Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by CPC Bayrol Limited.

(6)          Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Creanova Inc.

(7)          Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Crompton & Knowles Corp..

(8)          Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Crompton Co./Cie..

 

94



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CEREVAX EXTRA

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000621773

 

23-Dec-1988

 

362504

 

03-Nov-1989

CLOAK

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000460673

 

29-Oct-1980

 

TMA264283

 

13-Nov-1981

CROWN

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000545693

 

05-Jul-1985

 

TMA317212

 

08-Aug-1986

DEVICE (HEAD OF GRAIN)

 

Canada

 

Crompton Co./Cie.

 

Registered

 

418963

 

16-Dec-1977

 

TMA241299

 

14-Mar-1980

DYNASEAL

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000834551

 

24-Jan-1997

 

TMA489482

 

06-Feb-1998

GOLDEN APPLE AWARD

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000566616

 

24-Jul-1986

 

TMA349766

 

06-Jan-1989

METHAZATE

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000241425

 

29-May-1957

 

0000109136

 

17-Jan-1958

MICROMITE

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000443978

 

05-Sep-1979

 

0000253005

 

21-Nov-1980

MONEX

 

Canada

 

Crompton Co./Cie.

 

Registered

 

131709

 

30-Aug-1927

 

TMDA42224

 

30-Aug-1927

NAUGALUBE

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000319535

 

04-Feb-1969

 

0000166518

 

28-Nov-1969

NAUGARD

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000319586

 

06-Feb-1969

 

0000166519

 

28-Nov-1969

NAUGATUCK

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000320392

 

05-Mar-1969

 

0000166534

 

28-Nov-1969

NAUGAWHITE

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000249290

 

04-Feb-1959

 

115185

 

04-Sep-1959

OCTAMINE

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000211912

 

06-Jul-1951

 

0152/38904

 

06-Jul-1951

OMITE

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000316284

 

21-Sep-1968

 

0000163676

 

04-Jul-1969

PLANTVAX

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000305748

 

16-Jun-1967

 

0000156476

 

19-Apr-1968

POLYGARD

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000241426

 

29-Jun-1957

 

0000109203

 

24-Jan-1958

 

95



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PROCURE

 

Canada

 

Crompton Co./Cie.

 

Registered

 

535354

 

24-Jan-1985

 

316785

 

01-Aug-1986

PRO-GRO

 

Canada

 

Crompton Co./Cie.

 

Registered

 

339756

 

27-Jan-1971

 

181264

 

11-Feb-1972

ROYAL MH-30

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000464433

 

26-Jan-1981

 

267896

 

02-Apr-1982

ROYALAC

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000326175

 

25-Sep-1969

 

0000171002

 

04-Sep-1970

ROYALBOND

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000876410

 

27-Apr-1998

 

0TMA514241

 

11-Aug-1999

ROYALCAST

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000570727

 

10-Oct-1986

 

0000333015

 

16-Oct-1987

SELAZATE

 

Canada

 

Crompton Co./Cie.

 

Registered

 

598709

 

12-Jan-1988

 

352536

 

03-Mar-1989

THIOSTOP-N

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000227920

 

08-Dec-1954

 

0000100819

 

17-Jun-1955

TUEX

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000241424

 

29-Jun-1957

 

0000109135

 

17-Jan-1958

VIBRABOND

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000446789

 

15-Nov-1979

 

0000251544

 

10-Oct-1980

VIBRAPAIR

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000421666

 

02-Mar-1978

 

0000274286

 

26-Nov-1982

VIBRATHANE

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000241987

 

15-Aug-1957

 

0000109460

 

21-Feb-1958

VITAFLO

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000339739

 

26-Jan-1971

 

TMA181263

 

11-Feb-1972

VITAVAX

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000307294

 

26-Aug-1967

 

TMA160087

 

20-Dec-1968

VITAVAX SINGLE

 

Canada

 

Crompton Co./Cie.

 

Registered

 

0000543101

 

05-Jun-1985

 

0000325152

 

27-Mar-1987

DEVICE (HEAD OF GRAIN)

 

United States of America

 

Crompton Co./Cie.

 

Registered

 

78369867

 

18-Feb-2004

 

3019779

 

29-Nov-2005

BLENDEX

 

Argentina

 

Chemtura Corporation

 

Registered

 

 

 

 

 

2258835

 

21-Oct-1966

 

96



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CHEMTURA

 

Argentina

 

Chemtura Corporation

 

Registered

 

2600837

 

01-Jul-2005

 

2272301

 

25-Feb-2009

CHEMTURA

 

Argentina

 

Chemtura Corporation

 

Pending

 

2600839

 

01-Jul-2005

 

 

 

 

CROMPTON

 

Argentina

 

Chemtura Corporation

 

Registered

 

2386109

 

15-Aug-2002

 

1930575

 

05-Jun-2003

CROMPTON

 

Argentina

 

Chemtura Corporation

 

Registered

 

2386110

 

15-Aug-2002

 

1930576

 

05-Jun-2003

CROMPTON

 

Argentina

 

Chemtura Corporation

 

Registered

 

2386112

 

15-Aug-2002

 

1930578

 

05-Jun-2003

INTERLOY

 

Argentina

 

Chemtura Corporation

 

Registered

 

2434750

 

03-Jun-2003

 

1994509

 

07-Oct-2004

RANGO

 

Argentina

 

Crompton Corporation(9)

 

Registered

 

1736296

 

06-Apr-1990

 

1627694

 

04-Mar-1997

WESTON

 

Argentina

 

Chemtura Corporation

 

Registered

 

 

 

29-May-1984

 

2212231

 

03-Dec-1986

CHEMTURA

 

Australia

 

Crompton Corporation

 

Registered

 

A0001803

 

21-Jun-2005

 

1102475

 

10-Jul-2006

DRAPEX

 

Bangladesh

 

Crompton Corporation

 

Registered

 

16060

 

20-Aug-1980

 

16060

 

23-Dec-1984

CASTOMER

 

Benelux

 

Crompton Corporation

 

Registered

 

633485

 

21-Nov-1979

 

364381

 

21-Nov-1979

CRUSADER

 

Brazil

 

Chemtura Corporation

 

Registered

 

827059310

 

11-Nov-2004

 

827059310

 

11-Sep-2007

HIVALLOY

 

Brazil

 

Chemtura Corporation

 

Registered

 

816092710

 

05-Mar-1991

 

816092710

 

03-Nov-1992

HYBASE

 

Brazil

 

Chemtura Corporation

 

Registered

 

30921

 

21-Sep-1961

 

03538087

 

19-Apr-1967

MARK OBS

 

Brazil

 

Chemtura Corporation

 

Published

 

827543948

 

29-Jun-2005

 

 

 

 

PANAREX

 

Brazil

 

Chemtura Corporation

 

Published

 

827279213

 

30-Mar-2005

 

 

 

 

 


(9)          Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Crompton Corporation.

 

97



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PROGARD

 

Brazil

 

Chemtura Corporation

 

Pending

 

827313608

 

07-Apr-2005

 

 

 

 

VITABACTER

 

Brazil

 

Chemtura Corporation

 

Registered

 

826876765

 

06-Sep-2004

 

826876765

 

11-Sep-2007

VITABACTER PLUS

 

Brazil

 

Chemtura Corporation

 

Published

 

827528426

 

22-Jun-2005

 

 

 

 

VITAPACK MICRO

 

Brazil

 

Chemtura Corporation

 

Published

 

827528442

 

22-Jun-2005

 

 

 

 

VORATE

 

Brazil

 

Chemtura Corporation

 

Registered

 

827054173

 

08-Nov-2004

 

827054173

 

11-Sep-2007

CROMPTON

 

Chile

 

Crompton Corporation

 

Registered

 

674059

 

20-Jan-2005

 

727796

 

17-Jun-2005

VITAVAX

 

Chile

 

Crompton Corporation

 

Registered

 

707062

 

13-Oct-2005

 

750202

 

09-Feb-2006

CHEMTURA

 

Colombia

 

Chemtura Corporation

 

Registered

 

05066735

 

07-Jul-2005

 

312862

 

27-Feb-2006

CHEMTURA

 

Colombia

 

Chemtura Corporation

 

Registered

 

05066746

 

07-Jul-2005

 

312903

 

03-Mar-2006

CHEMTURA

 

Colombia

 

Chemtura Corporation

 

Registered

 

05066736

 

07-Jul-2005

 

312864

 

27-Feb-2006

CHEMTURA

 

Colombia

 

Chemtura Corporation

 

Registered

 

05066740

 

07-Jul-2005

 

312868

 

27-Feb-2006

CHEMTURA

 

Colombia

 

Chemtura Corporation

 

Registered

 

05066742

 

07-Jul-2005

 

312869

 

27-Feb-2006

CHEMTURA

 

Colombia

 

Chemtura Corporation

 

Registered

 

05066743

 

07-Jul-2005

 

312870

 

27-Feb-2006

CHEMTURA

 

Colombia

 

Chemtura Corporation

 

Registered

 

05066738

 

07-Jul-2005

 

312866

 

27-Feb-2006

CHEMTURA

 

Colombia

 

Chemtura Corporation

 

Registered

 

05066748

 

07-Jul-2005

 

312872

 

27-Feb-2006

CROMPTON

 

Colombia

 

Chemtura Corporation

 

Registered

 

02106725

 

25-Nov-2002

 

278769

 

18-Dec-2003

CROMPTON

 

Colombia

 

Chemtura Corporation

 

Registered

 

02105302

 

20-Nov-2002

 

278766

 

18-Dec-2003

 

98



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CROMPTON

 

Colombia

 

Chemtura Corporation

 

Registered

 

02105301

 

20-Nov-2002

 

278765

 

18-Dec-2003

CROMPTON

 

Colombia

 

Chemtura Corporation

 

Registered

 

02105303

 

20-Nov-2002

 

278767

 

18-Dec-2003

CROMPTON

 

Colombia

 

Chemtura Corporation

 

Registered

 

02105297

 

20-Nov-2002

 

278764

 

18-Dec-2003

INTERLOY

 

Colombia

 

Chemtura Corporation

 

Registered

 

03046541

 

03-Jun-2003

 

284102

 

31-May-2004

MARK OBS

 

Colombia

 

Chemtura Corporation

 

Registered

 

0568803

 

13-Jul-2005

 

312873

 

27-Feb-2006

PANAREX

 

Colombia

 

Crompton Corporation

 

Registered

 

0533727

 

12-Apr-2005

 

320507

 

28-Jul-2006

ADIPRENE EXTREME

 

Malaysia

 

Crompton Corporation

 

Registered

 

2004/09344

 

08-Jul-2004

 

04009344

 

08-Jul-2004

DRAPEX

 

Nigeria

 

Chemtura Corporation

 

Registered

 

36798/80/4

 

03-Apr-1980

 

36798

 

24-May-1988

MARK

 

Nigeria

 

Chemtura Corporation

 

Registered

 

36797/80/4

 

04-Apr-1980

 

36797

 

04-Apr-1987

ISOFOAM

 

South Africa

 

Crompton Corporation

 

Registered

 

 

 

22-Nov-1979

 

79/6254

 

22-Nov-1979

DRAPEX

 

Sri Lanka

 

Crompton Corporation

 

Registered

 

41206

 

24-Apr-1980

 

41206

 

24-May-1988

BADGER

 

Tanzania

 

Crompton Corporation

 

Registered

 

002015

 

24-Nov-2004

 

30827

 

16-Nov-2004

INGWE

 

Tanzania

 

Crompton Corporation

 

Registered

 

002040

 

23-Nov-2004

 

30932

 

23-Nov-2004

CYCLORYL

 

United Kingdom

 

Crompton Corporation

 

Registered

 

715943

 

19-Mar-1953

 

715943

 

19-Mar-1953

CHEMTURA

 

Venezuela

 

Crompton Corporation

 

Registered

 

137102005

 

23-Jun-2005

 

research2

 

17-Apr-2006

CHEMTURA

 

Venezuela

 

Crompton Corporation

 

Registered

 

137112005

 

23-Jun-2005

 

research3

 

17-Jul-2006

CROMPTON

 

Venezuela

 

Crompton Corporation

 

Registered

 

1033-2005

 

24-Jan-2005

 

P265906

 

11-Nov-2005

 

99



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

HIVALLOY

 

Venezuela

 

Crompton Corporation

 

Registered

 

17431-1990

 

15-Oct-1990

 

160290

 

10-Jun-1994

INTERLOY

 

Venezuela

 

Crompton Corporation

 

Registered

 

70132003

 

30-May-2003

 

261901

 

26-Sep-2005

WESTON

 

Venezuela

 

Crompton Corporation

 

Registered

 

1943-1984

 

08-Jun-1984

 

124083-F

 

19-May-1986

BADGER

 

Zimbabwe

 

Crompton Corporation

 

Registered

 

92904

 

12-Nov-2004

 

92904

 

12-Nov-2004

ACRAMITE

 

Ecuador

 

Crompton Manufacturing Company, Inc.(10)

 

Registered

 

0000105420

 

28-Jun-2000

 

10643

 

15-Feb-2001

FLORAMITE

 

Ecuador

 

Crompton Manufacturing Company, Inc.

 

Registered

 

0000105421

 

28-Jun-2000

 

10644

 

15-Feb-2001

FLUPRO

 

Ecuador

 

Crompton Manufacturing Company, Inc.

 

Registered

 

0000111602

 

23-Feb-2001

 

16091

 

20-Mar-2002

MICROMITE

 

Ecuador

 

Crompton Manufacturing Company, Inc.

 

Registered

 

102037

 

17-Feb-2000

 

6432

 

14-Sep-2000

PANTERA

 

Ecuador

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

96492

 

16-Jun-1999

 

3444

 

26-Jun-2000

TEDION V18

 

Ecuador

 

Crompton Manufacturing Company, Inc.

 

Registered

 

 

 

13-Apr-1960

 

343

 

14-Aug-1961

ALAR

 

Indonesia

 

Crompton Manufacturing Company, Inc.

 

Registered

 

0D97 22702

 

16-Oct-1997

 

410475

 

20-Apr-1998

BI-LARV

 

Indonesia

 

Chemtura Corporation

 

Registered

 

409120

 

04-Jan-1990

 

502308

 

14-May-2002

 


(10)    Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Crompton Manufacturing Company, Inc..

 

100



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

DIMILIN

 

Indonesia

 

Chemtura Corporation

 

Registered

 

9616108

 

01-Aug-1996

 

365891

 

30-Aug-1996

DURAZONE

 

Indonesia

 

Chemtura Corporation

 

Registered

 

101-976

 

28-Jan-1992

 

323352

 

20-Aug-1996

OMITE

 

Indonesia

 

Chemtura Corporation

 

Registered

 

00D9615725

 

29-Jul-1996

 

391431

 

19-Sep-1997

PANTERA

 

Indonesia

 

Chemtura Corporation

 

Registered

 

0009811465

 

02-Jul-1998

 

445889

 

23-May-2000

VITAVAX

 

Indonesia

 

Chemtura Corporation

 

Registered

 

8373

 

27-Apr-2000

 

450462

 

07-Nov-2000

REOFLAM

 

Brazil

 

FMC Corporation(11)

 

Registered

 

810995204

 

 

 

810995204

 

31-Jan-1994

REOFOS

 

Brazil

 

FMC Corporation

 

Registered

 

7046758

 

 

 

7046758

 

10-Jan-1980

PLIABRAC with Chinese characters

 

China (Peoples Republic)

 

FMC Corporation

 

Registered

 

9900022330

 

10-Mar-1999

 

1425095

 

28-Jul-2000

REOFOS

 

Hong Kong

 

FMC Corporation

 

Registered

 

413088

 

11-Jul-1988

 

641990

 

09-Jan-1990

REOFOS

 

India

 

FMC Corporation

 

Registered

 

257283

 

09-Jun-1969

 

257253

 

09-Jun-1969

REOFOS

 

Poland

 

FMC Corporation

 

Registered

 

 

 

29-Jul-1969

 

48,456

 

29-Jul-1969

REOPLEX

 

Russian Federation

 

FMC Corporation

 

Registered

 

63380

 

01-Nov-1972

 

46,768

 

08-Aug-1973

REOMOL

 

United Kingdom

 

FMC Corporation

 

Registered

 

609522

 

28-Oct-1939

 

609522

 

28-Feb-1940

GENOX

 

Brazil

 

Crompton Corporation

 

Published

 

824849663

 

05-Aug-2002

 

 

 

 

ULTRANOX

 

Brazil

 

Chemtura Corporation

 

Registered

 

 

 

27-Jun-1985

 

812054067

 

23-Dec-1986

ULTRANOX

 

Colombia

 

Chemtura Corporation

 

Registered

 

 

 

11-Aug-1992

 

144795

 

31-Dec-1993

ULTRANOX

 

India

 

GE Specialties, Inc. (12)

 

Registered

 

574595

 

03-Jun-1992

 

574595

 

14-May-1999

 


(11)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by FMC Corporation.

 

(12)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by GE Specialties, Inc.

 

101



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ULTRANOX

 

Indonesia

 

GE Specialties, Inc.

 

Registered

 

195749477

 

03-Nov-2001

 

514363

 

14-Aug-2002

BLENDEX

 

Macedonia

 

GE Specialties, Inc.

 

Registered

 

PZ54995

 

11-Jul-1995

 

04727

 

02-Apr-1997

WESTON

 

Malaysia

 

Chemtura Corporation

 

Registered

 

200210551

 

27-Aug-2002

 

02010551

 

05-Apr-2008

WESTON CHEMICAL

 

Germany

 

GE Specialty Chemicals, Inc.(13)

 

Registered

 

 

 

29-Jun-1971

 

1051409

 

25-Jul-1983

WESTON CHEMICAL

 

Germany

 

GE Specialty Chemicals, Inc.

 

Registered

 

 

 

12-Sep-1990

 

DD650491

 

06-Apr-1992

BLENDEX (IN CHINESE AND ENGLISH)

 

Hong Kong

 

GE Specialty Chemicals, Inc.

 

Registered

 

 

 

03-Nov-1967

 

448/1968

 

17-Apr-1968

BLENDEX (IN CHINESE AND JAPANESE CHARACTERS)

 

Taiwan

 

GE Specialty Chemicals, Inc.

 

Registered

 

 

 

12-Jul-1967

 

30297

 

01-May-1968

BLENDEX (IN CHINESE CHARACTERS)

 

Taiwan

 

GE Specialty Chemicals, Inc.

 

Registered

 

 

 

06-Oct-1967

 

31121

 

01-Jul-1968

THERMOGUARD

 

Australia

 

GLCC Laurel, LLC

 

Registered

 

169091

 

06-Sep-1961

 

169091

 

06-Sep-1961

TIMONOX

 

Australia

 

GLCC Laurel, LLC

 

Registered

 

179639

 

09-Apr-1963

 

179639

 

09-Apr-1973

TIMONOX

 

Australia

 

GLCC Laurel, LLC

 

Registered

 

179640

 

09-Apr-1963

 

179,640

 

09-Apr-1973

TIMONOX

 

Benelux

 

GLCC Laurel, LLC

 

Registered

 

739561

 

08-Jan-1990

 

474725

 

28-Oct-1999

TIMONOX

 

Canada

 

GLCC Laurel, LLC

 

Registered

 

104810

 

27-Jul-1921

 

TMDA28854

 

27-Jul-1921

TIMONOX

 

Denmark

 

GLCC Laurel, LLC

 

Registered

 

14791919

 

22-Dec-1919

 

VR1920277

 

13-Mar-1920

 


(13)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by GE Specialties Chemicals, Inc.

 

102



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TIMONOX

 

Finland

 

GLCC Laurel, LLC

 

Registered

 

195902097

 

06-Aug-1959

 

36200

 

27-Jan-1961

THERMOGUARD

 

France

 

GLCC Laurel, LLC

 

Registered

 

960184

 

11-Oct-1988

 

1493245

 

11-Oct-1988

TIMONOX

 

France

 

GLCC Laurel, LLC

 

Registered

 

852735

 

27-Apr-1987

 

1522697

 

27-Apr-1987

TIMONOX

 

Germany

 

GLCC Laurel, LLC

 

Registered

 

A17956WZ

 

27-Nov-1951

 

633213

 

28-Jan-1953

TIMONOX

 

Hong Kong

 

GLCC Laurel, LLC

 

Registered

 

16122

 

17-Feb-1922

 

19920161

 

17-Feb-1922

TIMONOX

 

Ireland

 

GLCC Laurel, LLC

 

Registered

 

43334

 

18-Jun-1918

 

43334

 

18-Jun-1918

TIMONOX

 

Ireland

 

GLCC Laurel, LLC

 

Registered

 

43335

 

18-Jun-1918

 

43335

 

18-Jun-1919

THERMOGUARD

 

Japan

 

GLCC Laurel, LLC

 

Registered

 

H06020849

 

04-Mar-1994

 

4039779

 

08-Aug-1997

TIMONOX

 

Japan

 

GLCC Laurel, LLC

 

Registered

 

49110860

 

19-Aug-1974

 

1343520

 

25-Aug-1978

TIMONOX

 

Malaysia

 

GLCC Laurel, LLC

 

Registered

 

20951

 

03-Mar-1952

 

20951

 

03-Mar-1952

THERMOGUARD

 

New Zealand

 

GLCC Laurel, LLC

 

Registered

 

69526

 

21-Sep-1961

 

69526

 

18-Dec-1963

TIMONOX

 

New Zealand

 

GLCC Laurel, LLC

 

Registered

 

73023

 

17-Apr-1963

 

73023

 

27-Feb-1964

TIMONOX

 

New Zealand

 

GLCC Laurel, LLC

 

Registered

 

73024

 

17-Apr-1963

 

73024

 

27-Feb-1964

TIMONOX

 

Norway

 

GLCC Laurel, LLC

 

Registered

 

 

 

06-Jul-1959

 

54159

 

06-Jul-1959

TIMONOX

 

Portugal

 

GLCC Laurel, LLC

 

Registered

 

149364

 

04-Jun-1968

 

149364

 

05-Nov-1969

TIMONOX

 

Singapore

 

GLCC Laurel, LLC

 

Registered

 

13112

 

13-Nov-1950

 

T5013112Z

 

13-Nov-1950

TIMONOX

 

South Africa

 

GLCC Laurel, LLC

 

Registered

 

664821

 

29-Nov-1966

 

664821

 

29-Nov-1966

 

103



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TIMONOX

 

South Africa

 

GLCC Laurel, LLC

 

Registered

 

664820

 

29-Nov-1966

 

664820

 

29-Nov-1966

TIMONOX

 

Sweden

 

GLCC Laurel, LLC

 

Registered

 

196903316

 

15-Jul-1969

 

128918

 

24-Oct-1969

TIMONOX (Stylized)

 

Sweden

 

GLCC Laurel, LLC

 

Registered

 

28116

 

21-Dec-1923

 

28116

 

05-Feb-1924

TIMONOX

 

Switzerland

 

GLCC Laurel, LLC

 

Registered

 

231388

 

07-Apr-1948

 

362222

 

07-Apr-1948

TIMONOX

 

United Kingdom

 

GLCC Laurel, LLC

 

Registered

 

426826

 

06-Jun-1922

 

426826

 

06-Jun-1922

TIMONOX

 

United Kingdom

 

GLCC Laurel, LLC

 

Registered

 

392424

 

18-Jun-1919

 

392424

 

18-Jun-1919

TIMONOX (Stylized)

 

United Kingdom

 

GLCC Laurel, LLC

 

Registered

 

744135

 

06-Jul-1955

 

744135

 

06-Jul-1955

TRUTINT

 

United Kingdom

 

GLCC Laurel, LLC

 

Registered

 

1175618

 

25-May-1982

 

1175618

 

11-Jan-1986

AZUB

 

United States of America

 

GLCC Laurel, LLC

 

Registered

 

75/226,800

 

16-Jan-1997

 

2390129

 

26-Sep-2000

MICROFINE

 

United States of America

 

GLCC Laurel, LLC

 

Registered

 

73626013

 

20-Oct-1986

 

1471098

 

05-Jan-1988

ONGARD

 

United States of America

 

GLCC Laurel, LLC

 

Registered

 

73041005

 

06-Jan-1975

 

1063613

 

19-Apr-1977

PYROBLOC

 

United States of America

 

GLCC Laurel, LLC

 

Registered

 

73433151

 

05-Jul-1983

 

1413846

 

21-Oct-1986

SMOKEBLOC

 

United States of America

 

GLCC Laurel, LLC

 

Registered

 

73466286

 

21-Feb-1984

 

1310630

 

25-Dec-1984

THERMOGUARD

 

United States of America

 

GLCC Laurel, LLC

 

Registered

 

73521412

 

08-Feb-1985

 

1359955

 

17-Sep-1985

TIMONOX

 

United States of America

 

GLCC Laurel, LLC

 

Registered

 

78505847

 

26-Oct-2004

 

3092434

 

16-May-2006

TMS

 

United States of America

 

GLCC Laurel, LLC

 

Registered

 

74109566

 

26-Oct-1990

 

1679994

 

24-Mar-1992

TRUTINT

 

United States of America

 

GLCC Laurel, LLC

 

Registered

 

73332836

 

16-Oct-1981

 

1228023

 

22-Feb-1983

 

104



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TIMONOX

 

Pakistan

 

GLCC Technologies, Inc.(14)

 

Registered

 

5135

 

30-Apr-1949

 

5135

 

30-Apr-1949

TIMONOX

 

Pakistan

 

GLCC Technologies, Inc.

 

Registered

 

5136

 

30-Apr-1949

 

5136

 

30-Apr-1949

TIMONOX

 

Portugal

 

GLCC Technologies, Inc.

 

Registered

 

149364

 

04-Jun-1968

 

149364

 

05-Nov-1969

ANZON

 

United Kingdom

 

GLCC Technologies, Inc.

 

Registered

 

1159728

 

19-Aug-1981

 

1159728

 

19-Aug-1981

AZ & Design

 

United Kingdom

 

GLCC Technologies, Inc.

 

Registered

 

1079766

 

15-Jun-1977

 

1079766

 

15-Jun-1977

FIREMASTER

 

Argentina

 

Great Lakes Chemical Corporation

 

Registered

 

2367956

 

04-Mar-2002

 

1915987

 

28-Feb-2003

FYREBLOC

 

Argentina

 

Great Lakes Chemical Corporation

 

Registered

 

2490724

 

23-Jan-2004

 

2047762

 

17-Oct-2005

NDB

 

Argentina

 

Great Lakes Chemical Corporation

 

Registered

 

2361389

 

10-Dec-2001

 

1910835

 

16-Jan-2003

PBS-64

 

Argentina

 

Great Lakes Chemical Corporation

 

Registered

 

2300485

 

03-Aug-2000

 

1858472

 

17-Jan-2002

BLOOMGARD

 

Australia

 

Great Lakes Chemical Corporation

 

Registered

 

844801

 

02-Aug-2000

 

844801

 

02-Aug-2000

AGRIBROM

 

Brazil

 

Great Lakes Chemical Corporation

 

Registered

 

814020593

 

31-Dec-1987

 

814020593

 

21-Aug-1990

NDB

 

Bulgaria

 

Great Lakes Chemical Corporation

 

Registered

 

57477

 

11-Dec-2001

 

44917

 

28-May-2003

 


(14)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by GLCC Technologies, Inc.

 

105



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

DURAD

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

488712

 

22-Jun-1982

 

TMA301615

 

04-Apr-1985

FIREMASTER

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

1130248

 

05-Feb-2002

 

TMA607987

 

19-Apr-2004

FYREBLOC

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

1205027

 

22-Jan-2004

 

TMA721699

 

21-Aug-2008

GEOBROM

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

623053

 

11-Jan-1989

 

TMA393010

 

24-Jan-1992

LIQUIBROM

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

716943

 

16-Nov-1992

 

TMA461128

 

16-Aug-1996

METH-O-GAS

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

376635

 

02-Jul-1974

 

TMA206833

 

02-May-1975

NDB

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

1124475

 

06-Dec-2001

 

TMA592274

 

15-Oct-2003

REOFLAM

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

494304

 

02-Nov-1982

 

TMA290670

 

04-May-1984

REOFOS

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

512211

 

10-Nov-1983

 

TMA295786

 

05-Oct-1984

REOGARD

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

1132659

 

28-Feb-2002

 

604440

 

08-Mar-2004

REOLUBE

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

339687

 

25-Jan-1971

 

TMA181618

 

03-Mar-1972

 

106



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

REOMOL

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

512210

 

10-Nov-1983

 

299198

 

18-Jan-1985

REOPLEX

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

512212

 

10-Nov-1983

 

TMA 294572

 

31-Aug-1984

TERR-O-GAS

 

Canada

 

Great Lakes Chemical Corporation

 

Registered

 

519743

 

03-Apr-1984

 

TMA299598

 

01-Feb-1985

VECAP and Design

 

Canada

 

Great Lakes Chemical Corporation

 

Pending

 

1355783

 

16-Jul-2007

 

 

 

 

FIREMASTER

 

Chile

 

Great Lakes Chemical Corporation

 

Registered

 

563114

 

28-Mar-2002

 

672419

 

02-Sep-2003

FYREBLOC

 

Chile

 

Great Lakes Chemical Corporation

 

Registered

 

635250

 

23-Jan-2004

 

702833

 

08-Sep-2004

NDB

 

Chile

 

Great Lakes Chemical Corporation

 

Registered

 

552414

 

11-Dec-2001

 

658239

 

19-Feb-2003

BLOOMGARD

 

China (Peoples Republic)

 

Great Lakes Chemical Corporation

 

Registered

 

200116225

 

21-Jan-2002

 

1700004

 

21-Jan-2002

FIREMASTER

 

China (Peoples Republic)

 

Great Lakes Chemical Corporation

 

Registered

 

3092669

 

07-Feb-2002

 

3092669

 

21-May-2003

GEOBROM

 

China (Peoples Republic)

 

Great Lakes Chemical Corporation

 

Registered

 

2000029388

 

15-Mar-2000

 

1628104

 

07-Sep-2001

NDB

 

China (Peoples Republic)

 

Great Lakes Chemical Corporation

 

Registered

 

3036762

 

11-Dec-2001

 

3036762

 

28-Mar-2003

 

107



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VECAP and Design

 

China (Peoples Republic)

 

Great Lakes Chemical Corporation

 

Pending

 

 

 

09-Jul-2007

 

 

 

 

FIREMASTER

 

Colombia

 

Great Lakes Chemical Corporation

 

Registered

 

218107

 

27-Feb-2002

 

257317

 

30-Oct-2002

FYREBLOC

 

Colombia

 

Great Lakes Chemical Corporation

 

Registered

 

4005077

 

23-Jan-2004

 

288524

 

29-Oct-2004

NDB

 

Colombia

 

Great Lakes Chemical Corporation

 

Registered

 

1105515

 

10-Dec-2001

 

265247

 

30-Jan-2003

NDB

 

Czech Republic

 

Great Lakes Chemical Corporation

 

Registered

 

174635

 

11-Dec-2001

 

250810

 

 

AGRIBROM

 

Denmark

 

Great Lakes Chemical Corporation

 

Registered

 

8645-1987

 

23-Dec-1987

 

795-1990

 

16-Feb-1990

NDB

 

Ecuador

 

Great Lakes Chemical Corporation

 

Registered

 

119574

 

07-Dec-2001

 

19036

 

09-Aug-2002

FIREMASTER

 

European Community

 

Great Lakes Chemical Corporation

 

Registered

 

2561199

 

04-Feb-2002

 

2561199

 

02-May-2003

FYREBLOC

 

European Community

 

Great Lakes Chemical Corporation

 

Registered

 

3629466

 

23-Jan-2004

 

3629466

 

23-Jun-2004

NDB

 

European Community

 

Great Lakes Chemical Corporation

 

Registered

 

2493385

 

07-Dec-2001

 

2493385

 

07-Dec-2003

SECURE and Design

 

European Community

 

Great Lakes Chemical Corporation

 

Registered

 

7354814

 

29-Oct-2008

 

7354814

 

29-Jul-2009

 

108



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VECAP and Design

 

European Community

 

Great Lakes Chemical Corporation

 

Registered

 

005628821

 

19-Jan-2007

 

005628821

 

04-Feb-2008

BLOOMGARD

 

France

 

Great Lakes Chemical Corporation

 

Registered

 

003 045 223

 

04-Aug-2000

 

003 045 223

 

05-Jan-2001

PBS-64

 

France

 

Great Lakes Chemical Corporation

 

Registered

 

003045224

 

04-Aug-2000

 

003045224

 

05-Jan-2001

NDB

 

Georgia

 

Great Lakes Chemical Corporation

 

Registered

 

AM 2001 016562

 

11-Dec-2001

 

M14852

 

12-Dec-2002

BLOOMGARD

 

Germany

 

Great Lakes Chemical Corporation

 

Registered

 

300 57 838

 

07-Feb-2000

 

300 57 838

 

11-Jan-2001

LIQUIBROM

 

Germany

 

Great Lakes Chemical Corporation

 

Registered

 

G149255Wz

 

14-Nov-1992

 

2053394

 

04-Jan-1994

PBS-64

 

Germany

 

Great Lakes Chemical Corporation

 

Registered

 

300 57 839.3/01

 

03-Aug-2000

 

300 57 839

 

21-Jun-2001

LIQUIBROM

 

Greece

 

Great Lakes Chemical Corporation

 

Registered

 

112290

 

13-Jan-1993

 

112290

 

18-Sep-1995

FIREMASTER

 

Hong Kong

 

Great Lakes Chemical Corporation

 

Registered

 

200201888

 

08-Feb-2002

 

133772002

 

17-Oct-2002

NDB

 

Hong Kong

 

Great Lakes Chemical Corporation

 

Registered

 

2001/19790

 

06-Dec-2001

 

2003B06975

 

28-May-2003

PBS-64

 

Hong Kong

 

Great Lakes Chemical Corporation

 

Registered

 

2000 17159

 

01-Aug-2000

 

2001B04383

 

12-Apr-2001

 

109



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

NDB

 

Hungary

 

Great Lakes Chemical Corporation

 

Registered

 

M0106375

 

11-Dec-2001

 

174947

 

10-Apr-2003

VECAP and Design

 

India

 

Great Lakes Chemical Corporation

 

Pending

 

 

 

18-Jul-2007

 

 

 

 

GEOBROM

 

Indonesia

 

Great Lakes Chemical Corporation

 

Registered

 

D004950

 

15-Mar-2000

 

477680

 

25-May-2001

NDB

 

Indonesia

 

Great Lakes Chemical Corporation

 

Registered

 

D00-2001-27170-27381

 

11-Mar-2002

 

530334

 

24-Feb-2003

FYREBLOC

 

Int’l Registration - Madrid Agreement / Protocol

 

Great Lakes Chemical Corporation

 

Registered

 

Z1230304

 

23-Jan-2004

 

818690

 

04-Mar-2004

VECAP and Design

 

Int’l Registration - Madrid Agreement / Protocol

 

Great Lakes Chemical Corporation

 

Registered

 

933296

 

09-Jul-2007

 

933296

 

09-Jul-2007

NDB

 

Iran

 

Great Lakes Chemical Corporation

 

Registered

 

8009545

 

09-Dec-2001

 

103382

 

04-Mar-2003

BLOOMGARD

 

Ireland

 

Great Lakes Chemical Corporation

 

Registered

 

218382

 

01-Aug-2000

 

218382

 

01-Aug-2000

PBS-64

 

Ireland

 

Great Lakes Chemical Corporation

 

Registered

 

218618

 

01-Aug-2000

 

218618

 

01-Aug-2000

FIREMASTER

 

Israel

 

Great Lakes Chemical Corporation

 

Registered

 

155136

 

04-Feb-2002

 

155136

 

05-Aug-2003

NDB

 

Israel

 

Great Lakes Chemical Corporation

 

Registered

 

153710

 

09-Dec-2001

 

153710

 

08-Oct-2002

 

110



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

REOGARD

 

Israel

 

Great Lakes Chemical Corporation

 

Registered

 

155610

 

28-Feb-2002

 

155610

 

04-Mar-2003

BLOOMGARD

 

Italy

 

Great Lakes Chemical Corporation

 

Registered

 

4886200 RM

 

02-Aug-2000

 

900945

 

04-Jul-2003

BROM-O-GAS

 

Italy

 

Great Lakes Chemical Corporation

 

Registered

 

RM91C002221

 

18-Jun-1991

 

612978

 

29-Dec-1993

LIQUIBROM

 

Italy

 

Great Lakes Chemical Corporation

 

Registered

 

RM92C004420

 

04-Dec-1992

 

644939

 

07-Mar-1995

PBS-64

 

Italy

 

Great Lakes Chemical Corporation

 

Registered

 

2000C004887

 

02-Aug-2000

 

900946

 

04-Jul-2003

AGRIBROM

 

Japan

 

Great Lakes Chemical Corporation

 

Registered

 

146155/1987

 

26-Dec-1987

 

2,280,376

 

30-Nov-1990

BLOOMGARD

 

Japan

 

Great Lakes Chemical Corporation

 

Registered

 

84758/2000

 

01-Aug-2000

 

4447869

 

19-Jan-2001

FYREBLOC

 

Japan

 

Great Lakes Chemical Corporation

 

Registered

 

818690

 

23-Jan-2004

 

818690

 

29-Jul-2004

LIQUIBROM

 

Japan

 

Great Lakes Chemical Corporation

 

Registered

 

383/1993

 

06-Jan-1993

 

3330914

 

11-Jul-1997

NDB

 

Japan

 

Great Lakes Chemical Corporation

 

Registered

 

108961/2001

 

06-Dec-2001

 

4626282

 

29-Nov-2002

VECAP and Design

 

Japan

 

Great Lakes Chemical Corporation

 

Pending

 

 

 

09-Jul-2007

 

 

 

 

 

111



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ALKANOX 240

 

Korea, Republic of

 

Great Lakes Chemical Corporation

 

Registered

 

 

 

 

 

385797

 

08-Dec-1997

ANOX

 

Korea, Republic of

 

Great Lakes Chemical Corporation

 

Registered

 

 

 

 

 

385791

 

08-Dec-1997

ANOX 20

 

Korea, Republic of

 

Great Lakes Chemical Corporation

 

Registered

 

 

 

 

 

385793

 

08-Dec-1997

ANOX 20 NDB

 

Korea, Republic of

 

Great Lakes Chemical Corporation

 

Registered

 

 

 

 

 

385795

 

08-Dec-1997

ANOX PP18

 

Korea, Republic of

 

Great Lakes Chemical Corporation

 

Registered

 

 

 

 

 

385792

 

08-Dec-1997

FIREMASTER

 

Korea, Republic of

 

Great Lakes Chemical Corporation

 

Registered

 

40-2002-6676

 

07-Feb-2002

 

605850

 

14-Jan-2005

FYREBLOC

 

Korea, Republic of

 

Great Lakes Chemical Corporation

 

Registered

 

818690

 

 

 

818690

 

23-Jan-2004

NDB

 

Korea, Republic of

 

Great Lakes Chemical Corporation

 

Registered

 

40-2001-54718

 

07-Dec-2001

 

552892

 

04-Jul-2003

PP18NDB

 

Korea, Republic of

 

Great Lakes Chemical Corporation

 

Registered

 

 

 

 

 

385796

 

08-Dec-1997

REOGARD

 

Korea, Republic of

 

Great Lakes Chemical Corporation

 

Registered

 

2002-0009599

 

28-Feb-2002

 

582387

 

12-May-2004

VECAP and Design

 

Korea, Republic of

 

Great Lakes Chemical Corporation

 

Registered

 

933296

 

09-Jul-2007

 

933296

 

09-Jul-2007

 

112



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

NDB

 

Lebanon

 

Great Lakes Chemical Corporation

 

Registered

 

34659

 

10-Dec-2001

 

89211

 

10-Dec-2001

NDB

 

Malaysia

 

Great Lakes Chemical Corporation

 

Registered

 

2001/15767

 

08-Dec-2001

 

01015767

 

15-Oct-2004

BLOOMGARD

 

Mexico

 

Great Lakes Chemical Corporation

 

Registered

 

440,353

 

04-Aug-2000

 

678,558

 

27-Nov-2000

FIREMASTER

 

Mexico

 

Great Lakes Chemical Corporation

 

Registered

 

548555

 

24-May-2002

 

751371

 

25-Jun-2002

GEOBROM

 

Mexico

 

Great Lakes Chemical Corporation

 

Registered

 

416098

 

15-Mar-2000

 

683012

 

24-Jan-2001

LIQUIBROM

 

Mexico

 

Great Lakes Chemical Corporation

 

Registered

 

157865

 

28-Dec-1992

 

437696

 

19-Jul-1993

NDB

 

Mexico

 

Great Lakes Chemical Corporation

 

Registered

 

522798

 

11-Dec-2001

 

746795

 

14-May-2002

PBS-64

 

Mexico

 

Great Lakes Chemical Corporation

 

Registered

 

440,354

 

04-Aug-2000

 

677254

 

31-Oct-2000

REOLUBE

 

Mexico

 

Great Lakes Chemical Corporation

 

Registered

 

 

 

08-Feb-1979

 

223634

 

04-Apr-1979

GEOBROM

 

New Zealand

 

Great Lakes Chemical Corporation

 

Registered

 

190353

 

13-Jan-1989

 

190353

 

26-Mar-1992

BLOOMGARD

 

Norway

 

Great Lakes Chemical Corporation

 

Registered

 

2000 08913

 

02-Aug-2000

 

207665

 

29-Mar-2001

 

113



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

FIREMASTER

 

Norway

 

Great Lakes Chemical Corporation

 

Registered

 

2002-00844

 

05-Feb-2002

 

224580

 

14-Oct-2004

NDB

 

Norway

 

Great Lakes Chemical Corporation

 

Registered

 

200114235

 

06-Dec-2001

 

215595

 

29-Aug-2002

PBS-64

 

Norway

 

Great Lakes Chemical Corporation

 

Registered

 

2000 08914

 

02-Aug-2000

 

207 666

 

29-Mar-2001

NDB

 

Peru

 

Great Lakes Chemical Corporation

 

Registered

 

140179

 

07-Dec-2001

 

080208

 

15-May-2002

FIREMASTER

 

Philippines

 

Great Lakes Chemical Corporation

 

Registered

 

42002004123

 

23-May-2002

 

42002004123

 

17-Jan-2005

NDB

 

Poland

 

Great Lakes Chemical Corporation

 

Registered

 

Z244135

 

11-Dec-2001

 

R-170962

 

22-Jun-2006

NDB

 

Romania

 

Great Lakes Chemical Corporation

 

Registered

 

M200106205

 

11-Dec-2001

 

50218

 

11-Dec-2001

VECAP and Design

 

Russian Federation

 

Great Lakes Chemical Corporation

 

Pending

 

 

 

09-Jul-2007

 

 

 

 

FYREBLOC

 

Saudi Arabia

 

Great Lakes Chemical Corporation

 

Registered

 

88327

 

17-Mar-2004

 

77067

 

08-Feb-2005

GUARDEX

 

Saudi Arabia

 

Great Lakes Chemical Corporation

 

Registered

 

16865

 

03-Jun-1992

 

2832

 

24-Apr-1993

GUARDEX

 

Saudi Arabia

 

Great Lakes Chemical Corporation

 

Registered

 

16864

 

03-Jun-1992

 

282100

 

24-Apr-1993

 

114



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

GUARDEX & Hexagon Design

 

Saudi Arabia

 

Great Lakes Chemical Corporation

 

Registered

 

16866

 

03-Jun-1992

 

2831

 

24-Apr-1993

GUARDEX & Hexagon Design

 

Saudi Arabia

 

Great Lakes Chemical Corporation

 

Registered

 

16867

 

03-Jun-1992

 

2833

 

24-Apr-1993

BLOOMGARD

 

Singapore

 

Great Lakes Chemical Corporation

 

Registered

 

T00113800G

 

07-Aug-2000

 

T0013800G

 

14-Jan-2002

FIREMASTER

 

Singapore

 

Great Lakes Chemical Corporation

 

Registered

 

T0201633B

 

08-Feb-2002

 

T0201633B

 

08-Feb-2002

NDB

 

Singapore

 

Great Lakes Chemical Corporation

 

Registered

 

T0118834B

 

07-Dec-2001

 

T0118834B

 

11-Jun-2001

REOGARD

 

Singapore

 

Great Lakes Chemical Corporation

 

Registered

 

T02/02188C

 

28-Feb-2002

 

T0202188C

 

30-Aug-2001

NDB

 

Slovak Republic

 

Great Lakes Chemical Corporation

 

Registered

 

36982001

 

10-Dec-2001

 

202008

 

11-Feb-2003

BLOOMGARD

 

Spain

 

Great Lakes Chemical Corporation

 

Registered

 

2337962

 

04-Aug-2000

 

2,337,962

 

20-Feb-2001

LIQUIBROM

 

Spain

 

Great Lakes Chemical Corporation

 

Registered

 

1740754

 

22-Jan-1993

 

1740754

 

20-Apr-1994

PBS-64

 

Spain

 

Great Lakes Chemical Corporation

 

Registered

 

2337963

 

04-Aug-2000

 

2,337,963

 

20-Feb-2001

REOGARD

 

Spain

 

Great Lakes Chemical Corporation

 

Registered

 

2459360

 

28-Feb-2002

 

2459360

 

22-Jul-2002

 

115



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BLOOMGARD

 

Sweden

 

Great Lakes Chemical Corporation

 

Registered

 

0005796

 

03-Aug-2000

 

350468

 

30-Nov-2001

LIQUIBROM

 

Sweden

 

Great Lakes Chemical Corporation

 

Registered

 

92-10152

 

18-Nov-1992

 

252048

 

24-Sep-1993

PBS-64

 

Sweden

 

Great Lakes Chemical Corporation

 

Registered

 

2000/05797

 

03-Aug-2000

 

0351155

 

21-Dec-2001

AQUABROME DIHALO

 

Switzerland

 

Great Lakes Chemical Corporation

 

Registered

 

 

 

02-Mar-1983

 

322,332

 

20-Apr-1983

BLOOMGARD

 

Switzerland

 

Great Lakes Chemical Corporation

 

Registered

 

09231/2000

 

04-Aug-2000

 

482400

 

03-Jul-2001

BROM-O-GAS

 

Switzerland

 

Great Lakes Chemical Corporation

 

Registered

 

 

 

03-Jul-1991

 

393879

 

19-Aug-1992

BROM-O-SOL

 

Switzerland

 

Great Lakes Chemical Corporation

 

Registered

 

 

 

03-Jul-1991

 

393880

 

19-Aug-1992

NDB

 

Switzerland

 

Great Lakes Chemical Corporation

 

Registered

 

115102001

 

06-Dec-2001

 

497015

 

06-Dec-2001

PBS-64

 

Switzerland

 

Great Lakes Chemical Corporation

 

Registered

 

09230/2000

 

04-Aug-2000

 

482414

 

03-Jul-2001

BLOOMGARD

 

Taiwan

 

Great Lakes Chemical Corporation

 

Registered

 

89044757

 

03-Aug-2000

 

964699

 

16-Oct-2001

FIREMASTER

 

Taiwan

 

Great Lakes Chemical Corporation

 

Registered

 

91004869

 

05-Feb-2002

 

1031022

 

01-Feb-2003

 

116



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

FYREBLOC

 

Taiwan

 

Great Lakes Chemical Corporation

 

Registered

 

093002984

 

27-Jan-2004

 

1135698

 

16-Jan-2005

LIQUIBROM

 

Taiwan

 

Great Lakes Chemical Corporation

 

Registered

 

(81) 59655

 

01-Dec-1992

 

609784

 

01-Sep-1993

NDB

 

Taiwan

 

Great Lakes Chemical Corporation

 

Registered

 

90049953

 

07-Dec-2001

 

1021494

 

16-Nov-2002

PBS-64

 

Taiwan

 

Great Lakes Chemical Corporation

 

Registered

 

89044758

 

03-Aug-2000

 

964700

 

16-Oct-2001

REOGARD

 

Taiwan

 

Great Lakes Chemical Corporation

 

Registered

 

91007569

 

01-Mar-2002

 

1028902

 

16-Jan-2003

VECAP and Design

 

Taiwan

 

Great Lakes Chemical Corporation

 

Registered

 

96033346

 

09-Jul-2007

 

1329857

 

16-Sep-2008

FIREMASTER

 

Thailand

 

Great Lakes Chemical Corporation

 

Registered

 

482788

 

15-Mar-2002

 

TM173507

 

26-Dec-2002

REOGARD

 

Thailand

 

Great Lakes Chemical Corporation

 

Registered

 

481599

 

28-Feb-2002

 

TM170888

 

06-Nov-2002

NDB

 

Turkey

 

Great Lakes Chemical Corporation

 

Registered

 

2001025622

 

10-Dec-2001

 

2001025622

 

10-Dec-2001

VECAP and Design

 

Turkey

 

Great Lakes Chemical Corporation

 

Registered

 

933296

 

09-Jul-2007

 

933296

 

09-Jul-2007

NDB

 

Ukraine

 

Great Lakes Chemical Corporation

 

Registered

 

2001127910

 

07-Dec-2001

 

36446

 

07-Dec-2001

 

117



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BLOOMGARD

 

United Kingdom

 

Great Lakes Chemical Corporation

 

Registered

 

2241483

 

03-Aug-2000

 

2241483

 

19-Jan-2001

PBS-64

 

United Kingdom

 

Great Lakes Chemical Corporation

 

Registered

 

2241453

 

03-Aug-2000

 

2241453

 

19-Jan-2001

REOGARD

 

United Kingdom

 

Great Lakes Chemical Corporation

 

Registered

 

2294137

 

28-Feb-2002

 

2294137

 

30-Aug-2002

ALKANOX

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

76226476

 

19-Mar-2001

 

2617338

 

10-Sep-2002

ANOX

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

76223633

 

09-Mar-2001

 

3257388

 

03-Jul-2007

BROM 55

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

71694301

 

07-Sep-1955

 

640213

 

22-Jan-1957

BROM-O-GAS

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

72/088857

 

12-Jan-1960

 

711688

 

28-Feb-1961

BROM-O-SOL

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

72/300188

 

11-Jun-1968

 

869242

 

13-May-1969

CHLOR-O-PIC

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

72300189

 

11-Jun-1968

 

869243

 

13-May-1969

DURAD

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

73348745

 

04-Feb-1982

 

1266731

 

14-Feb-1984

DURAD

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

73152962

 

02-Dec-1977

 

1119491

 

05-Jun-1979

 

118



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

FIREMASTER

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

72220524

 

07-Jun-1965

 

803699

 

15-Feb-1966

FYREBLOC

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

73433142

 

05-Jul-1983

 

1304499

 

13-Nov-1984

FYREBLOC

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

78277783

 

23-Jul-2003

 

2879465

 

31-Aug-2004

GEOBROM

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

75799850

 

15-Sep-1999

 

2397651

 

24-Oct-2000

GREAT LAKES CHEMICAL CORPORATION

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

76200351

 

26-Jan-2001

 

2676489

 

21-Jan-2003

GREAT LAKES DBS

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

74484659

 

31-Jan-1994

 

1869152

 

27-Dec-1994

KP-140

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

72243654

 

18-Apr-1966

 

823251

 

31-Jan-1967

KP-140

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

73348775

 

04-Feb-1982

 

1260698

 

13-Dec-1983

KRONITEX

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

73348751

 

04-May-1982

 

1266732

 

14-Feb-1984

METH-O-GAS

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

72300190

 

11-Jun-1968

 

869244

 

13-May-1969

NDB

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

76269741

 

11-Jun-2001

 

2630963

 

08-Oct-2002

 

119



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PHT4

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

72440657

 

08-Nov-1972

 

969007

 

25-Sep-1973

PYRONIL

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

73788801

 

24-Mar-1989

 

1640100

 

09-Apr-1991

REOFOS

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

72439537

 

27-Oct-1972

 

989449

 

30-Jul-1974

REOGARD

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

76/307,218

 

30-Aug-2001

 

2552681

 

26-Mar-2002

REOLUBE

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

72371923

 

28-Sep-1970

 

918366

 

17-Aug-1971

REOLUBE

 

United States of America

 

Great Lakes Chemical Corporation

 

Pending

 

7732297

 

08-May-2009

 

 

 

 

REOMOL

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

78322277

 

03-Nov-2003

 

2901796

 

09-Nov-2004

TERR-O-GAS

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

72283123

 

23-Oct-1967

 

857735

 

01-Oct-1968

VECAP and Design

 

United States of America

 

Great Lakes Chemical Corporation

 

Registered

 

79042103

 

09-Jul-2007

 

3572751

 

10-Feb-2009

NDB

 

Uruguay

 

Great Lakes Chemical Corporation

 

Registered

 

335869

 

11-Dec-2001

 

335869

 

11-Apr-2002

FIREMASTER

 

Venezuela

 

PABU Services, Inc.

 

Registered

 

2002-003423

 

07-Mar-2002

 

P-266095

 

19-Dec-2005

 

120


 


 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

NDB

 

Venezuela

 

PABU Services, Inc.

 

Registered

 

2001022222

 

11-Dec-2001

 

P246080

 

22-Aug-2003

SCREEN

 

Venezuela

 

Gustafson, Inc.(15)

 

Registered

 

7061/80

 

26-Sep-1980

 

105590-F

 

25-Nov-1983

HATCOL

 

Japan

 

Hatco Corporation(16)

 

Registered

 

218051991

 

31-Jan-1994

 

2619985

 

31-Jan-1994

HATCO

 

United States of America

 

Chemtura Corporation

 

Registered

 

75472872

 

23-Apr-1998

 

2260855

 

13-Jul-1999

HATCO Stylized

 

United States of America

 

Hatco Corporation

 

Registered

 

71643683

 

16-Mar-1953

 

580077

 

15-Sep-1953

HATCOL

 

United States of America

 

Chemtura Corporation

 

Registered

 

75473258

 

23-Apr-1998

 

2259307

 

06-Jul-1999

HATCOL

 

United States of America

 

Hatco Chemical Corporation

 

Registered

 

72238630

 

11-Feb-1966

 

828089

 

02-May-1967

BOWL FORCE

 

Australia

 

HomeCare Labs, Inc.

 

Registered

 

950617

 

14-Apr-2003

 

950617

 

01-Dec-2003

HOMECARE LABS

 

Australia

 

HomeCare Labs, Inc.

 

Registered

 

995831

 

30-Mar-2004

 

995831

 

09-Aug-2004

BOWL FORCE

 

Canada

 

HomeCare Labs, Inc.

 

Registered

 

1174637

 

11-Apr-2003

 

TMA672746

 

15-Sep-2006

GREASED LIGHTNING

 

Canada

 

HomeCare Labs, Inc.

 

Registered

 

1210925

 

24-Mar-2004

 

TMA672176

 

08-Sep-2006

 


(15)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Gustafson Inc.

(16)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Hatco Corporation.

 

121



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

GREASED LIGHTNING & Design

 

Canada

 

HomeCare Labs, Inc.

 

Registered

 

1253371

 

07-Apr-2005

 

TMA672508

 

12-Sep-2006

GREASED LIGHTNING &1 Bolt Design

 

Canada

 

HomeCare Labs, Inc.

 

Published

 

1373958

 

28-Nov-2007

 

 

 

 

GREASED LIGHTNING ORANGE BLAST

 

Canada

 

HomeCare Labs, Inc.

 

Registered

 

1211194

 

26-Mar-2004

 

654612

 

07-Dec-2005

LESS WORK

 

Canada

 

HomeCare Labs, Inc.

 

Registered

 

1253369

 

07-Apr-2005

 

TMA672509

 

12-Sep-2006

PINE WORKS

 

Canada

 

HomeCare Labs, Inc.

 

Registered

 

1253367

 

07-Apr-2005

 

TMA672510

 

12-Sep-2006

THE WORKS

 

Canada

 

HomeCare Labs, Inc.

 

Registered

 

1210620

 

22-Mar-2004

 

TMA738219

 

16-Apr-09

THE WORKS, WORKS!

 

Canada

 

HomeCare Labs, Inc.

 

Published

 

1253372

 

07-Apr-2005

 

 

 

 

HOMECARE LABS

 

European Community

 

HomeCare Labs, Inc.

 

Registered

 

3746179

 

31-Mar-2004

 

3746179

 

31-Mar-2004

BOWL FORCE

 

Mexico

 

HomeCare Labs, Inc.

 

Registered

 

597503

 

16-Apr-2003

 

795574

 

23-Jun-2003

GREASED LIGHTNING

 

Mexico

 

HomeCare Labs, Inc.

 

Registered

 

648853

 

25-Mar-2004

 

853192

 

27-Sep-2004

GREASED LIGHTNING BLAST

 

Mexico

 

HomeCare Labs, Inc.

 

Registered

 

685903

 

03-Nov-2004

 

874254

 

30-Mar-2005

GREASED LIGHTNING ORANGE BLAST

 

Mexico

 

HomeCare Labs, Inc.

 

Registered

 

649584

 

30-Mar-2004

 

873051

 

28-Mar-2005

THE WORKS

 

Mexico

 

HomeCare Labs, Inc.

 

Registered

 

655672

 

11-May-2004

 

972566

 

16-Feb-2007

BOWL FORCE

 

New Zealand

 

HomeCare Labs, Inc.

 

Registered

 

677319

 

11-Apr-2003

 

677319

 

16-Oct-2003

BOWL FORCE

 

South Africa

 

HomeCare Labs, Inc.

 

Registered

 

200306156

 

14-Apr-2003

 

200306156

 

03-Mar-2008

BOWL FORCE

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

76452197

 

18-Sep-2002

 

2971553

 

19-Jul-2005

 

122



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

DRAIN WORKS

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

74706674

 

27-Jul-1995

 

2031190

 

14-Jan-1997

DRAIN WORKS

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

75074212

 

18-Mar-1996

 

2155373

 

05-May-1998

GREASED LIGHTNING

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

73/600,262

 

23-May-1986

 

1418885

 

02-Dec-1986

GREASED LIGHTNING

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

75340258

 

13-Aug-1997

 

2184062

 

25-Aug-1998

GREASED LIGHTNING & Design

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

77/334956

 

21-Nov-2007

 

3467123

 

15-Jul-2008

GREASED LIGHTNING & Design

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

76289632

 

24-Jul-2001

 

2532198

 

22-Jan-2002

GREASED LIGHTNING BLAST

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

78422436

 

20-May-2004

 

3046994

 

17-Jan-2006

GREASED LIGHTNING ORANGE BLAST

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

78310470

 

07-Oct-2003

 

2895740

 

19-Oct-2004

GREASED LIGHTNING ORANGE BLAST (Stylized)

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

76457451

 

10-Oct-2002

 

2752586

 

19-Aug-2003

GREASED LIGHTNING POWER

 

United States of America

 

HomeCare Labs, Inc.

 

Published ITU

 

77437581

 

02-Apr-2008

 

 

 

 

LESS WORK

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

74186192

 

18-Jul-1991

 

1695713

 

23-Jun-1992

PINE WORKS

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

73805358

 

08-Jun-1989

 

1595956

 

15-May-1990

THE WORKS

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

78557082

 

31-Jan-2005

 

3598494

 

31-Mar-2009

THE WORKS

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

78557078

 

31-Jan-2005

 

3054571

 

31-Jan-2006

THE WORKS

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

74226861

 

29-Nov-1991

 

1709665

 

25-Aug-1992

THE WORKS

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

73431001

 

20-Jun-1983

 

1402721

 

29-Jul-1986

 

123



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

THE WORKS (Stylized)

 

United States of America

 

HomeCare Labs, Inc.

 

Published

 

78644643

 

06-Jun-2005

 

 

 

 

THE WORKS GERM AWAY and Design

 

United States of America

 

Homecare Labs, Inc.

 

Pending

 

77208665

 

18-Jun-2007

 

 

 

 

THE WORKS FRESAIR & Design

 

United States of America

 

Bio-Lab, Inc.

 

Pending ITU

 

77/198,936

 

06-Jun-2007

 

 

 

 

THE WORKS LIMEOSOL & Design

 

United States of America

 

Bio-Lab, Inc.

 

Pending ITU

 

77/198,945

 

06-Jun-2007

 

 

 

 

THE WORKS SCUM AWAY & Design

 

United States of America

 

Bio-Lab, Inc.

 

Pending ITU

 

77208701

 

18-Jun-2007

 

 

 

 

THE WORKS SHINE & Design

 

United States of America

 

Bio-Lab, Inc.

 

Pending ITU

 

77198954

 

06-Jun-2007

 

 

 

 

THE WORKS, WORKS!

 

United States of America

 

HomeCare Labs, Inc.

 

Registered

 

78557090

 

31-Jan-2005

 

3473663

 

22-Jul-2008

ANDEROL

 

Benelux

 

Huls America Inc.(17)

 

Registered

 

562503

 

14-Dec-1971

 

87510

 

03-Dec-2002

ANDEROL

 

Canada

 

Huls America Inc.

 

Registered

 

0307077

 

16-Aug-1967

 

TMA157535

 

05-Jul-1968

ANDEROL

 

Colombia

 

Huls America Inc.

 

Registered

 

92254970

 

07-Apr-1986

 

207615

 

27-Nov-1997

ANDEROL

 

Croatia

 

Huls America Inc.

 

Registered

 

Z921240N

 

 

 

Z921240

 

25-Sep-1992

ANDEROL

 

Denmark

 

Chemtura Corporation

 

Registered

 

VR196702719

 

24-Jul-1967

 

VR197002099

 

03-Jul-1970

ANDEROL

 

Greece

 

Chemtura Corporation

 

Registered

 

63264

 

29-Mar-1979

 

63264

 

29-Mar-1979

ANDEROL

 

Indonesia

 

Huls America Inc.

 

Registered

 

 

 

19-Feb-1993

 

540541

 

 

ANDEROL

 

Ireland

 

Huls America Inc.

 

Registered

 

151081

 

28-May-1981

 

99661

 

 

ANDEROL

 

Israel

 

Huls America Inc.

 

Registered

 

53088

 

21-Oct-1981

 

53088

 

21-Oct-1981

ANDEROL

 

Italy

 

Huls America Inc.

 

Registered

 

1271167

 

26-Jul-1967

 

810321

 

05-Feb-1968

ANDEROL

 

Japan

 

Huls America Inc.

 

Registered

 

84983/78

 

22-Nov-1978

 

1615422

 

29-Sep-1983

ANDEROL (katakana)

 

Japan

 

Huls America Inc.

 

Registered

 

S42053558

 

31-Aug-1967

 

0838393

 

21-Nov-1967

ANDEROL

 

Malaya

 

Huls America Inc.

 

Registered

 

M063251

 

22-Aug-1973

 

M063251

 

22-Aug-1973

 


(17)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Huls America Inc.

 

124



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ANDEROL

 

New Zealand

 

Chemtura Corporation.

 

Registered

 

109819

 

25-Sep-1974

 

109819

 

 

ANDEROL

 

Pakistan

 

Huls America Inc.

 

Registered

 

60751

 

12-Jun-1974

 

60751

 

12-Jun-1974

ANDEROL

 

Portugal

 

Chemtura Corporation

 

Registered

 

211858MNA

 

28-May-1981

 

211858

 

02-Nov-1988

ANDEROL

 

Romania

 

Huls America Inc.

 

Registered

 

9377

 

03-Jul-1979

 

11195

 

03-Jul-1979

ANDEROL

 

Slovenia

 

Chemtura Corporation

 

Registered

 

30467923199

 

30-Mar-1979

 

Z7980231

 

30-Mar-1999

ANDEROL

 

Spain

 

Huls America Inc.

 

Registered

 

986944M1

 

22-Oct-1981

 

986944

 

20-Jan-1983

ANDEROL

 

Sweden

 

Huls America Inc.

 

Registered

 

312767

 

24-Jul-1967

 

131482

 

22-May-1970

ANDEROL

 

Venezuela

 

Huls America Inc.

 

Registered

 

83375

 

20-Feb-1975

 

83515F

 

08-Dec-1976

ANDEROL

 

Zimbabwe

 

Huls America Inc.

 

Registered

 

31582

 

22-Apr-1982

 

31582

 

22-Apr-1982

GUARDEX

 

Dominican Republic

 

Hydrotech Chemical Corporation(18)

 

Registered

 

 

 

04-Aug-1977

 

26676

 

04-Aug-1977

GUARDEX

 

Dominican Republic

 

Hydrotech Chemical Corporation

 

Registered

 

 

 

05-Aug-1977

 

26687

 

05-Aug-1977

GUARDEX

 

Dominican Republic

 

Hydrotech Chemical Corporation

 

Registered

 

 

 

05-Aug-1977

 

26682

 

05-Aug-1977

GUARDEX

 

Puerto Rico

 

Hydrotech Chemical Corporation

 

Registered

 

14962

 

20-Oct-1967

 

14962

 

03-Nov-1970

GREEN CHEMISTRY IS OUR NATURE

 

United States of America

 

Kaufman Holdings Corporation(19)

 

Registered

 

78409675

 

28-Apr-2004

 

3099049

 

30-May-2006

KAUFMAN HOLDINGS CORPORATION

 

United States of America

 

Kaufman Holdings Corporation

 

Registered

 

78458918

 

29-Jul-2004

 

3014268

 

08-Nov-2005

 


(18)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Hydrotech Chemical Corporation.

(19)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Kaufman Holdings Corporation.

 

125



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

KAUFMAN HOLDINGS CORPORATION and Design

 

United States of America

 

Kaufman Holdings Corporation

 

Registered

 

78458924

 

29-Jul-2004

 

3062408

 

28-Feb-2006

THERMOGUARD

 

Argentina

 

Laurel Industries, Inc.(20)

 

Registered

 

1733867

 

26-Mar-1990

 

1882747

 

28-Feb-1992

THERMOGUARD CPA

 

Brazil

 

Laurel Industries, Inc.

 

Registered

 

 

 

10-Sep-1979

 

790255316

 

13-Oct-1981

CPA

 

Mexico

 

Laurel Industries, Inc.

 

Registered

 

32023

 

01-Oct-1987

 

341652

 

26-Jan-1988

THERMOGUARD

 

Mexico

 

Laurel Industries, Inc.

 

Registered

 

227702

 

19-Dec-1983

 

299378

 

21-May-1984

THERMOGUARD CPA

 

Mexico

 

Laurel Industries, Inc.

 

Registered

 

32025

 

01-Oct-1987

 

34,654

 

26-Jan-1988

HIVALLOY

 

Colombia

 

Montech USA, Inc.

 

Registered

 

330080

 

04-Oct-1990

 

145838

 

30-Aug-1993

FYREBLOC

 

Australia

 

PABU Services, Inc.(21)

 

Registered

 

991457

 

23-Jan-2004

 

991457

 

19-Jul-2004

FIREMASTER

 

Brazil

 

Great Lakes Chemical Corporation

 

Registered

 

824631706

 

31-May-2002

 

824631706

 

16-Jun-2009

NDB

 

Brazil

 

PABU Services, Inc.

 

Published

 

824234065

 

10-Dec-2001

 

 

 

 

FIREMASTER

 

India

 

PABU Services, Inc.

 

Registered

 

1079708

 

11-Feb-2002

 

1079708

 

11-Feb-2002

PYRONIL

 

Mexico

 

PABU Services, Inc.

 

Registered

 

231801

 

15-May-1995

 

497464

 

18-Jul-1995

A Stylized

 

United States of America

 

RLI Acquisition, Inc.(22)

 

Registered

 

74063903

 

23-May-1990

 

1637239

 

05-Mar-1991

ANDEROL

 

Bangladesh

 

Royal Lubricants Inc.(23)

 

Pending

 

61207

 

16-Aug-1999

 

 

 

 

 


(20)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Laurel Industries, Inc.

(21)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by PABU Services, Inc.

(22)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by RLI Acquisition, Inc.

 

126



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ROYCO

 

Canada

 

Royal Lubricants Inc.

 

Registered

 

1007736

 

08-Mar-1999

 

TMA539818

 

17-Jan-2001

ROYCO

 

Canada

 

Royal Lubricants Inc.

 

Registered

 

0830242

 

27-Nov-1996

 

TMA498466

 

10-Aug-1998

ROYAL LUBRICANTS

 

Colombia

 

Royal Lubricants Inc.

 

Registered

 

249.956

 

 

 

249956

 

07-Mar-2003

ROYAL LUBRICANTS

 

Colombia

 

Royal Lubricants Inc.

 

Registered

 

263221

 

01-Jun-2001

 

263221

 

17-Mar-2003

ROYCO

 

Colombia

 

Royal Lubricants Inc.

 

Registered

 

1043683

 

01-Jun-2001

 

249944

 

07-Mar-2002

ROYCO

 

Colombia

 

Royal Lubricants Inc.

 

Registered

 

1043685

 

01-Jun-2001

 

249957

 

07-Mar-2002

ROYCO

 

Colombia

 

Royal Lubricants Inc.

 

Registered

 

1043684

 

01-Jun-2001

 

249956

 

07-Mar-2002

ANDEROL

 

Costa Rica

 

Royal Lubricants Inc.

 

Registered

 

41432

 

27-May-1975

 

49846

 

04-Sep-1975

ROYCO

 

Chemtura Corporation

 

Royal Lubricants Inc.

 

Registered

 

 

 

28-Jan-1999

 

1062926

 

17-Jul-2000

ANDEROL

 

Guatemala

 

Royal Lubricants Inc.

 

Registered

 

998938

 

27-Oct-1999

 

104878

 

22-May-2000

ANDEROL

 

Hong Kong

 

Royal Lubricants Inc.

 

Registered

 

 

 

 

 

19671529

 

29-Jul-1967

ANDEROL

 

Hong Kong

 

Royal Lubricants Inc.

 

Registered

 

 

 

 

 

19671530

 

29-Jul-1967

ANDEROL

 

India

 

Royal Lubricants Inc.

 

Registered

 

925702

 

19-May-2000

 

925702

 

19-May-2000

AOSYN

 

Italy

 

Royal Lubricants Inc.

 

Registered

 

759799MI

 

19-Jul-1999

 

886254

 

27-Mar-2009

PQ

 

Italy

 

Royal Lubricants Inc.

 

Registered

 

759899MI

 

19-Jul-1999

 

886255

 

27-Mar-2003

ANDEROL

 

Jamaica

 

Chemtura Corporation

 

Registered

 

4561

 

12-Aug-1999

 

36030

 

26-Jul-2000

 


(23)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Royal Lubricants Inc.

 

127



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ANDEROL

 

Lebanon

 

Royal Lubricants Inc.

 

Registered

 

355167442

 

25-May-1982

 

72351

 

25-May-1982

ROYCO

 

Mexico

 

Royal Lubricants Inc.

 

Registered

 

 

 

23-Apr-1996

 

668526

 

28-Aug-2000

ANDEROL

 

Thailand

 

Royal Lubricants Inc.

 

Registered

 

455025

 

19-Jun-1981

 

TM146548

 

05-Nov-2001

ANDEROL

 

United Arab Emirates

 

Royal Lubricants Inc.

 

Registered

 

33063

 

21-Sep-1999

 

36038

 

31-Mar-2003

KEMIKAR

 

Ukraine

 

Uniroyal Chemical Company, Inc.

 

Registered

 

 

 

14-Jun-1993

 

3152

 

26-Dec-1994

OMITE

 

Afghanistan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

679

 

14-Sep-1972

 

2310

 

14-Sep-1972

VITAVAX

 

Afghanistan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

678

 

14-Sep-1972

 

2309

 

14-Sep-1972

DIMILIN

 

African Union Territories (OAPI)

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

83137

 

14-Jan-1994

 

33610

 

14-Jan-1994

TEDION V18

 

African Union Territories (OAPI)

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

64917

 

26-Feb-1975

 

14873

 

26-Feb-1975

ACRAMITE

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2305177

 

04-Sep-2000

 

1865027

 

25-Mar-2002

ACRAMITE

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0002305176

 

04-Sep-2000

 

1865026

 

25-Mar-2002

 

128



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ADIPRENE

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2010845

 

24-Nov-1995

 

1683163

 

25-Aug-1998

ADIPRENE EXTREME

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2476397

 

17-Nov-2003

 

2031413

 

15-Jun-2005

ALLEGIANCE

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2238297

 

02-Sep-1999

 

1813886

 

21-Dec-2000

ANCHOR

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2405578

 

30-Dec-2002

 

1920589

 

01-Apr-2003

ASSAULT

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2358879

 

12-Nov-2001

 

1899180

 

02-Jan-2003

CAYTUR

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0002273427

 

13-Mar-2000

 

0001837276

 

13-Jul-2001

DELAC

 

Argentina

 

Chemtura Corporation

 

Registered

 

2483413

 

12-Dec-2003

 

1977711

 

14-Apr-2004

DIMILIN

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0002155184

 

04-Jun-1998

 

1804225

 

11-Sep-2000

FLEXZONE

 

Argentina

 

Chemtura Corporation

 

Registered

 

1771029

 

05-Oct-1990

 

1928351

 

23-May-2003

FLEXZONE

 

Argentina

 

Chemtura Corporation

 

Registered

 

1771028

 

05-Oct-1990

 

1928350

 

23-Mar-2003

 

129



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

JAG

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2358880

 

12-Nov-2001

 

1909181

 

02-Jan-2003

NAUGALUBE

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2448725

 

31-Jul-2003

 

2007157

 

24-Jan-2005

NAUGALUBE

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2480552

 

01-Dec-2003

 

2030707

 

09-Jun-2005

NAUGARD

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0002180193

 

07-Oct-1998

 

0001717348

 

27-Jan-1999

NAUGAWHITE

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1773104

 

17-Oct-1990

 

1928352

 

23-Mar-2003

NAUGAWHITE

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2412528

 

20-Feb-2003

 

1928353

 

23-Mar-2003

OCTAMINE

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0001983114

 

15-Jun-1995

 

1596353

 

17-Apr-1996

OMITE

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2108149

 

10-Oct-1997

 

1674116

 

08-Jul-1998

OMITE

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1746757

 

18-May-1990

 

1894180

 

30-Sep-1992

 

130



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PANTERA

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2476427

 

14-Nov-2003

 

1492058

 

30-Dec-1993

PLANTVAX

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0001953104

 

21-Dec-1994

 

1567462

 

04-Jul-1995

POLYBOND

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

246192

 

30-Jun-2003

 

1946139

 

15-Aug-2003

POLYGARD

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2263512

 

20-Jan-2000

 

1785023

 

31-Mar-2000

PROCURE

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2512060

 

03-May-2004

 

2061543

 

06-Jan-2006

RIBBON FLOW

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2506583

 

07-Apr-2004

 

1993389

 

31-May-1994

ROYAL MH

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1756159

 

16-Jul-1990

 

1957811

 

29-Jan-1993

ROYALAC

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0001744771

 

11-May-1990

 

1894178

 

31-Aug-1992

TERRAGUARD

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2476396

 

17-Nov-2003

 

2077412

 

04-Apr-2006

 

131



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VIBRASPRAY

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0002273428

 

13-Mar-2000

 

0001837275

 

13-Jul-2001

VITAPACK

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2470400

 

27-Oct-2003

 

2072404

 

15-Mar-2006

VITAPACK

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2470399

 

27-Oct-2003

 

2024201

 

28-Apr-2005

VITAVAX

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

23923641

 

01-Oct-2002

 

1963144

 

09-Dec-2003

WRM

 

Argentina

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2506886

 

12-Apr-2004

 

1994060

 

04-Oct-2004

CATAPULT

 

Australia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000353161

 

11-Nov-1980

 

A353161

 

11-Nov-1980

CATAPULT

 

Australia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000353160

 

11-Nov-1980

 

A353160

 

11-Nov-1980

DRIAMINE

 

Australia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000372398

 

03-Mar-1982

 

A372398

 

19-Jan-1984

DWELL

 

Australia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000365312

 

07-Sep-1981

 

A365312

 

07-Sep-1981

 

132



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

FOIL

 

Australia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000486106

 

29-Apr-1988

 

A486106

 

29-Apr-1988

RAPIER

 

Australia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000371098

 

03-Feb-1982

 

A371098

 

03-Feb-1982

VIBRAPAIR

 

Australia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000333355

 

25-May-1979

 

333355

 

25-May-1979

ACRAMITE

 

Austria

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

AM 914/2001

 

06-Feb-2001

 

196604

 

31-May-2001

ADIPRENE

 

Austria

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

936/54

 

18-May-1954

 

31008

 

02-Sep-1954

ALLEGIANCE

 

Austria

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

618/2000

 

01-Feb-2000

 

190664

 

06-Sep-2000

POLYBOND

 

Austria

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1415/80

 

19-May-1980

 

95280

 

30-Oct-1980

RIBBON FLOW

 

Austria

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

5446/93

 

18-Nov-1993

 

151971

 

06-Apr-1994

TERRAZOLE

 

Austria

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

304972

 

20-Dec-1972

 

74086

 

30-Mar-1973

 

133



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

KEMIKAR

 

Belarus

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

99121

 

26-Aug-1993

 

369

 

26-Aug-1993

OMITE (IN CYRILLIC)

 

Belarus

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

894-03

 

02-Sep-1993

 

4027

 

02-Sep-1993

POLYLOC

 

Belarus

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

20011590

 

25-Jul-2001

 

18189

 

24-Nov-2003

RIBBON FLOW

 

Belarus

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1743-03

 

28-Dec-1993

 

4705

 

14-Aug-1996

ADIPRENE

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

000019260

 

24-Nov-1971

 

75938

 

24-Nov-1971

ALAR

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000015486

 

22-Oct-1971

 

069411

 

22-Oct-1975

B-NINE

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

15489

 

22-Oct-1971

 

31405

 

22-Oct-1972

CASORON

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

517027

 

29-Mar-1971

 

19465

 

21-Apr-1972

DEFANET

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000717107

 

05-Jul-1988

 

448196

 

05-Jul-1988

 

134



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

DIMILIN

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

502641

 

22-Jan-1971

 

1325

 

28-Apr-1971

DIMILIN (DEVICE)

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

800056

 

08-Jul-1993

 

533489

 

08-Jul-1993

FAZOR

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

49425

 

26-Jul-1983

 

391828

 

26-Jul-1983

FLORAMITE

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000982955

 

06-Feb-2001

 

0000696783

 

01-Feb-2002

NAUGALUBE

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000045378

 

07-Apr-1981

 

0000372420

 

07-Apr-1981

NAUGAWHITE

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0015408

 

03-Feb-1960

 

0069338

 

22-Oct-1971

OCTAMINE

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0547830

 

06-Oct-1969

 

59622

 

21-Sep-1971

PANAREX

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000975967

 

20-Oct-2000

 

000694531

 

20-Oct-2000

POLYBOND

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1036905

 

22-Jul-2003

 

745630

 

22-Jul-2003

 

135



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

RIBBON FLOW

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

805396

 

26-Oct-1993

 

540762

 

01-Aug-1994

VIBRABOND

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000045810

 

14-Jul-1981

 

0000376609

 

14-Jul-1981

VIBRASPRAY

 

Benelux

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000045809

 

14-Jul-1981

 

0000377302

 

14-Jul-1981

FAZOR

 

Bolivia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2524-2001

 

13-Jul-2001

 

91240-C

 

18-Sep-2003

OMITE

 

Bolivia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

25086

 

26-Jun-1970

 

56961

 

30-Oct-1980

PANTERA

 

Bolivia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

28-Nov-1990

 

C-52665

 

04-Feb-1992

PLANTVAX

 

Bolivia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

29-Jul-1992

 

A62003

 

25-Mar-1993

VITAVAX

 

Bolivia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

25084

 

26-Jun-1970

 

56951

 

30-Oct-1980

ACRAMITE

 

Brazil

 

Chemtura USA Corporation

 

Published

 

823063615

 

10-Aug-2000

 

 

 

 

 

136



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ADIPRENE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

 

 

14-Jun-1954

 

002086360

 

02-Apr-1958

ADIPRENE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0815133626

 

15-Sep-1989

 

815133626

 

19-Nov-1991

ADIPRENE EXTREME

 

Brazil

 

Chemtura USA Corporation

 

Published

 

825055982

 

12-Nov-2003

 

 

 

 

ADOBE

 

Brazil

 

Chemtura USA Corporation

 

Published

 

823588106

 

21-Feb-2001

 

 

 

 

ALLEGIANCE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

821964275

 

31-Aug-1999

 

821964275

 

06-Dec-2005

ANCHOR

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0815759134

 

20-Sep-1990

 

815759134

 

29-Dec-1992

ASSAULT

 

Brazil

 

Chemtura USA Corporation

 

Published

 

824146247

 

08-Nov-2001

 

 

 

 

BLE-25

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0000871573

 

09-Dec-1968

 

007226187

 

10-Jul-1980

B-NINE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0000655999

 

12-Aug-1964

 

006643140

 

25-Jan-1978

BUTAZATE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0811200361

 

06-Jun-1983

 

811200361

 

03-Jul-1984

DEVICE (HEAD OF GRAIN)

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0816824797

 

10-Aug-1992

 

816824797

 

08-Mar-1994

HEAD Design (Primitive)

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0815495870

 

26-Apr-1990

 

815495870

 

04-Mar-1992

HEAD Design (Primitive)

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0815495889

 

26-Apr-1990

 

815495889

 

24-Mar-1992

DIMILIN

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

21167/74

 

14-Nov-1974

 

006297692

 

25-Apr-1976

DU-DIM

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

814035701

 

22-Jan-1988

 

814035701

 

02-May-1989

ETHAZATE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0811200353

 

06-Jun-1983

 

811200353

 

03-Jul-1984

FAZOR

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0818427620

 

04-May-1995

 

818417620

 

18-Mar-1997

 

137



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

FLEXZONE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0790197456

 

23-Jul-1979

 

790197456

 

13-Oct-1981

FLEXZONE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0811965503

 

25-Apr-1985

 

811965503

 

05-Aug-1986

FLUPRO

 

Brazil

 

Chemtura USA Corporation

 

Published

 

823622444

 

23-Feb-2001

 

 

 

 

JAG

 

Brazil

 

Chemtura USA Corporation

 

Published

 

824146190

 

08-Nov-2001

 

 

 

 

MH-30

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

6580769

 

26-Jun-1963

 

6580769

 

10-Jul-1977

NAUGALUBE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0790197618

 

23-Jul-1979

 

790197618

 

13-Oct-1981

NAUGALUBE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0811886743

 

13-Feb-1985

 

811886743

 

20-May-1986

NAUGARD

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0811886751

 

11-Feb-1985

 

811886751

 

20-May-1986

NAUGARD

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0000011855

 

07-May-1979

 

0007221673

 

25-Sep-1980

NAUGAWHITE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0000014503

 

05-Feb-1960

 

003375250

 

12-Sep-1966

NAUGEX SD-1

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0811200370

 

06-Jun-1983

 

811200370

 

03-Jul-1984

OCTAMINE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0000871574

 

09-Dec-1968

 

006050891

 

25-Feb-1975

OCTAMINE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0790197626

 

23-Jul-1979

 

790197626

 

13-Oct-1981

OMITE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0730009513

 

16-Jan-1973

 

730009513

 

07-Dec-1982

PANTHER

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

818427655

 

04-May-1995

 

818427655

 

31-Mar-1998

POLYBOND

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

800081749

 

07-Apr-1980

 

800081749

 

18-Oct-1983

POLYLOC

 

Brazil

 

Chemtura USA Corporation

 

Published

 

824088484

 

16-Jul-2001

 

 

 

 

 

138



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PROVAX

 

Brazil

 

Chemtura USA Corporation

 

Published

 

814318592

 

04-Jul-1988

 

 

 

 

RIBBON FLOW

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

817762043

 

18-Mar-1994

 

817762043

 

27-Jan-1998

ROYALFLO

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0818427639

 

04-May-1995

 

818427639

 

18-Mar-1997

SCREEN

 

Brazil

 

Chemtura USA Corporation

 

Published

 

823639320

 

07-Aug-2001

 

 

 

 

SULFLOW SC

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

817885544

 

03-Jun-1994

 

817885544

 

15-Aug-2006

TACAP

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

822548178

 

16-Mar-2000

 

822548178

 

31-Jan-2006

TERRAZOLE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0006469515

 

04-Feb-1976

 

006469515

 

10-Oct-1976

VEROMITE

 

Brazil

 

Chemtura USA Corporation

 

Published

 

826832342

 

23-Aug-2004

 

 

 

 

VIBRABOND

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0800008766

 

21-Jan-1980

 

800008766

 

21-Sep-1982

VIBRASPRAY

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0000027496

 

26-Sep-1979

 

790274965

 

13-Oct-1981

VIBRATHANE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0000871575

 

09-Dec-1968

 

006893309

 

10-Apr-1979

VIBRATHANE

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0815133618

 

15-Sep-1989

 

815133618

 

19-Nov-1991

VITAPACK

 

Brazil

 

Chemtura USA Corporation

 

Published

 

826002127

 

23-Oct-2003

 

 

 

 

VITAPACK

 

Brazil

 

Chemtura USA Corporation

 

Published

 

826002129

 

23-Oct-2003

 

 

 

 

VITAVAX

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

12293

 

21-Jun-1967

 

006520626

 

10-Mar-1977

VORTEX

 

Brazil

 

Chemtura USA Corporation

 

Published

 

824146220

 

08-Nov-2001

 

 

 

 

WRM

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0815495854

 

26-Apr-1990

 

815495854

 

04-Mar-1992

 

139



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

WRM

 

Brazil

 

Chemtura USA Corporation

 

Registered

 

0815495862

 

26-Apr-1990

 

815495862

 

04-Mar-1992

OMITE

 

Bulgaria

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

309

 

28-Feb-1970

 

7371

 

18-May-1970

TRIVAX

 

Bulgaria

 

Chemtura Corporation

 

Registered

 

 

 

07-Aug-1978

 

11770

 

12-Mar-1979

VITAVAX

 

Bulgaria

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

10368

 

28-Feb-1970

 

7372

 

18-May-1970

ACRAMITE

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1065203

 

28-Jun-2000

 

TMA653786

 

29-Nov-2005

ADIPRENE

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000225594

 

25-Jun-1954

 

UCA049159

 

19-Aug-1954

ADIPRENE EXTREME

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1197341

 

18-Nov-2003

 

TMA627327

 

02-Dec-2004

CASORON

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

259942

 

22-Nov-1960

 

122329

 

26-May-1961

CAYTUR

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000302108

 

19-Jan-1967

 

0000152752

 

25-Aug-1967

HEAD Design (Primitive)

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

569059

 

09-Sep-1986

 

343744

 

12-Aug-1988

 

140


 


 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

DIMILIN

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

406076

 

12-Jan-1977

 

227533

 

28-Apr-1978

DURAZONE

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000660188

 

15-Jun-1990

 

TMA416853

 

17-Sep-1993

OPEX

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000334282

 

30-Jun-1970

 

0000180161

 

17-Dec-1971

POLYBOND

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

453126

 

30-Apr-1980

 

0000286241

 

30-Dec-1983

POLYWET

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

638161

 

08-Aug-1989

 

371939

 

10-Aug-1990

RIBBON FLOW

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1018520

 

10-Jun-1999

 

TMA538719

 

15-Dec-2000

RIBBON FLOW

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

798664

 

30-Nov-1995

 

TMA513980

 

05-Aug-1999

SOLITHANE

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000255682

 

03-Mar-1960

 

120541

 

23-Dec-1960

SYNTON

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000471434

 

16-Jun-1981

 

0000281001

 

30-Jun-1983

 

141



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TERRA-COAT

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

360141

 

05-Jan-1973

 

194433

 

28-Sep-1973

TERRAZOLE

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

360142

 

01-Jan-1973

 

196470

 

28-Dec-1973

VIBRASPRAY

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000439025

 

01-May-1979

 

0000259717

 

05-Jun-1981

WYTOX

 

Canada

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000334284

 

30-Jun-1970

 

0000177473

 

06-Aug-1971

ACRAMITE

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

491736

 

30-Jun-2000

 

600956

 

02-Aug-2001

ACROMITE

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

472670

 

12-Jan-2000

 

570412

 

21-Jun-2000

ADIPRENE

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

328401

 

12-Jan-1996

 

757235

 

04-Jun-1996

ADIPRENE EXTREME

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

636289

 

04-Feb-2004

 

698455

 

20-Jul-2004

HEAD Design (Primitive)

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

151293

 

11-Apr-1990

 

575496

 

31-Aug-1990

 

142



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

OMITE 30W

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

176943

 

23-May-1991

 

613716

 

27-Sep-1991

PANTERA

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

438986

 

18-Dec-1998

 

533585

 

28-Jan-1999

PLANTVAX

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

627428

 

29-Oct-2003

 

680269

 

03-Dec-2003

RIBBON FLOW

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

258137

 

08-Nov-1993

 

429770

 

05-Aug-1994

VIBRABOND

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

503471

 

04-Oct-2000

 

586835

 

27-Jun-2001

VIBRAPAIR

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

484238

 

27-Apr-2000

 

569151

 

08-Aug-2000

VIBRASPRAY

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

479580

 

21-Mar-2000

 

567254

 

08-Aug-2000

VIBRATHANE

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

452654

 

23-Jun-1999

 

545370

 

09-Sep-1999

WRM

 

Chile

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

491396

 

28-Jun-2000

 

574892

 

22-Sep-2000

 

143



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ADIPRENE

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

375218

 

12-Feb-1985

 

121669

 

22-Jun-1993

ADIPRENE EXTREME

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

03 102464

 

20-Nov-2003

 

285428

 

21-Jul-2004

B-NINE

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

52670

 

13-Jul-2000

 

240218

 

14-Aug-2001

CARBOVAX

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

04068601

 

17-Aug-2004

 

305723

 

21-Sep-2005

DIMILIN

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0099027874

 

06-May-1999

 

0000224962

 

22-Feb-2000

FAZOR

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

52671

 

13-Jul-2000

 

240219

 

14-Aug-2001

FLORAMITE

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

99050991

 

11-Aug-1999

 

228623

 

19-Jun-2000

FLUPRO

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0001015785

 

28-Feb-2001

 

0000243530

 

29-Oct-2001

FUERA

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0099011146

 

23-Feb-1999

 

0000224283

 

31-Dec-1999

 

144



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

OMITE

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

295606

 

30-Nov-1988

 

159858

 

14-Apr-1994

OMITE

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

92290481

 

08-Aug-1988

 

178605

 

27-Feb-1995

PANTERA

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

287013

 

30-May-1988

 

131063

 

12-Oct-1990

PLANTVAX

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

274443

 

11-Aug-1987

 

130918

 

26-Dec-1990

PROCURE

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

03102465

 

20-Nov-2003

 

322513

 

19-Aug-2004

PRO-GRO

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

99078018

 

14-Dec-1999

 

230078

 

26-Sep-2000

PROVAX

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

04005036

 

23-Jan-2004

 

354352

 

27-Sep-2004

RIBBON FLOW

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

418046

 

11-Nov-1993

 

160158

 

29-Apr-1994

ROYAL MH-30

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

364406

 

06-Aug-1981

 

118731

 

24-Aug-1987

 

145



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ROYALFLO

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

095016246

 

20-Apr-1995

 

178313

 

08-Aug-1995

ROYALTAC

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

99078019

 

14-Dec-1999

 

240318

 

13-Aug-2001

ROYALTAC

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

099078/022

 

14-Dec-1999

 

229157

 

06-Sep-2000

TERRAGUARD

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

03102467

 

20-Nov-2003

 

285429

 

21-Jul-2004

TERRAZOLE

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

4003663

 

20-Jan-2004

 

286077

 

30-Jul-2004

WRM

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

408973

 

20-Sep-1993

 

160128

 

22-Apr-1994

WRM

 

Colombia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

408974

 

20-Aug-1993

 

160127

 

22-Apr-1994

ADIPRENE EXTREME

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

8386-2003

 

21-Nov-2003

 

1468451

 

27-Apr-2004

DEVICE (HEAD OF GRAIN)

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1900-7866605

 

27-Aug-1991

 

78666

 

05-Mar-1992

 

146



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

FALONE

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1999-10326

 

13-Dec-1999

 

120307

 

08-Jun-2000

FAZOR

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Pending

 

0000001445

 

12-Jul-2001

 

 

 

 

FAZOR SG

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2000-4468

 

06-Jun-2000

 

128687

 

01-Oct-2001

FLORAMITE

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2003-0009227

 

19-Dec-2003

 

148724

 

26-Jul-2004

FLUPRO

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001-01522

 

26-Feb-2001

 

128554

 

26-Sep-2001

MH-30

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1900-2784701

 

16-Apr-1963

 

27847

 

09-Jul-1963

MICROMITE

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

04832-2001

 

22-Jun-2001

 

131235

 

18-Jan-2002

OMITE 30W

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1997-6699

 

16-Sep-1997

 

106562

 

25-Feb-1998

PANTERA

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1999-5127

 

25-Jun-1999

 

144509

 

20-Feb-2004

 

147



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PLANTVAX

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0012230

 

30-Mar-1984

 

64518

 

02-Oct-1984

PROCURE

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

8257-2003

 

19-Nov-2003

 

146836

 

16-Apr-2004

RMH 30

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

14290

 

20-Mar-1985

 

65693

 

17-Sep-1985

TERRA-COAT

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0082128

 

27-Aug-1991

 

88397

 

13-Sep-1994

TERRAGUARD

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

8256-2003

 

19-Nov-2003

 

146837

 

26-Apr-2004

TERRAZOLE

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

78619

 

27-Aug-1991

 

80920

 

02-Oct-1992

TERRAZOLE 35W

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

84425

 

08-Feb-1993

 

85725

 

24-Jan-1994

VITAVAX 300

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

75872

 

27-Aug-1991

 

78471

 

19-Feb-1992

RIBBON FLOW

 

Croatia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

Z381-04/93

 

09-Nov-1993

 

000Z934092

 

01-Aug-1997

 

148



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TRIMENE BASE

 

Croatia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00Z942268N

 

09-Nov-1994

 

000Z942268

 

23-Nov-1995

ADIPRENE

 

Czech Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

000054006

 

07-Jan-1985

 

166243

 

09-Jun-1986

ADOBE

 

Czech Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000164425

 

16-Feb-2001

 

224179

 

23-May-2002

ALLEGIANCE

 

Czech Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

151572

 

03-Feb-2000

 

232991

 

24-Apr-2001

FLEXZONE

 

Czech Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000042327

 

27-Sep-1968

 

159170

 

04-Aug-1969

JAG

 

Czech Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0OZ 173557

 

09-Nov-2001

 

0000246835

 

26-Aug-2002

POLYBOND

 

Czech Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

9267283

 

16-Mar-1992

 

0000176303

 

12-May-1994

POLYLOC

 

Czech Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000169645

 

16-Jul-2001

 

000242741

 

22-Mar-2002

RIBBON FLOW

 

Czech Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

84753

 

02-Dec-1993

 

183589

 

29-Mar-1995

 

149



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

SCREEN

 

Czech Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000164424

 

16-Feb-2001

 

244178

 

23-May-2002

TRIMENE BASE

 

Czech Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000043236

 

27-Sep-1968

 

158690

 

20-Feb-1969

VORTEX

 

Czech Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0OZ 173555

 

09-Nov-2001

 

0000246834

 

26-Aug-2002

ACRAMITE

 

Denmark

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

VA2001 00548

 

06-Feb-2001

 

VR200100877

 

19-Feb-2001

ADIPRENE

 

Denmark

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

VA195401218

 

20-May-1954

 

VR195501289

 

23-Jul-1955

ANTERGON

 

Denmark

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

VA195301713

 

31-Jul-1953

 

VR195400045

 

16-Jan-1954

CASORON

 

Denmark

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

VA198708726

 

29-Dec-1987

 

VR199000797

 

16-Feb-1990

DIMILIN

 

Denmark

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

VA197902549

 

21-Jun-1979

 

VR198000410

 

18-Jan-1980

FLORAMITE

 

Denmark

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

VA2001 00550

 

06-Feb-2001

 

VR200101225

 

13-Mar-2001

 

150


 


 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PLANTVAX 75

 

Denmark

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

VA197200906

 

10-Mar-1972

 

VR197301640

 

22-Jun-1973

POLYBOND

 

Denmark

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1714/92

 

09-Mar-1992

 

0007165/92

 

31-Jul-1992

SCREEN

 

Denmark

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

VA2001 02991

 

10-Aug-2001

 

VR2001 03551

 

27-Aug-2001

TERRAZOLE

 

Denmark

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

VA197300010

 

02-Jan-1973

 

VR197302540

 

24-Aug-1973

VITAVAX

 

Denmark

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

VA196702148

 

12-Jun-1967

 

VR197200187

 

21-Jan-1972

ADIPRENE EXTREME

 

Ecuador

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

130176

 

14-Nov-2003

 

28931

 

18-Feb-2004

FAZOR

 

Ecuador

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000115537

 

13-Jul-2001

 

18225

 

12-Apr-2002

FUERA

 

Ecuador

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000094229

 

22-Feb-1999

 

2309

 

10-May-2000

PROCURE

 

Ecuador

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

139177

 

14-Nov-2003

 

28931

 

18-Feb-2004

 

151



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TERRAGUARD

 

Ecuador

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

139175

 

14-Nov-2003

 

27830

 

18-Feb-2004

FAZOR

 

El Salvador

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

16576-2001

 

31-Jul-2001

 

114 BOOK 183

 

03-May-2004

FLUPRO

 

El Salvador

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

E-12057-2001

 

09-Mar-2001

 

77/163

 

29-Nov-2002

FUERA

 

El Salvador

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0001441-99

 

04-Mar-1999

 

00201

 

07-Aug-2000

MH-30

 

El Salvador

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

03-Jan-1989

 

000079/134

 

20-Jan-1993

PANTERA

 

El Salvador

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0004305-99

 

02-Jul-1999

 

00217

 

11-Aug-2000

KEMIKAR

 

Estonia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

9301107

 

26-Feb-1993

 

9894

 

06-Apr-1994

ADIPRENE EXTREME

 

European Community

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

3537313

 

13-Nov-2003

 

3537313

 

29-Apr-2005

RELOADED

 

European Community

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

3476967

 

30-Oct-2003

 

3476967

 

16-Jun-2005

 

152



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ACRAMITE

 

Finland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

T2001001511

 

09-Feb-2001

 

223028

 

15-Feb-2002

ADIPRENE

 

Finland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1580/210-54

 

31-Aug-1954

 

0000029805

 

31-Jan-1956

B-NINE

 

Finland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

3894/70

 

17-Jun-1970

 

61908

 

24-Jan-1974

HEAD Design (Primitive)

 

Finland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

T199002044

 

17-Apr-1990

 

0000116040

 

07-Jan-1992

DIMILIN

 

Finland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2601/79

 

17-May-1979

 

79385

 

05-Nov-1981

DU-DIM

 

Finland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

T197704873

 

02-Nov-1977

 

76964

 

20-Mar-1981

FLORAMITE

 

Finland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

T200100510

 

09-Feb-2001

 

223027

 

15-Feb-2002

POLYBOND

 

Finland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1089/92

 

06-Mar-1992

 

128454

 

05-Oct-1993

RIBBON FLOW

 

Finland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0004888/93

 

29-Oct-1993

 

134103

 

05-Sep-1994

 

153



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

SYNTON

 

Finland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

T198200784

 

04-Feb-1982

 

0000106650

 

05-Mar-1990

VITAVAX

 

Finland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000002252

 

07-Jun-1967

 

0000058928

 

15-Nov-1971

ACRAMITE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

3037822

 

29-Jun-2000

 

3037822

 

01-Dec-2000

ADIPRENE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

114679

 

03-Mar-1989

 

1517523

 

03-Mar-1989

ADOBE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

13083429

 

16-Feb-2001

 

3083429

 

20-Jul-2001

ALANAP

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

196134

 

16-Mar-1990

 

1580723

 

16-Mar-1990

ALAR

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

201090

 

06-Apr-1990

 

1585420

 

06-Apr-1990

ALLEGIANCE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

3004128

 

28-Jan-2000

 

3004128

 

28-Jan-2000

AMINOX

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

941905

 

13-Jul-1988

 

1477416

 

13-Jul-1988

 

154



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ARANOX

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

941921

 

13-Jul-1988

 

1477432

 

13-Jul-1988

ASSAULT

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

13130033

 

07-Nov-2001

 

13130033

 

12-Apr-2002

BLE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

941917

 

13-Jul-1988

 

1477428

 

13-Jul-1988

B-NINE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

131532

 

19-May-1989

 

1531981

 

19-May-1989

DEVICE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

3013482

 

10-Mar-2000

 

3013482

 

03-Oct-2000

FAZOR

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

673505

 

11-Aug-1983

 

1243213

 

19-May-1993

FLEXAMINE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

941904

 

13-Jul-1988

 

1477415

 

13-Jul-1988

FLORAMITE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

3080477

 

02-Feb-2001

 

3080477

 

06-Jul-2001

HEPTEEN

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

941901

 

13-Jul-1988

 

1477412

 

13-Jul-1988

 

155



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

HERBARON G

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

23160884

 

22-Apr-2002

 

23160884

 

27-Sep-2002

JAG

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

13130031

 

06-Nov-2001

 

13130031

 

12-Apr-2002

LANGIS

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

13120065

 

07-Sep-2001

 

13120065

 

07-Nov-2001

MONEX

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

18-Oct-1983

 

1248606

 

19-Jul-1993

NAUGALUBE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000941909

 

13-Jul-1988

 

1477420

 

13-Jul-1988

NAUGAWHITE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

718577

 

23-Oct-1984

 

1287565

 

21-Jul-1994

NEMAREX

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

3080732

 

05-Feb-2001

 

3080732

 

13-Jul-2001

PERLOT

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

033260408

 

03-Dec-2003

 

033260408

 

07-May-2004

POLYBOND

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

195587

 

15-Mar-1990

 

1580317

 

15-Mar-1990

 

156



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

POLYGARD

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

314985

 

22-Oct-1991

 

1700774

 

22-Oct-1991

POLYLOC

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

131118195

 

27-Aug-2001

 

13118195

 

01-Feb-2002

RIBBON FLOW

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

04-Nov-1993

 

93490795

 

04-Nov-1993

ROYAL SLO-GRO

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

03-Sep-1982

 

1212293

 

27-May-1992

SCREEN

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

13116254

 

09-Aug-2001

 

13116254

 

11-Feb-2002

SIGNAL

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

3013849

 

13-Mar-2000

 

3013849

 

13-Mar-2000

SOLITHANE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

940765

 

08-Jul-1988

 

1475872

 

08-Jul-1988

SUNPROOF

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

941911

 

13-Jul-1988

 

1477422

 

13-Jul-1988

THIOSTOP

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

941907

 

13-Jul-1988

 

1477418

 

13-Jul-1988

 

157



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TRIMENE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

941922

 

13-Jul-1988

 

1477433

 

13-Jul-1988

TRIVAX

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

955073

 

16-Sep-1988

 

1489097

 

16-Sep-1988

TUEX

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

941906

 

13-Jul-1988

 

1477417

 

13-Jul-1988

UNISOL G

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

213160886

 

22-Apr-2002

 

213160886

 

27-Sep-2002

VIBRABOND

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

277243

 

29-Mar-1991

 

1653311

 

29-Mar-1991

VIBRASPRAY

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

277242

 

29-Mar-1981

 

1653310

 

29-Mar-1991

VIBRATHANE

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

955071

 

10-Aug-1968

 

1489095

 

01-Sep-1988

VORTEX

 

France

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

13130036

 

06-Nov-2001

 

13130036

 

12-Apr-2002

ACRAMITE

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

300480849

 

28-Jun-2000

 

30048084.9

 

12-Dec-2000

 

158



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ADIPRENE

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

15-Aug-1963

 

816438

 

25-Feb-1966

ADOBE

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

30110640.105

 

16-Feb-2001

 

30110640.1

 

11-Dec-2001

ALLEGIANCE

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

30034498805

 

05-May-2000

 

30034498.8

 

04-Aug-2000

ASSAULT

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

30164213.3/5

 

07-Nov-2001

 

30163213.3

 

12-Sep-2002

DIMILIN

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

P23208/5

 

29-Aug-1975

 

950637

 

27-Oct-1976

FAZOR

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000006112

 

27-Jul-1983

 

1062053

 

09-Apr-1984

FLEXZONE

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000U 1548

 

28-Jan-1960

 

753716

 

11-Oct-1961

FLORAMITE

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0301070407

 

02-Feb-2001

 

30107040.7

 

06-Sep-2001

JAG

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

30164212.5/5

 

07-Nov-2001

 

30164212

 

12-Sep-2002

 

159



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

NAUGALUBE

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

30-Apr-1981

 

1030412

 

30-Mar-1982

NAUGAWHITE

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000U 1547

 

28-Jan-1960

 

753511

 

04-Oct-1961

OMITE

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2810

 

17-Feb-1967

 

904665

 

19-Apr-1973

POLYBOND

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

37638/1WZ

 

20-Mar-1980

 

1018443

 

27-May-1981

POLYLOC

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0030140261

 

04-Jul-2001

 

3014026.1

 

07-May-2002

RIBBON FLOW

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

U9149/1 WZ

 

01-Nov-1993

 

2908836

 

11-Jul-1995

SCREEN

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0301476144

 

06-Aug-2001

 

0301476144

 

03-May-2002

TRIVAX

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

29-Jul-1978

 

999746

 

26-Mar-1980

VIBRABOND

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0U5343/1WZ

 

23-Oct-1979

 

1001255

 

24-Apr-1980

 

160


 


 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VIBRASPRAY

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000005239

 

02-May-1979

 

1001759

 

08-May-1980

VORTEX

 

Germany

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

30164214.1/5

 

07-Nov-2001

 

30164214.1

 

12-Sep-2002

CATAPULT

 

Greece

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

67623

 

18-Nov-1980

 

67623

 

17-Jul-1982

DEVICE (HEAD OF GRAIN)

 

Greece

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

61936

 

08-Sep-1978

 

61936

 

19-Feb-1980

MICROMITE

 

Greece

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

64651

 

27-Sep-1979

 

64651

 

17-Aug-1981

TERRA-COAT

 

Greece

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

49651

 

02-Jan-1973

 

49651

 

17-Nov-1973

DIMILIN

 

Guatemala

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

58829

 

19-Jul-1979

 

43773

 

28-Jul-1982

EVER SHIELD

 

Guatemala

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2004-541

 

09-Mar-2004

 

27367

 

23-Oct-1983

FAZOR

 

Guatemala

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2003-7968

 

05-Nov-2003

 

130720

 

12-Jul-2004

 

161



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

FLUPRO

 

Guatemala

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001-1568

 

09-Mar-2001

 

118916

 

22-Jul-2002

FUERA

 

Guatemala

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1999-2120

 

17-Mar-1999

 

101072

 

07-Dec-1999

MH-30

 

Guatemala

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2004-542

 

09-Mar-2004

 

15065

 

26-May-1964

ADOBE

 

Hungary

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M0101108

 

20-Feb-2001

 

169494

 

27-Mar-2002

ALLEGIANCE

 

Hungary

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M00 00546

 

03-Feb-2000

 

161249

 

11-Jul-2000

JAG

 

Hungary

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M01 05767

 

08-Nov-2001

 

176865

 

20-Oct-2003

POLYBOND

 

Hungary

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M9201363

 

11-Mar-1992

 

135799

 

11-Mar-1992

POLYLOC

 

Hungary

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M0104024

 

19-Jul-2001

 

172782

 

28-Oct-2002

SCREEN

 

Hungary

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M0101109

 

20-Feb-2001

 

169493

 

27-Mar-2002

 

162



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

SIGNAL

 

Hungary

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M01 00639

 

31-Jan-2001

 

172225

 

26-Sep-2002

TRIMENE BASE

 

Hungary

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

111687

 

21-Oct-1968

 

120525

 

14-Jul-1978

VORTEX

 

Hungary

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0M01 05766

 

08-Nov-2001

 

176505

 

10-Sep-2003

POLYBOND

 

Iceland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

190/1992

 

06-Mar-1992

 

00945/1992

 

25-Sep-1992

ACRAMITE

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1301609

 

10-Aug-2004

 

1301609

 

26-Nov-2005

ADEPT

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

775338

 

24-Oct-1997

 

775338

 

24-Oct-1997

ADIPRENE

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000812458

 

29-Jul-1998

 

812458

 

05-Nov-2003

ADIPRENE EXTREME

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1250501

 

19-Nov-2003

 

1250501

 

19-Nov-2003

DIMILIN

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1067242

 

18-Dec-2001

 

1067242

 

18-Dec-2001

 

163



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

DU-DIM

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00484470

 

21-Jan-1988

 

484470

 

21-Jan-1988

FLORAMITE

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1301608

 

08-Aug-2004

 

1301608

 

26-Nov-2005

OMITE

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000240669

 

21-Feb-1967

 

240669

 

21-Feb-1967

PLANTVAX

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

278574

 

28-Feb-1972

 

278574

 

05-Oct-1973

POLYLOC

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1023435

 

05-Jul-2001

 

1023435

 

05-Jul-2001

PROVAX

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

494029

 

07-Jul-1988

 

494029

 

13-Aug-1996

TEDION V18

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

169863

 

11-Jul-1955

 

169863

 

14-Sep-1956

TRIVAX

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

766085

 

07-Aug-1997

 

766085

 

07-Aug-1997

VIBRATHANE

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

811390

 

22-Jul-1998

 

811390

 

22-Jul-1998

 

164



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VITAVAX

 

India

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

242646

 

13-Jun-1967

 

242646

 

13-Jun-1967

DIMILIN

 

Iran

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

89073

 

23-Nov-1985

 

60159

 

02-Mar-1986

DIMILIN (IN FARSI)

 

Iran

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

111234

 

05-Feb-1994

 

72742

 

07-May-1994

ACRAMITE

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

02411/2000

 

30-Jun-2000

 

218327

 

31-Oct-2001

CASORON

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

62338

 

31-May-1960

 

62338

 

03-Aug-1961

DU-DIM

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

109/88

 

11-Jan-1988

 

126513

 

25-Jul-1989

FAZOR

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

27-Jul-1983

 

108467

 

29-Mar-1985

FLORAMITE

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

000699/2001

 

05-Mar-2001

 

220637

 

10-Jun-2002

JAG

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

03439/2001

 

07-Nov-2001

 

223198

 

09-Dec-2002

 

165



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

MAXTRON

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

13-Apr-1984

 

111311

 

30-Aug-1985

MIST-O-MATIC

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000061830

 

26-Nov-1959

 

61830

 

03-Dec-1960

MIST-O-MATIC

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000061831

 

26-Nov-1959

 

61831

 

03-Dec-1960

NEMAREX

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00457/2001

 

08-Feb-2001

 

220332

 

13-May-2002

RIBBON FLOW

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0005198/93

 

28-Oct-1993

 

157896

 

26-Jan-1996

ROYALFLO

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0005883/94

 

26-Sep-1994

 

165629

 

14-May-1996

VITAFLO

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0005884/94

 

26-Sep-1994

 

164721

 

13-May-1996

VORTEX

 

Ireland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

03437/2001

 

07-Nov-2001

 

000222935

 

28-Nov-2002

ALAR

 

Israel

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

22-Aug-1965

 

24961

 

02-Feb-1967

 

166



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CASORON

 

Israel

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

03-Mar-1966

 

25676

 

27-Nov-1967

DIMILIN

 

Israel

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

17-Feb-1978

 

45520

 

25-May-1980

MICROMITE

 

Israel

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

06-Sep-1979

 

48575

 

08-Aug-1982

OMITE

 

Israel

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

25-Feb-1970

 

31684

 

09-Jan-1972

TEDION V18

 

Israel

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

14785

 

04-Mar-1955

 

14785

 

22-Jul-1956

TRIVAX

 

Israel

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

46323

 

31-Jul-1978

 

46323

 

20-Jan-1981

VITAVAX

 

Israel

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

09-Jun-1967

 

0000027390

 

15-May-1970

ACRAMITE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

21442000TO

 

29-Jun-2000

 

924788

 

15-Jun-2004

ADIPRENE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

120990

 

24-May-1954

 

682625

 

22-Jan-1955

 

167



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ADOBE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001C000593

 

16-Feb-2001

 

944081

 

10-Nov-2004

ALANAP

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

165793

 

23-Jan-1961

 

383219

 

30-Jun-1964

ALAR

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

095C002407

 

25-Jul-1995

 

717904

 

17-Jul-1997

ALLEGIANCE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2000C000248

 

02-Feb-2000

 

908252

 

22-Sep-2003

AMINOX

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

098C001383

 

03-May-1978

 

816191

 

19-Jun-1985

ASSAULT

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001C003927

 

13-Dec-2001

 

947244

 

29-Nov-2004

BIK

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

092C001147

 

01-Jun-1992

 

0000635175

 

23-Nov-1994

BLE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

098C001225

 

28-Aug-1958

 

816054

 

11-Aug-1959

B-NINE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

208032

 

30-Jul-1964

 

683234

 

11-May-1967

 

168



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CAYTUR

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

097C000987

 

10-Apr-1997

 

793026

 

25-Oct-1999

DU-DIM

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

18429C/77

 

28-Apr-1977

 

789322

 

18-Mar-1985

FLORAMITE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

02001C000482

 

08-Feb-2001

 

943980

 

10-Nov-2004

JAG

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001C003532

 

14-Nov-2001

 

946873

 

26-Nov-2004

METHAZATE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

092C000505

 

10-Mar-1992

 

0000634617

 

21-Nov-1994

MH

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

39865-C/83

 

09-Mar-1963

 

998409

 

29-Oct-1966

MICROMITE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

02000C001589

 

17-May-2000

 

909625

 

04-Mar-2003

NAUGALUBE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

092C000452

 

13-Sep-1992

 

0000634570

 

21-Nov-1994

NAUGAWHITE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

099C003646

 

24-Nov-1999

 

883728

 

04-Mar-2003

 

169



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

NEMAREX

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001C000592

 

16-Feb-2001

 

944080

 

10-Nov-2004

OCTAMINE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

096C002816

 

23-Oct-1996

 

754204

 

20-Aug-1998

OMITE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

097C000095

 

17-Jan-1997

 

792086

 

04-Oct-1999

POLYBOND

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2000C0003343

 

13-Oct-2000

 

911230

 

12-Feb-1986

POLYGARD

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

096C002815

 

23-Oct-1996

 

754203

 

20-Aug-1998

POLYLOC

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001C002330

 

09-Jul-2001

 

1040483

 

27-Feb-2007

RIBBON FLOW

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

002123

 

05-Nov-1993

 

665579

 

19-Dec-1995

SCREEN

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Pending

 

2001C002733

 

14-Aug-2001

 

 

 

 

SUNPROOF

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

098C001220

 

28-Aug-1958

 

816049

 

24-Sep-1959

 

170


 


 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TERRA-COAT

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

092C002225

 

16-Nov-1992

 

0000636071

 

25-Nov-1994

TERRAZOLE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

285918

 

19-Sep-1972

 

635075

 

03-Dec-1974

THIOSTOP

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

098C01212

 

28-Aug-1958

 

816042

 

11-Aug-1959

TRIMENE BASE

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

098C000607

 

28-Aug-1958

 

815501

 

30-May-2000

TRIVAX

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

098C000608

 

24-Feb-1998

 

815502

 

30-May-2000

TUEX

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

098C000609

 

28-Aug-1958

 

815503

 

30-May-2000

VIBRABOND

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

099C002745

 

07-Sep-1999

 

882692

 

04-Feb-2003

VIBRASPRAY

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

T099C000869

 

14-May-1979

 

872028

 

02-Oct-1985

VORTEX

 

Italy

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001C003928

 

13-Dec-2001

 

947245

 

29-Nov-2004

 

171



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ADIPRENE

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2007-525280

 

 

 

513672

 

10-Feb-1958

ADIPRENE EXTREME

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2004-010338

 

05-Feb-2004

 

4798566

 

27-Aug-2004

ARANOX & KATAKANA EQUIVALENT

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0703412/92

 

14-Apr-1965

 

965476

 

31-May-1972

CASORON

 

Japan

 

Chemtura Corporation

 

Registered

 

56941/88

 

19-May-1988

 

2374773

 

31-Jan-1992

CASORON (IN KATAKANA)

 

Japan

 

Chemtura Corporation

 

Registered

 

0056942/88

 

19-May-1988

 

2374774

 

31-Jan-1992

CASORON 133

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0026599/60

 

13-Jun-1960

 

0584753

 

10-Apr-1962

CAYTUR

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0207006/90

 

29-Mar-1967

 

0863716

 

06-Jul-1970

DEVICE (BULLSEYE)

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0067366/78

 

13-Sep-1978

 

2310921

 

28-Jun-1991

DU-DIM

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

5147/88

 

21-Jan-1988

 

2269497

 

21-Sep-1990

DURAZONE

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0116649/91

 

08-Nov-1991

 

2674847

 

29-Jun-1994

 

172



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

NAUGALUBE

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0085016/91

 

09-Aug-1991

 

2599640

 

30-Nov-1993

NAUGAWHITE

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

7323/92

 

28-Jan-1992

 

2696594

 

30-Sep-1994

NIPITE (IN KATAKANA)

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0092947/86

 

01-Sep-1986

 

2110813

 

21-Feb-1989

OMITE & KATAKANA EQUIVALENT

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0117379/88

 

18-Oct-1988

 

2352298

 

29-Nov-1991

OMITE IN KATAKANA (O-MA-I-TO)

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0149356/97

 

18-Aug-1997

 

4204200

 

23-Oct-1998

PANTERA

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0057450/88

 

23-May-1988

 

2288722

 

26-Dec-1990

RIBBON FLOW

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0110381/93

 

01-Nov-1993

 

3179929

 

31-Jul-1996

ROYAL MH-30

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0134778/73

 

23-Aug-1973

 

2348134

 

30-Oct-1991

SCREEN

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001-021140

 

09-Mar-2001

 

4540736

 

01-Feb-2002

 

173



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

SOLITHANE

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0201378/91

 

31-Mar-1960

 

0573551

 

01-Jun-1961

TEDEON

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

000020700

 

15-Jul-1957

 

516469

 

19-Mar-1958

TEDEON (IN KATAKANA)

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0056940/88

 

19-May-1988

 

2287024

 

26-Dec-1990

VIBRASPRAY

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

725715/94

 

10-Aug-1994

 

1706971

 

28-Aug-1984

VITAVAX WITH KATAKANA

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0026755/93

 

17-Mar-1993

 

3081003

 

31-Oct-1995

VULKLOR

 

Japan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

168558/92

 

31-Aug-1992

 

3008572

 

31-Oct-1994

KEMIKAR

 

Kazakhstan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1320

 

15-Jul-1993

 

735

 

15-Jul-1993

OMITE (IN CYRILLIC)

 

Kazakhstan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2200

 

20-Sep-1993

 

5671

 

23-Sep-1997

ALAR

 

Kenya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

16342

 

06-Jan-1969

 

1969016342

 

19-Jun-1969

 

174



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

DIMILIN

 

Kenya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

28-Oct-1974

 

1974021502

 

30-Sep-1975

PLANTVAX

 

Kenya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

16345

 

06-Jan-1969

 

16345

 

14-Apr-1970

POLYLOC

 

Kenya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

051812

 

13-Jul-2001

 

51812

 

13-Jul-2001

PROCURE

 

Kenya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

58058

 

20-Sep-2005

 

58058

 

20-Sep-2005

ROYALFLO

 

Kenya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0041914

 

01-Dec-1994

 

41914

 

01-Dec-2001

TEDION V18

 

Kenya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

24-Sep-1959

 

9358

 

25-Feb-1960

VITAFLO

 

Kenya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000024676

 

21-Mar-1978

 

24676

 

18-Sep-1978

VITAVAX

 

Kenya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

16344

 

06-Jan-1969

 

16344

 

19-Jun-1969

ACRAMITE

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

99-17006

 

19-May-1999

 

466231

 

07-Mar-2000

 

175



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ACRAMITE (IN KOREAN)

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

99-17007

 

19-May-1999

 

466241

 

07-Mar-2000

ADIPRENE

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90-25977

 

31-Aug-1990

 

223896

 

15-Oct-1991

ADIPRENE

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90-25982

 

31-Aug-1990

 

236926

 

01-May-1992

ADIPRENE EXTREME

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

40-2004-4861

 

05-Feb-2004

 

603640

 

23-Dec-2004

BLE & KOREAN CHARACTERS

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

91-15512

 

31-May-1991

 

239149

 

27-May-1992

B-NINE (IN HANGUL)

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

86-18279

 

01-Sep-1986

 

153266

 

26-Feb-1988

CASORON

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

84-288

 

10-Jan-1984

 

112237

 

07-May-1985

CASORON (IN KOREAN)

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

89-13106

 

27-May-1989

 

197150

 

25-Jul-1990

HEAD Design (Primitive)

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90-25981

 

31-Aug-1990

 

223899

 

15-Oct-1991

 

176



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

HEAD Design (Primitive)

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90-25986

 

30-Aug-1990

 

236929

 

01-May-1992

DIMILIN

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79/6452

 

02-Jul-1979

 

71061

 

11-Aug-1980

DIMILIN (IN KOREAN)

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

89-13108

 

27-May-1989

 

197152

 

25-Jul-1990

DURAZONE

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

91-35803

 

20-Dec-1991

 

251791

 

14-Oct-1992

FLEXZONE

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

200247479

 

16-Oct-2002

 

570511

 

02-Jan-2004

OMITE

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

88-19802

 

02-Sep-1988

 

193844

 

15-Jun-1990

OMITE (IN KOREAN CHARACTERS)

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

97-36121

 

04-Aug-1997

 

416152

 

13-Aug-1998

PANTERA

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

97-49758

 

25-Oct-1997

 

428179

 

03-Nov-1998

PANTERA (KOREAN CHARACTERS)

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

99-4457

 

12-Feb-1999

 

462771

 

12-Jan-2000

 

177



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PLANTVAX

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

92-21375

 

01-Aug-1992

 

269749

 

22-Jul-1993

POLYBOND

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

40200129206

 

04-Jul-2001

 

549534

 

30-May-2003

ROYALCAST

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

200247478

 

16-Oct-2003

 

570510

 

02-Jan-2004

TEDION (IN KOREAN)

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

89-13107

 

27-May-1989

 

197151

 

25-Jul-1990

TEDION V18

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

593

 

03-Jun-1960

 

5004

 

23-Jul-1960

UNIROYAL CHEMICAL

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

99-6877

 

16-Mar-1999

 

474459

 

01-Aug-2000

UNIROYAL CHEMICAL & DESIGN

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

99-6878

 

06-Mar-1999

 

471128

 

01-Jun-2000

VIBRASPRAY

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90-20296

 

09-Jul-1990

 

236925

 

01-May-1992

VIBRATHANE

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90-25984

 

31-Aug-1990

 

236927

 

01-May-1992

 

178



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VIBRATHANE

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

40200252460

 

14-Nov-2002

 

591658

 

31-Aug-2004

VITATHIRAM

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

97-36120

 

04-Aug-1997

 

416151

 

13-Aug-1998

VITAVAX

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

87-15037

 

01-Aug-1987

 

169677

 

09-May-1989

WRM

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90-25980

 

31-Aug-1990

 

223898

 

15-Oct-1991

WRM

 

Korea, Republic of

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90-25985

 

31-Aug-1990

 

236928

 

01-May-1992

TRIMENE BASE

 

Kosovo

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Pending

 

4891

 

16-Oct-2008

 

 

 

 

KEMIKAR

 

Latvia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M-93-861

 

23-Jan-1993

 

14192

 

11-Apr-1994

MICROMITE

 

Libya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Published

 

7331

 

30-May-2006

 

 

 

 

SEMEVAX

 

Libya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Published

 

7330

 

30-May-2006

 

 

 

 

 

179



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

KEMIKAR

 

Lithuania

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

RL3167

 

25-Jan-1993

 

6980

 

09-Apr-1993

DIMILIN

 

Macao

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2744

 

11-Dec-1987

 

2744-M

 

25-Jan-1988

DIMILIN

 

Madagascar

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

95/0038D

 

03-Mar-1995

 

01145

 

06-Nov-1995

DIMILIN

 

Malaya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

83714

 

17-Sep-1979

 

M/83714

 

17-Sep-1979

MICROMITE

 

Malaya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

000M/83645

 

10-Sep-1979

 

000M/83645

 

10-Mar-1979

RESCUE

 

Malaya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M/94977

 

07-May-1982

 

M/094977

 

07-May-1982

ROYAL MH-30

 

Malaya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

000M/85646

 

10-Mar-1980

 

0000B85646

 

10-Mar-1980

VITAVAX

 

Malaya

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M/48089

 

11-Jun-1967

 

M/48089

 

12-Jun-1967

ACRAMITE

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

634953

 

17-Dec-2003

 

823939

 

27-Feb-2004

 

180


 


 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ADIPRENE EXTREME

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

630041

 

18-Nov-2003

 

817733

 

16-Jan-2004

DIMILIN

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

29097

 

27-Jul-1987

 

355111

 

10-Nov-1988

FAZOR

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000492074

 

21-Jun-2001

 

0000720930

 

31-Jul-2001

FLORAMITE

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

634954

 

17-Dec-2003

 

823940

 

27-Feb-2004

FLUPRO

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000471909

 

20-Feb-2001

 

697066

 

26-Apr-2001

FUERA

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000409488

 

04-Feb-2000

 

645247

 

29-Feb-2000

NAUGARD

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

06-Jan-1967

 

135096

 

20-Mar-1967

PANTERA

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000326247

 

17-Mar-1998

 

576656

 

17-May-1998

PROCURE

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

630036

 

18-Nov-2003

 

817731

 

16-Jan-2004

 

181



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PROSTAR

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000326553

 

19-Mar-1998

 

576836

 

19-May-1998

RIBBON FLOW

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

622972

 

08-Oct-2003

 

842445

 

08-Oct-2003

ROYAL MH-30

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

59152

 

20-Mar-1989

 

369330

 

06-Nov-1989

TERRAGUARD

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

630037

 

18-Nov-2003

 

817732

 

16-Jan-2004

TERRAVAX

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000326072

 

16-Mar-1998

 

575189

 

31-Mar-1998

TERRAZOLE

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000247360

 

07-Nov-1995

 

511121

 

28-Nov-1995

TRIGRAN

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

239756

 

09-Oct-1984

 

306980

 

08-May-1985

VIBRABOND

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

142949

 

23-Jun-1992

 

431695

 

10-Mar-1993

VIBRATHANE

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000253495

 

23-Aug-1985

 

350419

 

18-Jul-1988

 

182



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VITAFLO

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

414482

 

07-Mar-2000

 

797592

 

27-Jun-2003

VITAVAX

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

147108

 

02-Jul-1979

 

242109

 

12-Mar-1980

WRM

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

602242

 

23-May-2003

 

831184

 

20-Apr-2004

WRM

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

602243

 

23-May-2003

 

831185

 

20-Apr-2004

POLYLOC

 

Moldova

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000010486

 

26-Jul-2001

 

8897

 

05-Aug-2002

ACRAMITE

 

Morocco

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

76424

 

16-Feb-2001

 

76424

 

19-Feb-2001

ALAR

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90455

 

10-Jun-1969

 

90455

 

12-Mar-1970

B-NINE

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

205155

 

01-Oct-1990

 

205155

 

28-May-1996

CASORON

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

26-Feb-1969

 

89517

 

16-Dec-1969

 

183



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CATAPULT

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

134921

 

10-Nov-1980

 

134921

 

22-Jun-1983

DEVICE (BULLSEYE)

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

125044

 

08-Sep-1978

 

125044

 

29-Sep-1981

DIMILIN

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

110990

 

12-Feb-1975

 

110990

 

26-Sep-1977

DURAZONE

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

214192

 

04-Nov-1991

 

214192

 

26-May-1995

DWELL

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

138756

 

04-Sep-1981

 

138756

 

11-Jul-1985

FOIL

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

183815

 

17-May-1988

 

183815

 

16-Sep-1991

FURAVAX

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

118513

 

09-Feb-1977

 

118513

 

12-Mar-1980

MICROMITE

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

129432

 

05-Sep-1979

 

129432

 

20-Oct-1982

NAUGARD

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

117344

 

21-Oct-1976

 

117344

 

29-Sep-1978

 

184



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

OMITE

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

83404

 

20-Feb-1967

 

83404

 

10-Jan-1968

PANTERA

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

183816

 

17-May-1988

 

183816

 

07-May-1991

PLANTVAX

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

132382

 

30-Apr-1980

 

132382

 

02-Dec-1982

POLYLITE

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

123413

 

10-May-1978

 

123413

 

12-Jan-1981

RIBBON FLOW

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

231537

 

29-Oct-1993

 

231537

 

20-Dec-1996

ROYALFLO

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

247268

 

29-Mar-1995

 

247268

 

17-Sep-1997

TERRAZOLE

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

102828

 

04-Jan-1973

 

102828

 

11-Jan-1974

VIBRASPRAY

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

131525

 

29-Feb-1980

 

131525

 

10-Dec-1982

VITAFLO

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

119080

 

13-Apr-1977

 

119080

 

23-Nov-1978

 

185



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VITAVAX

 

New Zealand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

84201

 

06-Jun-1967

 

84201

 

22-May-1968

FAZOR

 

Nicaragua

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

02001-2710

 

13-Jul-2001

 

00053322CC

 

17-Apr-2002

DU-DIM

 

Norway

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

19772985

 

31-Oct-1977

 

101611

 

25-Jan-1979

COMITE

 

Pakistan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

74731

 

27-Jul-1981

 

74731

 

27-Jul-1981

DEVICE (BULLSEYE)

 

Pakistan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

68150

 

21-Sep-1978

 

68150

 

21-Sep-1978

DIMILIN

 

Pakistan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

69860

 

04-Jul-1979

 

69860

 

17-Dec-1980

OMITE

 

Pakistan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

57878

 

21-Sep-1972

 

57878

 

21-Sep-1972

PROVAX

 

Pakistan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

99013

 

12-Jul-1988

 

99013

 

12-Jul-1988

ROYALFLO

 

Pakistan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

129461

 

02-Apr-1995

 

129461

 

01-Aug-2002

 

186



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TERRA-COAT

 

Pakistan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

58234

 

23-Jan-1973

 

58234

 

23-Jan-1973

VITAVAX

 

Pakistan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

57880

 

21-Sep-1972

 

57880

 

21-Sep-1972

FAZOR

 

Panama

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

120408

 

05-Apr-2002

 

120408

 

05-Apr-2002

FLUPRO

 

Panama

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

120409

 

05-Apr-2002

 

120409

 

05-Dec-2003

FAZOR

 

Paraguay

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

06017-2002

 

18-Mar-2002

 

251709

 

14-Nov-2002

DEVICE (BULLSEYE)

 

Peru

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

78392

 

17-May-1984

 

54308

 

16-Aug-1984

DIMILIN

 

Peru

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

8615

 

15-Nov-1977

 

15810

 

12-Sep-1978

FAZOR

 

Peru

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000075340

 

03-Jun-2001

 

075340

 

03-Oct-2001

FLUPRO

 

Peru

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

124301/2001

 

20-Feb-2001

 

71729/2001

 

21-May-2001

 

187



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

OMITE

 

Peru

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000176572

 

25-Oct-1990

 

89552

 

13-Feb-1991

RIBBON FLOW

 

Peru

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

230156

 

28-Oct-1993

 

9146

 

12-Aug-1994

TEDION V18

 

Peru

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

127228

 

07-Oct-1987

 

72314

 

17-Dec-1987

WRM

 

Peru

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0227588/93

 

15-Sep-1993

 

04756

 

30-Dec-1993

WRM

 

Peru

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0227589/93

 

15-Sep-1993

 

04757

 

30-Dec-1993

VITAVAX

 

Philippines

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Pending

 

4-2004-01182

 

14-Dec-2004

 

 

 

 

ADIPRENE

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

28-Dec-1954

 

36624

 

28-Dec-1954

ADOBE

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

000Z-231965

 

22-Feb-2001

 

156734

 

07-Jun-2005

ALLEGIANCE

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00Z-213396

 

02-Mar-2000

 

146436

 

03-Feb-2004

 

188



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ASSAULT

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

000Z-243464

 

27-Nov-2001

 

162674

 

14-Nov-2005

DU-CASON

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

Z-86091

 

20-Jun-1988

 

63926

 

27-Sep-1990

JAG

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

000Z-243463

 

27-Nov-2001

 

162673

 

14-Nov-2005

PANTERA

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

Z86018

 

01-Jun-1988

 

63914

 

27-Jan-1990

POLYBOND

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

Z-106921

 

09-Mar-1992

 

078598

 

05-Oct-1994

POLYLOC

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

Z-238302

 

16-Jul-2001

 

NR159383

 

15-Jul-2005

PROVAX

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00Z-190719

 

18-Aug-1998

 

131560

 

10-Aug-2001

RIBBON FLOW

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00Z-126438

 

02-Nov-1993

 

87713

 

12-Dec-1995

SCREEN

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

Z-234263

 

11-Apr-2001

 

156778

 

21-Apr-2005

 

189



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TRIMENE BASE

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00Z-190526

 

12-Aug-1998

 

131921

 

16-Aug-2001

VITAVAX

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

69078

 

01-Mar-1970

 

49101

 

09-Mar-1970

VORTEX

 

Poland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

000Z-243463

 

27-Nov-2001

 

162672

 

14-Nov-2005

PROVAX

 

Portugal

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

305456

 

11-Jan-1995

 

305456

 

14-Oct-1998

VIBRABOND

 

Portugal

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

21805

 

11-Aug-1981

 

21805

 

06-Jan-1989

ALLEGIANCE

 

Romania

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M200000531

 

07-Feb-2000

 

41850

 

07-Feb-2000

ASSAULT

 

Romania

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M200105609

 

07-Nov-2001

 

49366

 

07-Nov-2001

FLEXZONE

 

Romania

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

20116

 

16-May-1969

 

6122

 

16-May-1969

JAG

 

Romania

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M200105611

 

07-Nov-2001

 

48973

 

07-Nov-2001

 

190


 


 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

POLYLOC

 

Romania

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M 2001 03357

 

11-Jul-2001

 

47315

 

11-Jul-2001

SIGNAL

 

Romania

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

M200000379

 

30-Jan-2001

 

45858

 

30-Jan-2001

TRIMENE BASE

 

Romania

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000020117

 

16-May-1989

 

0000006120

 

01-May-1969

CASORON

 

Russian Federation

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

94541

 

17-Jun-1982

 

72272

 

17-Dec-1982

CASORON (IN CYRILLIC)

 

Russian Federation

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

94542

 

17-Jun-1982

 

72271

 

17-Dec-1982

DIMILIN

 

Russian Federation

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

86661

 

02-Jul-1979

 

65897

 

02-Jul-1979

KEMIKAR

 

Russian Federation

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

 

 

76340

 

06-Apr-1984

OMITE (IN CYRILLIC)

 

Russian Federation

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000154611

 

17-Mar-1992

 

0000112399

 

12-Jul-1993

POLYLOC

 

Russian Federation

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001721328

 

17-Jul-2001

 

231375

 

15-Dec-2002

 

191



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

RIBBON FLOW

 

Russian Federation

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0093051682

 

23-Nov-1993

 

0000129992

 

24-Jul-1995

VITAVAX

 

Russian Federation

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

55658

 

03-Mar-1970

 

40821

 

30-Dec-1970

DIMILIN

 

Sabah

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000025028

 

17-Sep-1979

 

25028

 

11-Sep-1979

ALAR

 

Sarawak

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

SAR/20842

 

12-Jan-1980

 

SAR/20842

 

12-Jan-1980

B-NINE

 

Sarawak

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

SAR/B20844

 

12-Jan-1980

 

SAR/20844

 

12-Jan-1980

DIMILIN

 

Sarawak

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

11-Sep-1979

 

20241

 

11-Sep-1979

MICROMITE

 

Sarawak

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

20839

 

12-Jan-1980

 

SAR/20839

 

12-Jan-1980

OMITE

 

Sarawak

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

20840

 

12-Jan-1980

 

20840

 

12-Jan-1980

TRIMENE BASE

 

Serbia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00Z-689/68

 

26-Sep-1968

 

18568

 

21-Apr-1970

 

192



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

DIMILIN

 

Singapore

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

82031

 

08-Sep-1979

 

82031D

 

08-Sep-1979

RIBBON FLOW

 

Singapore

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

08336/93

 

26-Oct-1993

 

T9308336D

 

26-Oct-1993

ADIPRENE

 

Slovak Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

07-Jan-1985

 

166243

 

09-Jun-1986

ADOBE

 

Slovak Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

POZ0537-2001

 

23-Feb-2001

 

199110

 

13-May-2002

ALLEGIANCE

 

Slovak Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

Z0355-2000

 

11-Feb-2000

 

195660

 

18-Jun-2001

ASSAULT

 

Slovak Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Pending

 

03297-2001

 

09-Nov-2001

 

 

 

 

JAG

 

Slovak Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

03296-2001

 

09-Nov-2001

 

201705

 

16-Jan-2003

POLYBOND

 

Slovak Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

67283

 

16-Mar-1992

 

173892

 

20-Feb-1995

POLYLOC

 

Slovak Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Pending

 

PO2166-2001

 

16-Jul-2001

 

 

 

 

 

193



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

RIBBON FLOW

 

Slovak Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

16994

 

10-Dec-1993

 

178703

 

24-Nov-1997

SCREEN

 

Slovak Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

POZ0538-2001

 

23-Feb-2001

 

199111

 

13-May-2002

TRIMENE BASE

 

Slovak Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000042326

 

27-Sep-1968

 

158690

 

20-Feb-1969

VORTEX

 

Slovak Republic

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

02198-2001

 

09-Nov-2001

 

201707

 

16-Jan-2003

RIBBON FLOW

 

Slovenia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0Z 9371014

 

17-Nov-1993

 

9371014

 

01-Dec-1997

ADIPRENE

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

54/1539

 

19-May-1954

 

1954/01539

 

24-Nov-1954

ADIPRENE

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

54/3434

 

25-Oct-1954

 

1954/03434

 

20-Apr-1955

ALANAP

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

57/3869

 

10-Dec-1957

 

57/3869

 

16-Apr-1958

ALLEGIANCE

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

99/15869

 

30-Aug-1999

 

99/15869

 

09-Dec-2002

 

194



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BLE

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

69/0123

 

14-Jan-1969

 

A69/0123

 

06-Mar-1970

B-NINE

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

64/2615

 

28-Jul-1964

 

B64/2615

 

16-Jun-1965

CASORON

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

60/2052

 

07-Jun-1960

 

60/2052

 

05-Oct-1960

CAYTUR

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79/3036

 

13-Jun-1979

 

79/3036

 

13-Jun-1980

DEVICE (BULLSEYE)

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

78/4355

 

05-Sep-1978

 

78/4355

 

12-Oct-1979

HEAD Design (Primitive)

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90/2686

 

09-Apr-1990

 

90/2686

 

17-May-1993

DIMILIN

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

02-Dec-1974

 

74/6294

 

04-Oct-1976

EVERSHIELD

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2000/08986

 

10-May-2000

 

2000/08986

 

10-May-2000

FLORAMITE

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001/1954

 

06-Feb-2001

 

200101954

 

06-Feb-2001

 

195



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

MICROMITE

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79/4713

 

05-Sep-1979

 

79/4713

 

17-Oct-1980

NAUGAWHITE

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

69/0121

 

14-Jan-1969

 

69/0121

 

01-Apr-1970

OCTAMINE

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

69/0120

 

14-Jan-1969

 

69/0120

 

31-Oct-1969

PANTERA

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

883844

 

16-May-1988

 

883844

 

15-Jul-1990

PLANTVAX

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

69/0281

 

27-Jan-1969

 

69/0281

 

06-Mar-1970

POLYBOND

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1592/80

 

20-Mar-1980

 

1592/80

 

11-Sep-1981

POLYLOC

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001/12051

 

11-Jul-2001

 

200112051

 

11-Jul-2001

POLYLOC

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001/14023

 

14-Aug-2001

 

2001/14023

 

14-Oct-2008

PROVAX

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

88/5855

 

15-Jul-1988

 

88/5855

 

29-Jun-1990

 

196



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

RIBBON FLOW

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

94/9544

 

05-Sep-1994

 

94/9544

 

10-Apr-1997

ROYAL MH-30 SG

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

835179

 

27-Jul-1983

 

835179

 

27-Jul-1983

ROYALCAP

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

99/09262

 

25-May-1999

 

99/09262

 

10-Jun-2002

ROYALCAST

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90/7357

 

28-Aug-1990

 

90/7357

 

17-May-1993

ROYALFLO

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

94/9545

 

05-Sep-1994

 

94/9545

 

25-Apr-1997

SCREEN

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

200113104

 

30-Jul-2001

 

200113104

 

30-Jul-2001

SOLITHANE

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

70/4966

 

04-Nov-1970

 

70/4966

 

03-Jan-1972

SYNTON

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

81/9697

 

21-Dec-1981

 

81/9697

 

17-Nov-1983

TEDION V18

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

55/2080

 

29-Jun-1955

 

2080/55

 

08-Feb-1956

 

197



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TERRAZOLE

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

69/4553

 

25-Sep-1969

 

69/4553

 

21-May-1973

TRIVAX

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

78/3681

 

31-Jul-1978

 

78/3681

 

13-Jul-1979

WRM

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90/2687

 

09-Apr-1990

 

90/2687

 

17-May-1993

WRM

 

South Africa

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90/2688

 

09-Apr-1990

 

90/2688

 

17-May-1993

ACRAMITE

 

Spain

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0002376130

 

06-Feb-2001

 

2376130

 

20-Jul-2001

ADIPRENE

 

Spain

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

07-Aug-1954

 

284902

 

31-Mar-1955

ALAR-85

 

Spain

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2442342

 

27-Aug-2001

 

2442342

 

20-May-2002

FLORAMITE

 

Spain

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0002376131

 

06-Feb-2001

 

0002376131

 

20-Jul-2001

NAUGARD

 

Spain

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

03-Jan-1967

 

521476/9

 

02-Sep-1968

 

198



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PANAREX

 

Spain

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0002355716

 

06-Nov-2000

 

0002355716

 

07-May-2001

PANAREX

 

Spain

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0002355715

 

06-Nov-2000

 

0002355715

 

07-May-2001

RIBBON FLOW

 

Spain

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1788653

 

10-Nov-1993

 

1788653

 

04-Apr-1994

TERRAZOL

 

Spain

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

24-Sep-1980

 

0000952935

 

05-Oct-1981

TERRAZOLE

 

Spain

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

11-Jul-1975

 

794890

 

17-Jun-1978

ZETOS

 

Spain

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

18-Jun-1969

 

591421

 

03-Dec-1973

TEDION V18

 

Sri Lanka

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

17225

 

24-Jul-1956

 

17225

 

30-Aug-1957

DIMILIN

 

Sudan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000015313

 

05-Mar-1975

 

15313

 

05-Apr-1977

ACRAMITE

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0001-00784

 

02-Feb-2001

 

0000351765

 

18-Jan-2002

 

199



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ADIPRENE

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00054-1381

 

19-May-1954

 

0000077972

 

10-Apr-1955

ALAR

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00065-2820

 

06-Jul-1965

 

0000125651

 

13-Dec-1968

CASORON

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

88-8284

 

29-Sep-1988

 

223224

 

03-May-1991

CAYTUR

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00080-3061

 

07-Jun-1979

 

0000172483

 

13-Jun-1980

HEAD Design (Primitive)

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00090-3655

 

12-Apr-1990

 

0000228403

 

29-Nov-1991

DIMILIN

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

77-0478

 

01-Feb-1977

 

166557

 

23-Feb-1979

DU-DIM

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

197705086

 

31-Oct-1977

 

163849

 

22-Jun-1978

NAUGALUBE

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00081-2055

 

13-Apr-1981

 

0000178134

 

11-Sep-1981

POLYBOND

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

80-1477

 

17-Mar-1980

 

182558

 

06-Aug-1982

 

200


 


 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

POLYBOND

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

92-2097

 

05-Mar-1992

 

244901

 

30-Dec-1992

RIBBON FLOW

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0093-10685

 

11-Nov-1993

 

259567

 

15-Jul-1994

SYNTON

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

81-6756

 

15-Dec-1981

 

187672

 

12-Aug-1983

VIBRABOND

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00081-3791

 

17-Jul-1981

 

0000180522

 

12-Mar-1982

VIBRASPRAY

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00081-3790

 

17-Jul-1981

 

0000179789

 

22-Jan-1982

VIBRATHANE

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

00071-4201

 

13-Oct-1971

 

0000138883

 

07-Apr-1972

VITAVAX

 

Sweden

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

67-2455

 

06-Jun-1967

 

125570

 

06-Dec-1968

ACRAMITE

 

Switzerland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1203/2001

 

06-Feb-2001

 

487316

 

25-Jul-2001

ADIPRENE

 

Switzerland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

02534/1974

 

21-Apr-1974

 

2P271240

 

21-May-1974

 

201



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BXA

 

Switzerland

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

9853/93

 

19-Aug-1993

 

P413412

 

19-Aug-1993

ACRAMITE (IN CHINESE)

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90022379

 

04-Jun-2001

 

1003725

 

01-Jul-2002

ADIPRENE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79044145

 

09-Oct-1990

 

530858

 

16-Sep-1991

ADIPRENE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79044146

 

09-Oct-1990

 

529346

 

16-Aug-1991

ADIPRENE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79044148

 

09-Oct-1990

 

525064

 

01-Aug-1991

ADIPRENE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0079-44148

 

09-Oct-1990

 

530508

 

01-Sep-1991

ADIPRENE EXTREME

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

092065775

 

13-Nov-2003

 

1120860

 

01-Oct-2004

AMINOX

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79044143

 

09-Oct-1990

 

530091

 

01-Aug-1991

BLE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

87040736

 

19-Aug-1998

 

880337

 

01-Feb-2000

 

202



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

CASORON (with characters)

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90022380

 

04-Jun-2001

 

1003726

 

01-Jul-2002

DIMILIN

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

7057696

 

15-Dec-1988

 

444299

 

01-Jun-1989

DIMILIN (CHINESE CHARACTERS)

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

01-Oct-1978

 

104002

 

01-Oct-1978

ESEN

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

87040738

 

19-Aug-1998

 

866516

 

16-Sep-1999

FLEXAMINE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

87040747

 

19-Aug-1998

 

866518

 

16-Sep-1999

METHAZATE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

89001850

 

13-Jan-2000

 

949077

 

16-Jul-2001

MONEX

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

88006262

 

11-Feb-1999

 

890447

 

01-May-2000

NAUGALUBE 403

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000001795

 

01-Feb-1979

 

116889

 

01-Jul-1979

NAUGARD

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79044142

 

09-Oct-1990

 

530857

 

16-Aug-1991

 

203



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

NAUGAWHITE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

87040746

 

19-Aug-1998

 

866520

 

16-Sep-1999

OCTAMINE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79044144

 

09-Oct-1990

 

535855

 

01-Oct-1991

OMITE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

29-Feb-1968

 

48251

 

01-Aug-1971

OMITE (IN CHINESE)

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90022375

 

04-Jun-2001

 

1003722

 

01-Jul-2002

OMITE (IN CHINESE)

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90022374

 

04-Jun-2001

 

1003721

 

01-Jul-2002

PANTERA (IN CHINESE)

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90022378

 

04-Jun-2001

 

1003724

 

01-Jul-2002

PLANTVAX

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000034698

 

01-Sep-1972

 

62308

 

01-Feb-1973

PLANTVAX (IN CHINESE)

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90022376

 

04-Jun-2001

 

103723

 

01-Jul-2002

POLYLOC

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90028295

 

10-Jul-2001

 

100568

 

01-Jun-2002

 

204



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

POLYLOC (IN CHINESE)

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90041614

 

09-Oct-2001

 

994181

 

16-Apr-2002

RIBBON FLOW

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

82054471

 

04-Nov-1993

 

652158

 

16-Aug-1994

RIBBON FLOW

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

83022760

 

18-Mar-1994

 

663214

 

16-Dec-1994

ROYALAC

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

20-May-1977

 

93413

 

01-Dec-1977

SUNPROOF

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

87040745

 

19-Aug-1998

 

866519

 

16-Sep-1999

TERRAZOLE (IN CHINESE)

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

89049356

 

25-Aug-2000

 

945405

 

16-Jun-2001

TERRAZOLE (IN CHINESE)

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

90022377

 

04-Jun-2001

 

1006340

 

16-Jul-2002

THIOSTOP

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79039548

 

07-Sep-1990

 

535846

 

01-Oct-1991

VIBRATHANE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79044149

 

09-Oct-1990

 

535856

 

01-Oct-1991

 

205



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VIBRATHANE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79044150

 

09-Oct-1990

 

529347

 

16-Jul-1991

VIBRATHANE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79044151

 

09-Oct-1990

 

527504

 

01-Jul-1991

VIBRATHANE

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

79044152

 

09-Oct-1990

 

530509

 

01-Aug-1991

VITAVAX

 

Taiwan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

87039159

 

11-Aug-1998

 

858781

 

16-Jul-1999

ADIPRENE

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

409118

 

18-Jan-2000

 

110157

 

15-Mar-2000

ADIPRENE (IN THAI CHARACTERS)

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

322409

 

17-Nov-1986

 

TM54137

 

17-Nov-1986

ADIPRENE (IN THAI CHARACTERS)

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

322410

 

17-Nov-1986

 

TM54138

 

17-Nov-1986

ADIPRENE EXTREME

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

563381

 

25-Aug-2004

 

237159

 

26-Mar-2006

BI-LARV

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

409120

 

07-Feb-1990

 

TM110158

 

15-Mar-2000

 

206



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BILARV (In Thai)

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

557064

 

27-Jun-2004

 

211540

 

26-Jan-2005

DEVICE (BULLSEYE)

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

369211

 

09-Sep-1998

 

TM80604

 

22-Oct-1998

DIMILIN

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

394521

 

09-Aug-1999

 

TM100319

 

22-Oct-1999

FLY-DIM

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

431691

 

07-Sep-2000

 

TM145544

 

24-Oct-2001

NAUGARD

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

405273

 

30-Nov-1999

 

TM107528

 

08-Feb-2000

OMITE

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

226986

 

12-Mar-1992

 

TM28

 

26-Jun-1993

OMITE (IN LOCAL CHARACTERS)

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

300943

 

18-Jan-1996

 

TM55317

 

14-Feb-1997

PANTERA

 

Thailand

 

Chemtura Corporation

 

Registered

 

363266

 

28-Jun-1988

 

TM77979

 

07-Mar-1989

PLANTVAX

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

404194

 

19-Nov-1999

 

TM106148

 

21-Jan-2000

 

207



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

RIBBON FLOW

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

256827

 

07-Dec-1993

 

TM59811

 

13-Jun-1997

ROYAL MH-30

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

257317

 

14-Dec-1993

 

TM10994

 

16-May-1994

TEDION V18

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

43831

 

24-Oct-1961

 

184912

 

02-Oct-2003

VITAVAX

 

Thailand

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

75845

 

20-Mar-1972

 

TM49669

 

25-Feb-1974

ALLEGIANCE

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2000 001967

 

09-Feb-2000

 

2000 01967

 

09-Feb-2000

CASORON

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

09267

 

22-Aug-1995

 

90611

 

22-Aug-1995

DEVICE (BULLSEYE)

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

15-Nov-1998

 

117535

 

15-Nov-1998

DU-DIM

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2003/25320

 

24-Sep-2003

 

2003025320

 

24-Sep-2003

JAG

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001/023061

 

08-Nov-2001

 

2001023061

 

08-Nov-2001

 

208



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

NEMAREX

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2991/015802

 

10-Aug-2001

 

2001/015802

 

10-Aug-2001

PANTERA

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2000/009869

 

24-May-2000

 

2000/09869

 

24-May-2000

PLANTVAX

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

46243

 

12-Nov-1992

 

138209

 

19-Oct-1972

PROMITE S

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

30-May-1988

 

106018

 

30-May-1988

PROVAX

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

27-Sep-1988

 

106888

 

27-Sep-1988

ROYALFLO

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

9777/94

 

26-Sep-1994

 

154724

 

26-Sep-1994

SIGNAL

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2002/029865

 

21-Nov-2002

 

2002029865

 

21-Nov-2002

TERRA-COAT

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

12-Mar-1983

 

76205

 

12-Mar-1983

TERRAZOLE

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

12-Mar-1983

 

076206

 

12-Mar-1983

 

209



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VITAVAX

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

9900694

 

11-Mar-1990

 

117854

 

11-Mar-1990

VORTEX

 

Turkey

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001/023063

 

08-Nov-2001

 

2001023063

 

08-Nov-2001

POLYLOC

 

Ukraine

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2001074514

 

23-Jul-2001

 

34786

 

15-Sep-2003

ACRAMITE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0002237681

 

28-Jun-2000

 

2237681

 

22-Dec-2000

ADIPRENE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000730321

 

17-May-1954

 

0000730321

 

17-May-1954

ADOBE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2261406

 

15-Feb-2001

 

2261406

 

13-Jul-2001

ALAR

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

881661

 

07-Jul-1965

 

881661

 

07-Jul-1965

AMINOX

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000719487

 

30-Jun-1953

 

0000719487

 

22-Oct-1954

ANCHOR

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2047541

 

05-Dec-1995

 

2047541

 

30-Aug-1996

 

210


 


 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ARANOX

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000719488

 

30-Jun-1953

 

0000719488

 

13-Mar-1954

BLE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

719889

 

14-Jul-1953

 

719889

 

14-Jul-1953

CASORON

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1353192

 

01-Aug-1988

 

1353192

 

24-Nov-1989

CATAPULT

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1143331

 

05-Nov-1980

 

1143331

 

05-Nov-1980

CAYTUR

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1116176

 

20-Jun-1979

 

1116176

 

20-Jun-1979

CRUSOE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2262127

 

22-Feb-2001

 

2262127

 

03-Aug-2001

DURAZONE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1486287

 

18-Dec-1991

 

1486287

 

18-Dec-1991

FAZOR

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0001200765

 

29-Jul-1983

 

1200765

 

29-Jul-1983

FLEXAMINE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000719489

 

30-Jun-1953

 

0000719489

 

12-Mar-1954

 

211



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

FLEXZONE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

802285

 

26-Feb-1960

 

802285

 

26-Feb-1960

FLORAMITE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2260071

 

02-Feb-2001

 

2260071

 

16-Jul-2001

JAG

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2284717

 

06-Nov-2001

 

2284717

 

05-Apr-2002

LINDEX

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000700600

 

17-Aug-1951

 

700600

 

17-Aug-1951

MAXTRON

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1200547

 

27-Jul-1983

 

1200547

 

27-Jul-1983

NAUGALUBE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0001152084

 

07-Apr-1981

 

0001152084

 

07-Apr-1981

NAUGARD

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

903917

 

09-Jan-1967

 

903917

 

09-Jan-1967

NEMAREX

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2260191

 

05-Feb-2001

 

2260191

 

13-Jul-2001

OCTAMINE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

943175

 

27-May-1969

 

943175

 

27-May-1969

 

212



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

OMITE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

905639

 

17-Feb-1967

 

905639

 

17-Feb-1967

PANAREX

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

224996

 

25-Oct-2000

 

2249996

 

11-May-2001

PANTERA

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1349609

 

30-Jun-1988

 

1349609

 

30-Jun-1988

PLANTVAX

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

946150

 

25-Jul-1969

 

946150

 

25-Jul-1969

POLYGARD

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

763651

 

19-Mar-1957

 

763651

 

19-Mar-1957

POLYLITE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

818648

 

24-Mar-1961

 

818648

 

24-Mar-1961

POLYLOC

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2274965

 

11-Jul-2001

 

2274965

 

11-Jul-2001

PROVAX

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0001358239

 

20-Sep-1988

 

0001358239

 

20-Sep-1988

RIBBON FLOW

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1551723

 

27-Oct-1993

 

1551723

 

21-Oct-1994

 

213



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ROYALAC

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

919181

 

02-Jan-1968

 

919181

 

02-Jan-1968

SCREEN

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0002278075

 

15-Aug-2001

 

0002278075

 

04-Oct-2002

SIGNAL

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2225566

 

21-Mar-2000

 

2225566

 

20-Jan-2004

SOLITHANE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

801825

 

27-Oct-1959

 

801825

 

27-Oct-1959

TEDION V18

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

743837

 

28-Jun-1955

 

743837

 

03-Dec-1955

TERRA-COAT

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1004077

 

01-Jan-1973

 

1004077

 

01-Jan-1973

THE METEOR

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0001114386

 

16-May-1979

 

1114386

 

16-May-1979

TRIMENE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000719491

 

30-Jun-1953

 

0000719491

 

30-Jun-1953

TUEX

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000719486

 

30-Jun-1953

 

0000719486

 

29-Sep-1953

 

214



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VIBRABOND

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1123003

 

25-Oct-1979

 

1123003

 

25-Oct-1979

VIBRASPRAY

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1113749

 

03-May-1979

 

1113749

 

14-Apr-1982

VITE

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0001535425

 

12-May-1993

 

1535425

 

24-Mar-1995

VORTEX

 

United Kingdom

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

228716

 

06-Nov-2001

 

2284716

 

05-Apr-2002

ACTAFOAM

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72166029

 

03-Apr-1963

 

765305

 

25-Feb-1964

ADEPT

 

United States of America

 

Chemtura Corporation

 

Registered

 

75/471990

 

22-Apr-1998

 

2260846

 

13-Jul-1999

ADIPRENE

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

71665762

 

05-May-1954

 

0610867

 

23-Aug-1955

ALANAP

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

71636906

 

20-Oct-1952

 

574094

 

05-May-1953

AMINOX

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72182386

 

04-Feb-1963

 

779288

 

03-Nov-1964

 

215



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ARANOX

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72/181715

 

21-Nov-1963

 

781915

 

22-Dec-1964

ARAZATE

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72/211947

 

12-Feb-1965

 

799001

 

23-Nov-1965

BEUTENE

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

71317725

 

06-Aug-1931

 

0289954

 

15-Dec-1931

BIK

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

73013369

 

13-Feb-1974

 

1002414

 

28-Jan-1975

B-NINE

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72174997

 

13-Aug-1963

 

765737

 

03-Mar-1964

BUTAZATE

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72182383

 

04-Dec-1963

 

797947

 

26-Oct-1965

CASORON

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72155743

 

23-Oct-1962

 

753930

 

06-Aug-1963

COMITE

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72393281

 

27-May-1971

 

953392

 

20-Feb-1973

CPB

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

73012658

 

04-Feb-1974

 

1005677

 

04-Mar-1975

 

216



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ETHAZATE

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72182381

 

04-Dec-1963

 

797946

 

26-Oct-1965

FLEXAMINE

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72211945

 

12-Feb-1965

 

798999

 

23-Nov-1965

HEPTEEN BASE

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

71317726

 

06-Aug-1931

 

289955

 

15-Dec-1931

METHAZATE

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72182384

 

04-Dec-1963

 

797948

 

26-Oct-1965

MH-30

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72166955

 

17-Apr-1963

 

766976

 

24-Mar-1964

NAUGARD 76

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

73518010

 

17-Jan-1985

 

1352297

 

06-Aug-1985

OCTAMINE

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

720182380

 

04-Dec-1963

 

779286

 

03-Nov-1964

OPEX

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

75/817091

 

07-Oct-1999

 

2373004

 

01-Aug-2000

PACZOL

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

78317510

 

23-Oct-2003

 

2953669

 

17-May-2005

 

217



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

POLYBOND

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

73246296

 

16-Jan-1980

 

1201658

 

20-Jul-1982

POLYGARD

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

71634225

 

20-Aug-1952

 

0573548

 

21-Apr-1953

POLYWET

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

78/322486

 

03-Nov-2003

 

2916321

 

04-Jan-2005

PROCURE

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

75/472476

 

22-Apr-1998

 

2251422

 

08-Jun-1999

ROYAL SLO-GRO

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72332270

 

10-Jul-1969

 

0926631

 

11-Jan-1972

ROYALTAC

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72426949

 

12-Jun-1972

 

0961833

 

26-Jun-1973

SORBATRAN

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72460629

 

18-Jun-1973

 

1020137

 

09-Sep-1975

SUNPROOF

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

74/142363

 

25-Feb-1991

 

1671531

 

14-Jan-1992

SYNTON

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

73306871

 

21-Apr-1981

 

1196613

 

01-Jun-1982

 

218



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TONOX

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72182385

 

04-Dec-1963

 

788898

 

04-May-1965

TUEX

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72182382

 

04-Dec-1963

 

779287

 

03-Nov-1964

UNIROYAL CHEMICAL

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

74/469058

 

13-Dec-1993

 

1873482

 

17-Jan-1995

UNIROYAL CHEMICAL

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

74/469061

 

13-Dec-1993

 

1869200

 

27-Dec-1994

VIBRARIM

 

United States of America

 

Crompton Corporation

 

Registered

 

78297904

 

09-Sep-2003

 

2961244

 

07-Jun-2005

VIBRATHANE

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72122044

 

24-Jun-1961

 

739228

 

16-Oct-1962

VIGILANTE

 

United States of America

 

Chemtura Corporation

 

Registered

 

73533178

 

19-Apr-1985

 

1364123

 

08-Oct-1985

WRM

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

74/229841

 

12-Dec-1991

 

1714849

 

15-Sep-1992

WYTOX

 

United States of America

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

72399033

 

02-Aug-1971

 

944425

 

10-Oct-1972

ALANAP

 

Uruguay

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0000337180

 

13-Feb-2002

 

0000337180

 

10-Feb-2002

 

219



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

TEDION V18

 

Uruguay

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

16-Aug-2001

 

333321

 

28-Oct-2001

KEMIKAR

 

Uzbekistan

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

93012183

 

12-Jul-1993

 

745

 

12-Jul-1993

ADIPRENE

 

Venezuela

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

20-Dec-1985

 

00030491

 

18-Feb-1956

B-NINE

 

Venezuela

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

14822-88

 

16-Aug-1988

 

149913

 

06-Dec-1993

FAZOR

 

Venezuela

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Published

 

010452-1999

 

16-Jun-1999

 

 

 

 

FLEXZONE

 

Venezuela

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2981

 

01-May-1966

 

55791

 

24-Sep-1969

FLUPRO

 

Venezuela

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

03193-2001

 

23-Feb-2001

 

P238288

 

28-Jun-2002

FUERA

 

Venezuela

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2512-1999

 

24-Feb-1999

 

research4

 

19-Dec-2003

GRANOVAX

 

Venezuela

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

8107

 

01-Dec-1976

 

86511-F

 

27-Apr-1978

 

220



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

OMITE

 

Venezuela

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

 

 

00071307

 

30-Nov-1972

PLANTVAX

 

Venezuela

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

 

 

0000071309

 

30-Nov-1972

POLYBOND

 

Venezuela

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

2262/80

 

18-Apr-1980

 

00106143-F

 

07-Feb-1984

ROYAL MH-30

 

Venezuela

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

8001

 

10-Jul-1985

 

120196-F

 

25-Apr-1986

ROYALTAC

 

Venezuela

 

Chemtura Corporation

 

Registered

 

0000006560

 

01-Jul-1981

 

00111978-F

 

12-Dec-1984

TEDION V18

 

Venezuela

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1483

 

25-Apr-1960

 

42454

 

17-Oct-1962

TRIVAX

 

Venezuela

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

6179

 

01-Sep-1979

 

102165-F

 

25-May-1983

VITAVAX

 

Venezuela

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

 

 

73464-F

 

17-Jul-1973

B-NINE

 

Viet Nam

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0N-0168/95

 

17-Jan-1995

 

0000017880

 

29-Aug-1995

 

221


 


 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PLANTVAX

 

Viet Nam

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0N-0170/95

 

17-Jan-1995

 

17881

 

29-Aug-1995

VITAVAX

 

Viet Nam

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

0N-171/95

 

17-Jul-1995

 

18039

 

14-Sep-1995

FLORAMITE

 

Zambia

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

97/2001

 

09-Feb-2001

 

97/2001

 

16-Oct-2002

FLORAMITE

 

Zimbabwe

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

154/2001

 

07-Feb-2001

 

154/2001

 

03-Dec-2001

POLYLOC

 

Zimbabwe

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

730/2001

 

12-Jul-2001

 

730/2001

 

20-May-2002

ROYALCAP

 

Zimbabwe

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

1999/0527

 

27-May-1999

 

724/99

 

20-Dec-1999

ROYALFLO

 

Zimbabwe

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

 

 

24-Aug-1994

 

1245/94

 

08-May-1995

CASORON

 

African Union Territories (OAPI)

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

69955

 

04-Feb-1980

 

19923

 

04-Feb-1980

POLYGARD

 

African Union Territories (OAPI)

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

68733

 

06-Nov-1978

 

18668

 

04-Aug-1979

 

222



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

ADOBE

 

Argentina

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

2328219

 

19-Feb-2001

 

1886151

 

19-Sep-2002

CRUSOE

 

Argentina

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

2328676

 

22-Feb-2001

 

1892346

 

28-Oct-2002

FLUPRO

 

Argentina

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

2328937

 

23-Feb-2001

 

1887162

 

26-Sep-2002

OCTAMINE

 

Argentina

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0002007121

 

01-Nov-1995

 

1619589

 

23-Oct-1996

DURAZONE

 

Bangladesh

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0000033746

 

04-Nov-1991

 

0000033746

 

31-Jul-1995

MICROMITE

 

Bangladesh

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0000151800

 

21-Sep-1979

 

0000151800

 

06-Jan-1985

OMITE

 

Bangladesh

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

2077

 

04-Jun-1973

 

2077

 

21-Nov-1982

VITAVAX

 

Bangladesh

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

59203

 

14-Mar-1999

 

59203

 

14-Mar-1999

ROYAL MH-30 SG

 

Bosnia and Herzegovina

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

015420A

 

03-Aug-2001

 

BAZ15420A

 

14-Dec-2006

 

223



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PROCURE

 

Brazil

 

Chemtura USA Corporation

 

Pending

 

826057110

 

12-Nov-2003

 

 

 

 

TERRAGUARD

 

Brazil

 

Chemtura USA Corporation

 

Published

 

826057101

 

13-Nov-2003

 

 

 

 

ACROMITE

 

Chile

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

472671

 

12-Jan-2000

 

616920

 

16-Apr-2002

DIMILIN

 

Costa Rica

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

126396

 

07-Oct-1999

 

131430

 

14-Feb-2002

DIMILIN

 

Dominican Republic

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

 

 

14-Dec-1979

 

29764

 

14-Dec-1979

FLUPRO

 

Dominican Republic

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

2002-158931

 

26-Feb-2001

 

129947

 

15-Aug-2001

FUERA

 

Dominican Republic

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0000009315

 

10-Mar-1999

 

0000103992

 

15-May-1999

PANTERA

 

Dominican Republic

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0099039210

 

25-Jun-1999

 

0000107406

 

15-Oct-1999

TERRAZOLE

 

Dominican Republic

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

 

 

 

 

0000024943

 

05-Feb-1976

ACRAMITE

 

Egypt

 

Uniroyal Chemical Company, Inc. (NJ)

 

Pending

 

000140387

 

13-Feb-2001

 

 

 

 

 

224



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

COMITE

 

Egypt

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0000077645

 

10-Jul-1990

 

0000077645

 

08-Apr-1993

OMITE (IN CYRILLIC)

 

Georgia

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

1993 002279

 

17-Mar-1992

 

010858

 

23-Sep-1998

ROYAL MH-30 SG

 

Georgia

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

1993009343

 

23-Dec-1993

 

11148

 

27-Nov-1998

DIMILIN

 

Honduras

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

 

 

21-Nov-1979

 

28177

 

16-May-1980

FLUPRO

 

Honduras

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0000839-01

 

28-Feb-2001

 

82125

 

10-Jul-2001

FUERA

 

Honduras

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

3204/99

 

04-Mar-1999

 

80138

 

18-Dec-2000

PANTERA

 

Honduras

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

8210/99

 

22-Jun-1999

 

79769

 

10-Nov-2000

DIMILIN

 

Hong Kong

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

 

 

05-Jul-1979

 

858/1980

 

07-May-1980

RIBBON FLOW

 

Hong Kong

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0093/11675

 

02-Nov-1993

 

003264/96

 

12-Apr-1996

 

225



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

POLYGARD

 

India

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

178241

 

29-Jan-1957

 

178241

 

29-Jan-1957

TETRA V18

 

Jordan

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

43185

 

27-Aug-1996

 

43185

 

23-Jun-1997

VITAFLO

 

Jordan

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

 

 

 

 

16533

 

01-Jan-1978

FLORAMITE

 

Kenya

 

Uniroyal Chemical Company, Inc. (NJ)

 

Pending

 

51963

 

29-Aug-2001

 

 

 

 

DIMILIN

 

Kuwait

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0000047226

 

28-Jun-2000

 

0000037801

 

10-Jun-2002

ACRAMITE

 

Lebanon

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

86418

 

15-Feb-2001

 

86418

 

15-Feb-2001

DEVICE (BULLSEYE)

 

Lebanon

 

Chemtura Corporation

 

Registered

 

0000076420

 

12-Sep-1978

 

60972

 

23-Sep-1993

OMITE

 

Lebanon

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

85964

 

04-Jan-2001

 

85964

 

04-Jan-2001

B-NINE

 

Malaya

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

000M/85644

 

10-Mar-1980

 

0000085644

 

10-Mar-1980

DU-DIM

 

Malaysia

 

Chemtura USA Corporation

 

Registered

 

089/MA7794

 

18-Dec-1989

 

089/MA7794

 

03-Nov-1994

 

226



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

OMITE

 

Mexico

 

Uniroyal Chemical Company, Inc. (Delaware)

 

Registered

 

9250

 

22-Feb-1967

 

139187

 

18-Nov-1967

SIGNAL

 

Moldova

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0000099981

 

31-Jan-2001

 

0000008450

 

15-Jan-2002

MICROMITE

 

Morocco

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

 

 

07-Nov-1980

 

75262

 

07-Nov-1980

DEVICE (HEAD)

 

Namibia

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

00090/0453

 

18-Apr-1990

 

00090/0453

 

18-Apr-1990

WRM

 

Namibia

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

00090/0454

 

18-Apr-1990

 

00090/0454

 

18-Apr-1990

WRM

 

Namibia

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

00090/0455

 

18-Apr-1990

 

00090/0455

 

18-Apr-1990

DRUM PAL

 

New Zealand

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0000137127

 

13-May-1981

 

0000137127

 

12-Sep-1984

FLUPRO

 

Nicaragua

 

Uniroyal Chemical Company, Inc. (NJ)

 

Published

 

002001-914

 

13-Mar-2001

 

 

 

 

FUERA

 

Nicaragua

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0099-00622

 

25-Feb-1999

 

45447

 

04-Dec-2000

 

227



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

PANTERA

 

Nicaragua

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0099-01964

 

18-Jun-1999

 

60101CC

 

05-Feb-2004

TRIMENE

 

Nicaragua

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

 

 

24-Oct-1969

 

0000022175

 

30-Jan-1970

DIMILIN

 

Panama

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

046592

 

11-Mar-1988

 

046592

 

15-Dec-1988

FUERA

 

Panama

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0000101012

 

08-Jun-1999

 

0000101012

 

15-Apr-2002

PANTERA

 

Panama

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0000103806

 

16-Nov-1999

 

0000103806

 

21-Nov-2000

DIMILIN

 

Paraguay

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

218449

 

02-Oct-1979

 

218449

 

02-Oct-1979

OMITE

 

Paraguay

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

00071-2000

 

04-Jan-2000

 

226902

 

21-Jul-2000

VITAVAX

 

Paraguay

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

2000/1618

 

28-Jan-2000

 

226943

 

21-Jul-2000

ACRAMITE

 

Saudi Arabia

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0000069339

 

04-Feb-2001

 

0000588/52

 

19-Sep-2001

 

228



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

DIMILIN

 

Saudi Arabia

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

8542

 

14-Jul-1979

 

85/42

 

10-Jun-1981

DURAZONE

 

Sri Lanka

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

63851

 

18-May-1992

 

63851

 

18-May-1992

OMITE

 

Sri Lanka

 

Chemtura USA Corporation

 

Registered

 

34702

 

01-Sep-1972

 

34702

 

01-Sep-1972

PLANTVAX

 

Sri Lanka

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

34698

 

01-Sep-1972

 

34698

 

01-Sep-1972

VITAVAX

 

Sri Lanka

 

Chemtura USA Corporation

 

Registered

 

34703

 

01-Sep-1972

 

34703

 

01-Sep-1972

ACRAMITE

 

Tunisia

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

 

 

15-Feb-2001

 

00EE010307

 

15-Feb-2001

ALAR

 

Tunisia

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

0EE97.0354

 

03-Feb-1967

 

0000071/82

 

03-Feb-1967

TEDION V18

 

Tunisia

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

 

 

24-Mar-1995

 

EE950403

 

24-Mar-1995

ACRAMITE

 

Turkey

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

2001/012520

 

28-Jun-2001

 

2001012520

 

28-Jun-2001

BLE

 

United States of America

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

71309277

 

23-Dec-1930

 

0283324

 

26-May-1931

 

229



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

BLIZZARD

 

United States of America

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

76/141338

 

06-Oct-2000

 

2942342

 

19-Apr-2005

LAUREX

 

United States of America

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

71309275

 

23-Dec-1930

 

0288670

 

03-Nov-1931

NAUGAWHITE

 

United States of America

 

Chemtura Corporation

 

Registered

 

72056898

 

08-Aug-1958

 

0688941

 

01-Dec-1959

NITROPORE

 

United States of America

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

72076109

 

19-Jun-1959

 

694425

 

15-Mar-1960

PROVAX

 

United States of America

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

73765318

 

22-Nov-1988

 

1583268

 

20-Feb-1990

QUALITY THE ACTIVE INGREDIENT

 

United States of America

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

73/819139

 

14-Aug-1989

 

1644864

 

21-May-1991

ROYALAC

 

United States of America

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

72283830

 

31-Oct-1967

 

0869572

 

20-May-1969

ROYALTUF

 

United States of America

 

Chemtura Corporation

 

Registered

 

73773543

 

09-Jan-1989

 

1558675

 

03-Oct-1989

SOLITHANE

 

United States of America

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

72084103

 

27-Oct-1959

 

703073

 

23-Aug-1960

TRIMENE BASE

 

United States of America

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

71309276

 

23-Dec-1930

 

0285004

 

14-Jul-1931

 

230



 

Trademark

 

Country

 

Record
Owner

 

Status

 

App. No.

 

App. Date

 

Reg. No.

 

Reg. Date

VIBRABOND

 

United States of America

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

73222108

 

03-Jul-1979

 

1173764

 

20-Oct-1981

VIBRACURE

 

United States of America

 

Uniroyal Chemical Company, Inc. (NJ)

 

Registered

 

73200383

 

15-Jan-1979

 

1134920

 

13-May-1980

TERRAZOLE

 

Viet Nam

 

Uniroyal Chemical Company, Inc. (NJ)

 

Pending

 

0N-0169/95

 

17-Jan-1995

 

 

 

 

UNIROYAL & DEVICE

 

Botswana

 

Uniroyal Goodrich Licensing Services, Inc. (24) Uniroyal, Inc.

 

Registered

 

 

 

 

 

7441

 

09-Feb-1970

HYBASE

 

Sweden

 

Witco Chemical Corporation(25)

 

Registered

 

3713

 

26-Nov-1957

 

86321

 

16-Jan-1959

 


(24)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Uniroyal Goodrich Licensing Services, Inc.

(25)         Company has confirmed that Chemtura Corporation is the beneficial owner of all trademarks currently held by Witco Chemical Corporation.

 

231


 


 

CHEMTURA CORPORATION

PATENTS

 

Pending and Granted Patents

 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Brazil

 

Pending

 

PI0210116-5

 

31-May-2002

 

 

 

 

 

Anderol, Inc.

 

High Temperature Lubricant Composition

Canada

 

Pending

 

2449778

 

31-May-2002

 

 

 

 

 

Anderol, Inc.

 

High Temperature Lubricant Composition

China P.R.

 

Pending

 

200480016020.2

 

17-May-2004

 

 

 

 

 

Anderol, Inc.

 

Biodegradable Lubricants

European Patent Convention

 

Pending

 

02737317.4

 

31-May-2002

 

 

 

 

 

Anderol, Inc.

 

High Temperature Lubricant Composition

European Patent Convention

 

Pending

 

04752460.8

 

17-May-2004

 

 

 

 

 

Anderol, Inc.

 

Biodegradable Lubricants

Hong Kong

 

Pending

 

04103257.8

 

31-May-2002

 

 

 

 

 

Anderol, Inc.

 

High Temperature Lubricant Composition

Hong Kong

 

Pending

 

07102240.7

 

17-May-2004

 

 

 

 

 

Anderol, Inc.

 

Biodegradable Lubricants

Israel

 

Granted

 

159091

 

31-May-2002

 

159091

 

4-Sep-2007

 

Anderol, Inc.

 

High Temperature Lubricant Composition

Israel

 

Pending

 

172074

 

17-May-2004

 

 

 

 

 

Anderol, Inc.

 

Biodegradable Lubricants

Japan

 

Pending

 

2006-533152

 

17-May-2004

 

 

 

 

 

Anderol, Inc.

 

Biodegradable Lubricants

Malaysia

 

Pending

 

PI20055453

 

22-Nov-2005

 

 

 

 

 

Anderol, Inc.

 

Biodegradable Lubricants

Republic of Korea

 

Granted

 

10-20037015478

 

31-May-2002

 

0899832

 

21-May-2009

 

Anderol, Inc.

 

High Temperature Lubricant Composition

Republic of Korea

 

Pending

 

10-20057022305

 

17-May-2004

 

 

 

 

 

Anderol, Inc.

 

Biodegradable Lubricants

Singapore

 

Granted

 

200507086-7

 

17-May-2004

 

116988

 

31-Jul-2009

 

Anderol, Inc.

 

Biodegradable

 

1



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Lubricants

United States

 

Granted

 

11/464668

 

15-Aug-2006

 

7413682

 

19-Aug-2008

 

Anderol, Inc.

 

Antioxidants and Methods of Making Antioxidants

United States

 

Granted

 

11/672559

 

8-Feb-2007

 

7307049

 

11-Dec-2007

 

Anderol, Inc.

 

Antioxidants for Synthetic Lubricants and Methods and Manufacture

United States

 

Pending

 

11/923250

 

24-Oct-2007

 

 

 

 

 

Anderol, Inc.

 

Antioxidants for Synthetic Lubricants and Methods and Manufacture

United States

 

Granted

 

09/872191

 

1-Jun-2001

 

6436881

 

20-Aug-2002

 

Anderol, Inc.

 

High Temperature Lubricant Compositions

United States

 

Granted

 

10/443514

 

22-May-2003

 

7517837

 

14-Apr-2009

 

Anderol, Inc.

 

Biodegradable Lubricants

Brazil

 

Pending

 

PI9908014-1

 

8-Dec-1999

 

 

 

 

 

Basell North America  INC.

 

POLYPROPYLENE GRAFT COPOLYMERS WITH IMPROVED SCRATCH AND MAR RESISTANCE

China P.R.

 

Granted

 

99804334.6

 

8-Dec-1999

 

99804334.6

 

11-Aug-2004

 

Basell North America  INC.

 

POLYPROPYLENE GRAFT COPOLYMERS WITH IMPROVED SCRATCH AND MAR RESISTANCE

Finland

 

Granted

 

97112260.1

 

17-Jul-1997

 

0819709

 

13-Nov-2002

 

Basell North America  INC.

 

PROCESS FOR PRODUCING POLYOLEFIN GRAFTED COPOLYMERS

France

 

Granted

 

97112260.1

 

17-Jul-1997

 

0819709

 

13-Nov-2002

 

Basell North America  INC.

 

PROCESS FOR PRODUCING POLYOLEFIN GRAFTED COPOLYMERS

Germany

 

Granted

 

97112260.1

 

17-Jul-1997

 

69717017.9

 

13-Nov-2002

 

Basell North

 

PROCESS FOR

 

2



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

America  INC.

 

PRODUCING POLYOLEFIN GRAFTED COPOLYMERS

Great Britain

 

Granted

 

97112260.1

 

17-Jul-1997

 

0819709

 

13-Nov-2002

 

Basell North America  INC.

 

PROCESS FOR PRODUCING POLYOLEFIN GRAFTED COPOLYMERS

Great Britain

 

Granted

 

99973412.2

 

8-Dec-1999

 

1056807

 

26-Jan-2005

 

Basell North America  INC.

 

POLYPROPYLENE GRAFT COPOLYMERS WITH IMPROVED SCRATCH AND MAR RESISTANCE

Italy

 

Granted

 

97112260.1

 

17-Jul-1997

 

0819709

 

13-Nov-2002

 

Basell North America  INC.

 

PROCESS FOR PRODUCING POLYOLEFIN GRAFTED COPOLYMERS

Japan

 

Granted

 

07-034561

 

31-Jan-1995

 

3942203

 

13-Apr-2007

 

Basell North America  INC.

 

PROCESS FOR SEQUENTIALLY GRAFTING OLEFIN POLYMER MATERIALS AND GRAFTED POLYMERS THEREFROM

Japan

 

Pending

 

9-195571

 

22-Jul-1997

 

 

 

 

 

Basell North America  INC.

 

PROCESS FOR PRODUCING POLYOLEFIN GRAFTED COPOLYMERS

Mexico

 

Granted

 

26568

 

19-Mar-1991

 

178527

 

3-Jul-1995

 

Basell North America  INC.

 

HEAT RESISTANT PROPYLENE POLYMER COMPOSITIONS.

Mexico

 

Granted

 

9203003

 

18-Jun-1992

 

181022

 

14-Mar-1996

 

Basell North America  INC.

 

PROCESS FOR GRAFTING VINYL MONOMERS ON

 

3



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PARTICULATE OLEFIN POLYMERS.

Mexico

 

Granted

 

9505087

 

18-Jun-1992

 

194888

 

12-Jan-2000

 

Basell North America  INC.

 

PROCESS FOR GRAFTING VINYL MONOMERS ON PARTICULATE OLEFIN POLYMERS.

Mexico

 

Granted

 

2000/007976

 

8-Dec-1999

 

 213940

 

25-Apr-2003

 

Basell North America  INC.

 

POLYPROPYLENE GRAFT COPOLYMERS WITH IMPROVED SCRATCH AND MAR RESISTANCE

Republic of Korea

 

Granted

 

1997-0033792

 

19-Jul-1997

 

367194

 

23-Dec-2002

 

Basell North America  INC.

 

PROCESS AND APPARATUS FOR PRODUCING POLYOLEFIN GRAFTED COPOLYMERS

Republic of Korea

 

Granted

 

10-1992-10648

 

19-Jun-1992

 

231675

 

31-Aug-1999

 

Basell North America  INC.

 

PROCESS FOR GRAFTING VINYL MONOMERS ON PARTICULATE OLEFIN POLYMERS.

Australia

 

Granted

 

2003-243202

 

7-May-2003

 

2003243202

 

15-Jan-2009

 

Bio-Lab, Inc.

 

Catalytic Oxidation of Peroxy Salts

Australia

 

Pending

 

2004-268945

 

13-Aug-2004

 

 

 

 

 

Bio-Lab, Inc.

 

Dual Layer Tablet, Method of Making and Use Thereof

Australia

 

Granted

 

14194/92

 

30-Jan-1992

 

651186

 

22-Nov-1994

 

Bio-Lab, Inc.

 

Disinfectant for the Treatment of Water Systems

Australia

 

Granted

 

25780/92

 

3-Sep-1992

 

659678

 

3-Oct-1995

 

Bio-Lab, Inc.

 

COMPOSITIONS AND METHODS FOR CONTROLLING THE GROWTH OF

 

4



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

MICROBIALS IN AQUEOUS MEDIA

Australia

 

Granted

 

69859/98

 

12-May-1995

 

717276

 

6-Jul-2000

 

Bio-Lab, Inc.

 

Method and Compositions for Treating Recirculating Water Systems

Australia

 

Granted

 

69858/98

 

12-May-1995

 

708827

 

5-Nov-1998

 

Bio-Lab, Inc.

 

Tablet Compostions for Controlling Microbial Growth

Australia

 

Granted

 

25542/95

 

12-May-1995

 

693210

 

5-Nov-1998

 

Bio-Lab, Inc.

 

Method and Compositions for Treating Recirculating Water Systems

Australia

 

Granted

 

59383/96

 

30-May-1996

 

696499

 

24-Dec-1998

 

Bio-Lab, Inc.

 

SEQUESTERED COPPER ALGICIDES USING IONIC POLYMERIC STABILIZING AGENTS

Australia

 

Granted

 

57388/96

 

10-May-1996

 

706731

 

7-Oct-1999

 

Bio-Lab, Inc.

 

Slow-Dissolving Multi-Functional Sanitizer and Clarifier

Australia

 

Granted

 

57347/96

 

8-May-1996

 

718428

 

27-Jul-2000

 

Bio-Lab, Inc.

 

CHLOROISOCYANURIC ACID COMPOSITION HAVING REDUCED GAS EVOLUTION

Australia

 

Pending

 

2004321724

 

9-Jul-2004

 

 

 

 

 

Bio-Lab, Inc.

 

Calcium Hypochlorite Compositions

Canada

 

Granted

 

2,484,889

 

7-May-2003

 

2484889

 

15-Sep-2009

 

Bio-Lab, Inc.

 

Catalytic Oxidation of Peroxy Salts

Canada

 

Pending

 

2536200

 

13-Aug-2004

 

 

 

 

 

Bio-Lab, Inc.

 

Dual Layer Tablet, Method of Making and Use Thereof

Canada

 

Granted

 

2103715

 

30-Jan-1992

 

21037150

 

6-Jan-1998

 

Bio-Lab, Inc.

 

Disinfectant for the

 

5



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Treatment of Watetr Systems

Canada

 

Granted

 

2116454

 

3-Sep-1992

 

2116454

 

7-May-2002

 

Bio-Lab, Inc.

 

Compositions and Methods For Controlling The Growth of Microbials In Aqueous Media

Canada

 

Granted

 

2190490

 

12-May-1995

 

2190490

 

18-Jan-2000

 

Bio-Lab, Inc.

 

Method and Compositions for Treating Recirculating Water Systems

Canada

 

Pending

 

2,223,991

 

30-May-1996

 

 

 

 

 

Bio-Lab, Inc.

 

Sequestered Copper Algicides Using Ionic Polymeric Stabilizing Agents

Canada

 

Granted

 

2,221,252

 

10-May-1996

 

2,221,252

 

17-Aug-2004

 

Bio-Lab, Inc.

 

Slow-Dissolving Multi-Functional Sanitizer and Clarifier

Canada

 

Granted

 

2221154

 

8-May-1996

 

2221154

 

6-Feb-2001

 

Bio-Lab, Inc.

 

CHLOROISOCYANURIC ACID COMPOSITION HAVING REDUCED GAS EVOLUTION

Canada

 

Pending

 

2,449,656

 

4-Jun-2002

 

 

 

 

 

Bio-Lab, Inc.

 

Self Cleaning Probe System

Canada

 

Pending

 

2570980

 

9-Jul-2004

 

 

 

 

 

Bio-Lab, Inc.

 

Calcium Hypochlorite Compositions

China P.R.

 

Pending

 

200480043364.2

 

9-Jul-2004

 

 

 

 

 

Bio-Lab, Inc.

 

Calcium Hypochlorite Compositions

European Patent Convention

 

Pending

 

03750080.8

 

7-May-2003

 

 

 

 

 

Bio-Lab, Inc.

 

Catalytic Oxidation of Peroxy Salts

European Patent Convention

 

Pending

 

04781023.9

 

13-Aug-2004

 

 

 

 

 

Bio-Lab, Inc.

 

Dual Layer Tablet, Method of Making and Use Thereof

 

6



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

European Patent Convention

 

Pending

 

04777735.4

 

9-Jul-2004

 

 

 

 

 

Bio-Lab, Inc.

 

Calcium Hypochlorite Compositions

France

 

Granted

 

EP92919807.5

 

3-Sep-1992

 

0637914

 

11-Nov-1998

 

Bio-Lab, Inc.

 

Compositions and Method for Controlling the Growth of Microbials in Aqueous Media

France

 

Granted

 

95919888.8

 

12-May-1995

 

0759890

 

19-Dec-2001

 

Bio-Lab, Inc.

 

Method and Compositions for Treating Recirculating Water Systems

Germany

 

Granted

 

92919807.5

 

3-Sep-1992

 

69227595.9

 

11-Nov-1998

 

Bio-Lab, Inc.

 

COMPOSITIONS AND METHODS FOR CONTROLLING THE GROWTH OF MICROBALS IN AQUEOUS MEDIA

Great Britain

 

Granted

 

95919888.8

 

12-May-1995

 

0759890

 

19-Dec-2001

 

Bio-Lab, Inc.

 

Method and Compositions for Treating Recirculating Water Systems

Italy

 

Granted

 

92919807.5

 

3-Sep-1992

 

0637914

 

11-Nov-1998

 

Bio-Lab, Inc.

 

COMPOSITIONS AND METHODS FOR CONTROLLING THE GROWTH OF MICROBIALS IN AQUEOUS MEDIA

Italy

 

Granted

 

95919888.8

 

12-May-1995

 

0759890

 

19-Dec-2001

 

Bio-Lab, Inc.

 

Method and Compositions for Treating Recirculating Water Systems

Japan

 

Granted

 

506607/92

 

30-Jan-1992

 

3323197

 

28-Jun-2002

 

Bio-Lab, Inc.

 

Disinfectant for the Treatment of Water Systems

 

7



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Mexico

 

Granted

 

92-00563

 

10-Feb-1992

 

177237

 

15-Mar-1995

 

Bio-Lab, Inc.

 

Disinfectant for the Treatment of Water Systems

New Zealand

 

Granted

 

536388

 

7-May-2003

 

536388

 

8-Nov-2007

 

Bio-Lab, Inc.

 

Catalytic Oxidation of Peroxy Salts

New Zealand

 

Granted

 

545253

 

13-Aug-2004

 

545253

 

8-Jan-2009

 

Bio-Lab, Inc.

 

Dual Layer Tablet, Method of Making and Use Thereof

New Zealand

 

Granted

 

285971

 

12-May-1995

 

285971

 

11-May-1999

 

Bio-Lab, Inc.

 

Method and Compositions for Treating Recirculating Water Systems

New Zealand

 

Pending

 

552081

 

9-Jul-2004

 

 

 

 

 

Bio-Lab, Inc.

 

Calcium Hypochlorite Compositions

South Africa

 

Granted

 

2004/9037

 

7-May-2003

 

2004/9037

 

28-Jun-2006

 

Bio-Lab, Inc.

 

Catalytic Oxidation of Peroxy Salts

South Africa

 

Granted

 

2006/01082

 

13-Aug-2004

 

2006/01082

 

25-Apr-2007

 

Bio-Lab, Inc.

 

Dual Layer Tablet, Method of Making and Use Thereof

South Africa

 

Granted

 

92/0798

 

4-Feb-1992

 

92/0798

 

25-Nov-1992

 

Bio-Lab, Inc.

 

Disinfectant For The Treatment of Water Systems

South Africa

 

Granted

 

92/6651

 

2-Sep-1992

 

92/6651

 

26-May-1993

 

Bio-Lab, Inc.

 

COMPOSITONS AND METHODS FOR CONTROLLING THE GROWTH OF MICROBIALS IN AQUEOUS MEDIA

South Africa

 

Granted

 

95/3796

 

10-May-1995

 

95/3796

 

24-Apr-1996

 

Bio-Lab, Inc.

 

Method and Compositions for Treating Recirculating Water Systems

South Africa

 

Granted

 

96/4766

 

6-Jun-1996

 

96/4766

 

26-Mar-1997

 

Bio-Lab, Inc.

 

SEQUESTERED COPPER ALGICIDES USING IONIC POLYMERIC

 

8



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

STABILIZING AGENTS

South Africa

 

Granted

 

96/3751

 

10-May-1996

 

96/3751

 

27-Nov-1996

 

Bio-Lab, Inc.

 

CHLOROISOCYANURIC ACID COMPOSITION HAVING REDUCED GAS EVOLUTION

South Africa

 

Granted

 

2003/09692

 

4-Jun-2002

 

2003/09692

 

24-Nov-2004

 

Bio-Lab, Inc.

 

Self-Cleaning Probe System

South Africa

 

Granted

 

2007/00217

 

9-Jul-2004

 

2007/00217

 

28-May-2008

 

Bio-Lab, Inc.

 

Calcium Hypochlorite Compositions

Spain

 

Granted

 

92919807.5

 

3-Sep-1992

 

0637914

 

11-Nov-1998

 

Bio-Lab, Inc.

 

Compositions and Methof for Controlling the Growth of Microbials in Aqueous Media

United States

 

Granted

 

10/513651

 

5-Nov-2004

 

7238290

 

3-Jul-2007

 

Bio-Lab, Inc.

 

Catalytic Oxidation of Peroxy Salts

United States

 

Granted

 

10/681579

 

8-Oct-2003

 

7083717

 

1-Aug-2006

 

Bio-Lab, Inc.

 

Water Purification Apparatus

United States

 

Granted

 

10/923251

 

19-Aug-2004

 

7419589

 

2-Sep-2008

 

Bio-Lab, Inc.

 

Adaptable Water Purification Apparatus

United States

 

Granted

 

10/645310

 

21-Aug-2003

 

6,863,830

 

8-Mar-2005

 

Bio-Lab, Inc.

 

Dual Layer Tablet, Method of Making and Use Thereof

United States

 

Granted

 

10/939131

 

10-Sep-2004

 

7452122

 

18-Nov-2008

 

Bio-Lab, Inc.

 

Feeder Device

United States

 

Granted

 

08/234638

 

28-Apr-1994

 

5498415

 

12-Mar-1996

 

Bio-Lab, Inc.

 

Disinfectant for the Treatment of Water Systems

United States

 

Granted

 

07/950907

 

24-Sep-1992

 

5338461

 

16-Aug-1994

 

Bio-Lab, Inc.

 

METHOD OF DISINFECTING A WATER SYSTEM WITH A DRY OXIDIZER COMPOSITION

United

 

Granted

 

08/308282

 

19-Sep-1994

 

5514640

 

7-May-1996

 

Bio-Lab, Inc.

 

NON-

 

9



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

 

 

CRYSTALLIZING C14 QUARTERNARY AMMONIUM BIOCIDES

United States

 

Granted

 

08/355112

 

13-Dec-1994

 

5591692

 

7-Jan-1997

 

Bio-Lab, Inc.

 

Compositions and Methods for Controlling the Growth of Microbials in Aqueous Media

United States

 

Granted

 

08/695123

 

5-Aug-1996

 

5670451

 

23-Sep-1997

 

Bio-Lab, Inc.

 

Compostions and Methods for Conrtolling the Growth of Microbials in Aqueous Media

United States

 

Granted

 

08/935227

 

22-Sep-1997

 

5888939

 

30-Mar-1999

 

Bio-Lab, Inc.

 

Composition and Methods for Controlling the Growth of Microbials in Aqueous Media

United States

 

Granted

 

08/324389

 

17-Oct-1994

 

5,614,528

 

25-Mar-1997

 

Bio-Lab, Inc.

 

Compositions and Methods for Inhibiting the Formation of Chloramines and Trihalomethanes in Aqueous Media

United States

 

Granted

 

08/243,236

 

16-May-1994

 

5,478,482

 

26-Dec-1995

 

Bio-Lab, Inc.

 

Method and Compostions for Treating Recirculating Water Systems

United States

 

Granted

 

08/530643

 

20-Sep-1995

 

5,514,287

 

7-May-1996

 

Bio-Lab, Inc.

 

Method and Compositions for Treating Recirculating Water

United States

 

Granted

 

08/530639

 

20-Sep-1995

 

5670059

 

23-Sep-1997

 

Bio-Lab, Inc.

 

Method and Compositions for Treating Recirculating Water

 

10



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Systems

United States

 

Granted

 

08561934

 

22-Nov-1995

 

5851406

 

22-Dec-1998

 

Bio-Lab, Inc.

 

Process for preventing the degradation of water soluble packaging films by halogenated hydantoins or chlorinated cyanuric acid and apparatus for disinfecting a water system

United States

 

Granted

 

08/486832

 

7-Jun-1995

 

5,541,150

 

30-Jul-1996

 

Bio-Lab, Inc.

 

Sequestered Copper Algicides Using Ionic Polymeric Stabilizing Agents

United States

 

Granted

 

08/973295

 

1-Apr-1998

 

6387415

 

14-May-2002

 

Bio-Lab, Inc.

 

SEQUESTERED METAL BIOCIDES USING IONIC POLYMERIC STABILIZING AGENTS

United States

 

Granted

 

08/441384

 

15-May-1995

 

5,648,314

 

15-Jul-1997

 

Bio-Lab, Inc.

 

Slow-Dissolving Multi-Functional Sanitizer and Clarifier

United States

 

Granted

 

09/281186

 

30-Mar-1999

 

6,068,791

 

30-May-2000

 

Bio-Lab, Inc.

 

Chloroisocyanuric Acid Composition Having Reduced Gas Evolution

United States

 

Granted

 

08/441382

 

15-May-1995

 

5674429

 

7-Oct-1997

 

Bio-Lab, Inc.

 

CHLOROISOCYANURIC ACID COMPOSITION HAVING REDUCED GAS EVOLUTION

United States

 

Granted

 

08/826537

 

2-Apr-1997

 

5908580

 

1-Jun-1999

 

Bio-Lab, Inc.

 

CHLOROISOCYANURIC ACID

 

11



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COMPOSITION HAVING REDUCED GAS EVOLUTION

United States

 

Pending

 

09/016100

 

30-Jan-1998

 

 

 

 

 

Bio-Lab, Inc.

 

Method for Sanitizing Swimming Pools and Recirculating Water Systems

United States

 

Granted

 

08/683168

 

18-Jul-1996

 

5776876

 

7-Jul-1998

 

Bio-Lab, Inc.

 

Aqueous Acidic Filter Cleaning Composition for Removing Organic Biguanide Deposits

United States

 

Granted

 

08/675042

 

3-Jul-1996

 

5779914

 

14-Jul-1998

 

Bio-Lab, Inc.

 

Methods For Sanitizing Water

United States

 

Granted

 

36346

 

24-Mar-1993

 

5422126

 

6-Jun-1995

 

Bio-Lab, Inc.

 

HALOGEN COMPOSITIONS FOR WATER TREATMENT AND METHOD OF PREPARATION THEREOF

United States

 

Granted

 

08/856,874

 

15-May-1997

 

5,866,511

 

2-Feb-1999

 

Bio-Lab, Inc.

 

Stabilized Solutions of Bromonitromethane and Their Use as Biocides

United States

 

Granted

 

09/638987

 

15-Aug-2000

 

6,528,466

 

4-Mar-2003

 

Bio-Lab, Inc.

 

Solid Oxidizer with Dissolution Indicatior

United States

 

Pending

 

10/221393

 

4-Jun-2002

 

 

 

 

 

Bio-Lab, Inc.

 

Self-Cleaning Probe System

United States

 

Granted

 

324,088

 

14-Oct-1994

 

5,490,886

 

13-Feb-1996

 

Bio-Lab, Inc.

 

Methods for Quenching Metal

United States

 

Granted

 

10/872202

 

18-Jun-2004

 

7045077

 

16-May-2006

 

Bio-Lab, Inc.

 

Calcium Hypochlorite Compositions

United States

 

Granted

 

11/757722

 

4-Jun-2007

 

7364669

 

29-Apr-2008

 

Bio-Lab, Inc.

 

Method for Reducing Reactivity of Calcium

 

12



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Hypochlorite

United States

 

Granted

 

07/520104

 

4-May-1990

 

5106406

 

21-Apr-1992

 

Bio-Lab, Inc.

 

METHOD FOR DESALINATION AND REHABILITATION OF IRRIGATED SOIL

United States

 

Granted

 

09/012994

 

26-Jan-1998

 

6001772

 

14-Dec-1999

 

Bio-Lab, Inc.

 

PESTICIDE AND METHOD OF MAKING AND USING SAME

United States

 

Granted

 

08/723043

 

30-Sep-1996

 

5888428

 

30-Mar-1999

 

Biolab Services Inc.

 

METHODS FOR GENERATING RESIDUAL DISINFECTANTS DURING THE OZONIZATION OF WATER

China P.R.

 

Pending

 

200710199624.0

 

11-Dec-2007

 

 

 

 

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

Method for Producing Lubricant Detergents

China P.R.

 

Pending

 

200580040181.X

 

18-Aug-2005

 

 

 

 

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

EMULSIFIER BLENDS FOR LUBRICATING OILS

China P.R.

 

Pending

 

200580031473.7

 

22-Jun-2005

 

 

 

 

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

OVERBASED CALCIUM SALICYLATE GREASES

European Patent Convention

 

Pending

 

05792695.8

 

18-Aug-2005

 

 

 

 

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

EMULSIFIER BLENDS FOR LUBRICATING OILS

France

 

Granted

 

05766688.5

 

22-Jun-2005

 

1784411

 

12-Nov-2008

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

OVERBASED CALCIUM SALICYLATE GREASES

Germany

 

Granted

 

05766688.5

 

22-Jun-2005

 

602005011020.8

 

12-Nov-2008

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

OVERBASED CALCIUM SALICYLATE

 

13



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

GREASES

Great Britain

 

Granted

 

05766688.5

 

22-Jun-2005

 

1784411

 

12-Nov-2008

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

OVERBASED CALCIUM SALICYLATE GREASES

India

 

Pending

 

PCT2000,00208

 

22-Jan-1999

 

 

 

 

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

India

 

Pending

 

1109/MUMNP/2003

 

4-Dec-2003

 

 

 

 

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

India

 

Granted

 

1175/MUMNP/2003

 

26-Dec-2003

 

234909

 

19-Jun-2009

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

Italy

 

Granted

 

05766688.5

 

22-Jun-2005

 

1784411

 

12-Nov-2008

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

OVERBASED CALCIUM SALICYLATE GREASES

Japan

 

Pending

 

2007-543021

 

18-Aug-2005

 

 

 

 

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

EMULSIFIER BLENDS FOR LUBRICATING OILS

Japan

 

Pending

 

2007-523568

 

22-Jun-2005

 

 

 

 

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

OVERBASED CALCIUM SALICYLATE GREASES

Republic of Korea

 

Pending

 

2007-7011491

 

18-Aug-2005

 

 

 

 

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

EMULSIFIER BLENDS FOR LUBRICATING OILS

Republic of Korea

 

Pending

 

2007-7004475

 

22-Jun-2005

 

 

 

 

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

OVERBASED CALCIUM SALICYLATE GREASES

Russian Federation

 

Pending

 

2007107382

 

22-Jun-2005

 

 

 

 

 

Chemtura Corp. and Chemtura Canada Co./Cie.

 

OVERBASED CALCIUM SALICYLATE GREASES

Russian Federation

 

Granted

 

94028885

 

17-Nov-1992

 

2109730

 

27-Apr-1998

 

Chemtura Corp. and Chemtura

 

INSECTICIDAL PHENYLHYDRAZI

 

14



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Canada Co./Cie.

 

NE DERIVATIVES

A.R.I.P.O.

 

Pending

 

AWAITING

 

3-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Pesticidal Diazene Oxide Carboxylates

Argentina

 

Pending

 

P050104893

 

22-Nov-2005

 

 

 

 

 

Chemtura Corporation

 

Clear Impact Modifier, Heat Resistant Polyvinyl Halide Compositions

Argentina

 

Pending

 

P050104091

 

28-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

SULFONATED PHENOLS WITH NITROPHENOLS AS POLYMERIZATION INHIBITORS

Argentina

 

Pending

 

P050104092

 

28-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

Sulfonated Nitrophenol as Polymerization Inhibitors

Argentina

 

Pending

 

P050104960

 

28-Nov-2005

 

 

 

 

 

Chemtura Corporation

 

Aromatic Sulfonic Acids, Amines and Nitrophenols in combination With Nitroxyl Radical-Containing Compounds or C-Nitrosanilines as Polymerization Inhibitors

Argentina

 

Pending

 

P060101173

 

28-Mar-2005

 

 

 

 

 

Chemtura Corporation

 

MITICIDAL TRIAZOLIDINE DERIVATIVES

Argentina

 

Pending

 

P070102088

 

15-May-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

Argentina

 

Pending

 

P070104889

 

2-Nov-2007

 

 

 

 

 

Chemtura Corporation

 

Solid Composition for Treating Water

Argentina

 

Pending

 

P090100639

 

25-Feb-2009

 

 

 

 

 

Chemtura Corporation

 

Modular Tire Assembly

Argentina

 

Pending

 

P080104682

 

27-Oct-2008

 

 

 

 

 

Chemtura Corporation

 

Non-Pneumatic Tire

Argentina

 

Pending

 

P090100632

 

24-Feb-2009

 

 

 

 

 

Chemtura Corporation

 

Polyurethane Elastomer Articles

 

15



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

from Low Free Diphenylmethane Diisocyanate Prepolymers

Argentina

 

Pending

 

P090104197

 

30-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Multiple Hardness Non-Pneumatic Tire

Australia

 

Pending

 

2006299874

 

31-Aug-2006

 

 

 

 

 

Chemtura Corporation

 

Method for Determining Chlorine Demand in Water

Australia

 

Pending

 

2007352616

 

5-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED STORAGE STABLE ONE COMPONENT POLYURETHANE SYSTEM

Australia

 

Pending

 

2007261715

 

20-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

Australia

 

Pending

 

2007294979

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

ISOCYANATE TERMINATED POLYCAPROLACTONE POLYURETHANE PREPOLYMERS

Australia

 

Pending

 

2007318160

 

22-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Solid Composition for Treating Water

Australia

 

Granted

 

11897/2008

 

22-Apr-2008

 

320710

 

11-Aug-2008

 

Chemtura Corporation

 

TIRE

Australia

 

Granted

 

11898/2008

 

22-Apr-2008

 

320711

 

11-Aug-2008

 

Chemtura Corporation

 

TIRE

Australia

 

Pending

 

2008254388

 

3-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Pesticidal Diazene Oxide Carboxylates

Austria

 

Granted

 

03763038.1

 

27-Jun-2003

 

1539872

 

17-Jun-2009

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

Austria

 

Granted

 

03783413.2

 

10-Nov-2003

 

1562730

 

30-Jan-2008

 

Chemtura Corporation

 

METHOD AND DEVICE FOR APPLYING A THICK REACTIVE

 

16



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COATING ON A BODY ROTATING ABOUT AN AXIS

Austria

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

Austria

 

Granted

 

06738834.8

 

20-Mar-2006

 

1861458

 

30-Sep-2009

 

Chemtura Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

Austria

 

Granted

 

01959611.3

 

7-Aug-2001

 

1307465

 

19-Oct-2005

 

Chemtura Corporation

 

Direct Synthesis of Tin (II) and Carboxylates and Tin (IV)Carboxylates From Elemental Tin or Tin Oxides

Belgium

 

Granted

 

02776150.1

 

4-Oct-2002

 

1446466

 

21-Jun-2006

 

Chemtura Corporation

 

VISCOSITY GROWTH INHIBITION IN OIL ADDITIVE CONCENTRATES

Belgium

 

Granted

 

02715143.0

 

15-Mar-2002

 

1397427

 

16-Nov-2005

 

Chemtura Corporation

 

Thermoplastic Resins in Contact With Metals or Metal Salts Stabilized by Blends of Dithiocarbamates and Metal Deactivators

Belgium

 

Granted

 

02789458.3

 

6-Nov-2002

 

1453870

 

26-Aug-2009

 

Chemtura Corporation

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION, THE RESULTING POLYMERS, AND LUBRICANTS

 

17



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CONTAINING SAME

Belgium

 

Granted

 

02778837.1

 

13-Nov-2002

 

1453786

 

20-Jan-2010

 

Chemtura Corporation

 

METHOD OF PREPARING HYDROXYALKYL HINDERED PHENOLIC ANTIOXIDANTS

Belgium

 

Granted

 

03763038.1

 

27-Jun-2003

 

1539872

 

17-Jun-2009

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

Belgium

 

Granted

 

03741907.4

 

6-Jun-2003

 

1517878

 

21-Mar-2007

 

Chemtura Corporation

 

Complexes of Metal Salts of Organic Acids and B-Diketones and Methods for Producing Same

Belgium

 

Granted

 

03783413.2

 

10-Nov-2003

 

1562730

 

30-Jan-2008

 

Chemtura Corporation

 

METHOD AND DEVICE FOR APPLYING A THICK REACTIVE COATING ON A BODY ROTATING ABOUT AN AXIS

Belgium

 

Granted

 

04758880.1

 

2-Apr-2004

 

1656338

 

27-May-2009

 

Chemtura Corporation

 

DIPHENYLAMINE ALKYLATED WITH OLEFIN MIXTURES CONTAINING FRACTIONS WITH VARYING DEGREES OF ACTIVITY

Belgium

 

Granted

 

04810187.7

 

29-Oct-2004

 

1692191

 

10-Jun-2009

 

Chemtura Corporation

 

PROCESS FOR REMOVAL OF CATALYST RESIDUES FROM

 

18



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

POLY-ALPHA-OLEFINS

Belgium

 

Granted

 

05810208.8

 

26-Aug-2005

 

1794107

 

26-Nov-2008

 

Chemtura Corporation

 

Sulfonated Nitrophenol as Polymerization Inhibitors

Belgium

 

Granted

 

00942338.5

 

24-Jul-2000

 

1127083

 

12-Sep-2007

 

Chemtura Corporation

 

POLYOLEFIN GRAFT COPOLYMERS MADE WITH FLUORINATED MONOMERS

Belgium

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

Belgium

 

Granted

 

01961955.0

 

8-Aug-2001

 

1309633

 

13-Jun-2007

 

Chemtura Corporation

 

Process for Producing Liquid Polyalphaolefin Polymer, Metallocene Catalyst Therefor, the Resulting Polymer and Lubricant

Belgium

 

Granted

 

00973742.0

 

20-Oct-2000

 

1228172

 

31-May-2006

 

Chemtura Corporation

 

SUBSTITUTED LINEAR THIOUREA ADDITIVES FOR LUBRICANTS

Belgium

 

Granted

 

06738834.8

 

20-Mar-2006

 

1861458

 

30-Sep-2009

 

Chemtura Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

Belgium

 

Granted

 

99939198.0

 

25-Feb-1999

 

1086195

 

9-Jun-2004

 

Chemtura Corporation

 

MARINE CYLINDER OILS CONTAINING HIGH VISCOSITY

 

19



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

DETERGENTS

Bolivia

 

Pending

 

SP-055-09

 

20-Feb-2009

 

 

 

 

 

Chemtura Corporation

 

Modular Tire Assembly

Bolivia

 

Pending

 

SP-0326-08

 

27-Oct-2008

 

 

 

 

 

Chemtura Corporation

 

Non-Pneumatic Tire

Bolivia

 

Pending

 

SP-054-09

 

20-Feb-2009

 

 

 

 

 

Chemtura Corporation

 

Polyurethane Elastomer Articles from Low Free Diphenylmethane Diisocyanate Prepolymers

Bolivia

 

Pending

 

awaiting

 

6-Nov-2009

 

 

 

 

 

Chemtura Corporation

 

Multiple Hardness Non-Pneumatic Tire

Brazil

 

Pending

 

PI0318510-9

 

16-Dec-2003

 

 

 

 

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

Brazil

 

Pending

 

PI0413227-0

 

11-Aug-2004

 

 

 

 

 

Chemtura Corporation

 

Stabilization System for Halogen-Containing Polymers

Brazil

 

Pending

 

PI0606801-4

 

31-Jan-2006

 

 

 

 

 

Chemtura Corporation

 

MEANS FOR CONTROLLING THE EXOTHERMIC REACTION OF STYRENIC MONOMERS WITH SULFONIC ACIDS

Brazil

 

Pending

 

PI0515540-1

 

20-Jul-2005

 

 

 

 

 

Chemtura Corporation

 

Sulfonated Phenols with Nitrophenols as Polymerization Inhibitors

Brazil

 

Pending

 

PI0516196-7

 

26-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

SULFONATED NITROPHENOL AS POLYMERIZATION INHIBITORS

Brazil

 

Pending

 

PI0518906-3

 

26-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

Aromatic Sulfonic Acids, Amines and Nitrophenols in

 

20



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

combination With Nitroxyl Radical-Containing Compounds or C-Nitrosanilines as Polymerization Inhibitors

Brazil

 

Pending

 

PI0610478-9

 

28-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

Alkyltin Sulfanyl Mercaptocarboxylates Having Terminal Thiol Groups

Brazil

 

Pending

 

PI0608905-4

 

28-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

STABILIZER BLEND FOR IMPROVED CHLORINE RESISTANCE

Brazil

 

Pending

 

PI0611937-9

 

24-May-2006

 

 

 

 

 

Chemtura Corporation

 

Ortho-Nitrosophenols as Polymerization Inhibitors

Brazil

 

Pending

 

PI0708631-8

 

5-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED STORAGE STABLE ONE COMPONENT POLYURETHANE SYSTEM

Brazil

 

Pending

 

PI0713411-8

 

7-May-2007

 

 

 

 

 

Chemtura Corporation

 

ANTIOXIDANT ADDITIVE FOR BIODIESEL FUELS

Brazil

 

Pending

 

PI0713256-5

 

20-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

Brazil

 

Pending

 

PI0719933-3

 

15-Nov-2007

 

 

 

 

 

Chemtura Corporation

 

Peroxide Reduction in Functionalized Vegetable Oils

Brazil

 

Pending

 

PI0717966-9

 

22-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Solid Composition for Treating Water

Brazil

 

Pending

 

DI6801487-2

 

22-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Configuration Applied To Tire

Brazil

 

Pending

 

PCT/US2008/071862

 

1-Aug-2008

 

 

 

 

 

Chemtura Corporation

 

Rubber Compositions

Canada

 

Granted

 

2424580

 

11-Oct-2001

 

2424580

 

15-Dec-2009

 

Chemtura Corporation

 

C-NITROSOANILINE

 

21



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Canada

 

Pending

 

2530167

 

13-Jul-2004

 

 

 

 

 

Chemtura Corporation

 

RADIATION-CURABLE POLYURETHANE

Canada

 

Pending

 

2593400

 

31-Jan-2006

 

 

 

 

 

Chemtura Corporation

 

MEANS FOR CONTROLLING THE EXOTHERMIC REACTION OF STYRENIC MONOMERS WITH SULFONIC ACIDS

Canada

 

Pending

 

2581526

 

20-Jul-2005

 

 

 

 

 

Chemtura Corporation

 

Sulfonated Phenols with Nitrophenols as Polymerization Inhibitors

Canada

 

Pending

 

2581573

 

26-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

SULFONATED NITROPHENOL AS POLYMERIZATION INHIBITORS

Canada

 

Pending

 

2589038

 

26-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

Aromatic Sulfonic Acids, Amines and Nitrophenols in combination With Nitroxyl Radical-Containing Compounds or C-Nitrosanilines as Polymerization Inhibitors

Canada

 

Pending

 

2606309

 

28-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

ALKYLTIN SULFANYL MERCAPTOCARBOXYLATES HAVING TERMINAL THIOL GROUPS

Canada

 

Pending

 

2606037

 

28-Apr-2006

 

 

 

 

 

Chemtura

 

STABILIZER

 

22



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

BLEND FOR IMPROVED CHLORINE RESISTANCE

Canada

 

Pending

 

2607967

 

24-May-2006

 

 

 

 

 

Chemtura Corporation

 

Ortho-Nitrosophenols as Polymerization Inhibitors

Canada

 

Pending

 

2610869

 

25-Jul-2006

 

 

 

 

 

Chemtura Corporation

 

CELLULOSIC-THERMOPLASTIC COMPOSITE AND METHOD OF MAKING THE SAME

Canada

 

Pending

 

2643440

 

2-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

COUPLING AGENTS FOR NATURAL FIBER-FILLED POLYOLEFINS

Canada

 

Pending

 

2646027

 

5-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED STORAGE STABLE ONE COMPONENT POLYURETHANE SYSTEM

Canada

 

Pending

 

2643486

 

12-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

Canada

 

Pending

 

2653174

 

23-May-2007

 

 

 

 

 

Chemtura Corporation

 

FUNCTIONAL POLYOLEFINS USEFUL AS METAL ADHESION PROMOTERS

Canada

 

Pending

 

2654157

 

20-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

Canada

 

Pending

 

2664164

 

24-Sep-2007

 

 

 

 

 

Chemtura Corporation

 

FLAME RESISTANCE NATURAL FIBER-FILLED

 

23



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

THERMOPLASTICS WITH IMPROVED PROPERTIES.

Canada

 

Pending

 

2662361

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

ISOCYANATE TERMINATED POLYCAPROLACTONE POLYURETHANE PREPOLYMERS

Canada

 

Pending

 

2669172

 

15-Nov-2007

 

 

 

 

 

Chemtura Corporation

 

Peroxide Reduction in Functionalized Vegetable Oils

Canada

 

Pending

 

2667138

 

22-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Solid Composition for Treating Water

Canada

 

Granted

 

125723

 

23-Apr-2008

 

125723

 

8-Dec-2008

 

Chemtura Corporation

 

TIRE

Canada

 

Pending

 

2677776

 

14-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Stabilization of Polymers with Styrenated-P-Cresols

Canada

 

Pending

 

2684944

 

3-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Pesticidal Diazene Oxide Carboxylates

Canada

 

Granted

 

2392045

 

1-Nov-2000

 

2392045

 

4-Aug-2009

 

Chemtura Corporation

 

HIGH PERFORMANCE POLYURETHANE ELASTOMERS FROM MDI PREPOLYMERS WITH REDUCED CONTENT OF FREE MDI MONOMER

Chile

 

Pending

 

655-2006

 

23-Mar-2006

 

 

 

 

 

Chemtura Corporation

 

MITICIDAL TRIAZOLIDINE DERIVATIVES

Chile

 

Pending

 

3134-2007

 

30-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Solid Composition for Treating Water

Chile

 

Pending

 

1151-2008

 

22-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

TIRE

Chile

 

Pending

 

1152-2008

 

22-Apr-2008

 

 

 

 

 

Chemtura

 

TIRE

 

24



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

 

Chile

 

Pending

 

414-2009

 

24-Feb-2009

 

 

 

 

 

Chemtura Corporation

 

Modular Tire Assembly

Chile

 

Pending

 

31932008

 

27-Oct-2008

 

 

 

 

 

Chemtura Corporation

 

Non-Pneumatic Tire

Chile

 

Pending

 

413-2009

 

24-Feb-2009

 

 

 

 

 

Chemtura Corporation

 

Polyurethane Elastomer Articles from Low Free Diphenylmethane Diisocyanate Prepolymers

China P.R.

 

Granted

 

200380110464.8

 

16-Dec-2003

 

ZL200380110464.8

 

25-Sep-2009

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

China P.R.

 

Granted

 

200480037008.X

 

29-Oct-2004

 

ZL200480037008.X

 

13-Aug-2008

 

Chemtura Corporation

 

Liquid Microemulsion Stabilizer Composition for Halogen-Containing Polymers

China P.R.

 

Pending

 

200580003510.3

 

19-Jan-2005

 

 

 

 

 

Chemtura Corporation

 

Detergent/Anti-Oxidant Additives for Fuels and Lubricants

China P.R.

 

Granted

 

200580011232.6

 

8-Apr-2005

 

ZL200580011232.6

 

27-Nov-2009

 

Chemtura Corporation

 

Ketone Diarylamine Condensates

China P.R.

 

Granted

 

200480011804.6

 

2-Apr-2004

 

ZL200480011804.6

 

5-Nov-2008

 

Chemtura Corporation

 

DIPHENYLAMINE ALKYLATED WITH OLEFIN MIXTURES CONTAINING FRACTIONS WITH VARYING DEREES OF ACTIVITY

China P.R.

 

Pending

 

200580018573.6

 

8-Apr-2005

 

 

 

 

 

Chemtura Corporation

 

METHOD FOR THE PREPARATION OF A HYDROXYALKYL

 

25



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

HINDERED PHENOLIC ANTIOXIDANT

China P.R.

 

Granted

 

200480027922.6

 

11-Aug-2004

 

200480027922.6

 

5-Aug-2009

 

Chemtura Corporation

 

Stabilization System for Halogen-Containing Polymers

China P.R.

 

Pending

 

200480021475.3

 

13-Jul-2004

 

 

 

 

 

Chemtura Corporation

 

RADIATION-CURABLE POLYURETHANE

China P.R.

 

Pending

 

200480026949.3

 

4-Aug-2004

 

 

 

 

 

Chemtura Corporation

 

Reaction Products of Mercaptobenzothiazoles, Mercaptothiazolines, and Mercaptobenzimidazoles with Epoxides as Lubricant Additives

China P.R.

 

Granted

 

200480036511.3

 

1-Nov-2004

 

ZL200480036511.3

 

29-Jul-2009

 

Chemtura Corporation

 

Method of Making Hydroxyalkyl Amide Containing Reduced Level of Unreacted Alkanolamine

China P.R.

 

Granted

 

200480037863.0

 

29-Oct-2004

 

ZL200480037863.0

 

21-Jan-2009

 

Chemtura Corporation

 

PROCESS FOR REMOVAL OF CATALYST RESIDUES FROM POLY-ALPHA-OLEFINS

China P.R.

 

Granted

 

200480038161.4

 

1-Nov-2004

 

ZL200480038161.4

 

4-Feb-2009

 

Chemtura Corporation

 

Method of Purifying Hydroxyalkyl Amide

China P.R.

 

Granted

 

200580007294.X

 

19-Jan-2005

 

200580007294.X

 

5-Aug-2009

 

Chemtura Corporation

 

LUBRICANT COMPOSITIONS COMPRISING AN ANTIOXIDANT BLEND

China P.R.

 

Granted

 

200480036699.1

 

15-Nov-2004

 

ZL200480036699.1

 

29-Apr-2009

 

Chemtura Corporation

 

LOW SEDIMENT FRICTION MODIFIERS

China P.R.

 

Pending

 

200580012765.6

 

9-Mar-2005

 

 

 

 

 

Chemtura Corporation

 

LUBRICANT AND FUEL

 

26



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COMPOSITIONS CONTAINING HYDROXY POLYCARBOXYLIC ACID ESTERS

China P.R.

 

Pending

 

200580010221.6

 

7-Mar-2005

 

 

 

 

 

Chemtura Corporation

 

Dithiocarbamate Derivatives Useful as Lubricant and Fuel Additives

China P.R.

 

Pending

 

200580026813.7

 

19-May-2005

 

 

 

 

 

Chemtura Corporation

 

FUEL AND LUBRICANT ADDITIVE CONTAINING ALKYL HYDROXY CARBOXYLIC ACID BORON ESTERS

China P.R.

 

Pending

 

200510003458.3

 

22-Nov-2005

 

 

 

 

 

Chemtura Corporation

 

CLEAR IMPACT MODIFIER, HEAT RESISTANT POLYVINYL HALIDE COMPOSITIONS

China P.R.

 

Pending

 

200580041260.2

 

1-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

1,3-DITHIOLANE-2-THIONE ADDITIVES FOR LUBRICANTS AND FUELS

China P.R.

 

Pending

 

200680006953.2

 

1-Mar-2006

 

 

 

 

 

Chemtura Corporation

 

Method for Improving the Oxidative Stability of Industrial Fluids

China P.R.

 

Pending

 

200680004029.0

 

31-Jan-2006

 

 

 

 

 

Chemtura Corporation

 

MEANS FOR CONTROLLING THE EXOTHERMIC REACTION OF STYRENIC MONOMERS WITH SULFONIC ACIDS

China P.R.

 

Pending

 

200580040086.X

 

18-Aug-2005

 

 

 

 

 

Chemtura

 

STABILIZED

 

27



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

LUBRICANT COMPOSITIONS

China P.R.

 

Pending

 

200580042017.2

 

24-Oct-2005

 

 

 

 

 

Chemtura Corporation

 

LUBRICANT COMPOSITIONS STABILIZED WITH MULTIPLE ANTIOXIDANTS

China P.R.

 

Pending

 

200580035501.2

 

20-Jul-2005

 

 

 

 

 

Chemtura Corporation

 

Sulfonated Phenols with Nitrophenols as Polymerization Inhibitors

China P.R.

 

Granted

 

200580032750.6

 

26-Aug-2005

 

ZL200580032750.6

 

2-Dec-2009

 

Chemtura Corporation

 

SULFONATED NITROPHENOL AS POLYMERIZATION INHIBITORS

China P.R.

 

Pending

 

200580046813.3

 

26-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

Aromatic Sulfonic Acids, Amines and Nitrophenols in combination With Nitroxyl Radical-Containing Compounds or C-Nitrosanilines as Polymerization Inhibitors

China P.R.

 

Pending

 

200580037323.7

 

30-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

EPOXIDIZED ESTER ADDITIVES FOR REDUCING LEAD CORROSION IN LUBRICANTS AND FUELS

China P.R.

 

Pending

 

200580040116.7

 

16-Nov-2005

 

 

 

 

 

Chemtura Corporation

 

DITHIOCARBAMYL B-HYDROXY FATTY ACID ESTERS AS ADDITIVES FOR LUBRICANTS AND FUELS

China P.R.

 

Pending

 

200680015227.7

 

28-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

ALKYLTIN SULFANYL

 

28



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

MERCAPTOCARBOXYLATES HAVING TERMINAL THIOL GROUPS

China P.R.

 

Pending

 

200680010406.1

 

4-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

METHOD OF IMPROVING PROPERTIES OF HYDROFORMING FLUIDS USING OVERBASED SULFONATE

China P.R.

 

Pending

 

200680017408.3

 

28-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

STABILIZER BLEND FOR IMPROVED CHLORINE RESISTANCE

China P.R.

 

Pending

 

200680019835.5

 

24-May-2006

 

 

 

 

 

Chemtura Corporation

 

Ortho-Nitrosophenols as Polymerization Inhibitors

China P.R.

 

Pending

 

200680023296.2

 

25-Jul-2006

 

 

 

 

 

Chemtura Corporation

 

CELLULOSIC-THERMOPLASTIC COMPOSITE AND METHOD OF MAKING THE SAME

China P.R.

 

Pending

 

200680037760.3

 

10-Oct-2006

 

 

 

 

 

Chemtura Corporation

 

DIAROMATIC AMINES

China P.R.

 

Pending

 

200680044345.0

 

20-Nov-2006

 

 

 

 

 

Chemtura Corporation

 

Lubricating Oil Compositions

China P.R.

 

Pending

 

200680052103.6

 

1-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

Alkylation of N’-phenyl-N-alkylphenylenediamines in ionic liquid, N’-phenyl-N-alkyl (alkylphenylene) diamines produced thereby, and lubricant compositions containing same

 

29



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

China P.R.

 

Pending

 

200680052083.2

 

1-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

ALKYLATION OF A DIPHENYLAMINE COMPOUND IN IONIC LIQUID

China P.R.

 

Pending

 

200680052093.6

 

1-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

RING ALKYLATION OF ANILINE OR AN ANILINE DERIVATIVE USING IONIC LIQUID CATALYSTS

China P.R.

 

Pending

 

200680053087.2

 

12-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

DIAROMATIC AMINE DERIVATIVES AS ANTIOXIDANTS

China P.R.

 

Pending

 

200680053570.0

 

15-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

LUBRICATING OIL AND FUEL COMPOSITIONS

China P.R.

 

Pending

 

200780002962.9

 

16-Jan-2007

 

 

 

 

 

Chemtura Corporation

 

DIRECT ALKYLATION OF N-ALKYL-N’-PHENYL-p-PHENYLENEDIAMINE

China P.R.

 

Pending

 

200780007491.0

 

2-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

COUPLING AGENTS FOR NATURAL FIBER-FILLED POLYOLEFINS

China P.R.

 

Pending

 

200780008040.9

 

5-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED STORAGE STABLE ONE COMPONENT POLYURETHANE SYSTEM

China P.R.

 

Pending

 

200780008999.2

 

12-Mar-2007

 

 

 

 

 

Chemtura

 

IMPROVED

 

30


 


 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

China P.R.

 

Pending

 

200780009941.X

 

21-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

FLAME RETARDANT BLENDS FOR FLEXIBLE POLYURETHANE FOAM

China P.R.

 

Pending

 

200780019254.6

 

23-May-2007

 

 

 

 

 

Chemtura Corporation

 

FUNCTIONAL POLYOLEFINS USEFUL AS METAL ADHESION PROMOTERS

China P.R.

 

Pending

 

200780025650.X

 

7-May-2007

 

 

 

 

 

Chemtura Corporation

 

ANTIOXIDANT ADDITIVE FOR BIODIESEL FUELS

China P.R.

 

Pending

 

200780022904.2

 

20-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

China P.R.

 

Pending

 

200780031021.8

 

20-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

BROMINATED FLAME RETARDANT

China P.R.

 

Pending

 

200780015047.3

 

23-Feb-2007

 

 

 

 

 

Chemtura Corporation

 

STABILIZING COMPOSITIONS FOR LUBRICANTS

China P.R.

 

Pending

 

200780035337.4

 

24-Sep-2007

 

 

 

 

 

Chemtura Corporation

 

FLAME RESISTANCE NATURAL FIBER-FILLED THERMOPLASTICS WITH IMPROVED PROPERTIES.

China P.R.

 

Pending

 

200780033238.2

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

Process for Removal of Residual Catalyst Components

China P.R.

 

Pending

 

200780033807.3

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

Isocyanate Terminated

 

31



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Polycaprolactone Polyurethane Prepolymers

China P.R.

 

Pending

 

200780039696.7

 

6-Sep-2007

 

 

 

 

 

Chemtura Corporation

 

SOLUBLE OIL CONTAINING OVERBASED SULFONATE ADDITIVES

China P.R.

 

Pending

 

200780045011.X

 

15-Nov-2007

 

 

 

 

 

Chemtura Corporation

 

Peroxide Reduction in Functionalized Vegetable Oils

China P.R.

 

Pending

 

200780040561.2

 

22-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Solid Composition for Treating Water

China P.R.

 

Granted

 

200830122385.4

 

22-Apr-2008

 

200830122385.4

 

11-Nov-2009

 

Chemtura Corporation

 

TIRE

China P.R.

 

Granted

 

200830122386.9

 

22-Apr-2008

 

ZL200830122386.9

 

24-Jun-2009

 

Chemtura Corporation

 

TIRE

China P.R.

 

Pending

 

200780052069.7

 

6-Dec-2007

 

 

 

 

 

Chemtura Corporation

 

New Flame Retardants for Use in Styrenics Forms

China P.R.

 

Pending

 

200880003611.4

 

14-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Stabilization of Polymers with Styrenated-P-Cresols

China P.R.

 

Pending

 

200880007451.0

 

25-Jan-2008

 

 

 

 

 

Chemtura Corporation

 

FLAME RETARDANT COMPOSITION FOR USE IN STYRENICS

China P.R.

 

Pending

 

PCT/US2008/061097

 

22-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Halogenated Polymer Compositions

China P.R.

 

Pending

 

200880010746.3

 

25-Mar-2008

 

 

 

 

 

Chemtura Corporation

 

STARCH-POLYOLEFIN COMPOSITES WITH IMPROVED PERFORMANCE

China P.R.

 

Pending

 

200880021147.1

 

3-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Pesticidal Diazene Oxide Carboxylates

China P.R.

 

Pending

 

200880021556.1

 

25-Jun-2008

 

 

 

 

 

Chemtura Corporation

 

Lubricant Compositions

 

32



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Stabilized with Styrenated Phenolic Antioxidant

China P.R.

 

Pending

 

PCT/US2008/069320

 

7-Jul-2008

 

 

 

 

 

Chemtura Corporation

 

Liquid Styrenated Phenolic Compositions and Processes for Forming Same

China P.R.

 

Pending

 

PCT/US2008/071862

 

1-Aug-2008

 

 

 

 

 

Chemtura Corporation

 

Rubber Compositions

China P.R.

 

Pending

 

200780030182.5

 

10-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

Antioxidants and Methods of Making Antioxidants

China P.R.

 

Pending

 

200780048393.1

 

25-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Antioxidants for Synthetic Lubricants and Methods and Manufacture

China P.R.

 

Pending

 

02810847.7

 

31-May-2002

 

 

 

 

 

Chemtura Corporation

 

High Temperature Lubricant Composition

China P.R.

 

Pending

 

200580036583.2

 

30-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

Improved Polymers of Bromostyrenes Having Controlled Molecular Weight

China P.R.

 

Pending

 

200580045533.0

 

1-Dec-2005

 

 

 

 

 

Chemtura Corporation

 

NON-SCORCH FLAME RETARDED POLYURETHANE FOAM

Czech Republic

 

Granted

 

06738834.8

 

20-Mar-2006

 

1861458

 

30-Sep-2009

 

Chemtura Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

Denmark

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC

 

33



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COMPOSITE

Denmark

 

Granted

 

06738834.8

 

20-Mar-2006

 

1861458

 

30-Sep-2009

 

Chemtura Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

Denmark

 

Granted

 

99939198.0

 

25-Feb-1999

 

1086195

 

9-Jun-2004

 

Chemtura Corporation

 

MARINE CYLINDER OILS CONTAINING HIGH VISCOSITY DETERGENTS

Eurasian Patent Convention

 

Pending

 

200702647

 

25-Jul-2006

 

 

 

 

 

Chemtura Corporation

 

Cellulosic-Thermoplastic Composite and Method of Making the Same

Eurasian Patent Convention

 

Pending

 

200801063

 

10-Oct-2006

 

 

 

 

 

Chemtura Corporation

 

DIAROMATIC AMINES

Eurasian Patent Convention

 

Pending

 

PCT/US2008/061097

 

22-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Halogenated Polymer Compositions

European Community Design

 

Granted

 

000921564-0001

 

22-Apr-2008

 

000921564-0001

 

22-Apr-2008

 

Chemtura Corporation

 

TIRE

European Community Design

 

Granted

 

000921564-0002

 

22-Apr-2008

 

000921564-0002

 

22-Apr-2008

 

Chemtura Corporation

 

TIRE

European Patent Convention

 

Pending

 

01933234.5

 

8-May-2001

 

 

 

 

 

Chemtura Corporation

 

NANOSIZED PARTICLES OF MOLYBDENUM AND DERIVATIVES AND USES THEREOF

European Patent Convention

 

Pending

 

02721338.8

 

8-Mar-2002

 

 

 

 

 

Chemtura Corporation

 

HIGH FRICTION POLYURETHANE ELASTOMERS HAVING IMPROVED

 

34



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ABRASION RESISTANCE

European Patent Convention

 

Pending

 

01970900.5

 

14-Sep-2001

 

 

 

 

 

Chemtura Corporation

 

MULTIFUNCTIONAL VISCOSITY INDEX IMPROVER AND DISPERSANT

European Patent Convention

 

Pending

 

02776488.5

 

30-Apr-2002

 

 

 

 

 

Chemtura Corporation

 

THIADIAZOLIDINE ADDITIVES FOR LUBRICANTS

European Patent Convention

 

Pending

 

03818917.1

 

16-Dec-2003

 

 

 

 

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

European Patent Convention

 

Pending

 

03700673.1

 

2-Jan-2003

 

 

 

 

 

Chemtura Corporation

 

Stability Improvement of Carbon Monoxide Ethylene Copolymer in PVC Compound

European Patent Convention

 

Pending

 

03710774.5

 

29-Jan-2003

 

 

 

 

 

Chemtura Corporation

 

NITROSOPHENOLS AND C-NITROSOANILINES AS POLYMERIZATION INHIBITORS

European Patent Convention

 

Pending

 

03757263.3

 

15-May-2003

 

 

 

 

 

Chemtura Corporation

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION

European Patent Convention

 

Pending

 

03746736.2

 

31-Mar-2003

 

 

 

 

 

Chemtura Corporation

 

SEMIFLEXIBLE AND FLEXIBLE POLYURETHANE FOAMS HAVING LOW FOGGING CHARACTERISTICS AND IMPROVED PHYSICAL PROPERTIES

 

35



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

European Patent Convention

 

Pending

 

03721570.4

 

8-Apr-2003

 

 

 

 

 

Chemtura Corporation

 

POLYURETHANE ELASTOMERS FROM HDI PREPOLYMERS WITH REDUCED CONTENT OF FREE HDI MONOMERS

European Patent Convention

 

Pending

 

03738916.0

 

15-May-2003

 

 

 

 

 

Chemtura Corporation

 

Polyurethane Dispersions

European Patent Convention

 

Pending

 

04753196.7

 

25-May-2004

 

 

 

 

 

Chemtura Corporation

 

FUNGICIDAL PHENOXYPHENYLHYDRAZINE DERIVATIVES

European Patent Convention

 

Pending

 

05712524.7

 

19-Jan-2005

 

 

 

 

 

Chemtura Corporation

 

Detergent/Anti-Oxidant Additives for Fuels and Lubricants

European Patent Convention

 

Pending

 

05778047.0

 

8-Apr-2005

 

 

 

 

 

Chemtura Corporation

 

KETONE DIARYLAMINE CONDENSATES

European Patent Convention

 

Pending

 

04757145.0

 

20-Jul-2004

 

 

 

 

 

Chemtura Corporation

 

POLYSILOXANE ADDITIVES FOR LUBRICANTS AND FUELS

European Patent Convention

 

Pending

 

04795559.6

 

13-Oct-2004

 

 

 

 

 

Chemtura Corporation

 

RUBBER COMPOSITIONS AND METHODS FOR DECREASING THE TANGENT DELTA VALUE AND ABRASION INDEX

European Patent Convention

 

Pending

 

05733844.4

 

8-Apr-2005

 

 

 

 

 

Chemtura Corporation

 

METHOD FOR THE PREPARATION OF A HYDROXYALKYL HINDERED PHENOLIC ANTIOXIDANT

 

36



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

European Patent Convention

 

Pending

 

04780955.3

 

11-Aug-2004

 

 

 

 

 

Chemtura Corporation

 

Stabilization System for Halogen-Containing Polymers

European Patent Convention

 

Pending

 

04754758.3

 

8-Jun-2004

 

 

 

 

 

Chemtura Corporation

 

Sodium Petroleum Sulfonate blends as Emulsifiers for Petroleum Oil

European Patent Convention

 

Pending

 

04779947.3

 

4-Aug-2004

 

 

 

 

 

Chemtura Corporation

 

Reaction Products of Mercaptobenzothiazoles, Mercaptothiazolines, and Mercaptobenzimidazoles with Epoxides as Lubricant Additives

European Patent Convention

 

Pending

 

04800638.1

 

1-Nov-2004

 

 

 

 

 

Chemtura Corporation

 

Method of Making Hydroxyalkyl Amide Containing Reduced Level of Unreacted Alkanolamine

European Patent Convention

 

Pending

 

04810244.6

 

1-Nov-2004

 

 

 

 

 

Chemtura Corporation

 

Method of Purifying Hydroxyalkyl Amide

European Patent Convention

 

Pending

 

05712048.7

 

19-Jan-2005

 

 

 

 

 

Chemtura Corporation

 

LUBRICANT COMPOSITIONS COMPRISING AN ANTIOXIDANT BLEND

European Patent Convention

 

Pending

 

04811353.4

 

15-Nov-2004

 

 

 

 

 

Chemtura Corporation

 

LOW SEDIMENT FRICTION MODIFIERS

European Patent Convention

 

Pending

 

05728350.9

 

9-Mar-2005

 

 

 

 

 

Chemtura Corporation

 

LUBRICANT AND FUEL COMPOSITIONS CONTAINING HYDROXY POLYCARBOXYLIC ACID ESTERS

European Patent

 

Pending

 

05758064.9

 

19-May-2005

 

 

 

 

 

Chemtura Corporation

 

FUEL AND LUBRICANT

 

37



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Convention

 

 

 

 

 

 

 

 

 

 

 

 

 

ADDITIVE CONTAINING ALKYL HYDROXY CARBOXYLIC ACID BORON ESTERS

European Patent Convention

 

Pending

 

05795591.6

 

1-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

1,3-DITHIOLANE-2-THIONE ADDITIVES FOR LUBRICANTS AND FUELS

European Patent Convention

 

Pending

 

06736719.3

 

1-Mar-2006

 

 

 

 

 

Chemtura Corporation

 

Method for Improving the Oxidative Stability of Industrial Fluids

European Patent Convention

 

Pending

 

06734143.8

 

31-Jan-2006

 

 

 

 

 

Chemtura Corporation

 

MEANS FOR CONTROLLING THE EXOTHERMIC REACTION OF STYRENIC MONOMERS WITH SULFONIC ACIDS

European Patent Convention

 

Pending

 

05790285.0

 

18-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

STABILIZED LUBRICANT COMPOSITIONS

European Patent Convention

 

Pending

 

05804958.6

 

24-Oct-2005

 

 

 

 

 

Chemtura Corporation

 

LUBRICANT COMPOSITIONS STABILIZED WITH MULTIPLE ANTIOXIDANTS

European Patent Convention

 

Pending

 

05777468.9

 

20-Jul-2005

 

 

 

 

 

Chemtura Corporation

 

Sulfonated Phenols with Nitrophenols as Polymerization Inhibitors

European Patent Convention

 

Pending

 

05809940.9

 

26-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

Aromatic Sulfonic Acids, Amines and Nitrophenols in combination With Nitroxyl Radical-Containing

 

38



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Compounds or C-Nitrosanilines as Polymerization Inhibitors

European Patent Convention

 

Pending

 

05815628.2

 

30-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

EPOXIDIZED ESTER ADDITIVES FOR REDUCING LEAD CORROSION IN LUBRICANTS AND FUELS

European Patent Convention

 

Pending

 

05825100.0

 

16-Nov-2005

 

 

 

 

 

Chemtura Corporation

 

DITHIOCARBAMYL B-HYDROXY FATTY ACID ESTERS AS ADDITIVES FOR LUBRICANTS AND FUELS

European Patent Convention

 

Pending

 

06749472.4

 

4-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

METHOD OF IMPROVING PROPERTIES OF HYDROFORMING FLUIDS USING OVERBASED SULFONATE

European Patent Convention

 

Pending

 

06758678.4

 

28-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

STABILIZER BLEND FOR IMPROVED CHLORINE RESISTANCE

European Patent Convention

 

Pending

 

06771199.4

 

24-May-2006

 

 

 

 

 

Chemtura Corporation

 

Ortho-Nitrosophenols as Polymerization Inhibitors

European Patent Convention

 

Pending

 

06800419.1

 

25-Jul-2006

 

 

 

 

 

Chemtura Corporation

 

Cellulosic-Thermoplastic Composite and Method of Making the Same

European Patent Convention

 

Pending

 

06836291.2

 

10-Oct-2006

 

 

 

 

 

Chemtura Corporation

 

DIAROMATIC AMINES

 

39



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

European Patent Convention

 

Pending

 

03741898.5

 

10-Jun-2003

 

 

 

 

 

Chemtura Corporation

 

PROCESS FOR THE PREPARATION OF ACID ESTERS

European Patent Convention

 

Pending

 

04701458.4

 

12-Jan-2004

 

 

 

 

 

Chemtura Corporation

 

IMPROVED PROCESS FOR STABILIZATION OF POLYOLEFIN COMPOSITIONS

European Patent Convention

 

Pending

 

06844462.9

 

20-Nov-2006

 

 

 

 

 

Chemtura Corporation

 

LUBRICATING OIL COMPOSITIONS

European Patent Convention

 

Pending

 

06844821.6

 

1-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

Alkylation of N’-phenyl-N-alkylphenylenediamines in ionic liquid, N’-phenyl-N-alkyl (alkylphenylene) diamines produced thereby, and lubricant compositions containing same

 

 

European Patent Convention

 

Pending

 

06844728.3

 

1-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

ALKYLATION OF A DIPHENYLAMINE COMPOUND IN IONIC LIQUID

European Patent Convention

 

Pending

 

06844727.5

 

1-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

RING ALKYLATION OF ANILINE OR AN ANILINE DERIVATIVE USING IONIC LIQUID CATALYSTS

European Patent Convention

 

Pending

 

06845314.1

 

12-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

DIAROMATIC AMINE DERIVATIVES AS

 

40


 


 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ANTIOXIDANTS

European Patent Convention

 

Pending

 

06845669.8

 

15-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

LUBRICATING OIL AND FUEL COMPOSITIONS

European Patent Convention

 

Pending

 

07716681.7

 

16-Jan-2007

 

 

 

 

 

Chemtura Corporation

 

DIRECT ALKYLATION OF N-ALKYL-N’-PHENYL-p-PHENYLENEDIAMINE

European Patent Convention

 

Pending

 

07752268.8

 

2-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

COUPLING AGENTS FOR NATURAL FIBER-FILLED POLYOLEFINS

European Patent Convention

 

Pending

 

07873699.8

 

5-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED STORAGE STABLE ONE COMPONENT POLYURETHANE SYSTEM

European Patent Convention

 

Pending

 

07753872.6

 

21-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

FLAME RETARDANT BLENDS FOR FLEXIBLE POLYURETHANE FOAM

European Patent Convention

 

Pending

 

07755507.6

 

13-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

ANTIOZONANT BLENDS

European Patent Convention

 

Pending

 

07795244.8

 

23-May-2007

 

 

 

 

 

Chemtura Corporation

 

FUNCTIONAL POLYOLEFINS USEFUL AS METAL ADHESION PROMOTERS

European Patent Convention

 

Pending

 

07756230.4

 

7-May-2007

 

 

 

 

 

Chemtura Corporation

 

ANTIOXIDANT ADDITIVE FOR BIODIESEL FUELS

European Patent Convention

 

Pending

 

07775879.5

 

20-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

 

41



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

European Patent Convention

 

Pending

 

07870745.2

 

20-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

BROMINATED FLAME RETARDANT

European Patent Convention

 

Pending

 

07751591.4

 

23-Feb-2007

 

 

 

 

 

Chemtura Corporation

 

STABILIZING COMPOSITIONS FOR LUBRICANTS

European Patent Convention

 

Pending

 

07873435.7

 

24-Sep-2007

 

 

 

 

 

Chemtura Corporation

 

FLAME RESISTANCE NATURAL FIBER-FILLED THERMOPLASTICS WITH IMPROVED PROPERTIES.

European Patent Convention

 

Pending

 

07837554.0

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

PROCESS FOR REMOVAL OF RESIDUAL CATALYST COMPONENTS

European Patent Convention

 

Pending

 

07837553.2

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

ISOCYANATE TERMINATED POLYCAPROLACTONE POLYURETHANE PREPOLYMERS

European Patent Convention

 

Pending

 

07837854.4

 

6-Sep-2007

 

 

 

 

 

Chemtura Corporation

 

SOLUBLE OIL CONTAINING OVERBASED SULFONATE ADDITIVES

European Patent Convention

 

Pending

 

07862046.5

 

15-Nov-2007

 

 

 

 

 

Chemtura Corporation

 

Peroxide Reduction in Functionalized Vegetable Oils

European Patent Convention

 

Pending

 

07839730.4

 

22-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Solid Composition for Treating Water

European Patent Convention

 

Pending

 

07873487.8

 

6-Dec-2007

 

 

 

 

 

Chemtura Corporation

 

New Flame Retardants for Use in Styrenics Forms

European

 

Pending

 

08729877.4

 

14-Feb-2008

 

 

 

 

 

Chemtura

 

Stabilization of

 

42



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Patent Convention

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

Polymers with Styrenated-P-Cresols

European Patent Convention

 

Pending

 

08780379.7

 

25-Jan-2008

 

 

 

 

 

Chemtura Corporation

 

FLAME RETARDANT COMPOSITION FOR USE IN STYRENICS

European Patent Convention

 

Pending

 

08746505.0

 

22-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Halogenated Polymer Compositions

European Patent Convention

 

Pending

 

08744293.5

 

25-Mar-2008

 

 

 

 

 

Chemtura Corporation

 

STARCH-POLYOLEFIN COMPOSITES WITH IMPROVED PERFORMANCE

European Patent Convention

 

Pending

 

08745008.6

 

3-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Pesticidal Diazene Oxide Carboxylates

European Patent Convention

 

Pending

 

08771877.1

 

25-Jun-2008

 

 

 

 

 

Chemtura Corporation

 

Lubricant Compositions Stabilized with Styrenated Phenolic Antioxidant

European Patent Convention

 

Pending

 

08781436.4

 

7-Jul-2008

 

 

 

 

 

Chemtura Corporation

 

Liquid Styrenated Phenolic Compositions and Processes for Forming Same

European Patent Convention

 

Pending

 

08827425.3

 

1-Aug-2008

 

 

 

 

 

Chemtura Corporation

 

Rubber Compositions

European Patent Convention

 

Pending

 

07813993.8

 

10-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

Antioxidants and Methods of Making Antioxidants

European Patent Convention

 

Pending

 

07854421.0

 

25-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Antioxidants for Synthetic Lubricants and Methods and Manufacture

European Patent

 

Pending

 

99960183.4

 

1-Nov-1999

 

 

 

 

 

Chemtura Corporation

 

BLENDING OF POLYMERIC

 

43



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Convention

 

 

 

 

 

 

 

 

 

 

 

 

 

MATERIALS AND FILLERS

European Patent Convention

 

Pending

 

00910196.5

 

15-Feb-2000

 

 

 

 

 

Chemtura Corporation

 

OIL SOLUBLE MOLYBDENUM MULTIFUNCTIONAL FRICTION MODIFIER ADDITIVES FOR LUBRICANT COMPOSITIONS

European Patent Convention

 

Pending

 

02797416.1

 

18-Dec-2002

 

 

 

 

 

Chemtura Corporation

 

Methods and Apparatus for Producing Decabromodiphenyl Alkanes

European Patent Convention

 

Pending

 

05852635.1

 

1-Dec-2005

 

 

 

 

 

Chemtura Corporation

 

NON-SCORCH FLAME RETARDED POLYURETHANE FOAM

Finland

 

Granted

 

03783413.2

 

10-Nov-2003

 

1562730

 

30-Jan-2008

 

Chemtura Corporation

 

METHOD AND DEVICE FOR APPLYING A THICK REACTIVE COATING ON A BODY ROTATING ABOUT AN AXIS

Finland

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

France

 

Granted

 

01935504.9

 

15-May-2001

 

1290116

 

2-Aug-2006

 

Chemtura Corporation

 

Clarification Method for Oil Dispersions Comprising Overbased Detergents Containing Calcite

France

 

Granted

 

02776150.1

 

4-Oct-2002

 

1446466

 

21-Jun-2006

 

Chemtura

 

VISCOSITY

 

44



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

GROWTH INHIBITION IN OIL ADDITIVE CONCENTRATES

France

 

Granted

 

02729292.9

 

24-May-2002

 

1392805

 

2-Aug-2006

 

Chemtura Corporation

 

OXADIAZOLE ADDITIVES FOR LUBRICANTS

France

 

Granted

 

02789458.3

 

6-Nov-2002

 

1453870

 

26-Aug-2009

 

Chemtura Corporation

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION, THE RESULTING POLYMERS, AND LUBRICANTS CONTAINING SAME

France

 

Granted

 

02807876.4

 

26-Sep-2002

 

1543096

 

30-Apr-2008

 

Chemtura Corporation

 

ALKYL-SUCCINHYRAZIDE ADDITIVES FOR LUBRICANTS

France

 

Granted

 

02763825.3

 

30-Sep-2002

 

1451276

 

22-Oct-2008

 

Chemtura Corporation

 

1,2,4-OXADIAZOLE ADDITIVES FOR LUBRICANTS

France

 

Granted

 

02778837.1

 

13-Nov-2002

 

1453786

 

20-Jan-2010

 

Chemtura Corporation

 

METHOD OF PREPARING HYDROXYALKYL HINDERED PHENOLIC ANTIOXIDANTS

France

 

Granted

 

03763038.1

 

27-Jun-2003

 

1539872

 

17-Jun-2009

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

France

 

Granted

 

03741907.4

 

6-Jun-2003

 

1517878

 

21-Mar-2007

 

Chemtura Corporation

 

Complexes of Metal Salts of Organic Acids and B-

 

45



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Diketones and Methods for Producing Same

France

 

Granted

 

02250438.5

 

22-Jan-2002

 

1227144

 

25-May-2005

 

Chemtura Corporation

 

OIL-SOLUBLE ADDITIVE COMPOSITIONS FOR LUBRICATING OILS

France

 

Granted

 

03759474.4

 

23-Sep-2003

 

1551924

 

10-Jan-2007

 

Chemtura Corporation

 

NATURAL FIBER-FILLED POLYOLEFIN COMPOSITES

France

 

Granted

 

03783413.2

 

10-Nov-2003

 

1562730

 

30-Jan-2008

 

Chemtura Corporation

 

METHOD AND DEVICE FOR APPLYING A THICK REACTIVE COATING ON A BODY ROTATING ABOUT AN AXIS

France

 

Granted

 

03776507.0

 

22-Oct-2003

 

1556326

 

11-Oct-2006

 

Chemtura Corporation

 

METHOD FOR THE ALKYLATION OF SALICYLIC ACID

France

 

Granted

 

04759761.2

 

23-Mar-2004

 

1613602

 

3-Jan-2007

 

Chemtura Corporation

 

ALKYLATED IMINODIBENZYLS AS ANTIOXIDANTS

France

 

Granted

 

04758880.1

 

2-Apr-2004

 

1656338

 

27-May-2009

 

Chemtura Corporation

 

DIPHENYLAMINE ALKYLATED WITH OLEFIN MIXTURES CONTAINING FRACTIONS WITH VARYING DEGREES OF ACTIVITY

France

 

Granted

 

04810187.7

 

29-Oct-2004

 

1692191

 

10-Jun-2009

 

Chemtura Corporation

 

PROCESS FOR REMOVAL OF CATALYST RESIDUES FROM

 

46



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

POLY-ALPHA-OLEFINS

France

 

Granted

 

05725113.4

 

7-Mar-2005

 

1730107

 

30-Sep-2009

 

Chemtura Corporation

 

Dithiocarbamate Derivatives Useful as Lubricant and Fuel Additives

France

 

Granted

 

05747936.2

 

5-May-2005

 

1756185

 

21-Nov-2007

 

Chemtura Corporation

 

HIGH PERFORMANCE POLYURETHANES CURED WITH ALKYLATED 4,4’-METHYLENEDIANILINE

France

 

Granted

 

05810208.8

 

26-Aug-2005

 

1794107

 

26-Nov-2008

 

Chemtura Corporation

 

Sulfonated Nitrophenol as Polymerization Inhibitors

France

 

Granted

 

98301722.9

 

9-Mar-1998

 

0866058

 

8-Jun-2005

 

Chemtura Corporation

 

SYNTHESIS OF TERTIARY AMINE OXIDES

France

 

Granted

 

00942338.5

 

24-Jul-2000

 

1127083

 

12-Sep-2007

 

Chemtura Corporation

 

POLYOLEFIN GRAFT COPOLYMERS MADE WITH FLUORINATED MONOMERS

France

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

France

 

Granted

 

97951736.4

 

16-Dec-1997

 

0964862

 

18-Apr-2007

 

Chemtura Corporation

 

INSECTICIDAL OXADIAZINE COMPOUNDS

France

 

Granted

 

99902412.8

 

22-Jan-1999

 

1054875

 

23-Apr-2008

 

Chemtura Corporation

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

France

 

Granted

 

99965004.7

 

19-Nov-1999

 

1137747

 

23-Jul-2008

 

Chemtura Corporation

 

LUBRICANT COMPOSITIONS

 

47



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COMPRISING MULTIPLE ANTIOXIDANTS

France

 

Granted

 

01961955.0

 

8-Aug-2001

 

1309633

 

13-Jun-2007

 

Chemtura Corporation

 

Process for Producing Liquid Polyalphaolefin Polymer, Metallocene Catalyst Therefor, the Resulting Polymer and Lubricant

France

 

Granted

 

00978566.8

 

13-Nov-2000

 

1235885

 

15-Aug-2007

 

Chemtura Corporation

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER GROWTH

France

 

Granted

 

00963502.0

 

15-Sep-2000

 

1135288

 

29-Oct-2008

 

Chemtura Corporation

 

SIDE BEARING PAD

France

 

Granted

 

00976769.0

 

1-Nov-2000

 

1237967

 

10-Jan-2007

 

Chemtura Corporation

 

HIGH PERFORMANCE POLYURETHANE ELASTOMERS FROM MDI PREPOLYMERS WITH REDUCED CONTENT OF FREE MDI MONOMER

France

 

Granted

 

00973742.0

 

20-Oct-2000

 

1228172

 

31-May-2006

 

Chemtura Corporation

 

SUBSTITUTED LINEAR THIOUREA ADDITIVES FOR LUBRICANTS

France

 

Granted

 

02757445.8

 

28-Aug-2002

 

1421139

 

21-Oct-2009

 

Chemtura Corporation

 

HIGHER ALKYLATED TRIARYL PHOSPHATE ESTER FLAME RETARDANTS

 

48



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

France

 

Granted

 

05816028.4

 

30-Sep-2005

 

1805232

 

30-Dec-2009

 

Chemtura Corporation

 

Improved Polymers of Bromostyrenes Having Controlled Molecular Weight

France

 

Granted

 

06738834.8

 

20-Mar-2006

 

1861458

 

30-Sep-2009

 

Chemtura Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

France

 

Granted

 

99939198.0

 

25-Feb-1999

 

1086195

 

9-Jun-2004

 

Chemtura Corporation

 

MARINE CYLINDER OILS CONTAINING HIGH VISCOSITY DETERGENTS

France

 

Granted

 

99936087.8

 

25-Feb-1999

 

0991739

 

15-Jun-2005

 

Chemtura Corporation

 

VISCOSITY DRIFT CONTROL IN OVERBASED DETERGENTS

France

 

Granted

 

99907179.8

 

25-Feb-1999

 

0994932

 

25-May-2005

 

Chemtura Corporation

 

OVERBASED MAGNESIUM DEPOSIT CONTROL ADDITIVE FOR RESIDUAL FU EL OILS

France

 

Granted

 

01959611.3

 

7-Aug-2001

 

1307465

 

19-Oct-2005

 

Chemtura Corporation

 

DIRECT SYNTHESIS OF TIN (II)  AND CARBOXYLATES AND TIN (IV) CARBOXYLATES FROM ELEMENTAL TIN OR TIN OXIDES

Germany

 

Granted

 

01935504.9

 

15-May-2001

 

60121943.0

 

2-Aug-2006

 

Chemtura Corporation

 

Clarification Method for Oil Dispersions Comprising Overbased Detergents

 

49



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Containing Calcite

Germany

 

Granted

 

01973542.2

 

25-Sep-2001

 

60129833.0

 

8-Aug-2007

 

Chemtura Corporation

 

Sizing Composition

Germany

 

Granted

 

02776150.1

 

4-Oct-2002

 

60212685.1

 

21-Jun-2006

 

Chemtura Corporation

 

VISCOSITY GROWTH INHIBITION IN OIL ADDITIVE CONCENTRATES

Germany

 

Granted

 

02734152.8

 

3-May-2002

 

60221381.9

 

25-Jul-2007

 

Chemtura Corporation

 

ALKYL HYDRAZIDE ADDITIVES FOR LUBRICANTS

Germany

 

Granted

 

02729292.9

 

24-May-2002

 

60213590.7

 

2-Aug-2006

 

Chemtura Corporation

 

OXADIAZOLE ADDITIVES FOR LUBRICANTS

Germany

 

Granted

 

02715143.0

 

15-Mar-2002

 

60207408.8

 

16-Nov-2005

 

Chemtura Corporation

 

Thermoplastic Resins in Contact With Metals or Metal Salts Stabilized by Blends of Dithiocarbamates and Metal Deactivators

Germany

 

Granted

 

02789458.3

 

6-Nov-2002

 

1453870

 

26-Aug-2009

 

Chemtura Corporation

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION, THE RESULTING POLYMERS, AND LUBRICANTS CONTAINING SAME

Germany

 

Granted

 

02807876.4

 

26-Sep-2002

 

60226350.6

 

30-Apr-2008

 

Chemtura Corporation

 

ALKYL-SUCCINHYRAZIDE ADDITIVES FOR LUBRICANTS

Germany

 

Granted

 

02763825.3

 

30-Sep-2002

 

60229550.5

 

22-Oct-2008

 

Chemtura Corporation

 

1,2,4-OXADIAZOLE ADDITIVES FOR LUBRICANTS

 

50


 


 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Germany

 

Granted

 

02778837.1

 

13-Nov-2002

 

1453786

 

20-Jan-2010

 

Chemtura Corporation

 

METHOD OF PREPARING HYDROXYALKYL HINDERED PHENOLIC ANTIOXIDANTS

Germany

 

Granted

 

03763038.1

 

27-Jun-2003

 

60328027.7

 

17-Jun-2009

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

Germany

 

Granted

 

03741907.4

 

6-Jun-2003

 

60312685.5

 

21-Mar-2007

 

Chemtura Corporation

 

Complexes of Metal Salts of Organic Acids and B-Diketones and Methods for Producing Same

Germany

 

Granted

 

02806450.9

 

6-Dec-2002

 

60216145.2

 

15-Nov-2006

 

Chemtura Corporation

 

Stability Improvement of Aluminum Hydroxide in PVC Compound

Germany

 

Granted

 

02250438.5

 

22-Jan-2002

 

60204245.3

 

25-May-2005

 

Chemtura Corporation

 

OIL-SOLUBLE ADDITIVE COMPOSITIONS FOR LUBRICATING OILS

Germany

 

Granted

 

03759474.4

 

23-Sep-2003

 

60311124.6

 

10-Jan-2007

 

Chemtura Corporation

 

NATURAL FIBER-FILLED POLYOLEFIN COMPOSITES

Germany

 

Granted

 

03783413.2

 

10-Nov-2003

 

60318956.3

 

30-Jan-2008

 

Chemtura Corporation

 

METHOD AND DEVICE FOR APPLYING A THICK REACTIVE COATING ON A BODY ROTATING ABOUT AN AXIS

 

51



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Germany

 

Granted

 

03776507.0

 

22-Oct-2003

 

60309060.5

 

11-Oct-2006

 

Chemtura Corporation

 

METHOD FOR THE ALKYLATION OF SALICYLIC ACID

Germany

 

Granted

 

03814040.6

 

15-Dec-2003

 

60305528.1

 

24-May-2006

 

Chemtura Corporation

 

STYRENIC POLYMER COMPOSITES

Germany

 

Granted

 

04759761.2

 

23-Mar-2004

 

602004004093.2

 

3-Jan-2007

 

Chemtura Corporation

 

ALKYLATED IMINODIBENZYLS AS ANTIOXIDANTS

Germany

 

Granted

 

04758880.1

 

2-Apr-2004

 

1656338

 

27-May-2009

 

Chemtura Corporation

 

DIPHENYLAMINE ALKYLATED WITH OLEFIN MIXTURES CONTAINING FRACTIONS WITH VARYING DEGREES OF ACTIVITY

Germany

 

Granted

 

04810187.7

 

29-Oct-2004

 

602004021500.7

 

10-Jun-2009

 

Chemtura Corporation

 

PROCESS FOR REMOVAL OF CATALYST RESIDUES FROM POLY-ALPHA-OLEFINS

Germany

 

Granted

 

05725113.4

 

7-Mar-2005

 

602005016906.7

 

30-Sep-2009

 

Chemtura Corporation

 

Dithiocarbamate Derivatives Useful as Lubricant and Fuel Additives

Germany

 

Granted

 

05747936.2

 

5-May-2005

 

602005003470.6

 

21-Nov-2007

 

Chemtura Corporation

 

HIGH PERFORMANCE POLYURETHANES CURED WITH ALKYLATED 4,4’-METHYLENEDIANILINE

Germany

 

Granted

 

05810208.8

 

26-Aug-2005

 

602005011313.4

 

26-Nov-2008

 

Chemtura Corporation

 

Sulfonated Nitrophenol as Polymerization Inhibitors

 

52



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Germany

 

Granted

 

98301722.9

 

9-Mar-1998

 

69830437.3

 

8-Jun-2005

 

Chemtura Corporation

 

SYNTHESIS OF TERTIARY AMINE OXIDES

Germany

 

Granted

 

00942338.5

 

24-Jul-2000

 

60036364.3

 

12-Sep-2007

 

Chemtura Corporation

 

POLYOLEFIN GRAFT COPOLYMERS MADE WITH FLUORINATED MONOMERS

Germany

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

Germany

 

Granted

 

97951736.4

 

16-Dec-1997

 

69737634.6

 

18-Apr-2007

 

Chemtura Corporation

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Germany

 

Granted

 

99902412.8

 

22-Jan-1999

 

69938586.5

 

23-Apr-2008

 

Chemtura Corporation

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

Germany

 

Granted

 

99965004.7

 

19-Nov-1999

 

69939181.4

 

23-Jul-2008

 

Chemtura Corporation

 

LUBRICANT COMPOSITIONS COMPRISING MULTIPLE ANTIOXIDANTS

Germany

 

Granted

 

00977001.7

 

28-Nov-2000

 

60023735.4

 

2-Nov-2005

 

Chemtura Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Germany

 

Granted

 

00976993.6

 

6-Nov-2000

 

60023542.4

 

26-Oct-2005

 

Chemtura Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Germany

 

Granted

 

01961955.0

 

8-Aug-2001

 

60128926.9

 

13-Jun-2007

 

Chemtura Corporation

 

Process for Producing Liquid Polyalphaolefin Polymer,

 

53



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Metallocene Catalyst Therefor, the Resulting Polymer and Lubricant

Germany

 

Granted

 

00978566.8

 

13-Nov-2000

 

60036018.0

 

15-Aug-2007

 

Chemtura Corporation

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER GROWTH

Germany

 

Granted

 

00963502.0

 

15-Sep-2000

 

60040647.4

 

29-Oct-2008

 

Chemtura Corporation

 

SIDE BEARING PAD

Germany

 

Granted

 

00976769.0

 

1-Nov-2000

 

60032938.0

 

10-Jan-2007

 

Chemtura Corporation

 

HIGH PERFORMANCE POLYURETHANE ELASTOMERS FROM MDI PREPOLYMERS WITH REDUCED CONTENT OF FREE MDI MONOMER

Germany

 

Granted

 

00973742.0

 

20-Oct-2000

 

60028406.9

 

31-May-2006

 

Chemtura Corporation

 

SUBSTITUTED LINEAR THIOUREA ADDITIVES FOR LUBRICANTS

Germany

 

Granted

 

02757445.8

 

28-Aug-2002

 

1421139

 

21-Oct-2009

 

Chemtura Corporation

 

HIGHER ALKYLATED TRIARYL PHOSPHATE ESTER FLAME RETARDANTS

Germany

 

Granted

 

05816028.4

 

30-Sep-2005

 

1805232

 

30-Dec-2009

 

Chemtura Corporation

 

Improved Polymers of Bromostyrenes Having Controlled Molecular Weight

Germany

 

Granted

 

06738834.8

 

20-Mar-2006

 

1861458

 

30-Sep-2009

 

Chemtura Corporation

 

FLAME RETARDANTS

 

54



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

AND FLAME RETARDED POLYMERS

Germany

 

Granted

 

99939198.0

 

25-Feb-1999

 

69917902.5

 

9-Jun-2004

 

Chemtura Corporation

 

MARINE CYLINDER OILS CONTAINING HIGH VISCOSITY DETERGENTS

Germany

 

Granted

 

99936087.8

 

25-Feb-1999

 

69925790.5

 

15-Jun-2005

 

Chemtura Corporation

 

VISCOSITY DRIFT CONTROL IN OVERBASED DETERGENTS

Germany

 

Granted

 

99907179.8

 

25-Feb-1999

 

69925431.0

 

25-May-2005

 

Chemtura Corporation

 

OVERBASED MAGNESIUM DEPOSIT CONTROL ADDITIVE FOR RESIDUAL FU EL OILS

Germany

 

Granted

 

01959611.3

 

7-Aug-2001

 

60114212.8

 

19-Oct-2005

 

Chemtura Corporation

 

DIRECT SYNTHESIS OF TIN (II)  AND CARBOXYLATES AND TIN (IV) CARBOXYLATES FROM ELEMENTAL TIN OR TIN OXIDES

Great Britain

 

Granted

 

01935504.9

 

15-May-2001

 

1290116

 

2-Aug-2006

 

Chemtura Corporation

 

Clarification Method for Oil Dispersions Comprising Overbased Detergents Containing Calcite

Great Britain

 

Granted

 

01973542.2

 

25-Sep-2001

 

1335886

 

8-Aug-2007

 

Chemtura Corporation

 

Sizing Composition

Great Britain

 

Granted

 

02776150.1

 

4-Oct-2002

 

1446466

 

21-Jun-2006

 

Chemtura Corporation

 

VISCOSITY GROWTH INHIBITION IN OIL ADDITIVE

 

55



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CONCENTRATES

Great Britain

 

Granted

 

02734152.8

 

3-May-2002

 

1390457

 

25-Jul-2007

 

Chemtura Corporation

 

ALKYL HYDRAZIDE ADDITIVES FOR LUBRICANTS

Great Britain

 

Granted

 

02729292.9

 

24-May-2002

 

1392805

 

2-Aug-2006

 

Chemtura Corporation

 

OXADIAZOLE ADDITIVES FOR LUBRICANTS

Great Britain

 

Granted

 

02789458.3

 

6-Nov-2002

 

1453870

 

26-Aug-2009

 

Chemtura Corporation

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION, THE RESULTING POLYMERS, AND LUBRICANTS CONTAINING SAME

Great Britain

 

Granted

 

02807876.4

 

26-Sep-2002

 

1543096

 

30-Apr-2008

 

Chemtura Corporation

 

ALKYL-SUCCINHYRAZIDE ADDITIVES FOR LUBRICANTS

Great Britain

 

Granted

 

02763825.3

 

30-Sep-2002

 

1451276

 

22-Oct-2008

 

Chemtura Corporation

 

1,2,4-OXADIAZOLE ADDITIVES FOR LUBRICANTS

Great Britain

 

Granted

 

02778837.1

 

13-Nov-2002

 

1453786

 

20-Jan-2010

 

Chemtura Corporation

 

METHOD OF PREPARING HYDROXYALKYL HINDERED PHENOLIC ANTIOXIDANTS

Great Britain

 

Granted

 

03763038.1

 

27-Jun-2003

 

1539872

 

17-Jun-2009

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

Great Britain

 

Granted

 

03741907.4

 

6-Jun-2003

 

1517878

 

21-Mar-2007

 

Chemtura Corporation

 

Complexes of Metal Salts of Organic

 

56



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Acids and B-Diketones and Methods for Producing Same

Great Britain

 

Granted

 

02806450.9

 

6-Dec-2002

 

1461381

 

15-Nov-2006

 

Chemtura Corporation

 

Stability Improvement of Aluminum Hydroxide in PVC Compound

Great Britain

 

Granted

 

02250438.5

 

22-Jan-2002

 

1227144

 

25-May-2005

 

Chemtura Corporation

 

OIL-SOLUBLE ADDITIVE COMPOSITIONS FOR LUBRICATING OILS

Great Britain

 

Granted

 

03759474.4

 

23-Sep-2003

 

1551924

 

10-Jan-2007

 

Chemtura Corporation

 

NATURAL FIBER-FILLED POLYOLEFIN COMPOSITES

Great Britain

 

Granted

 

03783413.2

 

10-Nov-2003

 

1562730

 

30-Jan-2008

 

Chemtura Corporation

 

METHOD AND DEVICE FOR APPLYING A THICK REACTIVE COATING ON A BODY ROTATING ABOUT AN AXIS

Great Britain

 

Granted

 

03776507.0

 

22-Oct-2003

 

1556326

 

11-Oct-2006

 

Chemtura Corporation

 

METHOD FOR THE ALKYLATION OF SALICYLIC ACID

Great Britain

 

Granted

 

03814040.6

 

15-Dec-2003

 

1572802

 

24-May-2006

 

Chemtura Corporation

 

STYRENIC POLYMER COMPOSITES

Great Britain

 

Granted

 

04759761.2

 

23-Mar-2004

 

1613602

 

3-Jan-2007

 

Chemtura Corporation

 

ALKYLATED IMINODIBENZYLS AS ANTIOXIDANTS

Great Britain

 

Granted

 

04758880.1

 

2-Apr-2004

 

1656338

 

27-May-2009

 

Chemtura Corporation

 

DIPHENYLAMINE ALKYLATED WITH OLEFIN MIXTURES

 

57



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CONTAINING FRACTIONS WITH VARYING DEGREES OF ACTIVITY

Great Britain

 

Granted

 

04810187.7

 

29-Oct-2004

 

1692191

 

10-Jun-2009

 

Chemtura Corporation

 

PROCESS FOR REMOVAL OF CATALYST RESIDUES FROM POLY-ALPHA-OLEFINS

Great Britain

 

Granted

 

05725113.4

 

7-Mar-2005

 

1730107

 

30-Sep-2009

 

Chemtura Corporation

 

Dithiocarbamate Derivatives Useful as Lubricant and Fuel Additives

Great Britain

 

Granted

 

05747936.2

 

5-May-2005

 

1756185

 

21-Nov-2007

 

Chemtura Corporation

 

HIGH PERFORMANCE POLYURETHANES CURED WITH ALKYLATED 4,4’-METHYLENEDIANILINE

Great Britain

 

Granted

 

05810208.8

 

26-Aug-2005

 

1794107

 

26-Nov-2008

 

Chemtura Corporation

 

Sulfonated Nitrophenol as Polymerization Inhibitors

Great Britain

 

Granted

 

0715424.8

 

2-Mar-2006

 

2437224

 

23-Sep-2009

 

Chemtura Corporation

 

INSECTICIDAL, ACARICIDAL, AND FUNGICIDAL NITOMETHYLENE COMPOUNDS

Great Britain

 

Granted

 

0715952.8

 

21-Mar-2006

 

2437230

 

18-Feb-2009

 

Chemtura Corporation

 

MITICIDAL TRIAZOLIDINE DERIVATIVES

Great Britain

 

Granted

 

98301722.9

 

9-Mar-1998

 

0866058

 

8-Jun-2005

 

Chemtura Corporation

 

SYNTHESIS OF TERTIARY AMINE OXIDES

Great Britain

 

Granted

 

00942338.5

 

24-Jul-2000

 

1127083

 

12-Sep-2007

 

Chemtura Corporation

 

POLYOLEFIN GRAFT COPOLYMERS

 

58



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

MADE WITH FLUORINATED MONOMERS

Great Britain

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

Great Britain

 

Granted

 

97951736.4

 

16-Dec-1997

 

0964862

 

18-Apr-2007

 

Chemtura Corporation

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Great Britain

 

Granted

 

99902412.8

 

22-Jan-1999

 

1054875

 

23-Apr-2008

 

Chemtura Corporation

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

Great Britain

 

Granted

 

99965004.7

 

19-Nov-1999

 

1137747

 

23-Jul-2008

 

Chemtura Corporation

 

LUBRICANT COMPOSITIONS COMPRISING MULTIPLE ANTIOXIDANTS

Great Britain

 

Granted

 

01961955.0

 

8-Aug-2001

 

1309633

 

13-Jun-2007

 

Chemtura Corporation

 

Process for Producing Liquid Polyalphaolefin Polymer, Metallocene Catalyst Therefor, the Resulting Polymer and Lubricant

Great Britain

 

Granted

 

00978566.8

 

13-Nov-2000

 

1235885

 

15-Aug-2007

 

Chemtura Corporation

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER GROWTH

Great Britain

 

Granted

 

00963502.0

 

15-Sep-2000

 

1135288

 

29-Oct-2008

 

Chemtura Corporation

 

SIDE BEARING PAD

Great Britain

 

Granted

 

00976769.0

 

1-Nov-2000

 

1237967

 

10-Jan-2007

 

Chemtura Corporation

 

HIGH PERFORMANCE POLYURETHANE ELASTOMERS

 

59



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FROM MDI PREPOLYMERS WITH REDUCED CONTENT OF FREE MDI MONOMER

Great Britain

 

Granted

 

00973742.0

 

20-Oct-2000

 

1228172

 

31-May-2006

 

Chemtura Corporation

 

SUBSTITUTED LINEAR THIOUREA ADDITIVES FOR LUBRICANTS

Great Britain

 

Granted

 

02757445.8

 

28-Aug-2002

 

1421139

 

21-Oct-2009

 

Chemtura Corporation

 

HIGHER ALKYLATED TRIARYL PHOSPHATE ESTER FLAME RETARDANTS

Great Britain

 

Granted

 

05816028.4

 

30-Sep-2005

 

1805232

 

30-Dec-2009

 

Chemtura Corporation

 

Improved Polymers of Bromostyrenes Having Controlled Molecular Weight

Great Britain

 

Granted

 

06738834.8

 

20-Mar-2006

 

1861458

 

30-Sep-2009

 

Chemtura Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

Great Britain

 

Granted

 

99939198.0

 

25-Feb-1999

 

1086195

 

9-Jun-2004

 

Chemtura Corporation

 

MARINE CYLINDER OILS CONTAINING HIGH VISCOSITY DETERGENTS

Great Britain

 

Granted

 

99936087.8

 

25-Feb-1999

 

0991739

 

15-Jun-2005

 

Chemtura Corporation

 

VISCOSITY DRIFT CONTROL IN OVERBASED DETERGENTS

Great Britain

 

Granted

 

99907179.8

 

25-Feb-1999

 

0994932

 

25-May-2005

 

Chemtura Corporation

 

OVERBASED MAGNESIUM DEPOSIT CONTROL

 

60



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ADDITIVE FOR RESIDUAL FU EL OILS

Great Britain

 

Granted

 

01959611.3

 

7-Aug-2001

 

1307465

 

19-Oct-2005

 

Chemtura Corporation

 

DIRECT SYNTHESIS OF TIN (II)  AND CARBOXYLATES AND TIN (IV) CARBOXYLATES FROM ELEMENTAL TIN OR TIN OXIDES

Greece

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

Hong Kong

 

Pending

 

09104756.7

 

26-May-2009

 

 

 

 

 

Chemtura Corporation

 

Lubricating Oil Compositions

Hong Kong

 

Pending

 

09104971.6

 

3-Jun-2009

 

 

 

 

 

Chemtura Corporation

 

Alkylation of N’-phenyl-N-alkylphenylenediamines in ionic liquid, N’-phenyl-N-alkyl (alkylphenylene) diamines produced thereby, and lubricant compositions containing same

 

 

Hong Kong

 

Pending

 

09105863.4

 

30-Jun-2009

 

 

 

 

 

Chemtura Corporation

 

Alkylation of a Diphenylamine Compound in Ionic Liquid

Hong Kong

 

Pending

 

09104970.7

 

3-Jun-2009

 

 

 

 

 

Chemtura Corporation

 

Ring Alkylation of Aniline or an Aniline Derivative Using

 

61



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Ionic Liquid Catalysts

Hong Kong

 

Pending

 

09109714.7

 

21-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Flame Resistance Natural Fiber-Filled Thermoplastics with Improved Properties

Hong Kong

 

Pending

 

09111112.1

 

27-Nov-2009

 

 

 

 

 

Chemtura Corporation

 

Peroxide Reduction in Functionalized Vegetable Oils

India

 

Pending

 

1464/DELNP/2006

 

16-Dec-2003

 

 

 

 

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

India

 

Pending

 

2646/DELNP/2006

 

29-Oct-2004

 

 

 

 

 

Chemtura Corporation

 

Liquid Microemulsion Stabilizer Composition for Halogen-Containing Polymers

India

 

Pending

 

1261/DELNP/2006

 

11-Aug-2004

 

 

 

 

 

Chemtura Corporation

 

Stabilization System for Halogen-Containing Polymers

India

 

Pending

 

8102/DELNP/2007

 

28-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

STABILIZER BLEND FOR IMPROVED CHLORINE RESISTANCE

India

 

Pending

 

6867/DELNP/2008

 

5-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED STORAGE STABLE ONE COMPONENT POLYURETHANE SYSTEM

India

 

Pending

 

7707/DELNP/2008

 

21-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Composition For Use In Styrenics

India

 

Pending

 

9884/DELNP/2008

 

20-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

India

 

Pending

 

635/DELNP/2009

 

20-Aug-2007

 

 

 

 

 

Chemtura

 

BROMINATED

 

62



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

FLAME RETARDANT

India

 

Pending

 

1550/DELNP/2009

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

ISOCYANATE TERMINATED POLYCAPROLACTONE POLYURETHANE PREPOLYMERS

India

 

Granted

 

215964

 

22-Apr-2008

 

215964

 

26-Oct-2007

 

Chemtura Corporation

 

TIRE

India

 

Granted

 

215965

 

22-Apr-2008

 

215965

 

10-Dec-2007

 

Chemtura Corporation

 

TIRE

India

 

Pending

 

5499/DELNP/2009

 

6-Dec-2007

 

 

 

 

 

Chemtura Corporation

 

New Flame Retardants for Use in Styrenics Forms

India

 

Pending

 

4242/DELNP/2009

 

14-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Stabilization of Polymers with Styrenated-P-Cresols

India

 

Pending

 

5513/DELNP/2009

 

25-Jan-2008

 

 

 

 

 

Chemtura Corporation

 

FLAME RETARDANT COMPOSITION FOR USE IN STYRENICS

India

 

Pending

 

6558/DELNP/2009

 

22-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Halogenated Polymer Compositions

India

 

Pending

 

6133/DELNP/2009

 

25-Mar-2008

 

 

 

 

 

Chemtura Corporation

 

STARCH-POLYOLEFIN COMPOSITES WITH IMPROVED PERFORMANCE

India

 

Pending

 

PCT/US2008/059239

 

3-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Pesticidal Diazene Oxide Carboxylates

India

 

Pending

 

2537/DELNP/2007

 

30-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

Improved Polymers of Bromostyrenes Having Controlled Molecular Weight

India

 

Pending

 

4162/DELNP/2007

 

1-Dec-2005

 

 

 

 

 

Chemtura Corporation

 

NON-SCORCH FLAME

 

63



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

RETARDED POLYURETHANE FOAM

Indonesia

 

Pending

 

W-00200702509

 

31-Jan-2006

 

 

 

 

 

Chemtura Corporation

 

MEANS FOR CONTROLLING THE EXOTHERMIC REACTION OF STYRENIC MONOMERS WITH SULFONIC ACIDS

Indonesia

 

Pending

 

W-00200704057

 

24-May-2006

 

 

 

 

 

Chemtura Corporation

 

Ortho-Nitrosophenols as Polymerization Inhibitors

Indonesia

 

Pending

 

W-00200803955

 

20-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

Israel

 

Pending

 

194119

 

21-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Composition For Use In Styrenics

Israel

 

Pending

 

PCT/US2007/009690

 

20-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

Israel

 

Pending

 

196778

 

20-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

BROMINATED FLAME RETARDANT

Israel

 

Pending

 

200794

 

6-Dec-2007

 

 

 

 

 

Chemtura Corporation

 

New Flame Retardants for Use in Styrenics Forms

Israel

 

Pending

 

200745

 

25-Jan-2008

 

 

 

 

 

Chemtura Corporation

 

FLAME RETARDANT COMPOSITION FOR USE IN STYRENICS

Israel

 

Pending

 

201695

 

22-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Halogenated Polymer Compositions

Israel

 

Pending

 

182181

 

30-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

Improved Polymers of Bromostyrenes Having Controlled Molecular Weight

Israel

 

Pending

 

183584

 

1-Dec-2005

 

 

 

 

 

Chemtura

 

NON-SCORCH

 

64



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

FLAME RETARDED POLYURETHANE FOAM

Italy

 

Granted

 

01935504.9

 

15-May-2001

 

1290116

 

2-Aug-2006

 

Chemtura Corporation

 

Clarification method for oil dispersions comprising overbased detergents containing calcite

Italy

 

Granted

 

01973542.2

 

25-Sep-2001

 

1335886

 

8-Aug-2007

 

Chemtura Corporation

 

Sizing Composition

Italy

 

Granted

 

02789458.3

 

6-Nov-2002

 

1453870

 

26-Aug-2009

 

Chemtura Corporation

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION, THE RESULTING POLYMERS, AND LUBRICANTS CONTAINING SAME

Italy

 

Granted

 

02778837.1

 

13-Nov-2002

 

1453786

 

20-Jan-2010

 

Chemtura Corporation

 

METHOD OF PREPARING HYDROXYALKYL HINDERED PHENOLIC ANTIOXIDANTS

Italy

 

Granted

 

03763038.1

 

27-Jun-2003

 

1539872

 

17-Jun-2009

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

Italy

 

Granted

 

03741907.4

 

6-Jun-2003

 

1517878

 

21-Mar-2007

 

Chemtura Corporation

 

Complexes of Metal Salts of Organic Acids and B-Diketones and Methods for Producing Same

 

65



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Italy

 

Granted

 

02806450.9

 

6-Dec-2002

 

1461381

 

15-Nov-2006

 

Chemtura Corporation

 

Stability Improvement of Aluminum Hydroxide in PVC Compound

Italy

 

Granted

 

03783413.2

 

10-Nov-2003

 

1562730

 

30-Jan-2008

 

Chemtura Corporation

 

METHOD AND DEVICE FOR APPLYING A THICK REACTIVE COATING ON A BODY ROTATING ABOUT AN AXIS

Italy

 

Granted

 

03776507.0

 

22-Oct-2003

 

1556326

 

11-Oct-2006

 

Chemtura Corporation

 

METHOD FOR THE ALKYLATION OF SALICYLIC ACID

Italy

 

Granted

 

03814040.6

 

15-Dec-2003

 

1572802

 

24-May-2006

 

Chemtura Corporation

 

STYRENIC POLYMER COMPOSITES

Italy

 

Granted

 

04758880.1

 

2-Apr-2004

 

1656338

 

27-May-2009

 

Chemtura Corporation

 

DIPHENYLAMINE ALKYLATED WITH OLEFIN MIXTURES CONTAINING FRACTIONS WITH VARYING DEGREES OF ACTIVITY

Italy

 

Granted

 

04810187.7

 

29-Oct-2004

 

1692191

 

10-Jun-2009

 

Chemtura Corporation

 

PROCESS FOR REMOVAL OF CATALYST RESIDUES FROM POLY-ALPHA-OLEFINS

Italy

 

Granted

 

05810208.8

 

26-Aug-2005

 

1794107

 

26-Nov-2008

 

Chemtura Corporation

 

Sulfonated Nitrophenol as Polymerization Inhibitors

Italy

 

Granted

 

98301722.9

 

9-Mar-1998

 

0866058

 

8-Jun-2005

 

Chemtura Corporation

 

SYNTHESIS OF TERTIARY AMINE OXIDES

 

66



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Italy

 

Granted

 

00942338.5

 

24-Jul-2000

 

1127083

 

12-Sep-2007

 

Chemtura Corporation

 

POLYOLEFIN GRAFT COPOLYMERS MADE WITH FLUORINATED MONOMERS

Italy

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

Italy

 

Granted

 

97951736.4

 

16-Dec-1997

 

0964862

 

18-Apr-2007

 

Chemtura Corporation

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Italy

 

Granted

 

99902412.8

 

22-Jan-1999

 

1054875

 

23-Apr-2008

 

Chemtura Corporation

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

Italy

 

Granted

 

01961955.0

 

8-Aug-2001

 

1309633

 

13-Jun-2007

 

Chemtura Corporation

 

Process for Producing Liquid Polyalphaolefin Polymer, Metallocene Catalyst Therefor, the Resulting Polymer and Lubricant

Italy

 

Granted

 

00978566.8

 

13-Nov-2000

 

1235885

 

15-Aug-2007

 

Chemtura Corporation

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER GROWTH

Italy

 

Granted

 

00963502.0

 

15-Sep-2000

 

1135288

 

29-Oct-2008

 

Chemtura Corporation

 

SIDE BEARING PAD

Italy

 

Granted

 

00976769.0

 

1-Nov-2000

 

1237967

 

10-Jan-2007

 

Chemtura Corporation

 

HIGH PERFORMANCE POLYURETHANE ELASTOMERS FROM MDI PREPOLYMERS

 

67



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

WITH REDUCED CONTENT OF FREE MDI MONOMER

Italy

 

Granted

 

00973742.0

 

20-Oct-2000

 

1228172

 

31-May-2006

 

Chemtura Corporation

 

SUBSTITUTED LINEAR THIOUREA ADDITIVES FOR LUBRICANTS

Italy

 

Granted

 

02757445.8

 

28-Aug-2002

 

1421139

 

21-Oct-2009

 

Chemtura Corporation

 

HIGHER ALKYLATED TRIARYL PHOSPHATE ESTER FLAME RETARDANTS

Italy

 

Granted

 

05816028.4

 

30-Sep-2005

 

1805232

 

30-Dec-2009

 

Chemtura Corporation

 

Improved Polymers of Bromostyrenes Having Controlled Molecular Weight

Italy

 

Granted

 

06738834.8

 

20-Mar-2006

 

1861458

 

30-Sep-2009

 

Chemtura Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

Italy

 

Granted

 

99939198.0

 

25-Feb-1999

 

1086195

 

9-Jun-2004

 

Chemtura Corporation

 

MARINE CYLINDER OILS CONTAINING HIGH VISCOSITY DETERGENTS

Japan

 

Granted

 

2003-549461

 

4-Oct-2002

 

4393871

 

23-Oct-2009

 

Chemtura Corporation

 

VISCOSITY GROWTH INHIBITION IN OIL ADDITIVE CONCENTRATES

Japan

 

Granted

 

2003-513987

 

18-Jul-2001

 

4141951

 

20-Jun-2008

 

Chemtura Corporation

 

ORGANO-IMIDO MOLYBDENUM COMPLEXES AS FRICTION MODIFIER

 

68



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ADDITIVES FOR LUBRICANT COMPOSITIONS

Japan

 

Granted

 

2003-502128

 

30-Apr-2002

 

4128523

 

23-May-2008

 

Chemtura Corporation

 

THIADIAZOLIDINE ADDITIVES FOR LUBRICANTS

Japan

 

Pending

 

2007-331351

 

25-Dec-2007

 

 

 

 

 

Chemtura Corporation

 

Stability Improvement of Carbon Monoxide Ethylene Copolymer in PVC compound

Japan

 

Pending

 

2008-094639

 

1-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Polyurethane Elastomers From HDI Prepolymers With Reduced Content of Free HDI Monomers

Japan

 

Pending

 

2006-551571

 

19-Jan-2005

 

 

 

 

 

Chemtura Corporation

 

Detergent/Anti-Oxidant Additives for Fuels and Lubricants

Japan

 

Pending

 

2006-509296

 

23-Mar-2004

 

 

 

 

 

Chemtura Corporation

 

ALKYLATED IMINODIBENZYLS AS ANTIOXIDANTS

Japan

 

Pending

 

2007-508414

 

8-Apr-2005

 

 

 

 

 

Chemtura Corporation

 

KETONE DIARYLAMINE CONDENSATES

Japan

 

Pending

 

2006-509700

 

2-Apr-2004

 

 

 

 

 

Chemtura Corporation

 

DIPHENYLAMINE ALKYLATED WITH OLEFIN MIXTURES CONTAINING FRACTIONS WITH VARYING DEREES OF ACTIVITY

Japan

 

Pending

 

2007-510759

 

8-Apr-2005

 

 

 

 

 

Chemtura Corporation

 

METHOD FOR THE PREPARATION OF A HYDROXYALKYL HINDERED

 

69



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PHENOLIC ANTIOXIDANT

Japan

 

Pending

 

2006-523929

 

11-Aug-2004

 

 

 

 

 

Chemtura Corporation

 

Stabilization System for Halogen-Containing Polymers

Japan

 

Pending

 

2006-533625

 

8-Jun-2004

 

 

 

 

 

Chemtura Corporation

 

Sodium Petroleum Sulfonate blends as Emulsifiers for Petroleum Oil

Japan

 

Pending

 

awaiting

 

15-Jan-2010

 

 

 

 

 

Chemtura Corporation

 

Reaction Products of Mercaptobenzothiazoles, Mercaptothiazolines, and Mercaptobenzimidazoles with Epoxides as Lubricant Additives

Japan

 

Pending

 

2006-523224

 

4-Aug-2004

 

 

 

 

 

Chemtura Corporation

 

Reaction Products of Mercaptobenzothiazoles, Mercaptothiazolines, and Mercaptobenzimidazoles with Epoxides as Lubricant Additives

Japan

 

Pending

 

2006-539617

 

1-Nov-2004

 

 

 

 

 

Chemtura Corporation

 

Method of Making Hydroxyalkyl Amide Containing Reduced Level of Unreacted Alkanolamine

Japan

 

Pending

 

2006-539580

 

29-Oct-2004

 

 

 

 

 

Chemtura Corporation

 

PROCESS FOR REMOVAL OF CATALYST RESIDUES FROM POLY-ALPHA-OLEFINS

Japan

 

Pending

 

2006-539616

 

1-Nov-2004

 

 

 

 

 

Chemtura Corporation

 

Method of Purifying Hydroxyalkyl Amide

Japan

 

Pending

 

2006-552149

 

19-Jan-2005

 

 

 

 

 

Chemtura Corporation

 

LUBRICANT COMPOSITIONS

 

70



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COMPRISING AN ANTIOXIDANT BLEND

Japan

 

Pending

 

2006-543838

 

15-Nov-2004

 

 

 

 

 

Chemtura Corporation

 

LOW SEDIMENT FRICTION MODIFIERS

Japan

 

Pending

 

2007-503072

 

9-Mar-2005

 

 

 

 

 

Chemtura Corporation

 

LUBRICANT AND FUEL COMPOSITIONS CONTAINING HYDROXY POLYCARBOXYLIC ACID ESTERS

Japan

 

Pending

 

2007-506199

 

7-Mar-2005

 

 

 

 

 

Chemtura Corporation

 

Dithiocarbamate Derivatives Useful as Lubricant and Fuel Additives

Japan

 

Pending

 

2007-522495

 

19-May-2005

 

 

 

 

 

Chemtura Corporation

 

FUEL AND LUBRICANT ADDITIVE CONTAINING ALKYL HYDROXY CARBOXYLIC ACID BORON ESTERS

Japan

 

Pending

 

2007-538905

 

1-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

1,3-DITHIOLANE-2-THIONE ADDITIVES FOR LUBRICANTS AND FUELS

Japan

 

Pending

 

2007-558227

 

1-Mar-2006

 

 

 

 

 

Chemtura Corporation

 

Method for Improving the Oxidative Stability of Industrial Fluids

Japan

 

Pending

 

2007-554176

 

31-Jan-2006

 

 

 

 

 

Chemtura Corporation

 

MEANS FOR CONTROLLING THE EXOTHERMIC REACTION OF STYRENIC MONOMERS WITH

 

71



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SULFONIC ACIDS

Japan

 

Pending

 

2007-534593

 

18-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

STABILIZED LUBRICANT COMPOSITIONS

Japan

 

Pending

 

2007-545454

 

24-Oct-2005

 

 

 

 

 

Chemtura Corporation

 

LUBRICANT COMPOSITIONS STABILIZED WITH MULTIPLE ANTIOXIDANTS

Japan

 

Pending

 

2007-533463

 

20-Jul-2005

 

 

 

 

 

Chemtura Corporation

 

Sulfonated Phenols with Nitrophenols as Polymerization Inhibitors

Japan

 

Pending

 

2007-533491

 

26-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

SULFONATED NITROPHENOL AS POLYMERIZATION INHIBITORS

Japan

 

Pending

 

2007-538903

 

30-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

EPOXIDIZED ESTER ADDITIVES FOR REDUCING LEAD CORROSION IN LUBRICANTS AND FUELS

Japan

 

Pending

 

2007-543404

 

16-Nov-2005

 

 

 

 

 

Chemtura Corporation

 

DITHIOCARBAMYL B-HYDROXY FATTY ACID ESTERS AS ADDITIVES FOR LUBRICANTS AND FUELS

Japan

 

Pending

 

2007-558294

 

2-Mar-2006

 

 

 

 

 

Chemtura Corporation

 

INSECTICIDAL, ACARICIDAL, AND FUNGICIDAL NITOMETHYLENE COMPOUNDS

Japan

 

Pending

 

2008-504163

 

21-Mar-2006

 

 

 

 

 

Chemtura Corporation

 

MITICIDAL TRIAZOLIDINE DERIVATIVES

Japan

 

Pending

 

2008-510075

 

28-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

ALKYLTIN SULFANYL

 

72



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

MERCAPTOCARBOXYLATES HAVING TERMINAL THIOL GROUPS

Japan

 

Pending

 

2008-505552

 

4-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

METHOD OF IMPROVING PROPERTIES OF HYDROFORMING FLUIDS USING OVERBASED SULFONATE

Japan

 

Pending

 

2008-512302

 

28-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

STABILIZER BLEND FOR IMPROVED CHLORINE RESISTANCE

Japan

 

Pending

 

2008-516891

 

24-May-2006

 

 

 

 

 

Chemtura Corporation

 

Ortho-Nitrosophenols as Polymerization Inhibitors

Japan

 

Pending

 

2008-524157

 

25-Jul-2006

 

 

 

 

 

Chemtura Corporation

 

Cellulosic-Thermoplastic Composite and Method of Making the Same

Japan

 

Pending

 

2008-535704

 

10-Oct-2006

 

 

 

 

 

Chemtura Corporation

 

DIAROMATIC AMINES

Japan

 

Granted

 

5-12136

 

28-Jan-1993

 

3293921

 

5-Apr-2002

 

Chemtura Corporation

 

PROCESS FOR MAKING PHOSPHITE ESTERS

Japan

 

Granted

 

167291/94

 

20-Jul-1994

 

3616662

 

12-Nov-2004

 

Chemtura Corporation

 

NEOALKYL ALKYLIDENE-2,2-BISPHENYL AND BIPHENYL PHOSPHITE ESTERS

Japan

 

Granted

 

266547/95

 

16-Oct-1995

 

4195730

 

3-Oct-2008

 

Chemtura Corporation

 

AMINE-STABILIZED AMORPHOUS

 

73



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PHOSPHITE

Japan

 

Granted

 

513559/97

 

24-Sep-1996

 

4372840

 

11-Sep-2009

 

Chemtura Corporation

 

POLYMER COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES AND HYDROCARBON AMINE OXIDE STABILIZER COMPOSITIONS

Japan

 

Granted

 

235179/98

 

21-Aug-1998

 

4128279

 

23-May-2008

 

Chemtura Corporation

 

PROCESS FOR THE PREPARATION OF PHOSPHITES

Japan

 

Pending

 

2008-543346

 

20-Nov-2006

 

 

 

 

 

Chemtura Corporation

 

LUBRICATING OIL COMPOSITIONS

Japan

 

Pending

 

2008-545642

 

1-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

Alkylation of N’-phenyl-N-alkylphenylenediamines in ionic liquid, N’-phenyl-N-alkyl (alkylphenylene) diamines produced thereby, and lubricant compositions containing same

 

 

Japan

 

Pending

 

2008-545632

 

1-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

ALKYLATION OF A DIPHENYLAMINE COMPOUND IN IONIC LIQUID

Japan

 

Pending

 

2008-545631

 

1-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

RING ALKYLATION OF ANILINE OR AN ANILINE DERIVATIVE USING IONIC

 

74



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

LIQUID CATALYSTS

Japan

 

Pending

 

2008-549481

 

12-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

DIAROMATIC AMINE DERIVATIVES AS ANTIOXIDANTS

Japan

 

Pending

 

2008-549485

 

15-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

LUBRICATING OIL AND FUEL COMPOSITIONS

Japan

 

Pending

 

2008-552323

 

16-Jan-2007

 

 

 

 

 

Chemtura Corporation

 

DIRECT ALKYLATION OF N-ALKYL-N’-PHENYL-p-PHENYLENEDIAMINE

Japan

 

Pending

 

2009-513131

 

5-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED STORAGE STABLE ONE COMPONENT POLYURETHANE SYSTEM

Japan

 

Pending

 

2009-501582

 

21-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Composition For Use In Styrenics

Japan

 

Pending

 

2009-512130

 

23-May-2007

 

 

 

 

 

Chemtura Corporation

 

FUNCTIONAL POLYOLEFINS USEFUL AS METAL ADHESION PROMOTERS

Japan

 

Pending

 

2009-515393

 

7-May-2007

 

 

 

 

 

Chemtura Corporation

 

ANTIOXIDANT ADDITIVE FOR BIODIESEL FUELS

Japan

 

Pending

 

2009-516481

 

20-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

Japan

 

Pending

 

2009-525598

 

20-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

BROMINATED FLAME RETARDANT

Japan

 

Pending

 

PCT/US2007/019101

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

PROCESS FOR REMOVAL OF RESIDUAL CATALYST

 

75



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COMPONENTS

Japan

 

Pending

 

2009-528234

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

ISOCYANATE TERMINATED POLYCAPROLACTONE POLYURETHANE PREPOLYMERS

Japan

 

Pending

 

2009-534571

 

6-Sep-2007

 

 

 

 

 

Chemtura Corporation

 

SOLUBLE OIL CONTAINING OVERBASED SULFONATE ADDITIVES

Japan

 

Pending

 

2009-535272

 

22-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Solid Composition for Treating Water

Japan

 

Pending

 

2009-552664

 

6-Dec-2007

 

 

 

 

 

Chemtura Corporation

 

New Flame Retardants for Use in Styrenics Forms

Japan

 

Pending

 

2009-549307

 

14-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Stabilization of Polymers with Styrenated-P-Cresols

Japan

 

Pending

 

2009-552776

 

25-Jan-2008

 

 

 

 

 

Chemtura Corporation

 

FLAME RETARDANT COMPOSITION FOR USE IN STYRENICS

Japan

 

Pending

 

PCT/US2008/061097

 

22-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Halogenated Polymer Compositions

Japan

 

Pending

 

PCT/2008/058099

 

25-Mar-2008

 

 

 

 

 

Chemtura Corporation

 

STARCH-POLYOLEFIN COMPOSITES WITH IMPROVED PERFORMANCE

Japan

 

Pending

 

PCT/US2008/059239

 

3-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Pesticidal Diazene Oxide Carboxylates

Japan

 

Pending

 

PCT/US2008/068105

 

25-Jun-2008

 

 

 

 

 

Chemtura Corporation

 

Lubricant Compositions Stabilized with Styrenated Phenolic Antioxidant

 

76



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Japan

 

Pending

 

PCT/US2008/069320

 

7-Jul-2008

 

 

 

 

 

Chemtura Corporation

 

Liquid Styrenated Phenolic Compositions and Processes for Forming Same 

Japan

 

Pending

 

PCT/US2008/071862

 

1-Aug-2008

 

 

 

 

 

Chemtura Corporation

 

RUBBER COMPOSITIONS

Japan

 

Pending

 

2009-524747

 

10-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

Antioxidants and Methods of Making Antioxidants

Japan

 

Pending

 

2009-544130

 

25-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Antioxidants for Synthetic Lubricants and Methods and Manufacture

Japan

 

Pending

 

2003-502131

 

31-May-2002

 

 

 

 

 

Chemtura Corporation

 

High Temperature Lubricant Composition

Japan

 

Granted

 

2006-092839

 

30-Mar-2006

 

4316581

 

29-May-2009

 

Chemtura Corporation

 

HIGH PERFORMANCE POLYURETHANE ELASTOMERS FROM MDI PREPOLYMERS WITH REDUCED CONTENT OF FREE MDI MONOMER

Japan

 

Pending

 

2007-534834

 

30-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

Improved Polymers of Bromostyrenes Having Controlled Molecular Weight

Japan

 

Pending

 

2007-544508

 

1-Dec-2005

 

 

 

 

 

Chemtura Corporation

 

NON-SCORCH FLAME RETARDED POLYURETHANE FOAM

Japan

 

Pending

 

543855/99

 

25-Feb-1999

 

 

 

 

 

Chemtura Corporation

 

VISCOSITY DRIFT CONTROL IN

 

77



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

OVERBASED DETERGENTS

Japan

 

Granted

 

550448/99

 

25-Feb-1999

 

4073046

 

1-Feb-2008

 

Chemtura Corporation

 

OVERBASED MAGNESIUM DEPOSIT CONTROL ADDITIVE FOR RESIDUAL FU EL OILS

Japan

 

Granted

 

2002-519466

 

7-Aug-2001

 

3871645

 

27-Oct-2006

 

Chemtura Corporation

 

DIRECT SYNTHESIS OF TIN (II)  AND CARBOXYLATES AND TIN (IV) CARBOXYLATES FROM ELEMENTAL TIN OR TIN OXIDES

Japan

 

Granted

 

111744/91

 

16-May-1991

 

3241397

 

19-Oct-2001

 

Chemtura Corporation

 

POLYMER STABILIZER AND POLYMER COMPOSITION STABILIZED THEREW ITH

Luxembourg

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

Malaysia

 

Granted

 

PI20014792

 

15-Oct-2001

 

MY-131817-A

 

28-Sep-2007

 

Chemtura Corporation

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Malaysia

 

Pending

 

PI20054518

 

26-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

SULFONATED PHENOLS WITH NITROPHENOLS AS

 

78



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

POLYMERIZATION INHIBITORS

Malaysia

 

Pending

 

PI20054519

 

26-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

Sulfonated Nitrophenol as Polymerization Inhibitors

Malaysia

 

Pending

 

PI20055658

 

2-Dec-2005

 

 

 

 

 

Chemtura Corporation

 

Aromatic Sulfonic Acids, Amines and Nitrophenols in combination With Nitroxyl Radical-Containing Compounds or C-Nitrosanilines as Polymerization Inhibitors

Mexico

 

Pending

 

PA/a/2006/001942

 

11-Aug-2004

 

 

 

 

 

Chemtura Corporation

 

Stabilization System for Halogen-Containing Polymers

Mexico

 

Pending

 

MX/a/2007/009236

 

31-Jan-2006

 

 

 

 

 

Chemtura Corporation

 

MEANS FOR CONTROLLING THE EXOTHERMIC REACTION OF STYRENIC MONOMERS WITH SULFONIC ACIDS

Mexico

 

Pending

 

MX/a/2007/003663

 

20-Jul-2005

 

 

 

 

 

Chemtura Corporation

 

Sulfonated Phenols with Nitrophenols as Polymerization Inhibitors

Mexico

 

Granted

 

MX-a/2007/003399

 

26-Aug-2005

 

263538

 

7-Jan-2009

 

Chemtura Corporation

 

SULFONATED NITROPHENOL AS POLYMERIZATION INHIBITORS

Mexico

 

Pending

 

MX/a/2007/006608

 

26-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

Aromatic Sulfonic Acids, Amines and Nitrophenols in combination With Nitroxyl Radical-Containing

 

79



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Compounds or C-Nitrosanilines as Polymerization Inhibitors

Mexico

 

Pending

 

MX12007/015247

 

24-May-2006

 

 

 

 

 

Chemtura Corporation

 

Ortho-Nitrosophenols as Polymerization Inhibitors

Mexico

 

Pending

 

MX/a/2008/011337

 

5-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED STORAGE STABLE ONE COMPONENT POLYURETHANE SYSTEM

Mexico

 

Pending

 

MX/a/2008/016035

 

20-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

Mexico

 

Pending

 

MX/a/2008/002572

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

ISOCYANATE TERMINATED POLYCAPROLACTONE POLYURETHANE PREPOLYMERS

Mexico

 

Pending

 

MX/a/2009/004633

 

22-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Solid Composition for Treating Water

Mexico

 

Granted

 

MX/f/2008/00940

 

22-Apr-2008

 

28197

 

13-May-2009

 

Chemtura Corporation

 

TIRE

Netherlands

 

Granted

 

02715143.0

 

15-Mar-2002

 

1397427

 

16-Nov-2005

 

Chemtura Corporation

 

Thermoplastic Resins in Contact With Metals or Metal Salts Stabilized by Blends of Dithiocarbamates and Metal Deactivators

Netherlands

 

Granted

 

03763038.1

 

27-Jun-2003

 

1539872

 

17-Jun-2009

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

Netherlands

 

Granted

 

03741907.4

 

6-Jun-2003

 

1517878

 

21-Mar-2007

 

Chemtura Corporation

 

Complexes of Metal Salts of Organic Acids and B-

 

80



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Diketones and Methods for Producing Same

Netherlands

 

Granted

 

04810187.7

 

29-Oct-2004

 

1692191

 

10-Jun-2009

 

Chemtura Corporation

 

PROCESS FOR REMOVAL OF CATALYST RESIDUES FROM POLY-ALPHA-OLEFINS

Netherlands

 

Granted

 

05810208.8

 

26-Aug-2005

 

1794107

 

26-Nov-2008

 

Chemtura Corporation

 

Sulfonated Nitrophenol as Polymerization Inhibitors

Netherlands

 

Granted

 

00942338.5

 

24-Jul-2000

 

1127083

 

12-Sep-2007

 

Chemtura Corporation

 

POLYOLEFIN GRAFT COPOLYMERS MADE WITH FLUORINATED MONOMERS

Netherlands

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

Netherlands

 

Granted

 

00977001.7

 

28-Nov-2000

 

1233989

 

2-Nov-2005

 

Chemtura Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Netherlands

 

Granted

 

00976993.6

 

6-Nov-2000

 

1233937

 

26-Oct-2005

 

Chemtura Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Netherlands

 

Granted

 

00978566.8

 

13-Nov-2000

 

1235885

 

15-Aug-2007

 

Chemtura Corporation

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER

 

81



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

GROWTH

Netherlands

 

Granted

 

00963502.0

 

15-Sep-2000

 

1135288

 

29-Oct-2008

 

Chemtura Corporation

 

SIDE BEARING PAD

Netherlands

 

Granted

 

00973742.0

 

20-Oct-2000

 

1228172

 

31-May-2006

 

Chemtura Corporation

 

SUBSTITUTED LINEAR THIOUREA ADDITIVES FOR LUBRICANTS

Netherlands

 

Granted

 

06738834.8

 

20-Mar-2006

 

1861458

 

30-Sep-2009

 

Chemtura Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

Netherlands

 

Granted

 

99939198.0

 

25-Feb-1999

 

1086195

 

9-Jun-2004

 

Chemtura Corporation

 

MARINE CYLINDER OILS CONTAINING HIGH VISCOSITY DETERGENTS

Netherlands

 

Granted

 

01959611.3

 

7-Aug-2001

 

1307465

 

19-Oct-2005

 

Chemtura Corporation

 

DIRECT SYNTHESIS OF TIN (II)  AND CARBOXYLATES AND TIN (IV) CARBOXYLATES FROM ELEMENTAL TIN OR TIN OXIDES

New Zealand

 

Pending

 

566491

 

31-Aug-2006

 

 

 

 

 

Chemtura Corporation

 

Method for Determining Chlorine Demand in Water

New Zealand

 

Pending

 

576377

 

22-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Solid Composition for Treating Water

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/060206

 

9-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Amylaryl Phosphite Compositions

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/062091

 

26-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Butylaryl Phosphite Compositions

Patent Cooperation

 

Pending

 

PCT/US2009/062089

 

26-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Composition Derived

 

82



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Treaty

 

 

 

 

 

 

 

 

 

 

 

 

 

from Cresols

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/060213

 

9-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Compositions Having Different Alkyl Groups

Patent Cooperation Treaty

 

Pending

 

PCT/US2008/079181

 

8-Oct-2008

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Compositions  

Patent Cooperation Treaty

 

Pending

 

PCT/US2008/081248

 

27-Oct-2008

 

 

 

 

 

Chemtura Corporation

 

Diaromatic Amide Derivatives as Antioxidants

Patent Cooperation Treaty

 

Pending

 

PCT/US2008/081254

 

27-Oct-2008

 

 

 

 

 

Chemtura Corporation

 

Acridan Derivatives as Antioxidants

Patent Cooperation Treaty

 

Pending

 

PCT/US2008/085353

 

3-Dec-2008

 

 

 

 

 

Chemtura Corporation

 

Stabilized Polymer Compositions

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/033986

 

13-Feb-2009

 

 

 

 

 

Chemtura Corporation

 

Modular Tire Assembly

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/030704

 

12-Jan-2009

 

 

 

 

 

Chemtura Corporation

 

Controlling Branch Level and Viscosity of Polyalphaolefins with Propene Addition

Patent Cooperation Treaty

 

Pending

 

PCT/US2008/081111

 

24-Oct-2008

 

 

 

 

 

Chemtura Corporation

 

Non-Pneumatic Tire

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/033983

 

13-Feb-2009

 

 

 

 

 

Chemtura Corporation

 

Polyurethane Elastomer Articles from Low Free Diphenylmethane Diisocyanate Prepolymers

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/041115

 

20-Apr-2009

 

 

 

 

 

Chemtura Corporation

 

Polyalphaolefins and Processes for Forming Polyalphaolefins

Patent Cooperation

 

Pending

 

PCT/US2009/044328

 

18-May-2009

 

 

 

 

 

Chemtura Corporation

 

Reation Injection Molding System and

 

83



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Treaty

 

 

 

 

 

 

 

 

 

 

 

 

 

Processes for Producing Polyurethane Articles

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/055571

 

1-Sep-2009

 

 

 

 

 

Chemtura Corporation

 

Blended Phosphite or Phosphonite Compositions Having Improved Hydrolytic Stability

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/044330

 

18-May-2009

 

 

 

 

 

Chemtura Corporation

 

Phosphite Stabilizer for Lubricating Base Stocks and Thermoplastic Polymers

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/045937

 

2-Jun-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Additives for the Stabilization of Lubricant Compositions

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/044337

 

18-May-2009

 

 

 

 

 

Chemtura Corporation

 

Substituted Triazine Compositions and Methods for Producing Same

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/053070

 

7-Aug-2009

 

 

 

 

 

Chemtura Corporation

 

Enhanced Oil Recovery Using Sulfonate Mixtures

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/045946

 

9-Sep-2008

 

 

 

 

 

Chemtura Corporation

 

Anti-Oxidants

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/060446

 

13-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Multiple Hardness Non-Pneumatic Tire

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/060451

 

13-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Lubricants for Refigeration Systems

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/060757

 

15-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Antioxidant Compositions

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/065627

 

24-Nov-2009

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Halogenated Phenyl Ether Blends

Patent

 

Pending

 

PCT/US2010/02

 

8-Jan-2010

 

 

 

 

 

Chemtura

 

Carbon Dioxide-

 

84



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Cooperation Treaty

 

 

 

0453

 

 

 

 

 

 

 

Corporation

 

Based Working Fluids For Refrigeration and Air Conditioning Systems

Patent Cooperation Treaty

 

Pending

 

PCT/US2010/021619

 

21-Jan-2010

 

 

 

 

 

Chemtura Corporation

 

Production of Polyol Ester Lubricants for Refrigeration Systems

Peru

 

Pending

 

270-2009

 

24-Feb-2009

 

 

 

 

 

Chemtura Corporation

 

Modular Tire Assembly

Peru

 

Pending

 

1835-2008

 

27-Oct-2008

 

 

 

 

 

Chemtura Corporation

 

Non-Pneumatic Tire

Peru

 

Pending

 

271-2009

 

24-Feb-2009

 

 

 

 

 

Chemtura Corporation

 

Polyurethane Elastomer Articles from Low Free Diphenylmethane Diisocyanate Prepolymers

Poland

 

Pending

 

P-387494

 

20-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

Poland

 

Pending

 

PCT/US08/53979

 

14-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Stabilization of Polymers with Styrenated-P-Cresols

Poland

 

Granted

 

06738834.8

 

20-Mar-2006

 

1861458

 

30-Sep-2009

 

Chemtura Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

Republic of Korea

 

Granted

 

7016252/2002

 

15-May-2001

 

10-0706479

 

4-Apr-2007

 

Chemtura Corporation

 

Clarification method for oil dispersions comprising overbased detergents containing calcite

 

 

Republic of Korea

 

Granted

 

7005938/2003

 

25-Sep-2001

 

10-0805054

 

12-Feb-2008

 

Chemtura Corporation

 

Sizing Composition

Republic of

 

Granted

 

2003-7014790

 

15-Mar-2002

 

10-0838009

 

5-Jun-2008

 

Chemtura

 

Thermoplastic Resins

 

85



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Korea

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

in Contact With Metals or Metal Salts Stabilized by Blends of Dithiocarbamates and Metal Deactivators

Republic of Korea

 

Pending

 

2006-7005839

 

16-Dec-2003

 

 

 

 

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

Republic of Korea

 

Granted

 

7012692/2004

 

29-Jan-2003

 

10-0927635

 

12-Nov-2009

 

Chemtura Corporation

 

NITROSOPHENOLS AND C-NITROSOANILINES AS POLYMERIZATION INHIBITORS

Republic of Korea

 

Pending

 

2006-7022613

 

8-Apr-2005

 

 

 

 

 

Chemtura Corporation

 

METHOD FOR THE PREPARATION OF A HYDROXYALKYL HINDERED PHENOLIC ANTIOXIDANT

Republic of Korea

 

Pending

 

10-2006-7003482

 

11-Aug-2004

 

 

 

 

 

Chemtura Corporation

 

Stabilization System for Halogen-Containing Polymers

Republic of Korea

 

Pending

 

7001834/2006

 

13-Jul-2004

 

 

 

 

 

Chemtura Corporation

 

RADIATION-CURABLE POLYURETHANE

Republic of Korea

 

Pending

 

7015703/2006

 

19-Jan-2005

 

 

 

 

 

Chemtura Corporation

 

LUBRICANT COMPOSITIONS COMPRISING AN ANTIOXIDANT BLEND

Republic of Korea

 

Pending

 

7001493/2007

 

19-May-2005

 

 

 

 

 

Chemtura Corporation

 

FUEL AND LUBRICANT ADDITIVE CONTAINING

 

86



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ALKYL HYDROXY CARBOXYLIC ACID BORON ESTERS

Republic of Korea

 

Pending

 

7019350/2007

 

1-Mar-2006

 

 

 

 

 

Chemtura Corporation

 

Method for Improving the Oxidative Stability of Industrial Fluids

Republic of Korea

 

Pending

 

7017634/2007

 

31-Jan-2006

 

 

 

 

 

Chemtura Corporation

 

MEANS FOR CONTROLLING THE EXOTHERMIC REACTION OF STYRENIC MONOMERS WITH SULFONIC ACIDS

Republic of Korea

 

Pending

 

7007162/2007

 

18-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

STABILIZED LUBRICANT COMPOSITIONS

Republic of Korea

 

Pending

 

7012921/2007

 

24-Oct-2005

 

 

 

 

 

Chemtura Corporation

 

LUBRICANT COMPOSITIONS STABILIZED WITH MULTIPLE ANTIOXIDANTS

Republic of Korea

 

Pending

 

2007-7006908

 

20-Jul-2005

 

 

 

 

 

Chemtura Corporation

 

Sulfonated Phenols with Nitrophenols as Polymerization Inhibitors

Republic of Korea

 

Pending

 

2007-7006907

 

26-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

SULFONATED NITROPHENOL AS POLYMERIZATION INHIBITORS

Republic of Korea

 

Pending

 

7014968/2007

 

26-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

Aromatic Sulfonic Acids, Amines and Nitrophenols in combination With Nitroxyl Radical-Containing Compounds or C-Nitrosanilines as Polymerization

 

87



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Inhibitors

Republic of Korea

 

Pending

 

2007-7011582

 

16-Nov-2005

 

 

 

 

 

Chemtura Corporation

 

DITHIOCARBAMYL B-HYDROXY FATTY ACID ESTERS AS ADDITIVES FOR LUBRICANTS AND FUELS

Republic of Korea

 

Pending

 

7025491/2007

 

28-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

ALKYLTIN SULFANYL MERCAPTOCARBOXYLATES HAVING TERMINAL THIOL GROUPS

Republic of Korea

 

Pending

 

7022162/2007

 

4-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

METHOD OF IMPROVING PROPERTIES OF HYDROFORMING FLUIDS USING OVERBASED SULFONATE

Republic of Korea

 

Pending

 

2007-7026363

 

28-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

STABILIZER BLEND FOR IMPROVED CHLORINE RESISTANCE

Republic of Korea

 

Pending

 

2007-7028384

 

24-May-2006

 

 

 

 

 

Chemtura Corporation

 

Ortho-Nitrosophenols as Polymerization Inhibitors

Republic of Korea

 

Pending

 

2007-7029141

 

25-Jul-2006

 

 

 

 

 

Chemtura Corporation

 

Cellulosic-Thermoplastic Composite and Method of Making the Same

Republic of Korea

 

Granted

 

98-9413

 

19-Mar-1998

 

10-0570861

 

6-Apr-2006

 

Chemtura Corporation

 

SYNTHESIS OF TERTIARY AMINE OXIDES

Republic of Korea

 

Granted

 

98-35192

 

28-Aug-1998

 

641508

 

25-Oct-2006

 

Chemtura Corporation

 

PROCESS FOR THE PREPARATION OF

 

88



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PHOSPHITES

Republic of Korea

 

Granted

 

2000-7010619

 

10-Mar-1999

 

622744

 

4-Sep-2006

 

Chemtura Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BIS-PHOSPHITES

Republic of Korea

 

Granted

 

2001-7007163

 

5-Oct-1999

 

662952

 

21-Dec-2006

 

Chemtura Corporation

 

STABILIZED THERMOPLASTIC COMPOSITIONS

Republic of Korea

 

Granted

 

2000-7011449

 

30-Mar-1999

 

622745

 

4-Sep-2006

 

Chemtura Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BISPHOSPHITES USING FINELY GROUND PENTAERYTHRITOL

Republic of Korea

 

Granted

 

2003-7004498

 

28-Sep-2001

 

10-0881532

 

23-Jan-2009

 

Chemtura Corporation

 

METHOD OF MAKING METAL SALTS OF 2,4,6-TRI-T-BUTYLPHENOL

Republic of Korea

 

Granted

 

2003-7002019

 

27-Jun-2001

 

826752

 

24-Apr-2008

 

Chemtura Corporation

 

Process for the Preparation of Hindered Phosphites

Republic of Korea

 

Pending

 

2008-7012625

 

20-Nov-2006

 

 

 

 

 

Chemtura Corporation

 

LUBRICATING OIL COMPOSITIONS

Republic of Korea

 

Pending

 

2008-7021740

 

5-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED STORAGE STABLE ONE COMPONENT POLYURETHANE SYSTEM

Republic of Korea

 

Pending

 

2008-7022845

 

21-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Composition For Use In Styrenics

Republic of Korea

 

Pending

 

2008-7028658

 

23-May-2007

 

 

 

 

 

Chemtura Corporation

 

FUNCTIONAL POLYOLEFINS USEFUL AS METAL ADHESION PROMOTERS

Republic of

 

Pending

 

2008-7029548

 

20-Apr-2007

 

 

 

 

 

Chemtura

 

Liquid Phosphite

 

89



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Korea

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

Blends as Stabilizers

Republic of Korea

 

Pending

 

2009-7003445

 

20-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

BROMINATED FLAME RETARDANT

Republic of Korea

 

Pending

 

2009-7004641

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

PROCESS FOR REMOVAL OF RESIDUAL CATALYST COMPONENTS

Republic of Korea

 

Pending

 

7008278/2009

 

6-Sep-2007

 

 

 

 

 

Chemtura Corporation

 

SOLUBLE OIL CONTAINING OVERBASED SULFONATE ADDITIVES

Republic of Korea

 

Pending

 

2009-7011530

 

15-Nov-2007

 

 

 

 

 

Chemtura Corporation

 

Peroxide Reduction in Functionalized Vegetable Oils

Republic of Korea

 

Pending

 

2009-7018566

 

6-Dec-2007

 

 

 

 

 

Chemtura Corporation

 

New Flame Retardants for Use in Styrenics Forms

Republic of Korea

 

Pending

 

2009-7017376

 

14-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Stabilization of Polymers with Styrenated-P-Cresols

Republic of Korea

 

Pending

 

2009-7018565

 

25-Jan-2008

 

 

 

 

 

Chemtura Corporation

 

FLAME RETARDANT COMPOSITION FOR USE IN STYRENICS

Republic of Korea

 

Pending

 

2009-7022108

 

22-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Halogenated Polymer Compositions

Republic of Korea

 

Pending

 

PCT/US2008/068105

 

25-Jun-2008

 

 

 

 

 

Chemtura Corporation

 

Lubricant Compositions Stabilized with Styrenated Phenolic Antioxidant

Republic of Korea

 

Pending

 

PCT/US2008/069320

 

7-Jul-2008

 

 

 

 

 

Chemtura Corporation

 

Liquid Styrenated Phenolic Compositions and Processes for

 

90



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Forming Same 

Republic of Korea

 

Pending

 

PCT/US2008/071862

 

1-Aug-2008

 

 

 

 

 

Chemtura Corporation

 

RUBBER COMPOSITIONS

Republic of Korea

 

Pending

 

2009-7002756

 

10-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

Antioxidants and Methods of Making Antioxidants

Republic of Korea

 

Pending

 

2009-7016383

 

25-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Antioxidants for Synthetic Lubricants and Methods and Manufacture

Republic of Korea

 

Granted

 

7007006/2002

 

6-Nov-2000

 

10-0715592

 

30-Apr-2007

 

Chemtura Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Republic of Korea

 

Granted

 

7006836/2002

 

1-Nov-2000

 

10-0791682

 

27-Dec-2007

 

Chemtura Corporation

 

HIGH PERFORMANCE POLYURETHANE ELASTOMERS FROM MDI PREPOLYMERS WITH REDUCED CONTENT OF FREE MDI MONOMER

Republic of Korea

 

Pending

 

2007-7009637

 

30-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

Improved Polymers of Bromostyrenes Having Controlled Molecular Weight

Republic of Korea

 

Pending

 

7012264/2007

 

1-Dec-2005

 

 

 

 

 

Chemtura Corporation

 

NON-SCORCH FLAME RETARDED POLYURETHANE FOAM

Republic of Korea

 

Granted

 

7001899/2003

 

7-Aug-2001

 

10-0785608

 

6-Dec-2007

 

Chemtura Corporation

 

DIRECT SYNTHESIS OF TIN (II)  AND CARBOXYLATES

 

91



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

AND TIN (IV) CARBOXYLATES FROM ELEMENTAL TIN OR TIN OXIDES

Republic of Korea

 

Pending

 

2007-7026370

 

13-Nov-2007

 

 

 

 

 

Chemtura Corporation

 

Direct Synthesis of Tin (II) and Carboxylates and Tin (IV) Carboxylates from Elemental Tin or Tin Oxides

Russian Federation

 

Granted

 

2006-113608

 

16-Dec-2003

 

2337935

 

10-Nov-2008

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

Russian Federation

 

Granted

 

2005134233

 

2-Apr-2004

 

2369596

 

10-Oct-2009

 

Chemtura Corporation

 

DIPHENYLAMINE ALKYLATED WITH OLEFIN MIXTURES CONTAINING FRACTIONS WITH VARYING DEREES OF ACTIVITY

Russian Federation

 

Granted

 

2006108116

 

11-Aug-2004

 

2355716

 

20-May-2009

 

Chemtura Corporation

 

Stabilization System for Halogen-Containing Polymers

Russian Federation

 

Granted

 

2005141449

 

8-Jun-2004

 

2360951

 

10-Jul-2009

 

Chemtura Corporation

 

Sodium Petroleum Sulfonate blends as Emulsifiers for Petroleum Oil

Russian Federation

 

Pending

 

2007106446

 

19-May-2005

 

 

 

 

 

Chemtura Corporation

 

FUEL AND LUBRICANT ADDITIVE CONTAINING ALKYL HYDROXY CARBOXYLIC ACID BORON ESTERS

 

92



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Russian Federation

 

Pending

 

2007133105

 

31-Jan-2006

 

 

 

 

 

Chemtura Corporation

 

MEANS FOR CONTROLLING THE EXOTHERMIC REACTION OF STYRENIC MONOMERS WITH SULFONIC ACIDS

Russian Federation

 

Pending

 

2007116174

 

20-Jul-2005

 

 

 

 

 

Chemtura Corporation

 

Sulfonated Phenols with Nitrophenols as Polymerization Inhibitors

Russian Federation

 

Pending

 

2007115889

 

26-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

SULFONATED NITROPHENOL AS POLYMERIZATION INHIBITORS

Russian Federation

 

Pending

 

2007125138

 

26-Aug-2005

 

 

 

 

 

Chemtura Corporation

 

Aromatic Sulfonic Acids, Amines and Nitrophenols in combination With Nitroxyl Radical-Containing Compounds or C-Nitrosanilines as Polymerization Inhibitors

Russian Federation

 

Pending

 

2007146715

 

28-Apr-2006

 

 

 

 

 

Chemtura Corporation

 

STABILIZER BLEND FOR IMPROVED CHLORINE RESISTANCE

Russian Federation

 

Pending

 

2007146776

 

24-May-2006

 

 

 

 

 

Chemtura Corporation

 

Ortho-Nitrosophenols as Polymerization Inhibitors

Russian Federation

 

Pending

 

2008128487

 

1-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

Alkylation of N’-phenyl-N-alkylphenylenediamines in ionic liquid, N’-phenyl-N-alkyl (alkylphenylene) diamines produced

 

93



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

thereby, and lubricant compositions containing same

Russian Federation

 

Pending

 

2008128488

 

1-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

ALKYLATION OF A DIPHENYLAMINE COMPOUND IN IONIC LIQUID

Russian Federation

 

Pending

 

2008128489

 

1-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

RING ALKYLATION OF ANILINE OR AN ANILINE DERIVATIVE USING IONIC LIQUID CATALYSTS

Russian Federation

 

Pending

 

2008131948

 

12-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

DIAROMATIC AMINE DERIVATIVES AS ANTIOXIDANTS

Russian Federation

 

Pending

 

2008131938

 

15-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

LUBRICATING OIL AND FUEL COMPOSITIONS

Russian Federation

 

Pending

 

2008134529

 

16-Jan-2007

 

 

 

 

 

Chemtura Corporation

 

DIRECT ALKYLATION OF N-ALKYL-N’-PHENYL-p-PHENYLENEDIAMINE

Russian Federation

 

Pending

 

2008139293

 

2-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

COUPLING AGENTS FOR NATURAL FIBER-FILLED POLYOLEFINS

Russian Federation

 

Pending

 

2008139871

 

5-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

Improved Storage Stable One Component

 

94



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Polyurethane System

Russian Federation

 

Pending

 

2008140306

 

12-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

Russian Federation

 

Pending

 

2008151424

 

23-May-2007

 

 

 

 

 

Chemtura Corporation

 

FUNCTIONAL POLYOLEFINS USEFUL AS METAL ADHESION PROMOTERS

Russian Federation

 

Pending

 

2009100916

 

7-May-2007

 

 

 

 

 

Chemtura Corporation

 

ANTIOXIDANT ADDITIVE FOR BIODIESEL FUELS

Russian Federation

 

Pending

 

2009101471

 

20-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

Russian Federation

 

Pending

 

2008138709

 

23-Feb-2007

 

 

 

 

 

Chemtura Corporation

 

STABILIZING COMPOSITIONS FOR LUBRICANTS

Russian Federation

 

Pending

 

2009115713

 

24-Sep-2007

 

 

 

 

 

Chemtura Corporation

 

FLAME RESISTANCE NATURAL FIBER-FILLED THERMOPLASTICS WITH IMPROVED PROPERTIES.

Russian Federation

 

Pending

 

2009112388

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

PROCESS FOR REMOVAL OF RESIDUAL CATALYST COMPONENTS

Russian Federation

 

Pending

 

2009113533

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

ISOCYANATE TERMINATED POLYCAPROLACTONE POLYURETHANE PREPOLYMERS

Russian

 

Pending

 

2009119512

 

6-Sep-2007

 

 

 

 

 

Chemtura

 

SOLUBLE OIL

 

95



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Federation

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

CONTAINING OVERBASED SULFONATE ADDITIVES

Russian Federation

 

Granted

 

2008501320

 

22-Apr-2008

 

72134

 

16-Sep-2009

 

Chemtura Corporation

 

TIRE

Russian Federation

 

Pending

 

2009137131

 

6-Dec-2007

 

 

 

 

 

Chemtura Corporation

 

New Flame Retardants for Use in Styrenics Forms

Russian Federation

 

Pending

 

2009132083

 

14-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Stabilization of Polymers with Styrenated-P-Cresols

Russian Federation

 

Pending

 

2009137004

 

25-Jan-2008

 

 

 

 

 

Chemtura Corporation

 

FLAME RETARDANT COMPOSITION FOR USE IN STYRENICS

Russian Federation

 

Pending

 

PCT/US2008/068105

 

25-Jun-2008

 

 

 

 

 

Chemtura Corporation

 

Lubricant Compositions Stabilized with Styrenated Phenolic Antioxidant

Russian Federation

 

Pending

 

PCT/US2008/069320

 

7-Jul-2008

 

 

 

 

 

Chemtura Corporation

 

Liquid Styrenated Phenolic Compositions and Processes for Forming Same

Russian Federation

 

Pending

 

2009106457

 

10-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

Antioxidants and Methods of Making Antioxidants

Russian Federation

 

Pending

 

2009133471

 

25-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Antioxidants for Synthetic Lubricants and Methods and Manufacture

Saudi Arabia

 

Pending

 

05260393

 

7-Dec-2005

 

 

 

 

 

Chemtura Corporation

 

Sulfonated Nitrophenol as Polymerization Inhibitors

Saudi Arabia

 

Pending

 

05260371

 

29-Nov-2005

 

 

 

 

 

Chemtura Corporation

 

Aromatic Sulfonic Acids, Amines and

 

96



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Nitrophenols in combination With Nitroxyl Radical-Containing Compounds or C-Nitrosanilines as Polymerization Inhibitors

Saudi Arabia

 

Pending

 

07280306

 

9-Jun-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

Saudi Arabia

 

Pending

 

08290084

 

24-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Stabilization of Polymers with Styrenated-P-Cresols

Saudi Arabia

 

Pending

 

109300571

 

24-Sep-2008

 

 

 

 

 

Chemtura Corporation

 

Blended Phosphite or Phosphonite Compositions Having Improved Hydrolytic Stability

Saudi Arabia

 

Pending

 

109300525

 

19-Aug-2009

 

 

 

 

 

Chemtura Corporation

 

Enhanced Oil Recovery Using Sulfonate Mixtures

Singapore

 

Granted

 

200207266-8

 

15-May-2001

 

93462

 

30-Dec-2004

 

Chemtura Corporation

 

Clarification method for oil dispersions comprising overbased detergents containing calcite

Singapore

 

Granted

 

200206993-8

 

8-May-2001

 

93143

 

30-Dec-2004

 

Chemtura Corporation

 

NANOSIZED PARTICLES OF MOLYBDENUM SULFIDE AND DERIVATIVES AND USES THEREOF

Singapore

 

Granted

 

200401313-2

 

14-Sep-2001

 

103546

 

31-May-2006

 

Chemtura Corporation

 

MULTIFUNCTIONAL VISCOSITY INDEX IMPROVER AND DISPERSANT

 

97



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Singapore

 

Granted

 

200400257-2

 

18-Jul-2001

 

101847

 

27-Jan-2006

 

Chemtura Corporation

 

ORGANO-IMIDO MOLYBDENUM COMPLEXES AS FRICTION MODIFIER ADDITIVES FOR LUBRICANT COMPOSITIONS

Singapore

 

Granted

 

200307148-7

 

30-Apr-2002

 

100596

 

28-Feb-2006

 

Chemtura Corporation

 

THIADIAZOLIDINE ADDITIVES FOR LUBRICANTS

Singapore

 

Granted

 

200307027-3

 

3-May-2002

 

100554

 

28-Feb-2006

 

Chemtura Corporation

 

ALKYL HYDRAZIDE ADDITIVES FOR LUBRICANTS

Singapore

 

Granted

 

200307076-0

 

24-May-2002

 

100573

 

28-Feb-2006

 

Chemtura Corporation

 

OXADIAZOLE ADDITIVES FOR LUBRICANTS

Singapore

 

Granted

 

200406837-5

 

15-May-2003

 

108068

 

29-Dec-2006

 

Chemtura Corporation

 

Polyurethane Dispersions

Singapore

 

Granted

 

200502683-6

 

22-Oct-2003

 

111781

 

30-May-2007

 

Chemtura Corporation

 

METHOD FOR THE ALKYLATION OF SALICYLIC ACID

Singapore

 

Granted

 

200605125-4

 

19-Jan-2005

 

124539

 

27-Feb-2009

 

Chemtura Corporation

 

Detergent/Anti-Oxidant Additives for Fuels and Lubricants

Singapore

 

Pending

 

200900624-8

 

29-Jan-2009

 

 

 

 

 

Chemtura Corporation

 

DETERGENT/ANTI-OXIDANT ADDITIVES FOR FUELS AND LUBRICANTS

Singapore

 

Granted

 

200506744-2

 

23-Mar-2004

 

122991

 

31-Aug-2007

 

Chemtura Corporation

 

ALKYLATED IMINODIBENZYLS AS ANTIOXIDANTS

Singapore

 

Granted

 

200506431-6

 

2-Apr-2004

 

116154

 

31-Oct-2007

 

Chemtura Corporation

 

DIPHENYLAMINE ALKYLATED WITH OLEFIN MIXTURES CONTAINING

 

98



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FRACTIONS WITH VARYING DEREES OF ACTIVITY

Singapore

 

Granted

 

200600488-1

 

13-Jul-2004

 

119073

 

29-Aug-2008

 

Chemtura Corporation

 

RADIATION-CURABLE POLYURETHANE

Singapore

 

Granted

 

200603145-4

 

1-Nov-2004

 

122339

 

30-May-2007

 

Chemtura Corporation

 

Method of Making Hydroxyalkyl Amide Containing Reduced Level of Unreated Alkanolamine

Singapore

 

Pending

 

200700434-4

 

19-May-2005

 

 

 

 

 

Chemtura Corporation

 

FUEL AND LUBRICANT ADDITIVE CONTAINING ALKYL HYDROXY CARBOXYLIC ACID BORON ESTERS

Singapore

 

Granted

 

200702160-3

 

20-Jul-2005

 

130841

 

31-Mar-2008

 

Chemtura Corporation

 

Sulfonated Phenols with Nitrophenols as Polymerization Inhibitors

Singapore

 

Granted

 

200702048-0

 

26-Aug-2005

 

131200

 

31-Mar-2008

 

Chemtura Corporation

 

SULFONATED NITROPHENOL AS POLYMERIZATION INHIBITORS

Singapore

 

Granted

 

9705301-1

 

24-Sep-1996

 

47296

 

20-Nov-2001

 

Chemtura Corporation

 

POLYMER COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES AND HYDROCARBON AMINE OXIDE STABILIZER COMPOSITIONS

Singapore

 

Granted

 

200005212-6

 

10-Mar-1999

 

76007

 

25-Oct-2002

 

Chemtura Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BIS-

 

99



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PHOSPHITES

Singapore

 

Granted

 

200005354-6

 

30-Mar-1999

 

76124

 

16-Nov-2002

 

Chemtura Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BISPHOSPHITES USING FINELY GROUND PENTAERYTHRITOL

Singapore

 

Granted

 

200804522-1

 

1-Dec-2006

 

143636

 

31-Jul-2009

 

Chemtura Corporation

 

Alkylation of N’-phenyl-N-alkylphenylenediamines in ionic liquid, N’-phenyl-N-alkyl (alkylphenylene) diamines produced thereby, and lubricant compositions containing same

Singapore

 

Pending

 

200904745-7

 

13-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Alkylation of N’-phenyl-N-alkylphenylenediamines in ionic liquid, N’-phenyl-N-alkyl (alkylphenylene) diamines produced thereby, and lubricant compositions containing same

Singapore

 

Granted

 

200804519-7

 

1-Dec-2006

 

143633

 

31-Jul-2009

 

Chemtura Corporation

 

ALKYLATION OF A DIPHENYLAMINE COMPOUND IN IONIC LIQUID

 

100



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Singapore

 

Granted

 

200804520-5

 

1-Dec-2006

 

143634

 

31-Jul-2009

 

Chemtura Corporation

 

RING ALKYLATION OF ANILINE OR AN ANILINE DERIVATIVE USING IONIC LIQUID CATALYSTS

Singapore

 

Granted

 

200805061-9

 

12-Dec-2006

 

144326

 

31-Aug-2009

 

Chemtura Corporation

 

DIAROMATIC AMINE DERIVATIVES AS ANTIOXIDANTS

Singapore

 

Pending

 

200805062-7

 

15-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

LUBRICATING OIL AND FUEL COMPOSITIONS

Singapore

 

Granted

 

200805347-2

 

16-Jan-2007

 

144530

 

31-Aug-2009

 

Chemtura Corporation

 

DIRECT ALKYLATION OF N-ALKYL-N’-PHENYL-p-PHENYLENEDIAMINE

Singapore

 

Granted

 

200901583-5

 

30-Aug-2007

 

150782

 

30-Nov-2009

 

Chemtura Corporation

 

Process for Removal of Residual Catalyst Components

Singapore

 

Granted

 

200202852-0

 

6-Nov-2000

 

88998

 

30-Sep-2004

 

Chemtura Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Singapore

 

Granted

 

200004883-5

 

25-Feb-1999

 

75511

 

2-Oct-2002

 

Chemtura Corporation

 

MARINE CYLINDER OILS CONTAINING HIGH VISCOSITY DETERGENTS

Singapore

 

Granted

 

9905821-6

 

25-Feb-1999

 

69500

 

30-Sep-2005

 

Chemtura Corporation

 

OVERBASED MAGNESIUM DEPOSIT CONTROL ADDITIVE FOR RESIDUAL FU EL

 

101



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

OILS

South Africa

 

Granted

 

2007/09636

 

28-Apr-2006

 

2007/09636

 

26-Nov-2008

 

Chemtura Corporation

 

STABILIZER BLEND FOR IMPROVED CHLORINE RESISTANCE

South Africa

 

Pending

 

2008/08539

 

5-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED STORAGE STABLE ONE COMPONENT POLYURETHANE SYSTEM

South Africa

 

Pending

 

2008/10076

 

20-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

South Africa

 

Pending

 

2009/01594

 

30-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

ISOCYANATE TERMINATED POLYCAPROLACTONE POLYURETHANE PREPOLYMERS

South Africa

 

Pending

 

2009/02830

 

22-Oct-2007

 

 

 

 

 

Chemtura Corporation

 

Solid Composition for Treating Water

South Africa

 

Pending

 

F2008/00635

 

22-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

TIRE

South Africa

 

Granted

 

A2008/00634

 

22-Apr-2008

 

A2008/00634

 

29-Jun-2009

 

Chemtura Corporation

 

TIRE

South Africa

 

Granted

 

F2008/00633

 

22-Apr-2008

 

F2008/00633

 

29-Jun-2009

 

Chemtura Corporation

 

TIRE

South Africa

 

Granted

 

A2008/00639

 

22-Apr-2008

 

A2008/00639

 

29-Jun-2009

 

Chemtura Corporation

 

TIRE

Spain

 

Granted

 

05810208.8

 

26-Aug-2005

 

1794107

 

26-Nov-2008

 

Chemtura Corporation

 

Sulfonated Nitrophenol as Polymerization Inhibitors

Spain

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

Spain

 

Granted

 

97951736.4

 

16-Dec-1997

 

0964862

 

18-Apr-2007

 

Chemtura

 

INSECTICIDAL

 

102



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

OXADIAZINE COMPOUNDS

Spain

 

Granted

 

00978566.8

 

13-Nov-2000

 

1235885

 

15-Aug-2007

 

Chemtura Corporation

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER GROWTH

Spain

 

Granted

 

06738834.8

 

20-Mar-2006

 

1861458

 

30-Sep-2009

 

Chemtura Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

Spain

 

Granted

 

99939198.0

 

25-Feb-1999

 

1086195

 

9-Jun-2004

 

Chemtura Corporation

 

MARINE CYLINDER OILS CONTAINING HIGH VISCOSITY DETERGENTS

Sweden

 

Granted

 

03783413.2

 

10-Nov-2003

 

1562730

 

30-Jan-2008

 

Chemtura Corporation

 

METHOD AND DEVICE FOR APPLYING A THICK REACTIVE COATING ON A BODY ROTATING ABOUT AN AXIS

Sweden

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

Switzerland

 

Granted

 

02715143.0

 

15-Mar-2002

 

1397427

 

16-Nov-2005

 

Chemtura Corporation

 

Thermoplastic Resins in Contact With Metals or Metal Salts Stabilized by Blends of Dithiocarbamates and Metal Deactivators

Switzerland

 

Granted

 

03783413.2

 

10-Nov-2003

 

1562730

 

30-Jan-2008

 

Chemtura Corporation

 

METHOD AND DEVICE FOR

 

103



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

APPLYING A THICK REACTIVE COATING ON A BODY ROTATING ABOUT AN AXIS

Switzerland

 

Granted

 

06738834.8

 

20-Mar-2006

 

1861458

 

30-Sep-2009

 

Chemtura Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

Taiwan

 

Granted

 

091106297

 

29-Mar-2002

 

I300789

 

11-Sep-2008

 

Chemtura Corporation

 

Thermoplastic Resins in Contact With Metals or Metal Salts Stabilized by Blends of Dithiocarbamates and Metal Deactivators

Taiwan

 

Granted

 

092108128

 

9-Apr-2003

 

I301135

 

21-Sep-2008

 

Chemtura Corporation

 

Heterocyclic Tin Flame Retardants/Smoke Suppressants and Halogen-Containing Polymer Containing Same

Taiwan

 

Pending

 

092118612

 

8-Jul-2003

 

 

 

 

 

Chemtura Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

Taiwan

 

Granted

 

092116869

 

20-Jun-2003

 

I284657

 

1-Aug-2007

 

Chemtura Corporation

 

Complexes of Metal Salts of Organic Acids and B-Diketones and Methods for Producing Same

Taiwan

 

Granted

 

092100097

 

3-Jan-2003

 

I286560

 

11-Sep-2007

 

Chemtura Corporation

 

Stability Improvement of Aluminum Hydroxide in PVC

 

104



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Compound

Taiwan

 

Granted

 

092100408

 

9-Jan-2003

 

I310392

 

1-Jun-2009

 

Chemtura Corporation

 

Stability Improvement of Carbon Monoxide Ethylene Copolymer in PVC Compound

Taiwan

 

Granted

 

092103103

 

14-Feb-2003

 

I280250

 

1-May-2007

 

Chemtura Corporation

 

NITROSOPHENOLS AND C-NITROSOANILINES AS POLYMERIZATION INHIBITORS

Taiwan

 

Pending

 

094140868

 

21-Nov-2005

 

 

 

 

 

Chemtura Corporation

 

CLEAR IMPACT MODIFIER, HEAT RESISTANT POLYVINYL HALIDE COMPOSITIONS

Taiwan

 

Pending

 

094132209

 

16-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

SULFONATED PHENOLS WITH NITROPHENOLS AS POLYMERIZATION INHIBITORS

Taiwan

 

Pending

 

094133549

 

27-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

SULFONATED NITROPHENOL AS POLYMERIZATION INHIBITORS

Taiwan

 

Pending

 

094139698

 

11-Nov-2005

 

 

 

 

 

Chemtura Corporation

 

Aromatic Sulfonic Acids, Amines and Nitrophenols in combination With Nitroxyl Radical-Containing Compounds or C-Nitrosanilines as Polymerization Inhibitors

Taiwan

 

Pending

 

095110946

 

29-Mar-2006

 

 

 

 

 

Chemtura Corporation

 

HINDERED AMINE LIGHT

 

105



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

STABILIZERS COMPRISING NEOALKANEDIOL PHOSPHITES

Taiwan

 

Granted

 

87104216

 

20-Mar-1998

 

NI-159314

 

6-Nov-2002

 

Chemtura Corporation

 

SYNTHESIS OF TERTIARY AMINE OXIDES

Taiwan

 

Pending

 

096125760

 

13-Jul-2007

 

 

 

 

 

Chemtura Corporation

 

PROCESS FOR HIGHER PURITY DECABROMODIPHENYL OXIDE

Taiwan

 

Pending

 

096116480

 

9-May-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

Taiwan

 

Pending

 

097106489

 

25-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Stabilization of Polymers with Styrenated-P-Cresols

Taiwan

 

Pending

 

097106890

 

27-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Composition for Use in Styrenics

Taiwan

 

Pending

 

097115499

 

25-Apr-2008

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Halogenated Polymer Compositions

Taiwan

 

Pending

 

098131959

 

22-Sep-2009

 

 

 

 

 

Chemtura Corporation

 

Blended Phosphite or Phosphonite Compositions Having Improved Hydrolytic Stability

Taiwan

 

Granted

 

89125679

 

2-Dec-2000

 

NI-203603

 

6-Oct-2004

 

Chemtura Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Taiwan

 

Pending

 

095101418

 

13-Jan-2006

 

 

 

 

 

Chemtura Corporation

 

Low Swell, Water Vapour Permeable Poly (Urethane-Urea)S

Thailand

 

Pending

 

106281

 

18-Nov-2005

 

 

 

 

 

Chemtura Corporation

 

CLEAR IMPACT MODIFIER, HEAT RESISTANT POLYVINYL

 

106



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

HALIDE COMPOSITIONS

Thailand

 

Pending

 

104291

 

15-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

SULFONATED PHENOLS WITH NITROPHENOLS AS POLYMERIZATION INHIBITORS

Thailand

 

Pending

 

0501004511

 

26-Sep-2005

 

 

 

 

 

Chemtura Corporation

 

Sulfonated Nitrophenol as Polymerization Inhibitors

Thailand

 

Pending

 

105963

 

8-Nov-2005

 

 

 

 

 

Chemtura Corporation

 

Aromatic Sulfonic Acids, Amines and Nitrophenols in combination With Nitroxyl Radical-Containing Compounds or C-Nitrosanilines as Polymerization Inhibitors

Thailand

 

Pending

 

0601001385

 

28-Mar-2006

 

 

 

 

 

Chemtura Corporation

 

MITICIDAL TRIAZOLIDINE DERIVATIVES

Thailand

 

Pending

 

0701002251

 

8-May-2007

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

Turkey

 

Granted

 

03741907.4

 

6-Jun-2003

 

1517878

 

21-Mar-2007

 

Chemtura Corporation

 

Complexes of Metal Salts of Organic Acids and B-Diketones and Methods for Producing Same

Turkey

 

Granted

 

07752839.6

 

12-Mar-2007

 

1994096

 

29-Apr-2009

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

United

 

Granted

 

11/037623

 

17-Jan-2005

 

7618467

 

17-Nov-2009

 

Chemtura

 

DETERGENT/ANTI

 

107



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

-OXIDANT ADDITIVES FOR FUELS AND LUBRICANTS

United States

 

Granted

 

12/333938

 

12-Dec-2008

 

7629300

 

8-Dec-2009

 

Chemtura Corporation

 

DETERGENT/ANTI-OXIDANT ADDITIVES FOR FUELS AND LUBRICANTS

United States

 

Granted

 

12/334065

 

12-Dec-2008

 

7621971

 

24-Nov-2009

 

Chemtura Corporation

 

DETERGENT/ANTI-OXIDANT ADDITIVES FOR FUELS AND LUBRICANTS

United States

 

Granted

 

10/835046

 

29-Apr-2004

 

7329772

 

12-Feb-2008

 

Chemtura Corporation

 

METHOD FOR THE PREPARATION OF A HYDROXYALKYL HINDERED PHENOLIC ANTIOXIDANT

United States

 

Pending

 

12/409827

 

24-Mar-2009

 

 

 

 

 

Chemtura Corporation

 

1,3-Dithiolane-2-Thione Additives for Lubricants and Fuels

United States

 

Granted

 

11/168702

 

27-Jun-2005

 

7541319

 

2-Jun-2009

 

Chemtura Corporation

 

1,3-DITHIOLANE-2-THIONE ADDITIVES FOR LUBRICANTS AND FUELS

United States

 

Granted

 

11/360837

 

22-Feb-2006

 

7579306

 

25-Aug-2009

 

Chemtura Corporation

 

Method for Improving the Oxidative Stability of Industrial Fluids

United States

 

Pending

 

11/345194

 

31-Jan-2006

 

 

 

 

 

Chemtura Corporation

 

MEANS FOR CONTROLLING THE EXOTHERMIC REACTION OF STYRENIC MONOMERS WITH SULFONIC ACIDS

 

108



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Pending

 

11/145493

 

3-Jun-2005

 

 

 

 

 

Chemtura Corporation

 

LUBRICANT COMPOSITIONS STABILIZED WITH MULTIPLE ANTIOXIDANTS

United States

 

Pending

 

11/172168

 

29-Jun-2005

 

 

 

 

 

Chemtura Corporation

 

SULFONATED NITROPHENOL AS POLYMERIZATION INHIBITORS

United States

 

Pending

 

11/170304

 

28-Jun-2005

 

 

 

 

 

Chemtura Corporation

 

Aromatic Sulfonic Acids, Amines and Nitrophenols in combination With Nitroxyl Radical-Containing Compounds or C-Nitrosanilines as Polymerization Inhibitors

United States

 

Pending

 

11/165857

 

24-Jun-2005

 

 

 

 

 

Chemtura Corporation

 

EPOXIDIZED ESTER ADDITIVES FOR REDUCING LEAD CORROSION IN LUBRICANTS AND FUELS

United States

 

Granted

 

11/273797

 

14-Nov-2005

 

7521401

 

21-Apr-2009

 

Chemtura Corporation

 

DITHIOCARBAMYL B-HYDROXY FATTY ACID ESTERS AS ADDITIVES FOR LUBRICANTS AND FUELS

United States

 

Pending

 

11/124464

 

5-May-2005

 

 

 

 

 

Chemtura Corporation

 

ALKYLTIN SULFANYL MERCAPTOCARBOXYLATES HAVING TERMINAL THIOL GROUPS

United

 

Pending

 

11/398418

 

4-Apr-2006

 

 

 

 

 

Chemtura

 

METHOD OF

 

109



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

IMPROVING PROPERTIES OF HYDROFORMING FLUIDS USING OVERBASED SULFONATE

United States

 

Pending

 

11/433601

 

12-May-2006

 

 

 

 

 

Chemtura Corporation

 

MOISTURE ABSORBENT SCAVENGER AND VACUUM RELIEF DEVICE FOR CHEMICAL CONTAINERS

United States

 

Pending

 

12/077351

 

18-Mar-2008

 

 

 

 

 

Chemtura Corporation

 

Stabilizer Blend for Improved Chlorine Resistance

United States

 

Pending

 

12/479115

 

5-Jun-2009

 

 

 

 

 

Chemtura Corporation

 

Ortho-Nitrosophenols as Polymerization Inhibitors

United States

 

Granted

 

11/156214

 

17-Jun-2005

 

7553896

 

30-Jun-2009

 

Chemtura Corporation

 

Ortho-Nitrosophenols as Polymerization Inhibitors

United States

 

Pending

 

12/616724

 

11-Nov-2009

 

 

 

 

 

Chemtura Corporation

 

Cellulosic-Thermoplastic Composite and Method of Making the Same

United States

 

Granted

 

11/487068

 

14-Jul-2006

 

7635731

 

22-Dec-2009

 

Chemtura Corporation

 

CELLULOSIC-THERMOPLASTIC COMPOSITE AND METHOD OF MAKING THE SAME

United States

 

Granted

 

11/228653

 

15-Sep-2005

 

7572753

 

11-Aug-2009

 

Chemtura Corporation

 

TETRAZOLE FUNGICIDES

United States

 

Pending

 

11/267895

 

7-Nov-2005

 

 

 

 

 

Chemtura Corporation

 

CYCLOALKYL PHOSPHITES AS STABILIZERS FOR THERMOPLASTIC RESINS

 

110



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Pending

 

11/546449

 

10-Oct-2006

 

 

 

 

 

Chemtura Corporation

 

DIAROMATIC AMINES

United States

 

Granted

 

11/283314

 

18-Nov-2005

 

7572849

 

11-Aug-2009

 

Chemtura Corporation

 

UREA PHENYL DERIVATIVES AND THEIR USE AS POLYPROPYLENE NUCLEATING AGENTS

United States

 

Pending

 

11/514003

 

30-Aug-2006

 

 

 

 

 

Chemtura Corporation

 

Method for Determining Chlorine Demand in Water

United States

 

Pending

 

11/542045

 

2-Oct-2006

 

 

 

 

 

Chemtura Corporation

 

THERMOPLASTIC BLEND COMPOSITIONS AS SOFT COUPLING AGENTS

United States

 

Granted

 

11/601247

 

16-Nov-2006

 

7585909

 

8-Sep-2009

 

Chemtura Corporation

 

B-CRYSTALLINE POLYPROPYLENES

United States

 

Pending

 

12/049913

 

17-Mar-2008

 

 

 

 

 

Chemtura Corporation

 

Calcium Hypochlorite Compositions

United States

 

Granted

 

11/459676

 

25-Jul-2006

 

7449119

 

11-Nov-2008

 

Chemtura Corporation

 

Compositions and Methods for Removing and Killing Mycobacterium Chelonae and Removing Bacterial Cell Membrane Fragments from Turbulent Waters.

United States

 

Pending

 

11/359900

 

21-Feb-2006

 

 

 

 

 

Chemtura Corporation

 

IMPROVED PROCESS FOR STABILIZATION OF POLYOLEFIN COMPOSITIONS

United

 

Pending

 

11/599883

 

14-Nov-2006

 

 

 

 

 

Chemtura

 

LUBRICATING OIL

 

111



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

COMPOSITIONS

United States

 

Granted

 

11/304829

 

14-Dec-2005

 

7390928

 

24-Jun-2008

 

Chemtura Corporation

 

Alkylation of N’-phenyl-N-alkylphenylenediamines in ionic liquid, N’-phenyl-N-alkyl (alkylphenylene) diamines produced thereby, and lubricant compositions containing same

 

 

United States

 

Granted

 

12/103835

 

16-Apr-2008

 

7563929

 

21-Jul-2009

 

Chemtura Corporation

 

Alkylation of N’-phenyl-N-alkylphenylenediamines in ionic liquid and N’-phenyl-N-alkyl(alkylphenylene) diamines produced thereby

United States

 

Granted

 

11/304163

 

14-Dec-2005

 

7145038

 

5-Dec-2006

 

Chemtura Corporation

 

ALKYLATION OF A DIPHENYLAMINE COMPOUND IN IONIC LIQUID

United States

 

Granted

 

11/304307

 

14-Dec-2005

 

7378554

 

27-May-2008

 

Chemtura Corporation

 

Ring Alkylation of Aniline or an Aniline Derivative Using Ionic Liquid Catalysts

United States

 

Pending

 

11/326165

 

4-Jan-2006

 

 

 

 

 

Chemtura Corporation

 

Diaromatic Amine Derivatives as Antioxidants

United States

 

Pending

 

11/326282

 

4-Jan-2006

 

 

 

 

 

Chemtura Corporation

 

LUBRICATING OIL AND FUEL COMPOSITIONS

United

 

Granted

 

12/336076

 

16-Dec-2008

 

7622431

 

24-Nov-2009

 

Chemtura

 

Lubricating Oil

 

112



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

Compositions

United States

 

Granted

 

12/336119

 

16-Dec-2008

 

7618466

 

17-Nov-2009

 

Chemtura Corporation

 

Fuel Compositions

United States

 

Granted

 

11/339231

 

24-Jan-2006

 

7361788

 

22-Apr-2008

 

Chemtura Corporation

 

DIRECT ALKYLATION OF N-ALKYL-N’-PHENYL-p-PHENYLENEDIAMINE

United States

 

Pending

 

11/713134

 

1-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

COUPLING AGENTS FOR NATURAL FIBER-FILLED POLYOLEFINS

United States

 

Pending

 

11/702787

 

5-Feb-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED STORAGE STABLE ONE COMPONENT POLYURETHANE SYSTEM

United States

 

Pending

 

11/716220

 

9-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

IMPROVED LUBRICANT COMPOSITION FOR CELLULOSIC-THERMOPLASTIC COMPOSITE

United States

 

Pending

 

11/723539

 

20-Mar-2007

 

 

 

 

 

Chemtura Corporation

 

FLAME RETARDANT COMPOSITION FOR USE IN STYRENICS

United States

 

Pending

 

11/416980

 

2-May-2006

 

 

 

 

 

Chemtura Corporation

 

ANTIOZONANT BLENDS

United States

 

Pending

 

11/804567

 

18-May-2007

 

 

 

 

 

Chemtura Corporation

 

FUNCTIONAL POLYOLEFINS USEFUL AS METAL ADHESION PROMOTERS

United States

 

Pending

 

11/453586

 

14-Jun-2006

 

 

 

 

 

Chemtura Corporation

 

ANTIOXIDANT ADDITIVE FOR BIODIESEL FUELS

 

113



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Pending

 

11/827172

 

10-Jul-2007

 

 

 

 

 

Chemtura Corporation

 

PROCESS FOR HIGHER PURITY DECARBROMODIPHENYL OXIDE

United States

 

Pending

 

11/787531

 

16-Apr-2007

 

 

 

 

 

Chemtura Corporation

 

Phosphite Blends as Stabilizers

United States

 

Pending

 

12/534043

 

31-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Blends as Stabilizers

United States

 

Pending

 

12/534000

 

31-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Amylaryl Phosphite Compositions

United States

 

Pending

 

12/534010

 

31-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Butylaryl Phosphite Compositions

United States

 

Pending

 

12/534019

 

31-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Amylaryl Phosphite Compositions and Alkylate Compositions for Manufacturing Same

United States

 

Pending

 

12/534025

 

31-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Butylaryl Phosphite Compositions and Alkylate Compositions for Manufacturing Same

United States

 

Pending

 

12/534035

 

31-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Composition Derived from Cresols

United States

 

Pending

 

12/534051

 

31-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Compositions Having Different Alkyl Groups

United States

 

Pending

 

12/604981

 

23-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Polymers with Low Gel Content and Enhanced Gas-Fading

United States

 

Granted

 

11/893944

 

16-Aug-2007

 

7550551

 

23-Jun-2009

 

Chemtura Corporation

 

BROMINATED FLAME RETARDANT

 

114



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Pending

 

12/423654

 

14-Apr-2009

 

 

 

 

 

Chemtura Corporation

 

Brominated Flame Retardant

United States

 

Pending

 

11/709646

 

21-Feb-2007

 

 

 

 

 

Chemtura Corporation

 

STABILIZING COMPOSITIONS FOR LUBRICANTS

United States

 

Granted

 

11/706116

 

13-Feb-2007

 

7608568

 

27-Oct-2009

 

Chemtura Corporation

 

TETRAAROMATIC DIAMINE COMPOUNDS AS ANTIOXIDANTS

United States

 

Pending

 

11/903288

 

21-Sep-2007

 

 

 

 

 

Chemtura Corporation

 

FLAME RESISTANCE NATURAL FIBER-FILLED THERMOPLASTICS WITH IMPROVED PROPERTIES

United States

 

Granted

 

11/516452

 

6-Sep-2006

 

7601255

 

13-Oct-2009

 

Chemtura Corporation

 

PROCESS FOR REMOVAL OF RESIDUAL CATALYST COMPONENTS

United States

 

Pending

 

12/577580

 

12-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Process for Synthesis of Polyalphaolefin and Removal of Residual Catalyst Components

United States

 

Pending

 

11/418633

 

5-May-2006

 

 

 

 

 

Chemtura Corporation

 

Compatibilizers for Composites of PVC and Cellulosic Materials

United States

 

Granted

 

11/453591

 

14-Jun-2006

 

7569630

 

4-Aug-2009

 

Chemtura Corporation

 

BETA-CRYSTALLINE POLYPROPYLENES

United States

 

Granted

 

11/450676

 

8-Jun-2006

 

7629412

 

8-Dec-2009

 

Chemtura Corporation

 

Rigid PVC Blend Composition

United States

 

Granted

 

11/473262

 

20-Jun-2006

 

7514485

 

7-Apr-2009

 

Chemtura Corporation

 

Compatibilizers for Composites of PVC and Cellulosic

 

115



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Materials

United States

 

Pending

 

11/584204

 

20-Oct-2006

 

 

 

 

 

Chemtura Corporation

 

GEOMETRIC SHAPED SIDE BEARING PAD

United States

 

Pending

 

11/634474

 

5-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

Alkyltin Sulfanyl Diester Thiols

United States

 

Pending

 

11/520197

 

13-Sep-2006

 

 

 

 

 

Chemtura Corporation

 

ISOCYANATE TERMINATED POLYCAPROLACTONE POLYURETHANE PREPOLYMERS

United States

 

Pending

 

11/586195

 

24-Oct-2006

 

 

 

 

 

Chemtura Corporation

 

SOLUBLE OIL CONTAINING OVERBASED SULFONATE ADDITIVES

United States

 

Pending

 

11/634745

 

5-Dec-2006

 

 

 

 

 

Chemtura Corporation

 

Peroxide Reduction in Functionalized Vegetable Oils

United States

 

Granted

 

11/975574

 

18-Oct-2007

 

7625496

 

1-Dec-2009

 

Chemtura Corporation

 

Solid Composition for Treating Water

United States

 

Pending

 

12/581336

 

19-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Solid Composition for Treating Water

United States

 

Pending

 

12/581359

 

19-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Solid Composition for Treating Water

United States

 

Granted

 

29/296763

 

26-Oct-2007

 

D602852

 

27-Oct-2009

 

Chemtura Corporation

 

TIRE

United States

 

Granted

 

29/298667

 

10-Dec-2007

 

D602422

 

20-Oct-2009

 

Chemtura Corporation

 

TIRE

United States

 

Pending

 

11/998493

 

30-Nov-2007

 

 

 

 

 

Chemtura Corporation

 

Flame Retardants for Use in Styrenic Foams

United States

 

Pending

 

12/069631

 

11-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Stabilization of Polymers With Styrenated-P-Cresols

United States

 

Pending

 

12/009052

 

15-Jan-2008

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Composition For Use In Styrenics

United

 

Pending

 

12/148188

 

16-Apr-2008

 

 

 

 

 

Chemtura

 

Flame Retardant

 

116



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

Halogenated Polymer Compositions

United States

 

Pending

 

12/077765

 

21-Mar-2008

 

 

 

 

 

Chemtura Corporation

 

Starch-Polyolefin Composite With Improved Performance

United States

 

Pending

 

12/283168

 

9-Sep-2008

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Compositions  

United States

 

Granted

 

11/804282

 

16-May-2007

 

7399757

 

15-Jul-2008

 

Chemtura Corporation

 

PESTICIDAL DIAZENE OXIDE CARBOXYLATES

United States

 

Granted

 

12/070833

 

20-Feb-2008

 

7511029

 

31-Mar-2009

 

Chemtura Corporation

 

Pesticidal Diazene Oxide Carboxylates

United States

 

Pending

 

11/825449

 

6-Jul-2007

 

 

 

 

 

Chemtura Corporation

 

Lubricant Compositions Stabilized with Styrenated Phenolic Antioxidant

United States

 

Pending

 

12/168675

 

7-Jul-2008

 

 

 

 

 

Chemtura Corporation

 

Lubricant Compositions Stabilized With Styrenated Phenolic Antioxidant

United States

 

Pending

 

11/894006

 

16-Aug-2007

 

 

 

 

 

Chemtura Corporation

 

Rubber Compositions

United States

 

Pending

 

11/941806

 

16-Nov-2007

 

 

 

 

 

Chemtura Corporation

 

Diaromatic Amide Derivatives as Antioxidants

United States

 

Pending

 

11/941702

 

16-Nov-2007

 

 

 

 

 

Chemtura Corporation

 

Acridan Derivatives as Antioxidants

United States

 

Pending

 

12/291102

 

5-Nov-2008

 

 

 

 

 

Chemtura Corporation

 

Stabilized Polymer Compositions

United States

 

Pending

 

12/036951

 

25-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Modular Tire Assembly

United States

 

Pending

 

12/036964

 

25-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Tire and Tire Rim Assembly

United States

 

Pending

 

12/026981

 

6-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Controlling Branch Level and Viscosity of Polyalphaolefins with Propene

 

117



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Addition

United States

 

Pending

 

12/036939

 

25-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

Non-Pneumatic Tire

United States

 

Pending

 

12/206534

 

8-Sep-2008

 

 

 

 

 

Chemtura Corporation

 

Polyurethane Elastomer Articles from Low Free Diphenylmethane Diisocyanate Prepolymers

United States

 

Pending

 

12/257740

 

24-Oct-2008

 

 

 

 

 

Chemtura Corporation

 

Non-Pneumatic Tire Having Angled Tread Groove Wall

United States

 

Granted

 

08/560745

 

20-Nov-1995

 

5679254

 

21-Oct-1997

 

Chemtura Corporation

 

Desalination of Seawater By Nonionic Surfactant Aided Phase Separation

United States

 

Pending

 

12/116147

 

6-May-2008

 

 

 

 

 

Chemtura Corporation

 

Polyalphaolefins and Processes for Forming Polyalphaolefins

United States

 

Pending

 

12/139036

 

13-Jun-2008

 

 

 

 

 

Chemtura Corporation

 

Reation Injection Molding System and Processes for Producing Polyurethane Articles

United States

 

Pending

 

12/284806

 

24-Sep-2008

 

 

 

 

 

Chemtura Corporation

 

Blended Phosphite or Phosphonite Compositions Having Improved Hydrolytic Stability

United States

 

Pending

 

12/163557

 

27-Jun-2008

 

 

 

 

 

Chemtura Corporation

 

Phosphite Stabilizer for Lubricating Base Stocks and Thermoplastic Polymers

United States

 

Pending

 

12/476423

 

2-Jun-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Additives for the Stabilization of Lubricant Compositions

 

118



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Pending

 

12/170885

 

10-Jul-2008

 

 

 

 

 

Chemtura Corporation

 

 

United States

 

Pending

 

12/454956

 

26-May-2009

 

 

 

 

 

Chemtura Corporation

 

Enhanced Oil Recovery Using Sulfonate Mixtures

United States

 

Pending

 

12/283170

 

9-Sep-2008

 

 

 

 

 

Chemtura Corporation

 

Anti-Oxidants

United States

 

Pending

 

12/266181

 

6-Nov-2008

 

 

 

 

 

Chemtura Corporation

 

Multiple Hardness Non-Pneumatic Tire

United States

 

Pending

 

12/575725

 

8-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Lubricants for Refigeration Systems

United States

 

Pending

 

12/277019

 

24-Nov-2008

 

 

 

 

 

Chemtura Corporation

 

Antioxidant Compositions

United States

 

Pending

 

12/624497

 

24-Nov-2009

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Halogenated Phenyl Ether Blends

United States

 

Pending

 

12/684315

 

8-Jan-2010

 

 

 

 

 

Chemtura Corporation

 

Carbon Dioxide-Based Working Fluids For Refrigeration and Air Conditioning Systems

United States

 

Pending

 

12/691300

 

21-Jan-2010

 

 

 

 

 

Chemtura Corporation

 

Production of Polyol Ester Lubricants for Refrigeration Systems

United States

 

Pending

 

12/360712

 

27-Jan-2009

 

 

 

 

 

Chemtura Corporation

 

Alkyltin Sulfanyl Ester Thiols

United States

 

Pending

 

61/152308

 

13-Feb-2009

 

 

 

 

 

Chemtura Corporation

 

Low Molecular Weight Halogenated Aromatic Polymers and Their Use as Flame Retardants

United States

 

Pending

 

12/371872

 

16-Feb-2009

 

 

 

 

 

Chemtura Corporation

 

Fatty Sorbitan Ester Based Friction Modifiers

United States

 

Pending

 

12/403106

 

12-Mar-2009

 

 

 

 

 

Chemtura Corporation

 

Process for Making Alkyl Halides

United States

 

Pending

 

61/167472

 

7-Apr-2009

 

 

 

 

 

Chemtura Corporation

 

Curing Compositions With A Low-Free

 

119



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Amount Of Methylenedianiline

United States

 

Pending

 

61/177750

 

13-May-2009

 

 

 

 

 

Chemtura Corporation

 

Phosphorus-Containing Flame Retardants

United States

 

Pending

 

61/184897

 

8-Jun-2009

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Thermoplastic Copolymers

United States

 

Pending

 

61/218150

 

18-Jun-2009

 

 

 

 

 

Chemtura Corporation

 

Arylalkenyl Ether Oligomers and Polymers and their Use in the Production of Flame Retardants

United States

 

Pending

 

61/224269

 

9-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Flame Retardants and Flame Retardant Blends

United States

 

Pending

 

12/533602

 

31-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Process for Producing Flame Retardant Halogenated Aryl Ether Oligomers

United States

 

Pending

 

12/533558

 

31-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Aryl Ether Oligomers and Process for Making Aryl Ether Oligomers

United States

 

Pending

 

61/229143

 

28-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Anti-Oxidant Blends and Their Use in Lubricant Compositions

United States

 

Pending

 

61/230661

 

31-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Solid Alkylaryl Phosphite Compositions and Methods for Manufacturing Same

United States

 

Pending

 

61/230649

 

31-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Solid Alkylaryl Phosphite Compositions and Methods for Manufacturing Same

United

 

Pending

 

61/230658

 

31-Jul-2009

 

 

 

 

 

Chemtura

 

Processes for

 

120



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

Forming Alkylated Aryl Phosphite Compositions From Complex Hydrocarbon Streams

United States

 

Pending

 

61/230654

 

31-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Hydrolytically Stable Phosphite Compositions

United States

 

Pending

 

61/230652

 

31-Jul-2009

 

 

 

 

 

Chemtura Corporation

 

Liquid Phosphite Compositions Having Different alkyl Groups

United States

 

Pending

 

12/540974

 

13-Aug-2009

 

 

 

 

 

Chemtura Corporation

 

Processes for Controlling the Viscosity of Polyalphaolefins

United States

 

Pending

 

61/235786

 

21-Aug-2009

 

 

 

 

 

Chemtura Corporation

 

Copolyester Polyols, Prepolymers, and Polyurethane Elastomers Formed Therefrom and Processes for Making Same

United States

 

Pending

 

12/549559

 

28-Aug-2009

 

 

 

 

 

Chemtura Corporation

 

Two-Stage Process and System for Forming High Viscosity Polyalphaolefins

United States

 

Pending

 

61/238940

 

1-Sep-2009

 

 

 

 

 

Chemtura Corporation

 

Bio-Based Wax Compositions and Applications

United States

 

Pending

 

61/238758

 

1-Sep-2009

 

 

 

 

 

Chemtura Corporation

 

Flame Retardant Polymers and Additive System for Improved Viscosity Polymers

United States

 

Pending

 

61/241552

 

11-Sep-2009

 

 

 

 

 

Chemtura Corporation

 

Tris (Hydroxoxyphenyl) Phosphine Oxides and Their Use as

 

121



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Flame Retardants for Epoxy Resins

United States

 

Pending

 

61/241562

 

11-Sep-2009

 

 

 

 

 

Chemtura Corporation

 

Hydroxyphenyl Phosphine Oxide Mixtures and Their Use as Flame Retardants for Epoxy Resins

United States

 

Pending

 

61/249338

 

7-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

Lubricants for Refrigeration Systems

United States

 

Pending

 

61/261699

 

16-Nov-2009

 

 

 

 

 

Chemtura Corporation

 

Accelerated Cure of Isocyanate Terminated Prepolymers

United States

 

Pending

 

61/292988

 

7-Jan-2010

 

 

 

 

 

Chemtura Corporation

 

Tetrabromophthalic Diester Flame Retardants and Their Production

United States

 

Pending

 

09/919994

 

2-Aug-2001

 

 

 

 

 

Chemtura Corporation

 

HIGH PERFORMANCE POLYURETHANE ELASTOMERS FROM MDI PREPOLYMERS WITH REDUCED CONTENT OF FREE MDI MONOMER

United States

 

Pending

 

12/036877

 

25-Feb-2008

 

 

 

 

 

Chemtura Corporation

 

High Performance Polyurethane Elastomers from MDI Prepolymers with Reduced Content of Free MDI Monomer

United States

 

Pending

 

11/026624

 

30-Dec-2004

 

 

 

 

 

Chemtura Corporation

 

Methods and Apparatus for Producing Decabromodiphenyl

 

122



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Alkanes

United States

 

Granted

 

10/429,429

 

5-May-2003

 

7423069

 

9-Sep-2008

 

Chemtura Corporation

 

BLENDS OF TETRAHALOPHTHALATE ESTERS AND PHOSPHORUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE COMPOSITIONS

United States

 

Granted

 

11/241535

 

30-Sep-2005

 

7612156

 

3-Nov-2009

 

Chemtura Corporation

 

Polymers of Bromostyrenes Having Controlled Molecular Weight                     

United States

 

Pending

 

12/467667

 

18-May-2009

 

 

 

 

 

Chemtura Corporation

 

Polymer Compositions of Bromostyrenes Having Controlled Molecular Weight                                

United States

 

Pending

 

12/467682

 

18-May-2009

 

 

 

 

 

Chemtura Corporation

 

Polymer Compositions of Bromostyrenes Having Controlled Molecular Weight

United States

 

Pending

 

12/690809

 

20-Jan-2010

 

 

 

 

 

Chemtura Corporation

 

Process for Controlling the Molecular Weight of Polymers of Bromostyrene

United States

 

Granted

 

08/224,345

 

7-Apr-1994

 

5,457,248

 

10-Oct-1995

 

Chemtura Corporation

 

BROMINATED DIPHENYLALKANE PRODUCTS AND PROCESSES

United States

 

Pending

 

12/580574

 

16-Oct-2009

 

 

 

 

 

Chemtura Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

United

 

Granted

 

11/384581

 

20-Mar-2006

 

7615168

 

10-Nov-2009

 

Chemtura

 

FLAME

 

123



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

RETARDANTS AND FLAME RETARDED POLYMERS

United States

 

Pending

 

12/397137

 

3-Mar-2009

 

 

 

 

 

Chemtura Corporation

 

Novel Stabilizer for Halogenous Polymers

United States

 

Granted

 

10/577186

 

22-Dec-2006

 

7601862

 

13-Oct-2009

 

Chemtura Corporation

 

PREPARATION OF TETRAKIS [3-(3,5-DI-TERT-BUTYL-4-HYDROXY PHENYL) PROPIONYL OXYMETHYL] METHANE

United States

 

Pending

 

11/099868

 

5-Apr-2005

 

20050261444

 

24-Nov-2005

 

Chemtura Corporation

 

HETEROGENEOUS ORGANOTIN CATALYSTS

United States

 

Pending

 

11/659686

 

6-Feb-2007

 

20070254992

 

1-Nov-2007

 

Chemtura Corporation

 

SELF -EMULSIFYING LIQUID STABILIZERS

United States

 

Pending

 

11/887309

 

1-Jun-2009

 

20090264567

 

22-Oct-2009

 

Chemtura Corporation

 

STABILIZED CROSS-LINKED POLYOLEFIN COMPOSITIONS

Patent Cooperation Treaty

 

Pending

 

PCT/US2008/085199

 

1-Dec-2008

 

 

 

 

 

Chemtura Corporation/Infineum USA

 

Cycloalkyl Phenylenediamines as Deposit Control Agents for Lubricants

Patent Cooperation Treaty

 

Pending

 

PCT/US2008/085204

 

1-Dec-2008

 

 

 

 

 

Chemtura Corporation/Infineum USA

 

Cycloalkyl Phenylenediamines as Deposit Control Agents for Lubricants

Patent Cooperation Treaty

 

Pending

 

PCT/US2008/05126

 

1-Dec-2008

 

 

 

 

 

Chemtura Corporation/Infineum USA

 

Additive Compositions

United States

 

Pending

 

12/001951

 

12-Dec-2007

 

 

 

 

 

Chemtura Corporation/Infineum USA

 

Cycloalkyl Phenylenediamines as Deposit Control Agents for Lubricants

 

124



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Pending

 

12/212131

 

17-Sep-2008

 

 

 

 

 

Chemtura Corporation/Infineum USA

 

Cycloalkyl Phenylenediamines as Deposit Control Agents for Lubricants

United States

 

Pending

 

11/954249

 

12-Dec-2007

 

 

 

 

 

Chemtura Corporation/Infineum USA

 

Additive Compositions

United States

 

Pending

 

12/608039

 

29-Oct-2009

 

 

 

 

 

Chemtura Corporation/Infineum USA

 

Lubrication and Lubricating Oil Compositions

United States

 

Pending

 

12/608412

 

29-Oct-2009

 

 

 

 

 

Chemtura Corporation/Infineum USA

 

Lubrication and Lubricating Oil Compositions

United States

 

Pending

 

61/229221

 

28-Jul-2009

 

 

 

 

 

Chemtura Corporation/Interfacial Solutions

 

Processing Aids for Biopolymers

United States

 

Pending

 

61/229213

 

28-Jul-2009

 

 

 

 

 

Chemtura Corporation/Interfacial Solutions

 

Polymer Processing Aids

France

 

Granted

 

00990492.1

 

6-Nov-2000

 

1252228

 

5-Jul-2006

 

Chemtura USA Corporation

 

RUBBER COMPOSITION AND MEHTOD OF MAKING SAME

Germany

 

Granted

 

00990492.1

 

6-Nov-2000

 

60029250.9

 

5-Jul-2006

 

Chemtura USA Corporation

 

RUBBER COMPOSITION AND MEHTOD OF MAKING SAME

Italy

 

Granted

 

00990492.1

 

6-Nov-2000

 

1252228

 

5-Jul-2006

 

Chemtura USA Corporation

 

RUBBER COMPOSITION AND MEHTOD OF MAKING SAME

Netherlands

 

Granted

 

00990492.1

 

6-Nov-2000

 

1252228

 

5-Jul-2006

 

Chemtura USA Corporation

 

RUBBER COMPOSITION AND MEHTOD OF MAKING SAME

Spain

 

Granted

 

00990492.1

 

6-Nov-2000

 

1252228

 

5-Jul-2006

 

Chemtura USA Corporation

 

RUBBER COMPOSITION AND MEHTOD OF MAKING SAME

Turkey

 

Granted

 

00990492.1

 

6-Nov-2000

 

1252228

 

5-Jul-2006

 

Chemtura USA

 

RUBBER

 

125



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

COMPOSITION AND MEHTOD OF MAKING SAME

Brazil

 

Pending

 

PI9906304-2

 

25-Feb-1999

 

 

 

 

 

CK Witco Corporation

 

OVERBASED MAGNESIUM DEPOSIT CONTROL ADDITIVE FOR RESIDUAL FU EL OILS

Mexico

 

Granted

 

99/09821

 

25-Feb-1999

 

207688

 

3-May-2002

 

CK Witco Corporation

 

VISCOSITY DRIFT CONTROL IN OVERBASED DETERGENTS

Taiwan

 

Granted

 

86118186

 

3-Dec-1997

 

NI-110563

 

11-Jan-2000

 

CK Witco Corporation

 

FUNCTIONAL GROUP TERMINATED POLYMERS CONTAINING SULFONATE GR OUP VIA SULFONATION OF ETHYLENICALLY UNSATURATED POLYMERS

Taiwan

 

Granted

 

86118194

 

3-Dec-1997

 

NI-118125

 

1-Dec-2000

 

CK Witco Corporation

 

WATER-BORNE POLYURETHANES FROM SULFONATE-GRAFTED POLYOLS

Taiwan

 

Granted

 

86118181

 

3-Dec-1997

 

NI-153260

 

26-Jul-2002

 

CK Witco Corporation

 

FUNCTIONAL GROUP-TERMINATED ARYL-FREE SULFONATED POLYMERS

United States

 

Granted

 

08/850326

 

2-May-1997

 

5985955

 

16-Nov-1999

 

CK Witco Corporation

 

HYPO ALLERGENIC COATING

 

126



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COMPOSITION FOR LATEX RUBBER GLOVES.

United States

 

Granted

 

08/768660

 

18-Dec-1996

 

6166165

 

26-Dec-2000

 

CK Witco Corporation

 

POLYURETHANE SYNTHESIS FROM FUNCTIONAL GROUP TERMINATED POLY MERS CONTAINING SULFONATE GROUP

United States

 

Granted

 

08/772351

 

20-Dec-1996

 

6362264

 

26-Mar-2002

 

CK Witco Corporation

 

STABILIZER FOR FOOD CONTACT AND MEDICAL GRADE PVC

United States

 

Granted

 

08/873308

 

11-Jun-1997

 

6051620

 

18-Apr-2000

 

CK Witco Corporation

 

SCORCH RESISTANT ADDITIVES FOR POLYURETHANE FOAMS

United States

 

Granted

 

09/431197

 

1-Nov-1999

 

6278022

 

21-Aug-2001

 

CK Witco Corporation

 

PROCESS FOR THE PREPARATION OF INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

United States

 

Granted

 

09/430961

 

1-Nov-1999

 

6166243

 

26-Dec-2000

 

CK Witco Corporation

 

PROCESS FOR THE PREPARATION OF INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

United States

 

Granted

 

09/439606

 

12-Nov-1999

 

6187726

 

13-Feb-2001

 

CK Witco Corporation

 

SUBSTITUTED LINEAR THIOUREA ADDITIVES FOR LUBRICANTS

United States

 

Granted

 

09/358633

 

21-Jul-1999

 

6239084

 

29-May-2001

 

CK Witco Corporation

 

VISCOSITY DRIFT CONTROL IN OVERBASED DETERGENTS

 

127



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Granted

 

09/054005

 

2-Apr-1998

 

6197075

 

6-Mar-2001

 

CK Witco Corporation

 

MAGNESIUM SULFONATE ADDITIVE FOR CRUDE AND RESIDUAL FUELS

United States

 

Granted

 

09/115792

 

15-Jul-1998

 

6107259

 

22-Aug-2000

 

CK Witco Corporation

 

OIL SOLUBLE CALCITE OVERBASEED DETERGENTS AND ENGINE OILS CO NTAINING SAME.

United States

 

Granted

 

09/177001

 

22-Oct-1998

 

5998540

 

7-Dec-1999

 

CK Witco Corporation

 

POLYURETHANE DISPERSIONS USEFUL FOR PREPARING THIN WALL ARTI CLES

United States

 

Granted

 

09/535217

 

27-Mar-2000

 

6420446

 

16-Jul-2002

 

CK Witco Corporation

 

POLYURETHANES FROM BRANCHED POLYESTER POLYOLS

Canada

 

Granted

 

2183714

 

20-Aug-1996

 

2183714

 

19-Feb-2008

 

Crompton Co./Cie

 

Synthesis of 1,3-Oxathiolane Sulfoxide Compounds

China P.R.

 

Granted

 

03817424.3

 

22-Jul-2003

 

ZL03817424.3

 

14-Feb-2007

 

Crompton Co./Cie

 

METAL-CONTAINING NEUTRAL AND OVERBASED SALICYLATES BASED ON STYRENATED SALICYLIC ACID

European Patent Convention

 

Pending

 

03766030.5

 

22-Jul-2003

 

 

 

 

 

Crompton Co./Cie

 

METAL-CONTAINING NEUTRAL AND OVERBASED SALICYLATES BASED ON STYRENATED

 

128



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SALICYLIC ACID

Japan

 

Granted

 

2004-523406

 

22-Jul-2003

 

4191679

 

26-Sep-2008

 

Crompton Co./Cie

 

METAL-CONTAINING NEUTRAL AND OVERBASED SALICYLATES BASED ON STYRENATED SALICYLIC ACID

Republic of Korea

 

Pending

 

7001225/2005

 

22-Jul-2003

 

 

 

 

 

Crompton Co./Cie

 

METAL-CONTAINING NEUTRAL AND OVERBASED SALICYLATES BASED ON STYRENATED SALICYLIC ACID

United States

 

Granted

 

10/626747

 

22-Jul-2003

 

7087557

 

8-Aug-2006

 

Crompton Co./Cie

 

METAL-CONTAINING NEURAL AND OVERBASED SALICYLATES BASED ON STYRENATED SALICYCLIC ACID

United States

 

Granted

 

10/659411

 

10-Sep-2003

 

6960669

 

1-Nov-2005

 

Crompton Co./Cie

 

IMPROVED UTILIZATION OF PHOSPHOROUS PENTASULFIDE IN THIONYLATIONS USING PHASE TRANSFER CATALYSIS

European Patent Convention

 

Pending

 

03810792.6

 

15-Oct-2003

 

 

 

 

 

Crompton Corp. and Crompton Co./Cie

 

METHOD FOR PRODUCING LUBRICANT DETERGENTS

Japan

 

Pending

 

2008-309203

 

4-Dec-2008

 

 

 

 

 

Crompton Corp. and Crompton Co./Cie

 

METHOD FOR PRODUCING LUBRICANT

 

129



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

DETERGENTS

Japan

 

Granted

 

2005-502183

 

15-Oct-2003

 

4372752

 

11-Sep-2009

 

Crompton Corp. and Crompton Co./Cie

 

METHOD FOR PRODUCING LUBRICANT DETERGENTS

Russian Federation

 

Granted

 

2005116315

 

15-Oct-2003

 

2345058

 

27-Jan-2009

 

Crompton Corp. and Crompton Co./Cie

 

METHOD FOR PRODUCING LUBRICANT DETERGENTS

United States

 

Granted

 

10/674896

 

29-Sep-2003

 

7009072

 

7-Mar-2006

 

Crompton Corp. and Crompton Co./Cie

 

METHOD FOR PRODUCING LUBRICANT DETERGENTS

United States

 

Granted

 

10/911132

 

3-Aug-2004

 

7407920

 

5-Aug-2008

 

Crompton Corp. and Crompton Co./Cie

 

OVERBASED CALCIUM SALICYLATE GREASES

United States

 

Granted

 

10/769365

 

30-Jan-2004

 

6953866

 

11-Oct-2005

 

Crompton Corp./U Of Connecticut

 

PROCESS FOR PREPARING ORTHO SUBSTITUTED PHENYLAMINES

Argentina

 

Pending

 

P030100505

 

14-Feb-2003

 

 

 

 

 

Crompton Corporation

 

NITROSOPHENOLS AND C-NITROSOANILINES AS POLYMERIZATION INHIBITORS

Argentina

 

Granted

 

P000106236

 

27-Nov-2000

 

AR029410B1

 

19-Mar-2007

 

Crompton Corporation

 

INHIBITION OF POLYHMERIZATION OF UNSATURATED MONOMERS

Argentina

 

Pending

 

P000106235

 

27-Nov-2000

 

 

 

 

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Armenia

 

Granted

 

200200519

 

16-Oct-2000

 

004940

 

28-Oct-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF

 

130



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Australia

 

Granted

 

2003224877

 

8-Apr-2003

 

2003224877

 

28-May-2009

 

Crompton Corporation

 

POLYURETHANE ELASTOMERS FROM HDI PREPOLYMERS WITH REDUCED CONTENT OF FREE HDI MONOMERS

Australia

 

Granted

 

2005201328

 

1-Nov-2000

 

2005201328

 

18-Jan-2007

 

Crompton Corporation

 

HIGH PERFORMANCE POLYURETANE ELASTOMERS FROM MDI PREPOLYMERS WITH REDUCED CONTENT OF FREE MDI MONOMER

Australia

 

Granted

 

33121/99

 

25-Feb-1999

 

763386

 

6-Nov-2003

 

Crompton Corporation

 

MARINE CYLINDER OILS CONTAINING HIGH VISCOSITY DETERGENTS

Australia

 

Granted

 

77111/91

 

17-May-1991

 

635688

 

19-Jul-1993

 

Crompton Corporation

 

Polymer Stabilizer and Polymer Composition Stabilized Therewith

Australia

 

Granted

 

43813/93

 

18-May-1993

 

681344

 

28-Aug-1997

 

Crompton Corporation

 

Electrical Grade Polyvinyl Chloride Resin Composition Stabilized with a Non-Lead Stabilizer

Austria

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND

 

131



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

HIV-1 MUTANTS

Austria

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Austria

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Austria

 

Granted

 

00963380.1

 

12-Sep-2000

 

1220848

 

19-Nov-2003

 

Crompton Corporation

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

Austria

 

Granted

 

00965464.1

 

26-Sep-2000

 

1218340

 

19-Nov-2003

 

Crompton Corporation

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Azerbaijan

 

Granted

 

200200519

 

16-Oct-2000

 

004940

 

28-Oct-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Belarus

 

Granted

 

200200519

 

16-Oct-2000

 

004940

 

28-Oct-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Belgium

 

Granted

 

95101198.0

 

28-Jan-1995

 

0665248

 

31-Mar-1999

 

Crompton Corporation

 

PROCESS FOR SEQUENTIALLY GRAFTING OLEFIN POLYMER MATERIALS AND GRAFTED

 

132



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

POLYMERS THEREFROM

Belgium

 

Granted

 

99301608.8

 

3-Mar-1999

 

0940407

 

3-Dec-2003

 

Crompton Corporation

 

CYCLIC BIS-PHOSPHITES AND COMPOSITIONS  8SC12322 COMBINED WITHIN

Belgium

 

Granted

 

99911278.2

 

10-Mar-1999

 

1066299

 

16-Jun-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BIS-PHOSPHITES

Belgium

 

Granted

 

99912952.1

 

30-Mar-1999

 

1071688

 

25-Sep-2002

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BISPHOSPHITES USING FINELY GROUND PENTAERYTHRITOL

Belgium

 

Granted

 

97908812.7

 

3-Mar-1997

 

0886675

 

7-Jun-2000

 

Crompton Corporation

 

POLYMERIZATION INHIBITOR COMPOSITION

Belgium

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Belgium

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Belgium

 

Granted

 

98949599.9

 

29-Sep-1998

 

1023377

 

3-Dec-2003

 

Crompton Corporation

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED

 

133



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

THREFROM

Belgium

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Belgium

 

Granted

 

00963380.1

 

12-Sep-2000

 

1220848

 

19-Nov-2003

 

Crompton Corporation

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

Belgium

 

Granted

 

00965464.1

 

26-Sep-2000

 

1218340

 

19-Nov-2003

 

Crompton Corporation

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Belgium

 

Granted

 

94301460.5

 

1-Mar-1994

 

0613940

 

9-Jun-1999

 

Crompton Corporation

 

OVERBASED CALCIUM SULFONATE GREASE

Brazil

 

Pending

 

PI0114959-8

 

25-Sep-2001

 

 

 

 

 

Crompton Corporation

 

Sizing Composition

Brazil

 

Pending

 

PI0312524-6

 

27-Jun-2003

 

 

 

 

 

Crompton Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

Brazil

 

Pending

 

PI0307731-4

 

29-Jan-2003

 

 

 

 

 

Crompton Corporation

 

NITROSOPHENOLS AND C-NITROSOANILINES AS POLYMERIZATION INHIBITORS

Brazil

 

Pending

 

PI0316124-2

 

10-Nov-2003

 

 

 

 

 

Crompton Corporation

 

METHOD AND DEVICE FOR APPLYING A THICK REACTIVE

 

134



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COATING ON A BODY ROTATING ABOUT AN AXIS

Brazil

 

Pending

 

PI0016071-7

 

28-Nov-2000

 

 

 

 

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Brazil

 

Pending

 

PI0016112-8

 

6-Nov-2000

 

 

 

 

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Brazil

 

Pending

 

PI9908679-4

 

25-Feb-1999

 

 

 

 

 

Crompton Corporation

 

MARINE CYLINDER OILS CONTAINING HIGH VISCOSITY DETERGENTS

Canada

 

Granted

 

2410451

 

15-May-2001

 

2410451

 

29-Sep-2009

 

Crompton Corporation

 

Clarification Method for Oil Dispersions Comprising Overbased Detergents Containing Calcite

Canada

 

Pending

 

2446493

 

15-Mar-2002

 

 

 

 

 

Crompton Corporation

 

Thermoplastic Resins in Contact With Metals or Metal Salts Stabilized by Blends of Dithiocarbamates and Metal Deactivators

Canada

 

Pending

 

2476357

 

29-Jan-2003

 

 

 

 

 

Crompton Corporation

 

NITROSOPHENOLS AND C-NITROSOANILINES AS POLYMERIZATION INHIBITORS

Canada

 

Pending

 

2482436

 

8-Apr-2003

 

 

 

 

 

Crompton Corporation

 

POLYURETHANE ELASTOMERS FROM HDI

 

135



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PREPOLYMERS WITH REDUCED CONTENT OF FREE HDI MONOMERS

Canada

 

Pending

 

2487002

 

15-May-2003

 

 

 

 

 

Crompton Corporation

 

Polyurethane Dispersions

Canada

 

Pending

 

2505009

 

10-Nov-2003

 

 

 

 

 

Crompton Corporation

 

METHOD AND DEVICE FOR APPLYING A THICK REACTIVE COATING ON A BODY ROTATING ABOUT AN AXIS

Canada

 

Granted

 

2140975

 

24-Jan-1995

 

2140975

 

27-Aug-2002

 

Crompton Corporation

 

PROCESS FOR SEQUENTIALLY GRAFTING OLEFIN POLYMER MATERIALS AND GRAFTED POLYMERS THEREFROM

Canada

 

Granted

 

2088297

 

28-Jan-1993

 

2088297

 

25-Feb-1997

 

Crompton Corporation

 

PROCESS FOR MAKING PHOSPHITE ESTERS

Canada

 

Pending

 

2228859

 

5-Feb-1998

 

 

 

 

 

Crompton Corporation

 

SYNTHESIS OF TERTIARY AMINE OXIDES

Canada

 

Granted

 

2393050

 

28-Nov-2000

 

2393050

 

17-Nov-2009

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Canada

 

Pending

 

2392055

 

6-Nov-2000

 

 

 

 

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Canada

 

Granted

 

2323666

 

25-Feb-1999

 

2323666

 

16-Jun-2009

 

Crompton

 

MARINE

 

136



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

CYLINDER OILS CONTAINING HIGH VISCOSITY DETERGENTS

Canada

 

Granted

 

2288205

 

25-Feb-1999

 

2288205

 

26-May-2009

 

Crompton Corporation

 

VISCOSITY DRIFT CONTROL IN OVERBASED DETERGENTS

Canada

 

Granted

 

2064622

 

1-Apr-1992

 

2064622

 

18-Jan-2005

 

Crompton Corporation

 

THIOESTER POLYMERIZATION MODIFIERS

China P.R.

 

Granted

 

01823619.7

 

14-Sep-2001

 

ZL01823619.7

 

3-Jan-2007

 

Crompton Corporation

 

MULTIFUNCTIONAL VISCOSITY INDEX IMPROVER AND DISPERSANT

China P.R.

 

Granted

 

02823727.7

 

4-Oct-2002

 

ZL02823727.7

 

28-Jun-2006

 

Crompton Corporation

 

VISCOSITY GROWTH INHIBITION IN OIL ADDITIVE CONCENTRATES

China P.R.

 

Granted

 

01823491.7

 

18-Jul-2001

 

ZL01823491.7

 

21-Feb-2007

 

Crompton Corporation

 

ORGANO-IMIDO MOLYBDENUM COMPLEXES AS FRICTION MODIFIER ADDITIVES FOR LUBRICANT COMPOSITIONS

China P.R.

 

Granted

 

02812508.8

 

30-Apr-2002

 

02812508.8

 

23-Aug-2006

 

Crompton Corporation

 

THIADIAZOLIDINE ADDITIVES FOR LUBRICANTS

China P.R.

 

Granted

 

02810835.3

 

3-May-2002

 

ZL02810835.3

 

11-Jul-2007

 

Crompton Corporation

 

ALKYL HYDRAZIDE ADDITIVES FOR LUBRICANTS

China P.R.

 

Granted

 

02812957.1

 

24-May-2002

 

ZL02812957.1

 

7-Jun-2006

 

Crompton Corporation

 

OXADIAZOLE ADDITIVES FOR LUBRICANTS

China P.R.

 

Granted

 

03817930.X

 

27-Jun-2003

 

ZL03817930.X

 

16-Jan-2008

 

Crompton Corporation

 

Overbased Metal Carbonate/Carboxyla

 

137



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

te Microemulsions and Halogen-Containing Polymers Containing Same

China P.R.

 

Pending

 

200810214201.6

 

11-Jun-2003

 

 

 

 

 

Crompton Corporation

 

Silane Additives for Lubricants and Fuels

China P.R.

 

Granted

 

03819592.5

 

11-Jun-2003

 

03819592.5

 

5-Aug-2009

 

Crompton Corporation

 

Silane Additives for Lubricants and Fuels

China P.R.

 

Granted

 

03806029.9

 

29-Jan-2003

 

ZL03806029.9

 

16-May-2007

 

Crompton Corporation

 

NITROSOPHENOLS AND C-NITROSOANILINES AS POLYMERIZATION INHIBITORS

China P.R.

 

Granted

 

03818651.9

 

15-May-2003

 

ZL03818651.9

 

6-Jun-2007

 

Crompton Corporation

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION

China P.R.

 

Granted

 

03809419.3

 

8-Apr-2003

 

ZL03809419.3

 

16-Jul-2008

 

Crompton Corporation

 

POLYURETHANE ELASTOMERS FROM HDI PREPOLYMERS WITH REDUCED CONTENT OF FREE HDI MONOMERS

China P.R.

 

Granted

 

03813968.5

 

15-May-2003

 

03813968.5

 

12-Aug-2009

 

Crompton Corporation

 

Polyurethane Dispersions

China P.R.

 

Granted

 

2003801067367

 

10-Nov-2003

 

ZL200380106736.7

 

5-Nov-2008

 

Crompton Corporation

 

METHOD AND DEVICE FOR APPLYING A THICK REACTIVE COATING ON A BODY ROTATING ABOUT AN AXIS

China P.R.

 

Granted

 

2003801024408

 

22-Oct-2003

 

200380102440.8

 

14-Feb-2007

 

Crompton Corporation

 

METHOD FOR THE ALKYLATION OF SALICYLIC ACID

China P.R.

 

Granted

 

96191461.0

 

24-Sep-1996

 

96191461.0

 

10-Jul-2002

 

Crompton

 

POLYMER

 

138



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES AND HYDROCARBON AMINE OXIDE STABILIZER COMPOSITIONS

China P.R.

 

Granted

 

98108245.9

 

20-Mar-1998

 

98108245.9

 

28-Aug-2002

 

Crompton Corporation

 

SYNTHESIS OF TERTIARY AMINE OXIDES

China P.R.

 

Granted

 

98105871.X

 

26-Mar-1998

 

98105871.X

 

23-Jun-2004

 

Crompton Corporation

 

COMPOSITIONS STABILIZED WITH TERTIARY AMINE OXIDES

China P.R.

 

Granted

 

00817772.4

 

28-Nov-2000

 

00817772.4

 

3-Aug-2005

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

China P.R.

 

Granted

 

00816544.0

 

6-Nov-2000

 

00816544.0

 

25-Jan-2006

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

China P.R.

 

Granted

 

01815265.1

 

7-Aug-2001

 

01815265.1

 

12-Oct-2005

 

Crompton Corporation

 

DIRECT SYNTHESIS OF TIN (II)  AND CARBOXYLATES AND TIN (IV) CARBOXYLATES FROM ELEMENTAL TIN OR TIN OXIDES

China P.R.

 

Granted

 

02802660.8

 

5-Aug-2002

 

 ZL02802660.8

 

1-Aug-2007

 

Crompton Corporation

 

RETARDING THE THERMAL DEGRADATION OF POLYMERS USING UNSATURATED

 

139



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ALIPHATIC COMPOUNDS

Cyprus

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Denmark

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Denmark

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Denmark

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Denmark

 

Granted

 

00963380.1

 

12-Sep-2000

 

1220848

 

19-Nov-2003

 

Crompton Corporation

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

European Patent Convention

 

Pending

 

03762990.4

 

11-Jun-2003

 

 

 

 

 

Crompton Corporation

 

Silane Additives for Lubricants and Fuels

European Patent Convention

 

Pending

 

04778210.7

 

13-Jul-2004

 

 

 

 

 

Crompton Corporation

 

RADIATION-CURABLE POLYURETHANE

Finland

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE

 

140



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Finland

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Finland

 

Granted

 

00963380.1

 

12-Sep-2000

 

1220848

 

19-Nov-2003

 

Crompton Corporation

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

France

 

Granted

 

01958990.2

 

18-Jul-2001

 

1406912

 

1-Dec-2004

 

Crompton Corporation

 

ORGANO-IMIDO MOLYBDENUM COMPLEXES AS FRICTION MODIFIER ADDITIVES FOR LUBRICANT COMPOSITIONS

France

 

Granted

 

95101198.0

 

28-Jan-1995

 

0665248

 

31-Mar-1999

 

Crompton Corporation

 

PROCESS FOR SEQUENTIALLY GRAFTING OLEFIN POLYMER MATERIALS AND GRAFTED POLYMERS THEREFROM

France

 

Granted

 

93300332.9

 

19-Jan-1993

 

0553984

 

1-Sep-1999

 

Crompton Corporation

 

PROCESS FOR MAKING PHOSPHITE ESTERS

France

 

Granted

 

96301118.4

 

20-Feb-1996

 

0729965

 

22-May-2002

 

Crompton Corporation

 

PROCESS FOR MAKING BIPHENYLENE

 

141



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

AND BISPHENYLENE PHOSPHITES  NO DIVISIONAL DUE PER JBY

France

 

Granted

 

94302125.3

 

24-Mar-1994

 

0618315

 

9-Dec-1998

 

Crompton Corporation

 

MELT EXTRUSION PROCESS

France

 

Granted

 

95303275.2

 

16-May-1995

 

0685516

 

4-Aug-1999

 

Crompton Corporation

 

SOLID STABILIZER COMPOSITION WITH IMPROVED HYDROLYTIC STABILITY

France

 

Granted

 

96300383.5

 

19-Jan-1996

 

0725107

 

30-Jul-2003

 

Crompton Corporation

 

PHOSPHITE STABILIZATION OF POLYOLEFINS CONTAINING SILICA SUPPORTED CATALYST

France

 

Granted

 

99301608.8

 

3-Mar-1999

 

0940407

 

3-Dec-2003

 

Crompton Corporation

 

CYCLIC BIS-PHOSPHITES AND COMPOSITIONS  8SC12322 COMBINED WITHIN

France

 

Granted

 

97300270.2

 

17-Jan-1997

 

0785210

 

29-May-2002

 

Crompton Corporation

 

AROMATIC CYCLIC BISPHOSPHITE ESTERS AND POLYMERIC COMPOSIITONS THE REOF      NO DIVISIONAL DUE PER KEM

France

 

Granted

 

96933876.3

 

24-Sep-1996

 

0793688

 

19-Mar-2003

 

Crompton Corporation

 

POLYMER COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES

 

142



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

AND HYDROCARBON AMINE OXIDE STABILIZER COMPOSITIONS

France

 

Granted

 

97300269.4

 

17-Jan-1997

 

0785209

 

7-May-2003

 

Crompton Corporation

 

NEO DIOL PHOSPHITE ESTERS AND POLYMERIC COMPOSITIONS THEREOF NO DIVISIONAL PER JBY  12/27/96 *08SC12292 COMB.INTO*

France

 

Granted

 

99911278.2

 

10-Mar-1999

 

1066299

 

16-Jun-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BIS-PHOSPHITES

France

 

Granted

 

98302048.8

 

18-Mar-1998

 

0867467

 

17-Nov-2004

 

Crompton Corporation

 

COMPOSITIONS STABILIZED WITH TERTIARY AMINE OXIDES

France

 

Granted

 

99912952.1

 

30-Mar-1999

 

1071688

 

25-Sep-2002

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BISPHOSPHITES USING FINELY GROUND PENTAERYTHRITOL

France

 

Granted

 

01948741.2

 

27-Jun-2001

 

1309600

 

25-Aug-2004

 

Crompton Corporation

 

Improved Process for the Preparation of Hindered Phosphites

France

 

Granted

 

97111855.9

 

11-Jul-1997

 

0818457

 

2-Oct-2002

 

Crompton Corporation

 

STABLE AQUEOUS DISPERSIONS OF DIBUTYLIN OXIDE

France

 

Granted

 

96915857.5

 

16-May-1996

 

0828787

 

26-Nov-2003

 

Crompton Corporation

 

ALKYL-TIN PVC STABILIZERS WITH ADDED

 

143



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

AROMATIC ETHER ALCOHOL TO PREVENT PRECIPITATION

France

 

Granted

 

96922496.3

 

19-Jun-1996

 

0833861

 

9-May-2001

 

Crompton Corporation

 

OVERBASED PVC STABILIZER

France

 

Granted

 

97908812.7

 

3-Mar-1997

 

0886675

 

7-Jun-2000

 

Crompton Corporation

 

POLYMERIZATION INHIBITOR COMPOSITION

France

 

Granted

 

97924650.1

 

9-May-1997

 

0902801

 

8-Aug-2001

 

Crompton Corporation

 

REMOVAL OF UNREACTED DIISOCYANATE MONOMER FROM POLYURETHANE POLYMERS

France

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

France

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

France

 

Granted

 

98908819.0

 

2-Mar-1998

 

0968192

 

18-Feb-2004

 

Crompton Corporation

 

SUBSTITUTED TETRAHYDROPYRIMIDINE DERIVATIVES AND THEIR USE AS POLYMERIZATION INHIBITORS FOR VINYL AROMATIC COMPOUNDS

France

 

Granted

 

98903926.8

 

23-Jan-1998

 

1015460

 

27-Nov-2002

 

Crompton Corporation

 

PHENOLIC BORATES FOR

 

144



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

USE AS A LUBRICANT ADDITIVE

France

 

Granted

 

98904954.9

 

23-Jan-1998

 

0961789

 

9-Jul-2003

 

Crompton Corporation

 

Lubricants Containing Ashless Antiwear-Dispersant Additive Having Viscosity Index Improver Credit

France

 

Granted

 

99937742.7

 

2-Aug-1999

 

1112249

 

2-Jan-2003

 

Crompton Corporation

 

DITHIOCARBAMYL DERIVATIVES USEFUL AS LUBRICANT ADDITIVES

France

 

Granted

 

98949599.9

 

29-Sep-1998

 

1023377

 

3-Dec-2003

 

Crompton Corporation

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THREFROM

France

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

France

 

Granted

 

00963380.1

 

12-Sep-2000

 

1220848

 

19-Nov-2003

 

Crompton Corporation

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

France

 

Granted

 

00965464.1

 

26-Sep-2000

 

1218340

 

19-Nov-2003

 

Crompton Corporation

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

France

 

Granted

 

94301460.5

 

1-Mar-1994

 

0613940

 

9-Jun-1999

 

Crompton Corporation

 

OVERBASED CALCIUM SULFONATE

 

145



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

GREASE

Germany

 

Granted

 

01958990.2

 

18-Jul-2001

 

60107605.2

 

1-Dec-2004

 

Crompton Corporation

 

ORGANO-IMIDO MOLYBDENUM COMPLEXES AS FRICTION MODIFIER ADDITIVES FOR LUBRICANT COMPOSITIONS

Germany

 

Granted

 

95101198.0

 

28-Jan-1995

 

69508633.2

 

31-Mar-1999

 

Crompton Corporation

 

PROCESS FOR SEQUENTIALLY GRAFTING OLEFIN POLYMER MATERIALS AND GRAFTED POLYMERS THEREFROM

Germany

 

Granted

 

93300332.9

 

19-Jan-1993

 

69326172.2

 

1-Sep-1999

 

Crompton Corporation

 

PROCESS FOR MAKING PHOSPHITE ESTERS

Germany

 

Granted

 

94304922.1

 

5-Jul-1994

 

69418387.3

 

12-May-1999

 

Crompton Corporation

 

NEO-DIOL PHOSPHITES AS POLYMER STABILIZERS

Germany

 

Granted

 

96301118.4

 

20-Feb-1996

 

69621276.5

 

22-May-2002

 

Crompton Corporation

 

PROCESS FOR MAKING BIPHENYLENE AND BISPHENYLENE PHOSPHITES  NO DIVISIONAL DUE PER JBY

Germany

 

Granted

 

94302125.3

 

24-Mar-1994

 

69415066.5

 

9-Dec-1998

 

Crompton Corporation

 

MELT EXTRUSION PROCESS

Germany

 

Granted

 

95303275.2

 

16-May-1995

 

69511174.4

 

4-Aug-1999

 

Crompton Corporation

 

SOLID STABILIZER COMPOSITION WITH IMPROVED HYDROLYTIC

 

146



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

STABILITY

Germany

 

Granted

 

96300383.5

 

19-Jan-1996

 

69629224.6

 

30-Jul-2003

 

Crompton Corporation

 

PHOSPHITE STABILIZATION OF POLYOLEFINS CONTAINING SILICA SUPPORTED CATALYST

Germany

 

Granted

 

99301608.8

 

3-Mar-1999

 

69913220.7

 

3-Dec-2003

 

Crompton Corporation

 

CYCLIC BIS-PHOSPHITES AND COMPOSITIONS  8SC12322 COMBINED WITHIN

Germany

 

Granted

 

97300270.2

 

17-Jan-1997

 

69712804.0

 

29-May-2002

 

Crompton Corporation

 

AROMATIC CYCLIC BISPHOSPHITE ESTERS AND POLYMERIC COMPOSIITONS THE REOF      NO DIVISIONAL DUE PER KEM

Germany

 

Granted

 

96933876.3

 

24-Sep-1996

 

69626778.0

 

19-Mar-2003

 

Crompton Corporation

 

POLYMER COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES AND HYDROCARBON AMINE OXIDE STABILIZER COMPOSITIONS

Germany

 

Granted

 

97300269.4

 

17-Jan-1997

 

69721597.0

 

7-May-2003

 

Crompton Corporation

 

NEO DIOL PHOSPHITE ESTERS AND POLYMERIC COMPOSITIONS THEREOF NO DIVISIONAL PER

 

147



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

JBY  12/27/96 *08SC12292 COMB.INTO*

Germany

 

Granted

 

99911278.2

 

10-Mar-1999

 

69918077.5

 

16-Jun-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BIS-PHOSPHITES

Germany

 

Granted

 

98302048.8

 

18-Mar-1998

 

69827543.8

 

17-Nov-2004

 

Crompton Corporation

 

COMPOSITIONS STABILIZED WITH TERTIARY AMINE OXIDES

Germany

 

Granted

 

99912952.1

 

30-Mar-1999

 

69903145.1

 

25-Sep-2002

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BISPHOSPHITES USING FINELY GROUND PENTAERYTHRITOL

Germany

 

Granted

 

01948741.2

 

27-Jun-2001

 

60105171.8

 

25-Aug-2004

 

Crompton Corporation

 

Improved Process for the Preparation of Hindered Phosphites

Germany

 

Granted

 

97111855.9

 

11-Jul-1997

 

69715978.7

 

2-Oct-2002

 

Crompton Corporation

 

Stable Aqueous Dispersions of Dibutylin Oxide

Germany

 

Granted

 

96915857.5

 

16-May-1996

 

69630885.1

 

26-Nov-2003

 

Crompton Corporation

 

ALKYL-TIN PVC STABILIZERS WITH ADDED AROMATIC ETHER ALCOHOL TO PREVENT PRECIPITATION

Germany

 

Granted

 

95939953.6

 

13-Nov-1995

 

69532589.2

 

18-Feb-2004

 

Crompton Corporation

 

Liquid PVC Stabilizers and Lubricants

Germany

 

Granted

 

96922496.3

 

19-Jun-1996

 

69612746.6

 

9-May-2001

 

Crompton Corporation

 

OVERBASED PVC STABILIZER

Germany

 

Granted

 

97908812.7

 

3-Mar-1997

 

69702247.1

 

7-Jun-2000

 

Crompton Corporation

 

POLYMERIZATION INHIBITOR COMPOSITION

 

148



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Germany

 

Granted

 

97924650.1

 

9-May-1997

 

69706051.9

 

8-Aug-2001

 

Crompton Corporation

 

REMOVAL OF UNREACTED DIISOCYANATE MONOMER FROM POLYURETHANE POLYMERS

Germany

 

Granted

 

96942010.8

 

15-Nov-1996

 

69623819.5

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Germany

 

Granted

 

97924800.2

 

23-May-1997

 

69717104.3

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Germany

 

Granted

 

98908819.0

 

2-Mar-1998

 

69821744.6

 

18-Feb-2004

 

Crompton Corporation

 

SUBSTITUTED TETRAHYDROPYRIMIDINE DERIVATIVES AND THEIR USE AS POLYMERIZATION INHIBITORS FOR VINYL AROMATIC COMPOUNDS

Germany

 

Granted

 

98903926.8

 

23-Jan-1998

 

69809773.4

 

27-Nov-2002

 

Crompton Corporation

 

PHENOLIC BORATES FOR USE AS A LUBRICANT ADDITIVE

Germany

 

Granted

 

98904954.9

 

23-Jan-1998

 

69816275.7

 

9-Jul-2003

 

Crompton Corporation

 

Lubricants Containing Ashless Antiwear-Dispersant Additive Having Viscosity Index Improver Credit

 

149



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Germany

 

Granted

 

99937742.7

 

2-Aug-1999

 

69904736.6

 

2-Jan-2003

 

Crompton Corporation

 

DITHIOCARBAMYL DERIVATIVES USEFUL AS LUBRICANT ADDITIVES

Germany

 

Granted

 

00955549.1

 

14-Aug-2000

 

60006256.2

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Germany

 

Granted

 

00963380.1

 

12-Sep-2000

 

60006706.8

 

19-Nov-2003

 

Crompton Corporation

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

Germany

 

Granted

 

00965464.1

 

26-Sep-2000

 

60006703.3

 

19-Nov-2003

 

Crompton Corporation

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Germany

 

Granted

 

94301460.5

 

1-Mar-1994

 

69418917.0

 

9-Jun-1999

 

Crompton Corporation

 

OVERBASED CALCIUM SULFONATE GREASE

Great Britain

 

Granted

 

01958990.2

 

18-Jul-2001

 

1406912

 

1-Dec-2004

 

Crompton Corporation

 

ORGANO-IMIDO MOLYBDENUM COMPLEXES AS FRICTION MODIFIER ADDITIVES FOR LUBRICANT COMPOSITIONS

Great Britain

 

Granted

 

95101198.0

 

28-Jan-1995

 

0665248

 

31-Mar-1999

 

Crompton Corporation

 

PROCESS FOR SEQUENTIALLY GRAFTING OLEFIN POLYMER MATERIALS AND GRAFTED

 

150



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

POLYMERS THEREFROM

Great Britain

 

Granted

 

93300332.9

 

19-Jan-1993

 

0553984

 

1-Sep-1999

 

Crompton Corporation

 

PROCESS FOR MAKING PHOSPHITE ESTERS

Great Britain

 

Granted

 

96301118.4

 

20-Feb-1996

 

0729965

 

22-May-2002

 

Crompton Corporation

 

PROCESS FOR MAKING BIPHENYLENE AND BISPHENYLENE PHOSPHITES  NO DIVISIONAL DUE PER JBY

Great Britain

 

Granted

 

94302125.3

 

24-Mar-1994

 

0618315

 

9-Dec-1998

 

Crompton Corporation

 

MELT EXTRUSION PROCESS

Great Britain

 

Granted

 

95303275.2

 

16-May-1995

 

0685516

 

4-Aug-1999

 

Crompton Corporation

 

SOLID STABILIZER COMPOSITION WITH IMPROVED HYDROLYTIC STABILITY

Great Britain

 

Granted

 

96300383.5

 

19-Jan-1996

 

0725107

 

30-Jul-2003

 

Crompton Corporation

 

PHOSPHITE STABILIZATION OF POLYOLEFINS CONTAINING SILICA SUPPORTED CATALYST

Great Britain

 

Granted

 

99301608.8

 

3-Mar-1999

 

0940407

 

3-Dec-2003

 

Crompton Corporation

 

CYCLIC BIS-PHOSPHITES AND COMPOSITIONS  8SC12322 COMBINED WITHIN

Great Britain

 

Granted

 

97300270.2

 

17-Jan-1997

 

0785210

 

29-May-2002

 

Crompton Corporation

 

AROMATIC CYCLIC BISPHOSPHITE ESTERS AND POLYMERIC

 

151



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COMPOSIITONS THE REOF NO DIVISIONAL DUE PER KEM

Great Britain

 

Granted

 

96933876.3

 

24-Sep-1996

 

0793688

 

19-Mar-2003

 

Crompton Corporation

 

POLYMER COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES AND HYDROCARBON AMINE OXIDE STABILIZER COMPOSITIONS

Great Britain

 

Granted

 

97300269.4

 

17-Jan-1997

 

0785209

 

7-May-2003

 

Crompton Corporation

 

NEO DIOL PHOSPHITE ESTERS AND POLYMERIC COMPOSITIONS THEREOF NO DIVISIONAL PER JBY  12/27/96 *08SC12292 COMB.INTO*

Great Britain

 

Granted

 

99911278.2

 

10-Mar-1999

 

1066299

 

16-Jun-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BIS-PHOSPHITES

Great Britain

 

Granted

 

98302048.8

 

18-Mar-1998

 

0867467

 

17-Nov-2004

 

Crompton Corporation

 

COMPOSITIONS STABILIZED WITH TERTIARY AMINE OXIDES

Great Britain

 

Granted

 

99912952.1

 

30-Mar-1999

 

1071688

 

25-Sep-2002

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BISPHOSPHITES USING FINELY GR UND PENTAERYTHRITOL

 

152



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Great Britain

 

Granted

 

01948741.2

 

27-Jun-2001

 

1309600

 

25-Aug-2004

 

Crompton Corporation

 

Improved Process for the Preparation of Hindered Phosphites

Great Britain

 

Granted

 

97111855.9

 

11-Jul-1997

 

0818457

 

2-Oct-2002

 

Crompton Corporation

 

STABLE AQUEOUS DISPERSIONS OF DIBUTYLIN OXIDE

Great Britain

 

Granted

 

96915857.5

 

16-May-1996

 

0828787

 

26-Nov-2003

 

Crompton Corporation

 

ALKYL-TIN PVC STABILIZERS WITH ADDED AROMATIC ETHER ALCOHOL TO PREVENT PRECIPITATION

Great Britain

 

Granted

 

95939953.6

 

13-Nov-1995

 

0792317

 

18-Feb-2004

 

Crompton Corporation

 

LIQUID PVC STABILIZERS AND LUBRICANTS

Great Britain

 

Granted

 

92305201.3

 

5-Jun-1992

 

0522709

 

21-Aug-1996

 

Crompton Corporation

 

POLYMERIZATION INHIBITORS FOR ACRYLIC ACIDS AND ESTERS

Great Britain

 

Granted

 

97908812.7

 

3-Mar-1997

 

0886675

 

7-Jun-2000

 

Crompton Corporation

 

POLYMERIZATION INHIBITOR COMPOSITION

Great Britain

 

Granted

 

92925247.6

 

17-Nov-1992

 

0641316

 

22-Jan-1997

 

Crompton Corporation

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Great Britain

 

Granted

 

93909517.0

 

13-Apr-1993

 

0637294

 

29-Jul-1998

 

Crompton Corporation

 

POLYMERIZATION INHIBITOR FOR VINYL AROMATICS

Great Britain

 

Granted

 

94926617.5

 

24-Aug-1994

 

0715625

 

4-Jun-1997

 

Crompton Corporation

 

WOOD PRESERVATIVE OXATHIAZINES

Great Britain

 

Granted

 

94913370.6

 

5-Apr-1994

 

0694057

 

1-Mar-2000

 

Crompton Corporation

 

LUBRICANT COMPOSITION CONTAINING ANTIOXIDANT

Great Britain

 

Granted

 

97924650.1

 

9-May-1997

 

0902801

 

8-Aug-2001

 

Crompton Corporation

 

REMOVAL OF UNREACTED

 

153



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

DIISOCYANATE MONOMER FROM POLYURETHANE POLYMERS

Great Britain

 

Granted

 

96924292.4

 

24-Jun-1996

 

0836596

 

23-Aug-2000

 

Crompton Corporation

 

HYDRAZINE DERIVATIVES

Great Britain

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Great Britain

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Great Britain

 

Granted

 

98908819.0

 

2-Mar-1998

 

0968192

 

18-Feb-2004

 

Crompton Corporation

 

SUBSTITUTED TETRAHYDROPYRIMIDINE DERIVATIVES AND THEIR USE AS POLYMERIZATION INHIBITORS FOR VINYL AROMATIC COMPOUNDS

Great Britain

 

Granted

 

98903926.8

 

23-Jan-1998

 

1015460

 

27-Nov-2002

 

Crompton Corporation

 

PHENOLIC BORATES FOR USE AS A LUBRICANT ADDITIVE

Great Britain

 

Granted

 

98904954.9

 

23-Jan-1998

 

0961789

 

9-Jul-2003

 

Crompton Corporation

 

Lubricants Containing Ashless Antiwear-Dispersant Additive Having Viscosity Index Improver Credit

 

154



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Great Britain

 

Granted

 

99937742.7

 

2-Aug-1999

 

1112249

 

2-Jan-2003

 

Crompton Corporation

 

DITHIOCARBAMYL DERIVATIVES USEFUL AS LUBRICANT ADDITIVES

Great Britain

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Great Britain

 

Granted

 

00963380.1

 

12-Sep-2000

 

1220848

 

19-Nov-2003

 

Crompton Corporation

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

Great Britain

 

Granted

 

00965464.1

 

26-Sep-2000

 

1218340

 

19-Nov-2003

 

Crompton Corporation

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Great Britain

 

Granted

 

91304066.3

 

7-May-1991

 

0457471

 

29-Jan-1997

 

Crompton Corporation

 

POLYMER STABILIZER AND POLYMER COMPOSITION STABILIZED THEREW ITH

Great Britain

 

Granted

 

92302948.2

 

3-Apr-1992

 

0507602

 

11-Jun-1997

 

Crompton Corporation

 

THIOESTER POLYMERIZATION MODIFIERS

Great Britain

 

Granted

 

93913975.4

 

18-May-1993

 

0642548

 

1-Jul-1998

 

Crompton Corporation

 

ELECTRICAL GRADE POLYVINAL CHLORIDE RESIN COMPOSITION STABIL IZED WITH A NON-LEAD STABILIZER

Great

 

Granted

 

94301460.5

 

1-Mar-1994

 

0613940

 

9-Jun-1999

 

Crompton

 

OVERBASED

 

155



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Britain

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

CALCIUM SULFONATE GREASE

Greece

 

Granted

 

96942010.8

 

15-Nov-1996

 

3042042

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Greece

 

Granted

 

97924800.2

 

23-May-1997

 

3042731

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Greece

 

Granted

 

00955549.1

 

14-Aug-2000

 

3047304

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Greece

 

Granted

 

00965464.1

 

26-Sep-2000

 

3047737

 

19-Nov-2003

 

Crompton Corporation

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Hong Kong

 

Granted

 

06103502.9

 

27-Jun-2003

 

HK1083514

 

28-Nov-2008

 

Crompton Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

Hong Kong

 

Pending

 

06113752.5

 

14-Dec-2006

 

 

 

 

 

Crompton Corporation

 

CLEAR IMPACT MODIFIER, HEAT RESISTANT POLYVINYL HALIDE COMPOSITIONS

India

 

Pending

 

00535DEL/2004

 

14-Sep-2001

 

 

 

 

 

Crompton Corporation

 

MULTIFUNCTIONAL VISCOSITY INDEX IMPROVER AND DISPERSANT

 

156



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

India

 

Pending

 

1921DELNP2003

 

15-Mar-2002

 

 

 

 

 

Crompton Corporation

 

Thermoplastic Resins in Contact With Metals or Metal Salts Stabilized by Blends of Dithiocarbamates and Metal Deactivators

India

 

Granted

 

1338/DEL/95

 

18-Jul-1995

 

232047

 

15-Mar-2009

 

Crompton Corporation

 

AMINE-STABILIZED AMORPHOUS PHOSPHITE

India

 

Granted

 

3531/DEL/98

 

24-Nov-1998

 

221477

 

24-Jun-2008

 

Crompton Corporation

 

CYCLIC BIS-PHOSPHITES AND COMPOSITIONS  8SC12322 COMBINED WITHIN

India

 

Granted

 

187/DEL/98

 

22-Jan-1998

 

221599

 

26-Jun-2008

 

Crompton Corporation

 

SYNTHESIS OF TERTIARY AMINE OXIDES

India

 

Granted

 

1069/CAL/98

 

16-Jun-1998

 

195153

 

21-Oct-2005

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF PHOSPHITES

India

 

Pending

 

269/PCT/2000

 

10-Mar-1999

 

 

 

 

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BIS-PHOSPHITES

India

 

Pending

 

591/KOL/2005

 

4-Jun-2005

 

 

 

 

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO-BIS PHOSPHITES

India

 

Granted

 

3623/DEL/97

 

16-Dec-1997

 

214725

 

14-Feb-2008

 

Crompton Corporation

 

COMPOSITIONS STABILIZED WITH TERTIARY AMINE OXIDES

India

 

Pending

 

2001,00440DEL

 

5-Oct-1999

 

 

 

 

 

Crompton Corporation

 

STABILIZED THERMOPLASTIC COMPOSITIONS

India

 

Pending

 

498/DELNP2005

 

9-Feb-2005

 

 

 

 

 

Crompton Corporation

 

STABILIZED THERMOPLASTIC

 

157



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COMPOSITIONS

India

 

Pending

 

341/PCT/2000

 

30-Mar-1999

 

 

 

 

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BISPHOSPHITES USING FINELY GROUND PENTAERYTHRITOL

India

 

Granted

 

348/DEL/2003

 

28-Sep-2001

 

230858

 

28-Feb-2009

 

Crompton Corporation

 

METHOD OF MAKING METAL SALTS OF 2,4,6-TRI-T-BUTYLPHENOL

India

 

Granted

 

103/DELNP/2003

 

27-Jun-2001

 

218366

 

31-Mar-2008

 

Crompton Corporation

 

Improved Process for the Preparation of Hindered Phosphites

Indonesia

 

Pending

 

W-00200402606

 

15-May-2003

 

 

 

 

 

Crompton Corporation

 

Polyurethane Dispersions

Indonesia

 

Granted

 

W-00200201238

 

28-Nov-2000

 

ID0014301

 

28-Sep-2004

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Indonesia

 

Granted

 

W-00200201223

 

6-Nov-2000

 

ID0013518

 

8-Jun-2004

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Ireland

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Ireland

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED

 

158



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CELLS

Ireland

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Ireland

 

Granted

 

00963380.1

 

12-Sep-2000

 

1220848

 

19-Nov-2003

 

Crompton Corporation

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

Ireland

 

Granted

 

00965464.1

 

26-Sep-2000

 

1218340

 

19-Nov-2003

 

Crompton Corporation

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Italy

 

Granted

 

95101198.0

 

28-Jan-1995

 

0665248

 

31-Mar-1999

 

Crompton Corporation

 

PROCESS FOR SEQUENTIALLY GRAFTING OLEFIN POLYMER MATERIALS AND GRAFTED POLYMERS THEREFROM

Italy

 

Granted

 

93300332.9

 

19-Jan-1993

 

0553984

 

1-Sep-1999

 

Crompton Corporation

 

PROCESS FOR MAKING PHOSPHITE ESTERS

Italy

 

Granted

 

96301118.4

 

20-Feb-1996

 

0729965

 

22-May-2002

 

Crompton Corporation

 

PROCESS FOR MAKING BIPHENYLENE AND BISPHENYLENE PHOSPHITES  NO DIVISIONAL DUE PER JBY

Italy

 

Granted

 

94302125.3

 

24-Mar-1994

 

0618315

 

9-Dec-1998

 

Crompton Corporation

 

MELT EXTRUSION PROCESS

 

159



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Italy

 

Granted

 

95303275.2

 

16-May-1995

 

0685516

 

4-Aug-1999

 

Crompton Corporation

 

SOLID STABILIZER COMPOSITION WITH IMPROVED HYDROLYTIC STABILITY

Italy

 

Granted

 

96300383.5

 

19-Jan-1996

 

0725107

 

30-Jul-2003

 

Crompton Corporation

 

PHOSPHITE STABILIZATION OF POLYOLEFINS CONTAINING SILICA SUPPORTED CATALYST

Italy

 

Granted

 

99301608.8

 

3-Mar-1999

 

0940407

 

3-Dec-2003

 

Crompton Corporation

 

CYCLIC BIS-PHOSPHITES AND COMPOSITIONS  8SC12322 COMBINED WITHIN

Italy

 

Granted

 

97300270.2

 

17-Jan-1997

 

0785210

 

29-May-2002

 

Crompton Corporation

 

AROMATIC CYCLIC BISPHOSPHITE ESTERS AND POLYMERIC COMPOSIITONS THE REOF      NO DIVISIONAL DUE PER KEM

Italy

 

Granted

 

97300269.4

 

17-Jan-1997

 

0785209

 

7-May-2003

 

Crompton Corporation

 

NEO DIOL PHOSPHITE ESTERS AND POLYMERIC COMPOSITIONS THEREOF NO DIVISIONAL PER JBY  12/27/96 *08SC12292 COMB.INTO*

Italy

 

Granted

 

99911278.2

 

10-Mar-1999

 

1066299

 

16-Jun-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF

 

160



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SPIRO BIS-PHOSPHITES

Italy

 

Granted

 

99912952.1

 

30-Mar-1999

 

1071688

 

25-Sep-2002

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BISPHOSPHITES USING FINELY GRO UND PENTAERYTHRITOL

Italy

 

Granted

 

97111855.9

 

11-Jul-1997

 

0818457

 

2-Oct-2002

 

Crompton Corporation

 

STABLE AQUEOUS DISPERSIONS OF DIBUTYLIN OXIDE

Italy

 

Granted

 

96915857.5

 

16-May-1996

 

0828787

 

26-Nov-2003

 

Crompton Corporation

 

ALKYL-TIN PVC STABILIZERS WITH ADDED AROMATIC ETHER ALCOHOL TO PREVENT PRECIPITATION

Italy

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Italy

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Italy

 

Granted

 

98908819.0

 

2-Mar-1998

 

0968192

 

18-Feb-2004

 

Crompton Corporation

 

SUBSTITUTED TETRAHYDROPYRIMIDINE DERIVATIVES AND THEIR USE AS POLYMERIZATION INHIBITORS

 

161



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FOR VINYL AROMATIC COMPOUNDS

Italy

 

Granted

 

98949599.9

 

29-Sep-1998

 

1023377

 

3-Dec-2003

 

Crompton Corporation

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THREFROM

Italy

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Italy

 

Granted

 

00963380.1

 

12-Sep-2000

 

1220848

 

19-Nov-2003

 

Crompton Corporation

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

Italy

 

Granted

 

00965464.1

 

26-Sep-2000

 

1218340

 

19-Nov-2003

 

Crompton Corporation

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Italy

 

Granted

 

94301460.5

 

1-Mar-1994

 

0613940

 

9-Jun-1999

 

Crompton Corporation

 

OVERBASED CALCIUM SULFONATE GREASE

Japan

 

Pending

 

2009-187928

 

14-Aug-2009

 

 

 

 

 

Crompton Corporation

 

Clarification method for oil dispersions comprising overbased detergents containing calcite

Japan

 

Pending

 

2002-502050

 

15-May-2001

 

 

 

 

 

Crompton Corporation

 

Clarification method for oil dispersions

 

162



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

comprising overbased detergents containing calcite

Japan

 

Pending

 

2009-181191

 

4-Aug-2009

 

 

 

 

 

Crompton Corporation

 

Nanosized Particles of Molybdenum Sulfide and Derivatives and Uses Thereof

Japan

 

Pending

 

2002-502049

 

8-May-2001

 

 

 

 

 

Crompton Corporation

 

Nanosized Particles of Molybdenum Sulfide and Derivatives and Uses Thereof

Japan

 

Granted

 

2003-528877

 

14-Sep-2001

 

3987492

 

20-Jul-2007

 

Crompton Corporation

 

MULTIFUNCTIONAL VISCOSITY INDEX IMPROVER AND DISPERSANT

Japan

 

Granted

 

2003-502127

 

3-May-2002

 

4278509

 

19-Mar-2009

 

Crompton Corporation

 

ALKYL HYDRAZIDE ADDITIVES FOR LUBRICANTS

Japan

 

Granted

 

2003-502130

 

24-May-2002

 

4070715

 

25-Jan-2008

 

Crompton Corporation

 

OXADIAZOLE ADDITIVES FOR LUBRICANTS

Japan

 

Pending

 

2003-584165

 

28-Mar-2003

 

 

 

 

 

Crompton Corporation

 

Heterocyclic Tin Flame Retardants/Smoke Suppressants and Halogen-Containing Polymer Composition Containing Same

Japan

 

Pending

 

2003-560092

 

6-Dec-2002

 

 

 

 

 

Crompton Corporation

 

Stability Improvement of Aluminum Hydroxide in PVC Compound

Japan

 

Pending

 

2003-560099

 

2-Jan-2003

 

 

 

 

 

Crompton

 

Stability

 

163



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

Improvement of Carbon Monoxide Ethylene Copolymer in PVC Compound

Japan

 

Pending

 

2004-519592

 

11-Jun-2003

 

 

 

 

 

Crompton Corporation

 

Silane Additives for Lubricants and Fuels

Japan

 

Pending

 

2003-587860

 

8-Apr-2003

 

 

 

 

 

Crompton Corporation

 

POLYURETHANE ELASTOMERS FROM HDI PREPOLYMERS WITH REDUCED CONTENT OF FREE HDI MONOMERS

Japan

 

Granted

 

2004-550076

 

22-Oct-2003

 

4205671

 

24-Oct-2008

 

Crompton Corporation

 

METHOD FOR THE ALKYLATION OF SALICYLIC ACID

Japan

 

Granted

 

3-007703

 

25-Jan-1991

 

2980699

 

17-Sep-1999

 

Crompton Corporation

 

METHOD OF PRODUCING OLEFIN POLYMER GRAFT COPOLYMERS

Japan

 

Granted

 

7-126939

 

26-May-1995

 

3853859

 

15-Sep-2006

 

Crompton Corporation

 

SOLID STABILIZER COMPOSITION WITH IMPROVED HYDROLYTIC STABILITY

Japan

 

Granted

 

11-056699

 

4-Mar-1999

 

4245719

 

16-Jan-2009

 

Crompton Corporation

 

CYCLIC BIS-PHOSPHITES AND COMPOSITIONS  8SC12322 COMBINED WITHIN

Japan

 

Granted

 

9-005901

 

17-Jan-1997

 

4018766

 

28-Sep-2007

 

Crompton Corporation

 

AROMATIC CYCLIC BISPHOSPHITE ESTERS AND POLYMERIC COMPOSIITONS

 

164



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

THE REOF NO DIVISIONAL DUE PER KEM

Japan

 

Pending

 

2005-160876

 

1-Jun-2005

 

 

 

 

 

Crompton Corporation

 

POLYMER COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES AND HYDROCARBON AMINE OXIDE STABILIZER COMPOSITIONS

Japan

 

Granted

 

9-005902

 

17-Jan-1997

 

4008975

 

7-Sep-2007

 

Crompton Corporation

 

NEO DIOL PHOSPHITE ESTERS AND POLYMERIC COMPOSITIONS THEREOF NO DIVISIONAL PER JBY  12/27/96 *08SC12292 COMB.INTO*

Japan

 

Granted

 

10-067544

 

18-Mar-1998

 

4272722

 

6-Mar-2009

 

Crompton Corporation

 

SYNTHESIS OF TERTIARY AMINE OXIDES

Japan

 

Granted

 

2000-537883

 

10-Mar-1999

 

4272814

 

6-Mar-2009

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BIS-PHOSPHITES

Japan

 

Pending

 

2000-568803

 

6-Jul-1999

 

 

 

 

 

Crompton Corporation

 

PURIFICATION OF ALKYLATED PHENOLS BY MELT CRYSTALLIZATION

Japan

 

Pending

 

78215/98

 

26-Mar-1998

 

 

 

 

 

Crompton Corporation

 

COMPOSITIONS STABILIZED WITH TERTIARY AMINE OXIDES

 

165



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Japan

 

Pending

 

2000-586814

 

5-Oct-1999

 

 

 

 

 

Crompton Corporation

 

Stabilized Thermoplastic Compositions

Japan

 

Pending

 

2000-543472

 

30-Mar-1999

 

 

 

 

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BISPHOSPHITES USING FINELY GROUND PENTAERYTHRITOL

Japan

 

Pending

 

2002-531068

 

28-Sep-2001

 

 

 

 

 

Crompton Corporation

 

METHOD OF MAKING METAL SALTS OF 2,4,6-TRI-T-BUTYLPHENOL

Japan

 

Pending

 

2002-519472

 

27-Jun-2001

 

 

 

 

 

Crompton Corporation

 

Improved Process for the Preparation of Hindered Phosphites

Japan

 

Granted

 

527753/1996

 

8-Mar-1996

 

3729858

 

14-Oct-2005

 

Crompton Corporation

 

ALKYL-THIO-GLYCOLATE PVC STABILIZERS WITH ADDED AROMATIC ETH ER ALCOHOL TO PREVENT PRECIPITATION

Japan

 

Granted

 

530138/97

 

6-Jan-1997

 

3811505

 

2-Jun-2006

 

Crompton Corporation

 

STABILIZER AND BLOWING AGENT USEFUL FOR RIGID FOAMED PVC

Japan

 

Granted

 

2001-541073

 

28-Nov-2000

 

3782010

 

17-Mar-2006

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Japan

 

Granted

 

2001-541841

 

6-Nov-2000

 

3854149

 

15-Sep-2006

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF

 

166



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

UNSATURATED MONOMERS

Japan

 

Granted

 

2001-541092

 

1-Nov-2000

 

3810320

 

2-Jun-2006

 

Crompton Corporation

 

HIGH PERFORMANCE POLYURETHANE ELASTOMERS FROM MDI PREPOLYMERS WITH REDUCED CONTENT OF FREE MDI MONOMER

Kazakhstan

 

Granted

 

200200519

 

16-Oct-2000

 

004940

 

28-Oct-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Kyrgyzstan

 

Granted

 

200200519

 

16-Oct-2000

 

004940

 

28-Oct-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Liechtenstein

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Liechtenstein

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Liechtenstein

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Liechtenstein

 

Granted

 

00965464.1

 

26-Sep-2000

 

1218340

 

19-Nov-2003

 

Crompton

 

NOVEL 4-

 

167



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Luxembourg

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Luxembourg

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Luxembourg

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Luxembourg

 

Granted

 

00965464.1

 

26-Sep-2000

 

1218340

 

19-Nov-2003

 

Crompton Corporation

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Malaysia

 

Pending

 

PI20030504

 

14-Feb-2003

 

 

 

 

 

Crompton Corporation

 

NITROSOPHENOLS AND C-NITROSOANILINES AS POLYMERIZATION INHIBITORS

Malaysia

 

Granted

 

PI20005607

 

30-Nov-2000

 

MY-137145-A

 

31-Dec-2008

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSTURATED MONOMERS

Malaysia

 

Granted

 

PI20005608

 

30-Nov-2000

 

MY-124743-A

 

31-Jul-2006

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

 

168



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Mexico

 

Granted

 

2002/011931

 

15-May-2001

 

231875

 

7-Nov-2005

 

Crompton Corporation

 

Clarification method for oil dispersions comprising overbased detergents containing calcite

Mexico

 

Granted

 

2004/002420

 

14-Sep-2001

 

253942

 

27-Jan-2008

 

Crompton Corporation

 

MULTIFUNCTIONAL VISCOSITY INDEX IMPROVER AND DISPERSANT

Mexico

 

Granted

 

2004/007952

 

29-Jan-2003

 

248714

 

4-Sep-2007

 

Crompton Corporation

 

NITROSOPHENOLS AND C-NITROSOANILINES AS POLYMERIZATION INHIBITORS

Mexico

 

Granted

 

2004/012661

 

28-May-2003

 

245542

 

30-Apr-2007

 

Crompton Corporation

 

POLYURETHANE/UREA COMPOSITION FOR COATING CYLINDRICAL PARTS

Mexico

 

Granted

 

PA/a/2005/005015

 

10-Nov-2003

 

267726

 

23-Jun-2009

 

Crompton Corporation

 

METHOD AND DEVICE FOR APPLYING A THICK REACTIVE COATING ON A BODY ROTATING ABOUT AN AXIS

Mexico

 

Granted

 

2002/005425

 

28-Nov-2000

 

231749

 

1-Nov-2005

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Mexico

 

Granted

 

2002/005423

 

6-Nov-2000

 

239085

 

31-Jul-2006

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED

 

169



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

MONOMERS

Mexico

 

Granted

 

2003/001239

 

7-Aug-2001

 

229944

 

12-Aug-2005

 

Crompton Corporation

 

DIRECT SYNTHESIS OF TIN (II)  AND CARBOXYLATES AND TIN (IV) CARBOXYLATES FROM ELEMENTAL TIN OR TIN OXIDES

Moldova

 

Granted

 

200200519

 

16-Oct-2000

 

004940

 

28-Oct-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Monaco

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Monaco

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Monaco

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Netherlands

 

Granted

 

95101198.0

 

28-Jan-1995

 

0665248

 

31-Mar-1999

 

Crompton Corporation

 

PROCESS FOR SEQUENTIALLY GRAFTING OLEFIN POLYMER MATERIALS AND GRAFTED POLYMERS THEREFROM

 

170



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Netherlands

 

Granted

 

93300332.9

 

19-Jan-1993

 

0553984

 

1-Sep-1999

 

Crompton Corporation

 

PROCESS FOR MAKING PHOSPHITE ESTERS

Netherlands

 

Granted

 

94302125.3

 

24-Mar-1994

 

0618315

 

9-Dec-1998

 

Crompton Corporation

 

MELT EXTRUSION PROCESS

Netherlands

 

Granted

 

95303275.2

 

16-May-1995

 

0685516

 

4-Aug-1999

 

Crompton Corporation

 

SOLID STABILIZER COMPOSITION WITH IMPROVED HYDROLYTIC STABILITY

Netherlands

 

Granted

 

96300383.5

 

19-Jan-1996

 

0725107

 

30-Jul-2003

 

Crompton Corporation

 

PHOSPHITE STABILIZATION OF POLYOLEFINS CONTAINING SILICA SUPPORTED CATALYST

Netherlands

 

Granted

 

99301608.8

 

3-Mar-1999

 

0940407

 

3-Dec-2003

 

Crompton Corporation

 

CYCLIC BIS-PHOSPHITES AND COMPOSITIONS  8SC12322 COMBINED WITHIN

Netherlands

 

Granted

 

97300270.2

 

17-Jan-1997

 

0785210

 

29-May-2002

 

Crompton Corporation

 

AROMATIC CYCLIC BISPHOSPHITE ESTERS AND POLYMERIC COMPOSIITONS THE REOF      NO DIVISIONAL DUE PER KEM

Netherlands

 

Granted

 

96933876.3

 

24-Sep-1996

 

0793688

 

19-Mar-2003

 

Crompton Corporation

 

POLYMER COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES AND

 

171



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

HYDROCARBON AMINE OXIDE STABILIZER COMPOSITIONS

Netherlands

 

Granted

 

97300269.4

 

17-Jan-1997

 

0785209

 

7-May-2003

 

Crompton Corporation

 

NEO DIOL PHOSPHITE ESTERS AND POLYMERIC COMPOSITIONS THEREOF NO DIVISIONAL PER JBY  12/27/96 *08SC12292 COMB.INTO*

Netherlands

 

Granted

 

99911278.2

 

10-Mar-1999

 

1066299

 

16-Jun-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BIS-PHOSPHITES

Netherlands

 

Granted

 

99912952.1

 

30-Mar-1999

 

1071688

 

25-Sep-2002

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BISPHOSPHITES USING FINELY GROUND PENTAERYTHRITOL

Netherlands

 

Granted

 

97908812.7

 

3-Mar-1997

 

0886675

 

7-Jun-2000

 

Crompton Corporation

 

POLYMERIZATION INHIBITOR COMPOSITION

Netherlands

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Netherlands

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED

 

172



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CELLS

Netherlands

 

Granted

 

98908819.0

 

2-Mar-1998

 

0968192

 

18-Feb-2004

 

Crompton Corporation

 

SUBSTITUTED TETRAHYDROPYRIMIDINE DERIVATIVES AND THEIR USE AS POLYMERIZATION INHIBITORS FOR VINYL AROMATIC COMPOUNDS

Netherlands

 

Granted

 

98904954.9

 

23-Jan-1998

 

0961789

 

9-Jul-2003

 

Crompton Corporation

 

Lubricants Containing Ashless Antiwear-Dispersant Additive Having Viscosity Index Improver Credit

Netherlands

 

Granted

 

98949599.9

 

29-Sep-1998

 

1023377

 

3-Dec-2003

 

Crompton Corporation

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THREFROM

Netherlands

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Netherlands

 

Granted

 

00963380.1

 

12-Sep-2000

 

1220848

 

19-Nov-2003

 

Crompton Corporation

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

Netherlands

 

Granted

 

00965464.1

 

26-Sep-2000

 

1218340

 

19-Nov-2003

 

Crompton Corporation

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE

 

173



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

DERIVATIVES

Netherlands

 

Granted

 

94301460.5

 

1-Mar-1994

 

0613940

 

9-Jun-1999

 

Crompton Corporation

 

OVERBASED CALCIUM SULFONATE GREASE

Portugal

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Portugal

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Portugal

 

Granted

 

98908819.0

 

2-Mar-1998

 

0968192

 

18-Feb-2004

 

Crompton Corporation

 

SUBSTITUTED TETRAHYDROPYRIMIDINE DERIVATIVES AND THEIR USE AS POLYMERIZATION INHIBITORS FOR VINYL AROMATIC COMPOUNDS

Portugal

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Portugal

 

Granted

 

00965464.1

 

26-Sep-2000

 

1218340

 

19-Nov-2003

 

Crompton Corporation

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Republic of Korea

 

Pending

 

7000343/2005

 

11-Jun-2003

 

 

 

 

 

Crompton Corporation

 

Silane Additives for Lubricants and Fuels

Republic of

 

Pending

 

7018905/2004

 

15-May-2003

 

 

 

 

 

Crompton

 

Polyurethane

 

174



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Korea

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

Dispersions

Republic of Korea

 

Granted

 

1995-0001680

 

28-Jan-1995

 

337246

 

7-May-2002

 

Crompton Corporation

 

PROCESS FOR SEQUENTIALLY GRAFTING OLEFIN POLYMER MATERIALS AND GRAFTED POLYMERS THEREFROM

Republic of Korea

 

Granted

 

93-1215

 

30-Jan-1993

 

263427

 

17-May-2000

 

Crompton Corporation

 

PROCESS FOR MAKING PHOSPHITE ESTERS

Republic of Korea

 

Granted

 

95-14100

 

31-May-1995

 

384809

 

9-May-2003

 

Crompton Corporation

 

SOLID STABILIZER COMPOSITION WITH IMPROVED HYDROLYTIC STABILITY

Republic of Korea

 

Granted

 

95-35934

 

18-Oct-1995

 

377296

 

11-Mar-2003

 

Crompton Corporation

 

AMINE-STABILIZED AMORPHOUS PHOSPHITE

Republic of Korea

 

Granted

 

99-7235

 

5-Mar-1999

 

425055

 

18-Mar-2004

 

Crompton Corporation

 

CYCLIC BIS-PHOSPHITES AND COMPOSITIONS  8SC12322 COMBINED WITHIN

Republic of Korea

 

Granted

 

97-703488

 

24-Sep-1996

 

0452653

 

4-Oct-2004

 

Crompton Corporation

 

POLYMER COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES AND HYDROCARBON AMINE OXIDE STABILIZER COMPOSITIONS

Republic of

 

Granted

 

98-9913

 

23-Mar-1998

 

0526862

 

31-Oct-2005

 

Crompton

 

COMPOSITIONS

 

175



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Korea

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

STABILIZED WITH TERTIARY AMINE OXIDES

Republic of Korea

 

Granted

 

7007059/2002

 

28-Nov-2000

 

10-0694451

 

6-Mar-2007

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Republic of Korea

 

Granted

 

7009975/2000

 

25-Feb-1999

 

10-0564983

 

21-Mar-2006

 

Crompton Corporation

 

MARINE CYLINDER OILS CONTAINING HIGH VISCOSITY DETERGENTS

Republic of Korea

 

Granted

 

1019997009907

 

25-Feb-1999

 

641252

 

25-Oct-2006

 

Crompton Corporation

 

VISCOSITY DRIFT CONTROL IN OVERBASED DETERGENTS

Republic of Korea

 

Granted

 

99-7011219

 

25-Feb-1999

 

10-0594915

 

22-Jun-2006

 

Crompton Corporation

 

OVERBASED MAGNESIUM DEPOSIT CONTROL ADDITIVE FOR RESIDUAL FU EL OILS

Russian Federation

 

Granted

 

2002135649

 

8-May-2001

 

2287556

 

20-Nov-2006

 

Crompton Corporation

 

NANOSIZED PARTICLES OF MOLYBDENUM SULFIDE AND DERIVATIVES AND USES THEREOF

Russian Federation

 

Granted

 

2004111290

 

14-Sep-2001

 

2275387

 

27-Apr-2006

 

Crompton Corporation

 

MULTIFUNCTIONAL VISCOSITY INDEX IMPROVER AND DISPERSANT

Russian Federation

 

Granted

 

2004/104635

 

18-Jul-2001

 

2266912

 

27-Dec-2005

 

Crompton Corporation

 

ORGANO-IMIDO MOLYBDENUM COMPLEXES AS FRICTION MODIFIER

 

176



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ADDITIVES FOR LUBRICANT COMPOSITIONS

Russian Federation

 

Granted

 

2005116313

 

22-Oct-2003

 

2331631

 

20-Aug-2008

 

Crompton Corporation

 

METHOD FOR THE ALKYLATION OF SALICYLIC ACID

Russian Federation

 

Granted

 

200200519

 

16-Oct-2000

 

004940

 

28-Oct-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Saudi Arabia

 

Pending

 

03230558

 

26-Feb-2003

 

 

 

 

 

Crompton Corporation

 

NITROSOPHENOLS AND C-NITROSOANILINES AS POLYMERIZATION INHIBITORS

Spain

 

Granted

 

96301118.4

 

20-Feb-1996

 

0729965

 

22-May-2002

 

Crompton Corporation

 

PROCESS FOR MAKING BIPHENYLENE AND BISPHENYLENE PHOSPHITES  NO DIVISIONAL DUE PER JBY

Spain

 

Granted

 

94302125.3

 

24-Mar-1994

 

0618315

 

9-Dec-1998

 

Crompton Corporation

 

MELT EXTRUSION PROCESS

Spain

 

Granted

 

95303275.2

 

16-May-1995

 

0685516

 

4-Aug-1999

 

Crompton Corporation

 

SOLID STABILIZER COMPOSITION WITH IMPROVED HYDROLYTIC STABILITY

Spain

 

Granted

 

96300383.5

 

19-Jan-1996

 

0725107

 

30-Jul-2003

 

Crompton Corporation

 

PHOSPHITE STABILIZATION OF POLYOLEFINS CONTAINING SILICA SUPPORTED CATALYST

 

177



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Spain

 

Granted

 

99301608.8

 

3-Mar-1999

 

0940407

 

3-Dec-2003

 

Crompton Corporation

 

CYCLIC BIS-PHOSPHITES AND COMPOSITIONS  8SC12322 COMBINED WITHIN

Spain

 

Granted

 

97300270.2

 

17-Jan-1997

 

0785210

 

29-May-2002

 

Crompton Corporation

 

AROMATIC CYCLIC BISPHOSPHITE ESTERS AND POLYMERIC COMPOSIITONS THE REOF      NO DIVISIONAL DUE PER KEM

Spain

 

Granted

 

97300269.4

 

17-Jan-1997

 

0785209

 

7-May-2003

 

Crompton Corporation

 

NEO DIOL PHOSPHITE ESTERS AND POLYMERIC COMPOSITIONS THEREOF NO DIVISIONAL PER JBY  12/27/96 *08SC12292 COMB.INTO*

Spain

 

Granted

 

99911278.2

 

10-Mar-1999

 

1066299

 

16-Jun-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BIS-PHOSPHITES

Spain

 

Granted

 

97111855.9

 

11-Jul-1997

 

0818457

 

2-Oct-2002

 

Crompton Corporation

 

STABLE AQUEOUS DISPERSIONS OF DIBUTYLIN OXIDE

Spain

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Spain

 

Granted

 

00963380.1

 

12-Sep-2000

 

1220848

 

19-Nov-2003

 

Crompton Corporation

 

N-ARYLMETHYLTHI

 

178



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

OANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

Spain

 

Granted

 

00965464.1

 

26-Sep-2000

 

1218340

 

19-Nov-2003

 

Crompton Corporation

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Sweden

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Sweden

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Sweden

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Sweden

 

Granted

 

00963380.1

 

12-Sep-2000

 

1220848

 

19-Nov-2003

 

Crompton Corporation

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

Switzerland

 

Granted

 

99301608.8

 

3-Mar-1999

 

0940407

 

3-Dec-2003

 

Crompton Corporation

 

CYCLIC BIS-PHOSPHITES AND COMPOSITIONS  8SC12322 COMBINED

 

179



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

WITHIN

Switzerland

 

Granted

 

99912952.1

 

30-Mar-1999

 

1071688

 

25-Sep-2002

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BISPHOSPHITES USING FINELY GROUND PENTAERYTHRITOL

Switzerland

 

Granted

 

96942010.8

 

15-Nov-1996

 

0874839

 

18-Sep-2002

 

Crompton Corporation

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Switzerland

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Crompton Corporation

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Switzerland

 

Granted

 

98904954.9

 

23-Jan-1998

 

0961789

 

9-Jul-2003

 

Crompton Corporation

 

Lubricants Containing Ashless Antiwear-Dispersant Additive Having Viscosity Index Improver Credit

Switzerland

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Crompton Corporation

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Switzerland

 

Granted

 

00963380.1

 

12-Sep-2000

 

1220848

 

19-Nov-2003

 

Crompton Corporation

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

 

180



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Switzerland

 

Granted

 

00965464.1

 

26-Sep-2000

 

1218340

 

19-Nov-2003

 

Crompton Corporation

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Taiwan

 

Granted

 

84100537

 

21-Jan-1995

 

NI-092153

 

21-Jan-1998

 

Crompton Corporation

 

PROCESS FOR SEQUENTIALLY GRAFTING OLEFIN POLYMER MATERIALS AND GRAFTED POLYMERS THEREFROM

Taiwan

 

Granted

 

079104184

 

23-May-1990

 

NI-057500

 

13-Nov-1992

 

Crompton Corporation

 

METHOD OF PRODUCING OLEFIN POLYMER GRAFT COPOLYMERS

Taiwan

 

Granted

 

89125692

 

2-Dec-2000

 

I268936

 

21-Dec-2006

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Tajikistan

 

Granted

 

200200519

 

16-Oct-2000

 

004940

 

28-Oct-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Thailand

 

Pending

 

072919

 

5-Apr-2002

 

 

 

 

 

Crompton Corporation

 

Thermoplastic Resins in Contact With Metals or Metal Salts Stabilized by Blends of Dithiocarbamates and Metal Deactivators

Thailand

 

Pending

 

080040

 

11-Feb-2003

 

 

 

 

 

Crompton Corporation

 

NITROSOPHENOLS AND C-NITROSOANILINES AS POLYMERIZATION INHIBITORS

 

181



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Thailand

 

Granted

 

035658

 

10-Feb-1997

 

22561

 

19-Sep-2007

 

Crompton Corporation

 

POLYMER COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES AND HYDROCARBON AMINE OXIDE STABILIZER COMPOSITIONS

Thailand

 

Pending

 

062033

 

27-Nov-2000

 

 

 

 

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Thailand

 

Pending

 

062032

 

27-Nov-2000

 

 

 

 

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Turkmenistan

 

Granted

 

200200519

 

16-Oct-2000

 

004940

 

28-Oct-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

United States

 

Granted

 

09/586011

 

2-Jun-2000

 

6239083

 

29-May-2001

 

Crompton Corporation

 

Clarification Method for Oil Dispersions Comprising Overbased Detergents Containing Calcite

United States

 

Granted

 

09/699813

 

30-Oct-2000

 

6465559

 

15-Oct-2002

 

Crompton Corporation

 

Sizing Composition

United States

 

Granted

 

09/699821

 

30-Oct-2000

 

6339125

 

15-Jan-2002

 

Crompton Corporation

 

CATIONIC POLYURETHANE DISPERSION AND COMPOSITION CONTAINING SAME

United

 

Granted

 

10/275139

 

8-May-2001

 

6878676

 

12-Apr-2005

 

Crompton

 

NANOSIZED

 

182



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

PARTICLES OF MOLYBDENUM SULFIDE AND DERIVATIVES AND USES THEREOF

United States

 

Granted

 

09/769429

 

26-Jan-2001

 

6410795

 

25-Jun-2002

 

Crompton Corporation

 

Process for Base-Promoted Condensation Reactions and Base Reagent Therefor

United States

 

Granted

 

10/487180

 

18-Feb-2004

 

7144951

 

5-Dec-2006

 

Crompton Corporation

 

MULTIFUNCTIONAL VISCOSITY INDEX IMPROVER AND DISPERSANT

United States

 

Pending

 

09/995773

 

29-Nov-2001

 

 

 

 

 

Crompton Corporation

 

VISCOSITY GROWTH INHIBITION IN OIL ADDITIVE CONCENTRATES

United States

 

Granted

 

10/483342

 

8-Jan-2004

 

7229951

 

12-Jun-2007

 

Crompton Corporation

 

ORGANO-IMIDO MOLYBDENUM COMPLEXES AS FRICTION MODIFIER ADDITIVES FOR LUBRICANT COMPOSITIONS

United States

 

Granted

 

09/871302

 

31-May-2001

 

6559107

 

6-May-2003

 

Crompton Corporation

 

THIADIAZOLIDINE ADDITIVES FOR LUBRICANTS

United States

 

Granted

 

09/871120

 

31-May-2001

 

6667282

 

23-Dec-2003

 

Crompton Corporation

 

ALKYL HYDRAZIDE ADDITIVES FOR LUBRICANTS

United States

 

Granted

 

10/357245

 

3-Feb-2003

 

6846781

 

25-Jan-2005

 

Crompton Corporation

 

OXADIAZOLE ADDITIVES FOR LUBRICANTS

United States

 

Granted

 

09/872722

 

1-Jun-2001

 

6551966

 

22-Apr-2003

 

Crompton Corporation

 

OXADIAZOLE ADDITIVES FOR

 

183



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

LUBRICANTS

United States

 

Granted

 

09/859111

 

16-May-2001

 

6790888

 

14-Sep-2004

 

Crompton Corporation

 

Thermoplastic Resins in Contact With Metals or Metal Salts Stabilized by Blends of Dithiocarbamates and Metal Deactivators

United States

 

Pending

 

10/277435

 

22-Oct-2002

 

 

 

 

 

Crompton Corporation

 

AROMATIC DIAMINE POLYURETHANE CURATIVES WITH IMPROVED STABILITY

United States

 

Granted

 

09/956395

 

18-Sep-2001

 

6525131

 

25-Feb-2003

 

Crompton Corporation

 

AROMATIC DIAMINE POLYURETHANE CURATIVES WITH IMPROVED STABILITY

United States

 

Granted

 

10/119443

 

9-Apr-2002

 

6756431

 

29-Jun-2004

 

Crompton Corporation

 

Heterocyclic Tin Flame Retardants/Smoke Suppressants and Halogen-Containing Polymer Composition Containing Same

United States

 

Granted

 

10/669955

 

24-Sep-2003

 

6835328

 

28-Dec-2004

 

Crompton Corporation

 

Overbased Metal Carbonate/Carboxylate Microemulsions and Halogen-Containing Polymers Containing Same

United States

 

Granted

 

10/190130

 

3-Jul-2002

 

6872854

 

29-Mar-2005

 

Crompton Corporation

 

Complexes of Metal Salts of Organic Acids and B-Diketones and Methods for Producing Same

United

 

Granted

 

10/724374

 

26-Nov-2003

 

6984684

 

10-Jan-2006

 

Crompton

 

Stability

 

184



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

Improvement of Aluminum Hydroxide in PVC Compound

United States

 

Granted

 

11/200418

 

9-Aug-2005

 

7550525

 

23-Jun-2009

 

Crompton Corporation

 

Stability Improvement of Aluminum Hydroxide in PVC Compound

United States

 

Granted

 

10/043252

 

14-Jan-2002

 

6825256

 

30-Nov-2004

 

Crompton Corporation

 

Stability Improvement of Carbon Monoxide Ethylene Copolymer in PVC Compound

United States

 

Granted

 

10/404176

 

31-Mar-2003

 

6887835

 

3-May-2005

 

Crompton Corporation

 

Silane Additives for Lubricants and Fuels

United States

 

Granted

 

10/353647

 

29-Jan-2003

 

7125475

 

24-Oct-2006

 

Crompton Corporation

 

NITROSOPHENOLS AND C-NITROSOANILINES AS POLYMERIZATION INHIBITORS

United States

 

Granted

 

10/761515

 

20-Jan-2004

 

7129306

 

31-Oct-2006

 

Crompton Corporation

 

PROCESS FOR THE OLIGOMERIZATION OF ALPHA-OLEFINS HAVING LOW UNSATURATION

United States

 

Granted

 

10/163132

 

4-Jun-2002

 

6706828

 

16-Mar-2004

 

Crompton Corporation

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION

United States

 

Granted

 

10/118548

 

8-Apr-2002

 

6774154

 

10-Aug-2004

 

Crompton Corporation

 

SEMIFLEXIBLE AND FLEXIBLE POLYURETHANE FOAMS HAVING LOW FOGGING CHARACTERISTICS AND IMPROVED

 

185



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PHYSICALPROPERTIES

United States

 

Pending

 

11/037609

 

17-Jan-2005

 

 

 

 

 

Crompton Corporation

 

POLYURETHANE ELASTOMERS FROM HDI PREPOLYMERS WITH REDUCED CONTENT OF FREE HDI MONOMERS

United States

 

Granted

 

10/172245

 

14-Jun-2002

 

6747117

 

8-Jun-2004

 

Crompton Corporation

 

POLYURETHANE/UREA COMPOSITION FOR COATING CYLINDRICAL PARTS

United States

 

Granted

 

10/054064

 

22-Jan-2002

 

6602832

 

5-Aug-2003

 

Crompton Corporation

 

OIL-SOLUBLE ADDITIVE COMPOSITIONS FOR LUBRICATING OILS

United States

 

Granted

 

10/417031

 

16-Apr-2003

 

6939903

 

6-Sep-2005

 

Crompton Corporation

 

NATURAL FIBER-FILLED POLYOLEFIN COMPOSITES

United States

 

Granted

 

10/691390

 

21-Oct-2003

 

7045654

 

16-May-2006

 

Crompton Corporation

 

METHOD FOR THE ALKYLATION OF SALICYLIC ACID

United States

 

Granted

 

10/739598

 

17-Dec-2003

 

7217765

 

15-May-2007

 

Crompton Corporation

 

STYRENIC POLYMER COMPOSITES

United States

 

Granted

 

08/469733

 

6-Jun-1995

 

5539057

 

23-Jul-1996

 

Crompton Corporation

 

PROCESS FOR SEQUENTIALLY GRAFTING OLEFIN POLYMER MATERIALS AND GRAFTED POLYMERS THEREFROM

 

186



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Granted

 

625,287

 

10-Dec-1990

 

5140074

 

18-Aug-1992

 

Crompton Corporation

 

METHOD OF PRODUCING OLEFIN POLYMER GRAFT COPOLYMERS

United States

 

Granted

 

10/417861

 

17-Apr-2003

 

6930183

 

16-Aug-2005

 

Crompton Corporation

 

ALKYLATED IMINODIBENZYLS AS ANTIOXIDANTS

United States

 

Pending

 

10/825065

 

14-Apr-2004

 

 

 

 

 

Crompton Corporation

 

KETONE DIARYLAMINE CONDENSATES

United States

 

Granted

 

10/815578

 

31-Mar-2004

 

7189875

 

13-Mar-2007

 

Crompton Corporation

 

DIPHENYLAMINE ALKYLATED WITH OLEFIN MIXTURES CONTAINING FRACTIONS WITH VARYING DEGREES OF ACTIVITY

United States

 

Pending

 

10/823953

 

13-Apr-2004

 

 

 

 

 

Crompton Corporation

 

COUPLING AGENTS FOR NATURAL FIBER-FILLED POLYOLEFINS

United States

 

Granted

 

10/800288

 

12-Mar-2004

 

7569526

 

4-Aug-2009

 

Crompton Corporation

 

ANTI-OXIDANTS IN SOLUBLE OIL BASE FOR METAL WORKING FLUIDS

United States

 

Granted

 

10/892610

 

16-Jul-2004

 

7399734

 

15-Jul-2008

 

Crompton Corporation

 

POLYSILOXANE ADDITIVES FOR LUBRICANTS AND FUELS

United States

 

Granted

 

10/464128

 

17-Jun-2003

 

7160944

 

9-Jan-2007

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF A POLYOLEFIN EMULSION AND HYBRID POLYOLEFIN-

 

187



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

POLYURETHANE DISPERSION DERIVED THEREFROM

United States

 

Granted

 

10/612576

 

1-Jul-2003

 

6774181

 

10-Aug-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF A SELF-EMULSIFIABLE POLYOLEFIN EMULSION AND HYBRID POLYOLEFIN-POLYURETHANE DISPERSION DERIVED THEREFROM

United States

 

Granted

 

10/643800

 

19-Aug-2003

 

7282527

 

16-Oct-2007

 

Crompton Corporation

 

Stabilization System for Halogen-Containing Polymers

United States

 

Granted

 

10/629273

 

29-Jul-2003

 

6943202

 

13-Sep-2005

 

Crompton Corporation

 

RADIATION-CURABLE POLYURETHANE

United States

 

Pending

 

12/208192

 

10-Sep-2008

 

 

 

 

 

Crompton Corporation

 

Reaction Products of Mercaptobenzothiazoles, Mercaptothiazolines, and Mercaptobenzimidazoles with Epoxides as Lubricant Additives

United States

 

Granted

 

10/888137

 

8-Jul-2004

 

7442673

 

28-Oct-2008

 

Crompton Corporation

 

Reaction Products of Mercaptobenzothiazoles, Mercaptothiazolines, and Mercaptobenzimidazoles with Epoxides as Lubricant Additives

United States

 

Granted

 

10/713805

 

14-Nov-2003

 

7244857

 

17-Jul-2007

 

Crompton Corporation

 

Method of Making Hydroxyalkyl Amide

 

188



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Containing Reduced Level of Unreacted Alkanolamine

United States

 

Granted

 

10/712829

 

12-Nov-2003

 

7473815

 

6-Jan-2009

 

Crompton Corporation

 

PROCESS FOR REMOVAL OF CATALYST RESIDUES FROM POLY-ALPHA-OLEFINS

United States

 

Granted

 

10/712830

 

12-Nov-2003

 

7312346

 

25-Dec-2007

 

Crompton Corporation

 

Method of Purifying Hydroxyalkyl Amide

United States

 

Granted

 

10/771907

 

3-Feb-2004

 

7494960

 

24-Feb-2009

 

Crompton Corporation

 

LUBRICANT COMPOSITIONS COMPRISING AN ANTIOXIDANT BLEND

United States

 

Pending

 

10/731600

 

9-Dec-2003

 

 

 

 

 

Crompton Corporation

 

LOW SEDIMENT FRICTION MODIFIERS

United States

 

Pending

 

10/979529

 

1-Nov-2004

 

 

 

 

 

Crompton Corporation

 

LUBRICANT AND FUEL COMPOSITIONS CONTAINING HYDROXY POLYCARBOXYLIC ACID ESTERS

United States

 

Granted

 

10/815579

 

31-Mar-2004

 

7160845

 

9-Jan-2007

 

Crompton Corporation

 

Dithiocarbamate Derivatives Useful as Lubricant and Fuel Additives

United States

 

Granted

 

10/996273

 

23-Nov-2004

 

7585822

 

8-Sep-2009

 

Crompton Corporation

 

EMULSIFIER BLENDS FOR LUBRICATING OILS

United States

 

Pending

 

11/124652

 

9-May-2005

 

 

 

 

 

Crompton Corporation

 

Fuel and Lubricant Additive Containing Alkyl Hydroxy Carboxylic Acid Boron Esters

United

 

Pending

 

12/685150

 

11-Jan-2010

 

 

 

 

 

Crompton

 

Fuel and Lubricant

 

189



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

Additive Containing Alkyl Hydroxy Carboxylic Acid Boron Esters

United States

 

Granted

 

10/977618

 

27-Oct-2004

 

7342126

 

11-Mar-2008

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF 4-OXO-4-((4-(PHENYLAMINO) PHENYL)AMINO)-2-BUTENOIC ACID

United States

 

Granted

 

10/937247

 

8-Sep-2004

 

7375061

 

20-May-2008

 

Crompton Corporation

 

Antioxidant Hydrazides and Derivatives Therof Having Multifunctional Activity

United States

 

Granted

 

11/001558

 

30-Nov-2004

 

7390846

 

24-Jun-2008

 

Crompton Corporation

 

Wood Sizing Agents for PVC Composites

United States

 

Pending

 

10/995605

 

22-Nov-2004

 

 

 

 

 

Crompton Corporation

 

CLEAR IMPACT MODIFIER, HEAT RESISTANT POLYVINYL HALIDE COMPOSITIONS

United States

 

Granted

 

11/024218

 

27-Dec-2004

 

7485605

 

3-Feb-2009

 

Crompton Corporation

 

Lubricant and Fuel Compositions Containing 2-(S(N)-Mercaptobenzothiazone) Succinic and Methylene Succinate Esters

United States

 

Pending

 

11/128929

 

12-May-2005

 

 

 

 

 

Crompton Corporation

 

STABILIZED LUBRICANT COMPOSITIONS

United States

 

Pending

 

10/955029

 

29-Sep-2004

 

 

 

 

 

Crompton Corporation

 

STABILIZED LUBRICANT COMPOSITIONS

United States

 

Granted

 

11/072575

 

3-Mar-2005

 

7592374

 

22-Sep-2009

 

Crompton Corporation

 

INSECTICIDAL, ACARICIDAL, AND FUNGICIDAL

 

190



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

NITOMETHYLENE COMPOUNDS

United States

 

Granted

 

11/092493

 

28-Mar-2005

 

7446119

 

4-Nov-2008

 

Crompton Corporation

 

MITICIDAL TRIAZOLIDINE DERIVATIVES

United States

 

Granted

 

11/093434

 

29-Mar-2005

 

7442732

 

28-Oct-2008

 

Crompton Corporation

 

HINDERED AMINE LIGHT STABILIZERS COMPRISING NEOALKANEDIOL PHOSPHITES

United States

 

Granted

 

07/829128

 

31-Jan-1992

 

5247118

 

21-Sep-1993

 

Crompton Corporation

 

PROCESS FOR MAKING PHOSPHITE ESTERS

United States

 

Granted

 

08/285585

 

3-Aug-1994

 

5464889

 

7-Nov-1995

 

Crompton Corporation

 

PHOSPHITES ANTIOXIDANTS

United States

 

Granted

 

08/292161

 

17-Aug-1994

 

5451623

 

19-Sep-1995

 

Crompton Corporation

 

NEOALKYL ALKYLIDENE-2,2-BISPHENYL AND BIPHENYL PHOSPHITE ESTERS

United States

 

Granted

 

08/307545

 

16-Sep-1994

 

5424348

 

13-Jun-1995

 

Crompton Corporation

 

NEO-DIOL PHOSPHITES AS POLYMER STABILIZERS

United States

 

Granted

 

08/361786

 

21-Dec-1994

 

5500468

 

19-Mar-1996

 

Crompton Corporation

 

NEO-DIOL PHOSPHITES AS POLYMER STABILIZERS

United States

 

Granted

 

08/361349

 

21-Dec-1994

 

5614571

 

25-Mar-1997

 

Crompton Corporation

 

NEO-DIOL PHOSPHITES AS POLYMER STABILIZERS

United States

 

Granted

 

08/415394

 

3-Apr-1995

 

5623009

 

22-Apr-1997

 

Crompton Corporation

 

NEO-DIOL PHOSPHITES AS POLYMER STABILIZERS

United

 

Granted

 

08/361259

 

21-Dec-1994

 

5543102

 

6-Aug-1996

 

Crompton

 

NEO-DIOL

 

191



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

PHOSPHITES AS POLYMER STABILIZERS

United States

 

Granted

 

08/361785

 

21-Dec-1994

 

5559167

 

24-Sep-1996

 

Crompton Corporation

 

NEO-DIOL PHOSPHITES AS POLYMER STABILIZERS

United States

 

Granted

 

08/775432

 

31-Dec-1996

 

5736599

 

7-Apr-1998

 

Crompton Corporation

 

DIPHOSPHITES

United States

 

Granted

 

08/774413

 

31-Dec-1996

 

5773498

 

30-Jun-1998

 

Crompton Corporation

 

DIPHOSPHITES

United States

 

Granted

 

08/096107

 

22-Jul-1993

 

5523448

 

4-Jun-1996

 

Crompton Corporation

 

DIPHOSPHITES

United States

 

Granted

 

08/288670

 

9-Aug-1994

 

6022916

 

8-Feb-2000

 

Crompton Corporation

 

PROCESSING STABILIZER FORMULATIONS

United States

 

Pending

 

09/459662

 

13-Dec-1999

 

 

 

 

 

Crompton Corporation

 

PROCESSING STABILIZER FORMULATIONS

United States

 

Granted

 

08/038400

 

29-Mar-1993

 

5849231

 

15-Dec-1998

 

Crompton Corporation

 

MELT EXTRUSION PROCESS

United States

 

Granted

 

08/252511

 

1-Jun-1994

 

6451888

 

17-Sep-2002

 

Crompton Corporation

 

SOLID STABILIZER COMPOSITION WITH IMPROVED HYDROLYTIC STABILITY

United States

 

Granted

 

08/325726

 

19-Oct-1994

 

5468895

 

21-Nov-1995

 

Crompton Corporation

 

AMINE-STABILIZED AMORPHOUS PHOSPHITE

United States

 

Granted

 

08/316692

 

30-Sep-1994

 

5500458

 

19-Mar-1996

 

Crompton Corporation

 

EPHOSPHITE COATED POLYMERIC PARTICLES

United States

 

Granted

 

08/902861

 

30-Jul-1997

 

5717028

 

10-Feb-1998

 

Crompton Corporation

 

THERMOPLASTIC ELASTOMER COMPOSITION CONTAINING CHLORINATED

 

192



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

POLYOLEFIN GRAFT COPOLYMER

United States

 

Granted

 

08/539566

 

5-Oct-1995

 

5561178

 

1-Oct-1996

 

Crompton Corporation

 

ADDITION POLYMER COMPOSITION CONTAINING ISOXAZOLIDINE COMPOUNDS

United States

 

Granted

 

09/863958

 

23-May-2001

 

6444836

 

3-Sep-2002

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF PHOSPHITES

United States

 

Granted

 

08/956864

 

24-Oct-1997

 

5880191

 

9-Mar-1999

 

Crompton Corporation

 

POLYMER COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES AND HYDROCARBON AMINE OXIDE STABILIZER COMPOSITIONS

United States

 

Granted

 

09/085378

 

26-May-1998

 

6103798

 

15-Aug-2000

 

Crompton Corporation

 

POLYMER COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES AND HYDROCARBON AMINE OXIDE STABILIZER COMPOSITIONS

United States

 

Granted

 

08/717313

 

20-Sep-1996

 

5844029

 

1-Dec-1998

 

Crompton Corporation

 

POLYMER COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES AND HYDROCARBON AMINE OXIDE

 

193



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

STABILIZER COMPOSITIONS

United States

 

Granted

 

08/604039

 

20-Feb-1996

 

5814702

 

29-Sep-1998

 

Crompton Corporation

 

ELASTOMER COMPOSITION AND THERMOPLASTIC RESIN COMPOSITION MODIFIED THEREWITH

United States

 

Granted

 

08/703625

 

27-Aug-1996

 

5710196

 

20-Jan-1998

 

Crompton Corporation

 

Asphalt Compostions Containing Acrylonitrile-Butadiene-Styrene Copolymer

United States

 

Granted

 

08/681752

 

29-Jul-1996

 

5780549

 

14-Jul-1998

 

Crompton Corporation

 

Polybutene Polymers Modifiers for PVC

United States

 

Granted

 

08/820871

 

20-Mar-1997

 

5866718

 

2-Feb-1999

 

Crompton Corporation

 

SYNTHESIS OF TERTIARY AMINE OXIDES

United States

 

Granted

 

09/137172

 

20-Aug-1998

 

5955633

 

21-Sep-1999

 

Crompton Corporation

 

SYNTHESIS OF TERTIARY AMINE OXIDES

United States

 

Granted

 

08/920961

 

29-Aug-1997

 

5786497

 

28-Jul-1998

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF PHOSPHITES

United States

 

Granted

 

09/048369

 

26-Mar-1998

 

5919966

 

6-Jul-1999

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BIS-PHOSPHITES

United States

 

Granted

 

08/824675

 

26-Mar-1997

 

5922794

 

13-Jul-1999

 

Crompton Corporation

 

COMPOSITIONS STABILIZED WITH TERTIARY AMINE OXIDES

United States

 

Granted

 

09/061292

 

16-Apr-1998

 

5917076

 

29-Jun-1999

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF SPIRO BISPHOSPHITES USING FINELY GROUND

 

194



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PENTAERYTHRITOL

United States

 

Granted

 

10/253080

 

23-Sep-2002

 

6747167

 

8-Jun-2004

 

Crompton Corporation

 

PROCESS FOR THE PREPARATION OF ACID ESTERS

United States

 

Granted

 

09/676845

 

29-Sep-2000

 

6504065

 

7-Jan-2003

 

Crompton Corporation

 

METHOD OF MAKING METAL SALTS OF 2,4,6-TRI-T-BUTYLPHENOL

United States

 

Granted

 

09/636776

 

11-Aug-2000

 

6426429

 

30-Jul-2002

 

Crompton Corporation

 

Improved Process for the Preparation of Hindered Phosphites

United States

 

Granted

 

10/171365

 

12-Jun-2002

 

6773624

 

10-Aug-2004

 

Crompton Corporation

 

Improved Process for the Preparation of Hindered Phosphites

United States

 

Granted

 

10/387998

 

13-Mar-2003

 

6919389

 

19-Jul-2005

 

Crompton Corporation

 

Thiazolo[3,2-a]benzimidazole-3(2H)-one and their 2-Substituted Derivatives as New Process Stabilizer for Polyolefins

United States

 

Granted

 

07/765409

 

25-Sep-1991

 

5137950

 

11-Aug-1992

 

Crompton Corporation

 

3,9 DIPHOSPHASPIROUNDECANES AND PROCESS FOR MANUFACTURE

United States

 

Granted

 

08/066695

 

24-May-1993

 

5342978

 

30-Aug-1994

 

Crompton Corporation

 

ORGANIC PHOSPHITE ESTER COMPOSITIONS CONTAINING HINDERED PIPERDINYL LIGHT STABILIZERS

United States

 

Granted

 

10/347037

 

17-Jan-2003

 

7198844

 

3-Apr-2007

 

Crompton Corporation

 

Incorporation of liquid amine oxides in microporous polymeric resin

 

195



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Granted

 

10/455027

 

5-Jun-2003

 

7186853

 

6-Mar-2007

 

Crompton Corporation

 

POLYMER COMPOSITIONS CONTAINING STABILIZER COMPOUNDS COMPRISING TRICYCLODECYLMETHYL GROUPS

United States

 

Granted

 

10/193603

 

12-Jul-2002

 

6660181

 

9-Dec-2003

 

Crompton Corporation

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

United States

 

Granted

 

10/957727

 

5-Oct-2004

 

7199170

 

3-Apr-2007

 

Crompton Corporation

 

Non-Xenoestrogenic Stabilizers for Organic Materials

United States

 

Granted

 

09/430969

 

1-Nov-1999

 

6541549

 

1-Apr-2003

 

Crompton Corporation

 

Non-Xenoestrogenic Stabilizers for Organic Materials

United States

 

Pending

 

12/275969

 

21-Nov-2008

 

 

 

 

 

Crompton Corporation

 

HIGH PERFORMANCE POLYURETHANE ELASTOMERS FROM MDI PREPOLYMERS WITH REDUCED CONTENT OF FREE MDI MONOMER

United States

 

Granted

 

11/395272

 

3-Apr-2006

 

7393887

 

1-Jul-2008

 

Crompton Corporation

 

Stabilizer System for Stabilizing Polymers that Contain Halogen

United States

 

Granted

 

09/656049

 

6-Sep-2000

 

6444625

 

3-Sep-2002

 

Crompton Corporation

 

HIGH VISCOSITY OVERBASED SULFONATE DETERGENT AND MARINE CYCLINDER OILS CONTAINING SAME

 

196



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Granted

 

09/322878

 

28-May-1999

 

6283675

 

4-Sep-2001

 

Crompton Corporation

 

METHOD FOR OXIDATIVE DESTRUCTION OF CARBON DISULFIDE IN SOIL

United States

 

Granted

 

09/635615

 

10-Aug-2000

 

6303808

 

16-Oct-2001

 

Crompton Corporation

 

DIRECT SYNTHESIS OF TIN II AND CARBOXYLATES AND TIN IV CARBOXYLATES FROM ELEMENTAL TIN OR TIN OXIDES

China P.R.

 

Granted

 

200380102560.8

 

15-Oct-2003

 

ZL200380102560.8

 

9-Jul-2008

 

CromptonCo./CIE&Chemtura Corporation

 

METHOD FOR PRODUCING LUBRICANT DETERGENTS

Singapore

 

Granted

 

200502723-0

 

15-Oct-2003

 

112331

 

30-Apr-2007

 

CromptonCo./CIE&Chemtura Corporation

 

METHOD FOR PRODUCING LUBRICANT DETERGENTS

China P.R.

 

Granted

 

01117614.8

 

24-Sep-1996

 

01117614.8

 

30-Nov-2005

 

General Electric

 

POLYMER COMPOSITIONS CONTAINING HYDROCARBON AMINE OXIDES AND HYDROCARBON AMINE OXIDE STABILIZER COMPOSITIONS

Spain

 

Granted

 

99912952.1

 

30-Mar-1999

 

1071688

 

25-Sep-2002

 

General Electric

 

PROCESS FOR THE PREPARATION OF SPIRO BISPHOSPHITES USING FINELY GROUND PENTAERYTHRIT

 

197



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

OL

Australia

 

Granted

 

61312/00

 

26-Sep-2000

 

781655

 

15-Sep-2005

 

Great Lakes Chemical Corporation

 

Stable, High Available Halogen 1,3,5-Triazine-2,4,6-Trione Compositions Having Rapid Dissolution Rates

Australia

 

Granted

 

47988/93

 

28-Jul-1993

 

680201

 

13-Nov-1997

 

Great Lakes Chemical Corporation

 

INORGANIC PERBROMIDE COMPOSITIONS AND METHODS OF USE THEREOF

Australia

 

Granted

 

19016/92

 

17-Mar-1992

 

665197

 

10-Apr-1996

 

Great Lakes Chemical Corporation

 

INORGANIC PERBROMIDE COMPOSITIONS AND METHODS OF USE THEREOF

Belgium

 

Granted

 

97934296.1

 

25-Jul-1997

 

0946288

 

21-Sep-2005

 

Great Lakes Chemical Corporation

 

STABLE DISPERSIONS OF METAL PASSIVATION AGENTS AND METHODS FOR MAKING THEM

Belgium

 

Granted

 

98934375.1

 

9-Jul-1998

 

0996704

 

10-Sep-2003

 

Great Lakes Chemical Corporation

 

STABILIZED ALKYL BROMIDE SOLVENTS CONTAINING DIALKYL CARBONATES

Belgium

 

Granted

 

98933297.8

 

9-Jul-1998

 

0994929

 

22-Sep-2004

 

Great Lakes Chemical Corporation

 

AZEOTROPE AND AZEOTROPE-LIKE COMPOSITIONS OF 1-BROMOPROPANE AND HIGHLY FLUORINATED HYDROCARBONS

Belgium

 

Granted

 

96912674.7

 

10-Apr-1996

 

0832153

 

2-Jul-2003

 

Great Lakes Chemical

 

USE OF RING-BROMINATED

 

198



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

BENZOATE COMPOUNDS AS FLAME RETARDANTS AND/ OR PLASTICIZERS

 

EP Title:  BENZOATES AS FLAME RETARDANTS

Brazil

 

Pending

 

PI0311836-3

 

5-May-2003

 

 

 

 

 

Great Lakes Chemical Corporation

 

BLENDS OF TETRAHALOPHTHALATE ESTERS AND PHOSPHORUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE COMPOSITIONS

Brazil

 

Pending

 

PI0310058-8

 

20-May-2003

 

 

 

 

 

Great Lakes Chemical Corporation

 

BLENDS OF (ALKYL SUBSTITUTED) TRIARYL PHOSPHATE ESTERS WITH PHOSPHOROUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE FOAMS

Canada

 

Pending

 

2322111

 

2-Oct-2000

 

 

 

 

 

Great Lakes Chemical Corporation

 

Stable, High Available Halogen 1,3,5-Triazine-2,4,6-Trione Compositions Having Rapid Dissolution Rates

Canada

 

Granted

 

2,220,187

 

7-Jun-1996

 

2,220,187

 

23-Oct-2001

 

Great Lakes

 

COLLOIDAL

 

199



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Corporation

 

PARTICLES OF SOLID FLAME RETARDANT AND SMOKE SUPPRESSANT COMPOUNDS AND METHOD FOR MAKING THEM

Canada

 

Granted

 

2,262,362

 

25-Jul-1997

 

2,262,362

 

7-May-2002

 

Great Lakes Chemical Corporation

 

STABLE DISPERSIONS OF METAL PASSIVATION AGENTS AND METHODS FOR MAKING THEM

Canada

 

Granted

 

2,302,062

 

23-Mar-2000

 

2302062

 

27-Feb-2007

 

Great Lakes Chemical Corporation

 

BRINE FLUIDS WITH IMPROVED CORROSION PROPERTIES.

Canada

 

Granted

 

614,361

 

28-Sep-1989

 

1,340,169

 

8-Dec-1998

 

Great Lakes Chemical Corporation

 

HYDROMETALLURGICAL PROCESS FOR EXTRACTING GOLD AND SILVER ORES WITH BROMATE/PERBROMIDE SOLUTIONS AND COMPOSITIONS THEREFOR

Canada

 

Granted

 

2,295,553

 

9-Jul-1998

 

2295553

 

11-Sep-2007

 

Great Lakes Chemical Corporation

 

STABILIZED ALKYL BROMIDE SOLVENTS CONTAINING DIALKYL CARBONATES

Canada

 

Granted

 

2,296,589

 

9-Jul-1998

 

2296589

 

16-Oct-2007

 

Great Lakes Chemical Corporation

 

AZEOTROPE AND AZEOTROPE-LIKE COMPOSITIONS OF 1-

 

200



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

BROMOPROPANE AND HIGHLY FLUORINATED HYDROCARBONS

Canada

 

Granted

 

2,050,201

 

29-Aug-1991

 

2,050,201

 

6-Nov-2001

 

Great Lakes Chemical Corporation

 

ELECTROGENERATION OF BROMINE AND USE THEREOF IN RECOVERY OF PRECIOUS METALS AND WATER TREATMENT

China P.R.

 

Granted

 

02816946.8

 

28-Aug-2002

 

ZL02816946.8

 

31-Oct-2007

 

Great Lakes Chemical Corporation

 

HIGHER ALKYLATED TRIARYL PHOSPHATE ESTER FLAME RETARDANTS

China P.R.

 

Granted

 

02824507.5

 

18-Dec-2002

 

ZL02824507.5

 

7-Jan-2009

 

Great Lakes Chemical Corporation

 

Methods and Apparatus for Producing Decabromodiphenyl Alkanes

China P.R.

 

Granted

 

02805825.9

 

14-Feb-2002

 

ZL02805825.9

 

21-Nov-2007

 

Great Lakes Chemical Corporation

 

Mixture of Mono-,Bis- and Tris-(Hydroxyaryl) Phosphine Oxides Useful to Make Polyglycidyl Ethers or in Epoxy Compositions

China P.R.

 

Granted

 

200510104101.4

 

16-Sep-2005

 

ZL200510104101.4

 

12-Nov-2008

 

Great Lakes Chemical Corporation

 

Mixture of Mono-,Bis- and Tris-(Hydroxyaryl) Phosphine Oxides Useful to Make Polyglycidyl Ethers or in Epoxy Compositions

 

201



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

China P.R.

 

Pending

 

03810189.0

 

5-May-2003

 

 

 

 

 

Great Lakes Chemical Corporation

 

BLENDS OF TETRAHALOPHTHALATE ESTERS AND PHOSPHORUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE COMPOSITIONS

China P.R.

 

Granted

 

03811440.2

 

20-May-2003

 

ZL03811440.2

 

1-Jul-2009

 

Great Lakes Chemical Corporation

 

BLENDS OF (ALKYL SUBSTITUTED) TRIARYL PHOSPHATE ESTERS WITH PHOSPHOROUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE FOAMS

China P.R.

 

Pending

 

03826858.2

 

29-Jul-2003

 

 

 

 

 

Great Lakes Chemical Corporation

 

PROCESS FOR PRODUCING TETRABROMOBENZOATE ESTERS

China P.R.

 

Pending

 

200680008756.4

 

20-Mar-2006

 

 

 

 

 

Great Lakes Chemical Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

European Patent Convention

 

Pending

 

98923497.6

 

19-May-1998

 

 

 

 

 

Great Lakes Chemical Corporation

 

IMPROVED TRANSAMINASE BIOTRANSFORMATION PROCESS

European Patent Convention

 

Pending

 

03818188.9

 

29-Jul-2003

 

 

 

 

 

Great Lakes Chemical Corporation

 

PROCESS FOR PRODUCING TETRABROMOBENZOATE ESTERS

France

 

Granted

 

97943546.8

 

25-Sep-1997

 

0937156

 

19-Mar-2003

 

Great Lakes

 

PREPARATION OF

 

202



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Corporation

 

D-AMINO ACIDS BY DIRECT FERMENTATIVE MEANS

France

 

Granted

 

02714880.8

 

14-Feb-2002

 

1363922

 

26-Jul-2006

 

Great Lakes Chemical Corporation

 

Mixture of Mono-,Bis- and Tris-(Hydroxyaryl) Phosphine Oxides Useful to Make Polyglycidyl Ethers or in Epoxy Compositions

France

 

Granted

 

03724407.6

 

5-May-2003

 

1501891

 

7-Nov-2007

 

Great Lakes Chemical Corporation

 

BLENDS OF TETRAHALOPHTHALATE ESTERS AND PHOSPHORUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE COMPOSITIONS

France

 

Granted

 

03755378.1

 

20-May-2003

 

1506256

 

19-Sep-2007

 

Great Lakes Chemical Corporation

 

BLENDS OF (ALKYL SUBSTITUTED) TRIARYL PHOSPHATE ESTERS WITH PHOSPHOROUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE FOAMS

France

 

Granted

 

96921536.7

 

7-Jun-1996

 

0848627

 

27-Nov-2002

 

Great Lakes Chemical Corporation

 

COLLOIDAL PARTICLES OF SOLID FLAME RETARDANT AND SMOKE SUPPRESSANT

 

203



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COMPOUNDS AND METHOD FOR MAKING THEM

France

 

Granted

 

97934296.1

 

25-Jul-1997

 

0946288

 

21-Sep-2005

 

Great Lakes Chemical Corporation

 

STABLE DISPERSIONS OF METAL PASSIVATION AGENTS AND METHODS FOR MAKING THEM

France

 

Granted

 

04007375.1

 

4-Aug-2000

 

1462476

 

14-Dec-2005

 

Great Lakes Chemical Corporation

 

INTUMESCENT POLYMER COMPOSITIONS

France

 

Granted

 

00952588.2

 

4-Aug-2000

 

1242523

 

19-Oct-2005

 

Great Lakes Chemical Corporation

 

INTUMESCENT POLYMER COMPOSITIONS

France

 

Granted

 

95931696.9

 

1-Sep-1995

 

0784648

 

21-Jun-2006

 

Great Lakes Chemical Corporation

 

CONTINUOUS BROMINATION PROCESS AND PRODUCTS THEREOF

France

 

Granted

 

98934375.1

 

9-Jul-1998

 

0996704

 

10-Sep-2003

 

Great Lakes Chemical Corporation

 

STABILIZED ALKYL BROMIDE SOLVENTS CONTAINING DIALKYL CARBONATES

France

 

Granted

 

95931571.4

 

24-Aug-1995

 

0782588

 

24-Aug-1995

 

Great Lakes Chemical Corporation

 

DIBROMOSTYRENE-GLYCIDYL (METH)ACRYLATE COPOLYMERS

France

 

Granted

 

0573082

 

9-Apr-1993

 

0573082

 

4-Jan-1998

 

Great Lakes Chemical Corporation

 

TRIARYL PHOSPHATE ESTER COMPOSITION AND PROCESS FOR ITS PREPARATION

France

 

Granted

 

98961771.1

 

24-Nov-1998

 

1036143

 

6-Oct-2004

 

Great Lakes Chemical

 

PHOSPHATE LUBRICANT

 

204



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

COMPOSITIONS AND METAL FORMING USE

France

 

Granted

 

94922686.4

 

22-Jul-1994

 

0710255

 

6-Oct-1999

 

Great Lakes Chemical Corporation

 

POLYMERS OF BROMINATED STYRENE

France

 

Granted

 

98933297.8

 

9-Jul-1998

 

0994929

 

22-Sep-2004

 

Great Lakes Chemical Corporation

 

AZEOTROPE AND AZEOTROPE-LIKE COMPOSITIONS OF 1-BROMOPROPANE AND HIGHLY FLUORINATED HYDROCARBONS

France

 

Granted

 

94913767.3

 

4-May-1994

 

0696311

 

5-Dec-2001

 

Great Lakes Chemical Corporation

 

FLUID TREATMENT PROCESS

Germany

 

Granted

 

97943546.8

 

25-Sep-1997

 

69720026.4

 

19-Mar-2003

 

Great Lakes Chemical Corporation

 

PREPARATION OF D-AMINO ACIDS BY DIRECT FERMENTATIVE MEANS

Germany

 

Granted

 

02714880.8

 

14-Feb-2002

 

60213372.6

 

26-Jul-2006

 

Great Lakes Chemical Corporation

 

Mixture of Mono-,Bis- and Tris-(Hydroxyaryl) Phosphine Oxides Useful to Make Polyglycidyl Ethers or in Epoxy Compositions

Germany

 

Granted

 

03724407.6

 

5-May-2003

 

60317320.1

 

7-Nov-2007

 

Great Lakes Chemical Corporation

 

BLENDS OF TETRAHALOPHTHALATE ESTERS AND PHOSPHORUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE COMPOSITIONS

 

205



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Germany

 

Granted

 

03755378.1

 

20-May-2003

 

60316431.5

 

19-Sep-2007

 

Great Lakes Chemical Corporation

 

BLENDS OF (ALKYL SUBSTITUTED) TRIARYL PHOSPHATE ESTERS WITH PHOSPHOROUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE FOAMS

Germany

 

Granted

 

96921536.7

 

7-Jun-1996

 

69625071.3

 

27-Nov-2002

 

Great Lakes Chemical Corporation

 

COLLOIDAL PARTICLES OF SOLID FLAME RETARDANT AND SMOKE SUPPRESSANT COMPOUNDS AND METHOD FOR MAKING THEM

Germany

 

Granted

 

97934296.1

 

25-Jul-1997

 

69734243.3

 

21-Sep-2005

 

Great Lakes Chemical Corporation

 

STABLE DISPERSIONS OF METAL PASSIVATION AGENTS AND METHODS FOR MAKING THEM

Germany

 

Granted

 

04007375.1

 

4-Aug-2000

 

60024894.1

 

14-Dec-2005

 

Great Lakes Chemical Corporation

 

INTUMESCENT POLYMER COMPOSITIONS

Germany

 

Granted

 

00952588.2

 

4-Aug-2000

 

60023348.0

 

19-Oct-2005

 

Great Lakes Chemical Corporation

 

INTUMESCENT POLYMER COMPOSITIONS

Germany

 

Granted

 

95931696.9

 

1-Sep-1995

 

69535076.5

 

21-Jun-2006

 

Great Lakes Chemical Corporation

 

CONTINUOUS BROMINATION PROCESS AND PRODUCTS THEREOF

Germany

 

Granted

 

98934375.1

 

9-Jul-1998

 

69818059.3

 

10-Sep-2003

 

Great Lakes

 

STABILIZED

 

206



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Corporation

 

ALKYL BROMIDE SOLVENTS CONTAINING DIALKYL CARBONATES

Germany

 

Granted

 

95931571.4

 

24-Aug-1995

 

69525848.6

 

24-Aug-1995

 

Great Lakes Chemical Corporation

 

DIBROMOSTYRENE-GLYCIDYL (METH)ACRYLATE COPOLYMERS

Germany

 

Granted

 

93201053.1

 

9-Apr-1993

 

DE69316269.4

 

14-Jan-1998

 

Great Lakes Chemical Corporation

 

TRIARYL PHOSPHATE ESTER COMPOSITION AND PROCESS FOR ITS PREPARATION

Germany

 

Granted

 

98961771.7

 

24-Nov-1998

 

69826887.3

 

6-Oct-2004

 

Great Lakes Chemical Corporation

 

PHOSPHATE LUBRICANT COMPOSITIONS AND METAL FORMING USE

Germany

 

Granted

 

94922686.4

 

22-Jul-1994

 

69421080.3

 

6-Oct-1999

 

Great Lakes Chemical Corporation

 

POLYMERS OF BROMINATED STYRENE

Germany

 

Granted

 

98933297.8

 

9-Jul-1998

 

69826473.8

 

22-Sep-2004

 

Great Lakes Chemical Corporation

 

AZEOTROPE AND AZEOTROPE-LIKE COMPOSITIONS OF 1-BROMOPROPANE AND HIGHLY FLUORINATED HYDROCARBONS

Germany

 

Granted

 

96912674.7

 

10-Apr-1996

 

69628923.7

 

2-Jul-2003

 

Great Lakes Chemical Corporation

 

USE OF RING-BROMINATED BENZOATE COMPOUNDS AS FLAME RETARDANTS AND/ OR PLASTICIZERS

 

207



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

EP Title:  BENZOATES AS FLAME RETARDANTS

Germany

 

Granted

 

98950212.5

 

28-Oct-1998

 

69814346.9

 

7-May-2003

 

Great Lakes Chemical Corporation

 

PRODUCTION OF PHOSPHATE ESTERS

Germany

 

Pending

 

19983009.6

 

24-Feb-1999

 

 

 

 

 

Great Lakes Chemical Corporation

 

METAL WORKING LUBRICANT COMPOSITION

Germany

 

Granted

 

94913767.3

 

4-May-1994

 

69429341.5

 

5-Dec-2001

 

Great Lakes Chemical Corporation

 

FLUID TREATMENT PROCESS

Great Britain

 

Granted

 

97943546.8

 

25-Sep-1997

 

0937156

 

19-Mar-2003

 

Great Lakes Chemical Corporation

 

PREPARATION OF D-AMINO ACIDS BY DIRECT FERMENTATIVE MEANS

Great Britain

 

Granted

 

02714880.8

 

14-Feb-2002

 

1363922

 

26-Jul-2006

 

Great Lakes Chemical Corporation

 

Mixture of Mono-,Bis- and Tris-(Hydroxyaryl) Phosphine Oxides Useful to Make Polyglycidyl Ethers or in Epoxy Compositions

Great Britain

 

Granted

 

03724407.6

 

5-May-2003

 

1501891

 

7-Nov-2007

 

Great Lakes Chemical Corporation

 

BLENDS OF TETRAHALOPHTHALATE ESTERS AND PHOSPHORUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE COMPOSITIONS

Great Britain

 

Granted

 

03755378.1

 

20-May-2003

 

1506256

 

19-Sep-2007

 

Great Lakes Chemical Corporation

 

BLENDS OF (ALKYL SUBSTITUTED)

 

208



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

TRIARYL PHOSPHATE ESTERS WITH PHOSPHOROUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE FOAMS

Great Britain

 

Granted

 

96921536.7

 

7-Jun-1996

 

0848627

 

27-Nov-2002

 

Great Lakes Chemical Corporation

 

COLLOIDAL PARTICLES OF SOLID FLAME RETARDANT AND SMOKE SUPPRESSANT COMPOUNDS AND METHOD FOR MAKING THEM

Great Britain

 

Granted

 

97934296.1

 

25-Jul-1997

 

0946288

 

21-Sep-2005

 

Great Lakes Chemical Corporation

 

STABLE DISPERSIONS OF METAL PASSIVATION AGENTS AND METHODS FOR MAKING THEM

Great Britain

 

Granted

 

04007375.1

 

4-Aug-2000

 

1462476

 

14-Dec-2005

 

Great Lakes Chemical Corporation

 

INTUMESCENT POLYMER COMPOSITIONS

Great Britain

 

Granted

 

00952588.2

 

4-Aug-2000

 

1242523

 

19-Oct-2005

 

Great Lakes Chemical Corporation

 

INTUMESCENT POLYMER COMPOSITIONS

Great Britain

 

Granted

 

95931696.9

 

1-Sep-1995

 

0784648

 

21-Jun-2006

 

Great Lakes Chemical Corporation

 

CONTINUOUS BROMINATION PROCESS AND PRODUCTS THEREOF

Great Britain

 

Granted

 

98934375.1

 

9-Jul-1998

 

0996704

 

10-Sep-2003

 

Great Lakes Chemical Corporation

 

STABILIZED ALKYL BROMIDE SOLVENTS CONTAINING

 

209



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

DIALKYL CARBONATES

Great Britain

 

Granted

 

95931571.4

 

24-Aug-1995

 

0782588

 

24-Aug-1995

 

Great Lakes Chemical Corporation

 

DIBROMOSTYRENE-GLYCIDYL (METH)ACRYLATE COPOLYMERS

Great Britain

 

Granted

 

0573082

 

9-Apr-1993

 

0573082

 

14-Jan-1998

 

Great Lakes Chemical Corporation

 

TRIARYL PHOSPHATE ESTER COMPOSITION AND PROCESS FOR ITS PREPARATION

Great Britain

 

Granted

 

98961771.1

 

24-Nov-1998

 

1036143

 

6-Oct-2004

 

Great Lakes Chemical Corporation

 

PHOSPHATE LUBRICANT COMPOSITIONS AND METAL FORMING USE

Great Britain

 

Granted

 

94922686.4

 

22-Jul-1994

 

0710255

 

6-Oct-1999

 

Great Lakes Chemical Corporation

 

POLYMERS OF BROMINATED STYRENE

Great Britain

 

Granted

 

98933297.8

 

9-Jul-1998

 

0994929

 

22-Sep-2004

 

Great Lakes Chemical Corporation

 

AZEOTROPE AND AZEOTROPE-LIKE COMPOSITIONS OF 1-BROMOPROPANE AND HIGHLY FLUORINATED HYDROCARBONS

Great Britain

 

Granted

 

96912674.7

 

10-Apr-1996

 

0832153

 

2-Jul-2003

 

Great Lakes Chemical Corporation

 

USE OF RING-BROMINATED BENZOATE COMPOUNDS AS FLAME RETARDANTS AND/ OR PLASTICIZERS

 

EP Title:  BENZOATES AS

 

210



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FLAME RETARDANTS

Great Britain

 

Granted

 

98950212.5

 

28-Oct-1998

 

0952977

 

7-May-2003

 

Great Lakes Chemical Corporation

 

PRODUCTION OF PHOSPHATE ESTERS

Great Britain

 

Granted

 

0022783.5

 

24-Feb-1999

 

2350371

 

12-Jun-2002

 

Great Lakes Chemical Corporation

 

METAL WORKING LUBRICANT COMPOSITION

Great Britain

 

Granted

 

94913767.3

 

4-May-1994

 

0696311

 

5-Dec-2001

 

Great Lakes Chemical Corporation

 

FLUID TREATMENT PROCESS

India

 

Pending

 

644/MUMNP/2004

 

5-May-2003

 

 

 

 

 

Great Lakes Chemical Corporation

 

BLENDS OF TETRAHALOPHTHALATE ESTERS AND PHOSPHORUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE COMPOSITIONS

India

 

Granted

 

665/MUMUP/2004

 

20-May-2003

 

222191

 

28-Jul-2008

 

Great Lakes Chemical Corporation

 

BLENDS OF (ALKYL SUBSTITUTED) TRIARYL PHOSPHATE ESTERS WITH PHOSPHOROUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE FOAMS

India

 

Pending

 

458/DELNP/2006

 

29-Jul-2003

 

 

 

 

 

Great Lakes Chemical Corporation

 

PROCESS FOR PRODUCING TETRABROMOBENZOATE ESTERS

India

 

Pending

 

4661/CHENP/2007

 

20-Mar-2006

 

 

 

 

 

Great Lakes Chemical Corporation

 

FLAME RETARDANTS AND FLAME

 

211



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

RETARDED POLYMERS

Israel

 

Pending

 

138802

 

29-Sep-2000

 

 

 

 

 

Great Lakes Chemical Corporation

 

Stable, High Available Halogen 1,3,5-Triazine-2,4,6-Trione Compositions Having Rapid Dissolution Rates

Israel

 

Pending

 

160929

 

18-Dec-2002

 

 

 

 

 

Great Lakes Chemical Corporation

 

Methods and Apparatus for Producing Decabromodiphenyl Alkanes

Israel

 

Pending

 

196048

 

18-Dec-2002

 

 

 

 

 

Great Lakes Chemical Corporation

 

Methods and Apparatus for Producing Decabromodiphenyl Alkanes

Israel

 

Pending

 

164961

 

5-May-2003

 

 

 

 

 

Great Lakes Chemical Corporation

 

BLENDS OF TETRAHALOPHTHALATE ESTERS AND PHOSPHORUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE COMPOSITIONS

Israel

 

Granted

 

118088

 

30-Apr-1996

 

118088

 

1-Oct-2002

 

Great Lakes Chemical Corporation

 

COLLOIDAL PARTICLES OF SOLID FLAME RETARDANT AND SMOKE SUPPRESSANT COMPOUNDS AND METHOD FOR MAKING THEM

Israel

 

Pending

 

173238

 

29-Jul-2003

 

 

 

 

 

Great Lakes Chemical Corporation

 

PROCESS FOR PRODUCING TETRABROMOBENZOATE

 

212



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ESTERS

Israel

 

Granted

 

115,266

 

12-Sep-1995

 

115266

 

16-Aug-1999

 

Great Lakes Chemical Corporation

 

PROCESS TO PRODUCE TETRABROMOBISPHENOL WITH THE REDUCED FORMATION OF ALKYL BROMIDE BY-PRODUCTS

Israel

 

Granted

 

131,758

 

20-Mar-1998

 

131758

 

20-Sep-2005

 

Great Lakes Chemical Corporation

 

OLIGOMERIC FLAME RETARDANT ADDITIVE

Israel

 

Granted

 

105410

 

15-Apr-1993

 

105410

 

19-May-1997

 

Great Lakes Chemical Corporation

 

TRIARYL PHOSPHATE ESTER COMPOSITION AND PROCESS FOR ITS PREPARATION

Israel

 

Granted

 

117,487

 

14-Mar-1996

 

117487

 

18-May-2000

 

Great Lakes Chemical Corporation

 

USE OF RING-BROMINATED BENZOATE COMPOUNDS AS FLAME RETARDANTS AND/ OR PLASTICIZERS

 

EP Title:  BENZOATES AS FLAME RETARDANTS

Israel

 

Granted

 

99371

 

2-Sep-1991

 

99371

 

21-Apr-1996

 

Great Lakes Chemical Corporation

 

ELECTROGENERATION OF BROMINE AND USE THEREOF IN RECOVERY OF PRECIOUS METALS AND

 

213



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

WATER TREATMENT

Israel

 

Granted

 

109,251

 

7-Apr-1994

 

109251

 

23-Jun-2003

 

Great Lakes Chemical Corporation

 

BROMINATED DIPHENYLALKANE PRODUCTS AND PROCESSES

Israel

 

Pending

 

185852

 

20-Mar-2006

 

 

 

 

 

Great Lakes Chemical Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

Italy

 

Granted

 

97943546.8

 

25-Sep-1997

 

0937156

 

19-Mar-2003

 

Great Lakes Chemical Corporation

 

PREPARATION OF D-AMINO ACIDS BY DIRECT FERMENTATIVE MEANS

Italy

 

Granted

 

96921536.7

 

7-Jun-1996

 

0848627

 

27-Nov-2002

 

Great Lakes Chemical Corporation

 

COLLOIDAL PARTICLES OF SOLID FLAME RETARDANT AND SMOKE SUPPRESSANT COMPOUNDS AND METHOD FOR MAKING THEM

Italy

 

Granted

 

97934296.1

 

25-Jul-1997

 

0946288

 

21-Sep-2005

 

Great Lakes Chemical Corporation

 

STABLE DISPERSIONS OF METAL PASSIVATION AGENTS AND METHODS FOR MAKING THEM

Italy

 

Granted

 

00952588.2

 

4-Aug-2000

 

1242523

 

19-Oct-2005

 

Great Lakes Chemical Corporation

 

INTUMESCENT POLYMER COMPOSITIONS

Italy

 

Granted

 

95931696.9

 

1-Sep-1995

 

0784648

 

21-Jun-2006

 

Great Lakes Chemical Corporation

 

CONTINUOUS BROMINATION PROCESS AND PRODUCTS THEREOF

 

214



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Italy

 

Granted

 

0573082

 

9-Apr-1993

 

0573082

 

14-Jan-1998

 

Great Lakes Chemical Corporation

 

TRIARYL PHOSPHATE ESTER COMPOSITION AND PROCESS FOR ITS PREPARATION

Italy

 

Granted

 

94913767.3

 

4-May-1994

 

0696311

 

5-Dec-2001

 

Great Lakes Chemical Corporation

 

FLUID TREATMENT PROCESS

Japan

 

Pending

 

516650/98

 

25-Sep-1997

 

 

 

 

 

Great Lakes Chemical Corporation

 

PREPARATION OF D-AMINO ACIDS BY DIRECT FERMENTATIVE MEANS

Japan

 

Granted

 

550503/1998

 

19-May-1998

 

4108766

 

11-Apr-2008

 

Great Lakes Chemical Corporation

 

IMPROVED TRANSAMINASE BIOTRANSFORMATION PROCESS

Japan

 

Pending

 

2003-525074

 

28-Aug-2002

 

 

 

 

 

Great Lakes Chemical Corporation

 

HIGHER ALKYLATED TRIARYL PHOSPHATE ESTER FLAME RETARDANTS

Japan

 

Granted

 

2002-565999

 

14-Feb-2002

 

4311939

 

22-May-2009

 

Great Lakes Chemical Corporation

 

Mixture of Mono-,Bis- and Tris-(Hydroxyaryl) Phosphine Oxides Useful to Make Polyglycidyl Ethers or in Epoxy Compositions

Japan

 

Pending

 

2004-503550

 

5-May-2003

 

 

 

 

 

Great Lakes Chemical Corporation

 

BLENDS OF TETRAHALOPHTHALATE ESTERS AND PHOSPHORUS-CONTAINING FLAME

 

215



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

RETARDANTS FOR POLYURETHANE COMPOSITIONS

Japan

 

Granted

 

2004-508167

 

20-May-2003

 

3987068

 

20-Jul-2007

 

Great Lakes Chemical Corporation

 

BLENDS OF (ALKYL SUBSTITUTED) TRIARYL PHOSPHATE ESTERS WITH PHOSPHOROUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE FOAMS

Japan

 

Pending

 

2005-507850

 

29-Jul-2003

 

 

 

 

 

Great Lakes Chemical Corporation

 

PROCESS FOR PRODUCING TETRABROMOBENZOATE ESTERS

Japan

 

Pending

 

2001-515746

 

4-Aug-2000

 

 

 

 

 

Great Lakes Chemical Corporation

 

INTUMESCENT POLYMER COMPOSITIONS

Japan

 

Granted

 

510894/96

 

24-Aug-1995

 

3703490

 

29-Jul-2005

 

Great Lakes Chemical Corporation

 

DIBROMOSTYRENE-GLYCIDYL (METH)ACRYLATE COPOLYMERS

Japan

 

Granted

 

133785/1993

 

27-Apr-1993

 

2026306

 

26-Feb-1996

 

Great Lakes Chemical Corporation

 

TRIARYL PHOSPHATE ESTER COMPOSITION AND PROCESS FOR ITS PREPARATION

Japan

 

Granted

 

2000-522186

 

24-Nov-1998

 

4321963

 

12-Jun-2009

 

Great Lakes Chemical Corporation

 

PHOSPHATE LUBRICANT COMPOSITIONS AND METAL FORMING USE

Japan

 

Granted

 

505334/95

 

22-Jul-1994

 

3499558

 

5-Dec-2003

 

Great Lakes Chemical

 

POLYMERS OF BROMINATED

 

216



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

STYRENE

Japan

 

Pending

 

507307422

 

20-Mar-2006

 

 

 

 

 

Great Lakes Chemical Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

Japan

 

Granted

 

524066/1994

 

4-May-1994

 

3044485

 

17-Mar-2000

 

Great Lakes Chemical Corporation

 

FLUID TREATMENT PROCESS

Mexico

 

Granted

 

9525

 

28-Sep-2000

 

222199

 

19-Aug-2004

 

Great Lakes Chemical Corporation

 

Stable, High Available Halogen 1,3,5-Triazine-2,4,6-Trione Compositions Having Rapid Dissolution Rates

Mexico

 

Granted

 

93-4565

 

28-Jul-1993

 

190680

 

14-Dec-1998

 

Great Lakes Chemical Corporation

 

INORGANIC PERBROMIDE COMPOSITIONS AND METHODS OF USE THEREOF

Mexico

 

Granted

 

9201613

 

8-Apr-1992

 

180193

 

23-Nov-1995

 

Great Lakes Chemical Corporation

 

INORGANIC PERBROMIDE COMPOSITIONS AND METHODS OF USE THEREOF

Netherlands

 

Granted

 

97943546.8

 

25-Sep-1997

 

0937156

 

19-Mar-2003

 

Great Lakes Chemical Corporation

 

PREPARATION OF D-AMINO ACIDS BY DIRECT FERMENTATIVE MEANS

Netherlands

 

Granted

 

96921536.7

 

7-Jun-1996

 

0848627

 

27-Nov-2002

 

Great Lakes Chemical Corporation

 

COLLOIDAL PARTICLES OF SOLID FLAME RETARDANT AND SMOKE SUPPRESSANT COMPOUNDS AND METHOD FOR MAKING THEM

Netherlands

 

Granted

 

97934296.1

 

25-Jul-1997

 

0946288

 

21-Sep-2005

 

Great Lakes

 

STABLE

 

217



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Corporation

 

DISPERSIONS OF METAL PASSIVATION AGENTS AND METHODS FOR MAKING THEM

Netherlands

 

Granted

 

00302370.2

 

23-Mar-2000

 

1038936

 

2-Jun-2004

 

Great Lakes Chemical Corporation

 

BRINE FLUIDS WITH IMPROVED CORROSION PROPERTIES.

Netherlands

 

Granted

 

98934375.1

 

9-Jul-1998

 

0996704

 

10-Sep-2003

 

Great Lakes Chemical Corporation

 

STABILIZED ALKYL BROMIDE SOLVENTS CONTAINING DIALKYL CARBONATES

Netherlands

 

Granted

 

95931571.4

 

24-Aug-1995

 

0782588

 

24-Aug-1995

 

Great Lakes Chemical Corporation

 

DIBROMOSTYRENE-GLYCIDYL (METH)ACRYLATE COPOLYMERS

Netherlands

 

Granted

 

94922686.4

 

22-Jul-1994

 

0710255

 

6-Oct-1999

 

Great Lakes Chemical Corporation

 

POLYMERS OF BROMINATED STYRENE

Netherlands

 

Granted

 

98933297.8

 

9-Jul-1998

 

0994929

 

22-Sep-2004

 

Great Lakes Chemical Corporation

 

AZEOTROPE AND AZEOTROPE-LIKE COMPOSITIONS OF 1-BROMOPROPANE AND HIGHLY FLUORINATED HYDROCARBONS

Netherlands

 

Granted

 

96921674.7

 

10-Apr-1996

 

0832153

 

2-Jul-2003

 

Great Lakes Chemical Corporation

 

USE OF RING-BROMINATED BENZOATE COMPOUNDS AS FLAME RETARDANTS AND/ OR PLASTICIZERS

 

218



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

EP Title:  BENZOATES AS FLAME RETARDANTS

Poland

 

Pending

 

P-367683

 

28-Aug-2002

 

 

 

 

 

Great Lakes Chemical Corporation

 

HIGHER ALKYLATED TRIARYL PHOSPHATE ESTER FLAME RETARDANTS

Republic of Korea

 

Granted

 

2004-7002793

 

28-Aug-2002

 

10-0830616

 

13-May-2008

 

Great Lakes Chemical Corporation

 

HIGHER ALKYLATED TRIARYL PHOSPHATE ESTER FLAME RETARDANTS

Republic of Korea

 

Granted

 

2003-7010715

 

14-Feb-2002

 

701455

 

23-Mar-2007

 

Great Lakes Chemical Corporation

 

Mixture of Mono-,Bis- and Tris-(Hydroxyaryl) Phosphine Oxides Useful to Make Polyglycidyl Ethers or in Epoxy Compositions

Republic of Korea

 

Granted

 

2004-7017568

 

5-May-2003

 

10-0777059

 

9-Nov-2007

 

Great Lakes Chemical Corporation

 

BLENDS OF TETRAHALOPHTHALATE ESTERS AND PHOSPHORUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE COMPOSITIONS

Republic of Korea

 

Granted

 

2004-7018192

 

20-May-2003

 

10-0901789

 

2-Jun-2009

 

Great Lakes Chemical Corporation

 

BLENDS OF (ALKYL SUBSTITUTED) TRIARYL PHOSPHATE ESTERS WITH

 

219



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PHOSPHOROUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE FOAMS

Republic of Korea

 

Granted

 

99-7000874

 

25-Jul-1997

 

314880

 

5-Nov-2001

 

Great Lakes Chemical Corporation

 

STABLE DISPERSIONS OF METAL PASSIVATION AGENTS AND METHODS FOR MAKING THEM

Republic of Korea

 

Pending

 

2006-7001932

 

29-Jul-2003

 

 

 

 

 

Great Lakes Chemical Corporation

 

PROCESS FOR PRODUCING TETRABROMOBENZOATE ESTERS

Republic of Korea

 

Granted

 

2002-7001658

 

4-Aug-2000

 

657781

 

8-Dec-2006

 

Great Lakes Chemical Corporation

 

INTUMESCENT POLYMER COMPOSITIONS

Republic of Korea

 

Granted

 

1020037017162

 

17-Jun-2002

 

703585

 

29-Mar-2007

 

Great Lakes Chemical Corporation

 

PROCESS FOR THE PRODUCTION OF PENTAERYTHRITOL PHOSPHATE ALCOHOL

Republic of Korea

 

Granted

 

703116/1993

 

12-Oct-1993

 

132468

 

10-Dec-1997

 

Great Lakes Chemical Corporation

 

INORGANIC PERBROMIDE COMPOSITIONS AND METHODS OF USE THEREOF

Republic of Korea

 

Granted

 

7005856/1999

 

26-Jun-1999

 

626456

 

13-Sep-2006

 

Great Lakes Chemical Corporation

 

PRODUCTION OF PHOSPHATE ESTERS

Republic of Korea

 

Granted

 

10-2007-7021441

 

20-Mar-2006

 

10-0901791

 

2-Jun-2009

 

Great Lakes Chemical Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

South Africa

 

Granted

 

20005118

 

22-Sep-2000

 

2000/5118

 

27-Jun-2001

 

Great Lakes Chemical

 

Stable, High Available Halogen

 

220



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

1,3,5-Triazine-2,4,6-Trione Compositions Having Rapid Dissolution Rates

South Africa

 

Granted

 

96/4317

 

28-May-1996

 

96/4317

 

30-Apr-1997

 

Great Lakes Chemical Corporation

 

COLLOIDAL PARTICLES OF SOLID FLAME RETARDANT AND SMOKE SUPPRESSANT COMPOUNDS AND METHOD FOR MAKING THEM

South Africa

 

Granted

 

90/6900

 

29-Aug-1990

 

90/6900

 

27-May-1992

 

Great Lakes Chemical Corporation

 

COMPOSITION AND METHOD FOR RECOVERY OF GOLD AND SILVER FROM SOURCES THEREOF

South Africa

 

Granted

 

93/5409

 

27-Jul-1993

 

93/5409

 

29-Apr-1994

 

Great Lakes Chemical Corporation

 

INORGANIC PERBROMIDE COMPOSITIONS AND METHODS OF USE THEREOF

South Africa

 

Granted

 

91/6961

 

2-Sep-1991

 

91/6961

 

27-May-1992

 

Great Lakes Chemical Corporation

 

ELECTROGENERATION OF BROMINE AND USE THEREOF IN RECOVERY OF PRECIOUS METALS AND WATER TREATMENT

South Africa

 

Granted

 

92/2146

 

24-Mar-1992

 

92/2146

 

24-Nov-1993

 

Great Lakes Chemical Corporation

 

INORGANIC PERBROMIDE COMPOSITIONS AND METHODS OF USE THEREOF

Spain

 

Granted

 

97934296.1

 

25-Jul-1997

 

0946288

 

21-Sep-2005

 

Great Lakes

 

STABLE

 

221



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Corporation

 

DISPERSIONS OF METAL PASSIVATION AGENTS AND METHODS FOR MAKING THEM

Switzerland

 

Granted

 

97943546.8

 

25-Sep-1997

 

0937156

 

19-Mar-2003

 

Great Lakes Chemical Corporation

 

PREPARATION OF D-AMINO ACIDS BY DIRECT FERMENTATIVE MEANS

Taiwan

 

Pending

 

095109710

 

21-Mar-2006

 

 

 

 

 

Great Lakes Chemical Corporation

 

FLAME RETARDANTS AND FLAME RETARDED POLYMERS

United States

 

Granted

 

874,105

 

12-Jun-1997

 

5,882,526

 

16-Mar-1999

 

Great Lakes Chemical Corporation

 

Method for Treating Regulated Waters with Low Levels of Oxidizing Halogens and Hydrogen Peroxide

United States

 

Granted

 

09/268891

 

16-Mar-1999

 

6,149,835

 

21-Nov-2000

 

Great Lakes Chemical Corporation

 

Methods for Treating Regulated Waters with Low Levels of Oxidizing Halogens and Hydrogen Peroxides

United States

 

Granted

 

08/966673

 

10-Nov-1997

 

5,814,233

 

29-Sep-1998

 

Great Lakes Chemical Corporation

 

Compositions and Methods for Treating Water

United States

 

Granted

 

09/430,760

 

29-Oct-1999

 

6,426,317

 

30-Jul-2002

 

Great Lakes Chemical Corporation

 

Stable, High Available Halogen, 1,3,5-Triazine-2,4,6-Trione Compositions Having Rapid Dissolution Rates

United States

 

Granted

 

08/703372

 

26-Aug-1996

 

5773261

 

30-Jun-1998

 

Great Lakes Chemical Corporation

 

REGIOSELECTIVE ALPHA-HYDROLYSIS OF

 

222



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

AMINO ACID DIESTERS USING PIG LIVER ESTERACE

United States

 

Granted

 

013032

 

26-Jan-1998

 

5928909

 

27-Jul-1999

 

Great Lakes Chemical Corporation

 

REGIOSELECTIVE ALPHA-HYDROLYSIS OF AMINO ACID DIESTERS USING PIG LIVER ESTERASE

United States

 

Granted

 

08/424797

 

19-Apr-1995

 

6358714

 

19-Mar-2002

 

Great Lakes Chemical Corporation

 

MATERIALS AND METHODS FOR THE PRODUCTION OF D-PHENYLALANINE

United States

 

Granted

 

08/603744

 

20-Feb-1996

 

5587481

 

24-Dec-1996

 

Great Lakes Chemical Corporation

 

PREPARATION OF (S)-DECAHYDROISOQUINOLINE-3-CARBOXYLIC ACID T-BUTYLAMIDE

United States

 

Granted

 

08/723896

 

30-Sep-1996

 

5728555

 

17-Mar-1998

 

Great Lakes Chemical Corporation

 

PREPARATION OF D-AMINO ACIDS BY DIRECT FERMENTATIVE MEANS

United States

 

Granted

 

08/858111

 

19-May-1997

 

6197558

 

6-Mar-2001

 

Great Lakes Chemical Corporation

 

TRANSAMINASE BIOTRANSFORMATION PROCESS

United States

 

Granted

 

09/943,635

 

30-Aug-2001

 

6,667,355

 

23-Dec-2003

 

Great Lakes Chemical Corporation

 

HIGHER ALKYLATED TRIARYL PHOSPHATE ESTER FLAME RETARDANTS

United States

 

Granted

 

10/323,012

 

18-Dec-2002

 

6,841,707

 

11-Jan-2005

 

Great Lakes Chemical Corporation

 

Methods and Apparatus for Producing

 

223



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Decabromodiphenyl Alkanes

United States

 

Granted

 

10/732,018

 

10-Dec-2003

 

6,955,851

 

18-Oct-2005

 

Great Lakes Chemical Corporation

 

Hydroxyaryl Phosphine Oxides, Glycidyl Ethers and Epoxy Compositions, Composites and Laminates Derived Therefrom

United States

 

Granted

 

10/077,701

 

14-Feb-2002

 

6,733,698

 

11-May-2004

 

Great Lakes Chemical Corporation

 

Mixture of Mono-,Bis- and Tris-(Hydroxyaryl) Phosphine Oxides Useful to Make Polyglycidyl Ethers or in Epoxy Compositions

United States

 

Granted

 

10/866,882

 

14-Jun-2004

 

7202311

 

10-Apr-2007

 

Great Lakes Chemical Corporation

 

Phosphine Oxide Hydroxyarl Mixtures with Novolac Resins for Co-Curing Epoxy Resins

United States

 

Granted

 

10/866,881

 

14-Jun-2004

 

7201957

 

10-Apr-2007

 

Great Lakes Chemical Corporation

 

Phosphine Oxide Hydroxyaryl Mixtures with Novolac Resins for Co-Curing Epoxy Resins

United States

 

Granted

 

10/317,587

 

12-Dec-2002

 

6,887,950

 

3-May-2005

 

Great Lakes Chemical Corporation

 

Mixture of Mono-,Bis- and Tris-(Hydroxyaryl) Phosphine Oxides Useful to Make Polyglycidyl Ethers or in Epoxy Compositions

United States

 

Granted

 

11/333398

 

17-Jan-2006

 

7390839

 

24-Jun-2008

 

Great Lakes Chemical Corporation

 

BLENDS OF ALKYL SUBSTITUTED TRIARYL

 

224



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PHOSPHATE ESTERS WITH PHOSPHORUS-CONTAINING FLAME RETARDANTS FOR POLYURETHANE FOAMS

United States

 

Granted

 

09/250,368

 

16-Feb-1999

 

5,969,159

 

19-Oct-1999

 

Great Lakes Chemical Corporation

 

SYNTHESIS OF CYCLOPENTYL 2-THIENYL KETONE TILETAMINE AND TILETAMINE ACID ADDITION SALTS SUCH AS TILETAMINE HYDROCHLORIDE

United States

 

Granted

 

09/806,745

 

2-Jul-2001

 

6,348,633

 

19-Feb-2002

 

Great Lakes Chemical Corporation

 

NOVEL BROMINE-CONTAINING 1,2-BIS(PHENYL)DIFLUOROMETHANES AND METHOD OF IMPARTING FLAME RETARDANCY TO FLAMMABLE MATERIALS

United States

 

Granted

 

08/528,734

 

15-Sep-1995

 

5,615,742

 

1-Apr-1997

 

Great Lakes Chemical Corporation

 

NONCUMBUSTIBLE HYDROGEN GAS CONTAINING ATMOSPHERES AND THEIR PRODUCTION

United States

 

Granted

 

08/969,704

 

26-Nov-1997

 

5,948,323

 

7-Sep-1999

 

Great Lakes Chemical Corporation

 

COLLOIDAL PARTICLES OF SOLID FLAME RETARDANT AND SMOKE SUPPRESSANT COMPOUNDS AND

 

225



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

METHOD FOR MAKING THEM

United States

 

Granted

 

08/691,108

 

1-Aug-1996

 

5,935,890

 

10-Aug-1999

 

Great Lakes Chemical Corporation

 

STABLE DISPERSIONS OF METAL PASSIVATION AGENTS AND METHODS FOR MAKING THEM

United States

 

Granted

 

10/757,685

 

14-Jan-2004

 

7008973

 

7-Mar-2006

 

Great Lakes Chemical Corporation

 

VACUUM COOLED FOAMS

United States

 

Granted

 

10/629,888

 

29-Jul-2003

 

7307183

 

11-Dec-2007

 

Great Lakes Chemical Corporation

 

PROCESS FOR PRODUCING TETRABROMOBENZOATE ESTERS

United States

 

Granted

 

09/975,797

 

11-Oct-2001

 

6,939,483

 

6-Sep-2005

 

Great Lakes Chemical Corporation

 

BRINE FLUIDS WITH IMPROVED CORROSION PROPERTIES.

United States

 

Granted

 

09/632,715

 

4-Aug-2000

 

6,632,442

 

14-Oct-2003

 

Great Lakes Chemical Corporation

 

INTUMESCENT POLYMER COMPOSITIONS

United States

 

Granted

 

10/453,108

 

3-Jun-2003

 

6,905,693

 

14-Jun-2005

 

Great Lakes Chemical Corporation

 

INTUMESCENT POLYMER COMPOSITIONS

United States

 

Granted

 

08/629,103

 

8-Apr-1996

 

5,741,949

 

21-Apr-1998

 

Great Lakes Chemical Corporation

 

CONTINUOUS BROMINATION PROCESS AND PRODUCTS THEREOF

United States

 

Granted

 

09/063,961

 

21-Apr-1998

 

6,117,371

 

12-Sep-2000

 

Great Lakes Chemical Corporation

 

CONTINUOUS BROMINATION PROCESS AND PRODUCTS THEREOF

United States

 

Granted

 

07/867,991

 

13-Apr-1992

 

5,216,059

 

1-Jun-1993

 

Great Lakes Chemical Corporation

 

FLAME RETARDANT ADDITIVE COMPOSITION

 

226



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

USEFUL WITH POLYOLEFINS

United States

 

Granted

 

08/479,837

 

7-Jun-1995

 

5,607,619

 

4-Mar-1997

 

Great Lakes Chemical Corporation

 

INORGANIC PERBROMIDE COMPOSITIONS AND METHODS OF USE THEREOF

United States

 

Granted

 

08/466,405

 

6-Jun-1995

 

5,620,585

 

15-Apr-1997

 

Great Lakes Chemical Corporation

 

INORGANIC PERBROMIDE COMPOSITIONS AND METHODS OF USE THEREOF

United States

 

Pending

 

12/016780

 

18-Jan-2008

 

 

 

 

 

Great Lakes Chemical Corporation

 

Mixtures of Additives for Organic Polymers in Granular Form

United States

 

Granted

 

09/343,316

 

30-Jun-1999

 

6,150,552

 

21-Nov-2000

 

Great Lakes Chemical Corporation

 

EFFICIENT METHODS FOR MAKING TETRAHALOPHTHALATE ESTERS HAVING EXCELLENT PURITY

United States

 

Granted

 

09/112,958

 

9-Jul-1998

 

6,063,749

 

16-May-2000

 

Great Lakes Chemical Corporation

 

STABILIZED ALKYL BROMIDE SOLVENTS CONTAINING DIALKYL CARBONATES

United States

 

Granted

 

07/954,281

 

30-Sep-1992

 

5,317,048

 

31-May-1994

 

Great Lakes Chemical Corporation

 

ULTRA WHITE N,N’-ETHYLENE-BIS(TETRABROMOPHTHALIMIDE) AND ITS PRODUCTION IN ACETIC ACID

United States

 

Granted

 

08/259,344

 

14-Jun-1994

 

5,508,429

 

16-Apr-1996

 

Great Lakes Chemical Corporation

 

ULTRA WHITE N,N’-BIS(TETRABROMOPHTHALIMIDE)

 

227



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

AND ITS PRODUCTION IN AQUEOUS ACETIC ACID

United States

 

Granted

 

08/588,624

 

19-Jan-1996

 

5,744,615

 

28-Apr-1998

 

Great Lakes Chemical Corporation

 

ULTRA WHITE N,N’-BIS(TETRABROMOPHTHALIMIDE) AND ITS PRODUCTION IN AQUEOUS ACETIC ACID

United States

 

Granted

 

08/309,901

 

21-Sep-1994

 

5,565,538

 

15-Oct-1996

 

Great Lakes Chemical Corporation

 

DIBROMOSTYRENE-GLYCIDYL (METH)ACRYLATE COPOLYMERS

United States

 

Granted

 

08/302,541

 

8-Sep-1994

 

5,446,212

 

29-Aug-1995

 

Great Lakes Chemical Corporation

 

REDUCED METHYL BROMIDE PROCESS FOR MAKING TETRABROMOBISPHENOL-A

United States

 

Granted

 

08/368,351

 

4-Jan-1995

 

5,475,153

 

12-Dec-1995

 

Great Lakes Chemical Corporation

 

PROCESS TO PRODUCE TETRABROMOBISPHENOL WITH THE REDUCED FORMATION OF ALKYL BROMIDE BY-PRODUCTS

United States

 

Granted

 

08/420,125

 

11-Apr-1995

 

5,637,757

 

10-Jun-1997

 

Great Lakes Chemical Corporation

 

ONE-POT SYNTHESIS OF RING-BROMINATED BENZOATE COMPOUNDS

United States

 

Granted

 

09/301,532

 

28-Apr-1999

 

6,388,120

 

14-May-2002

 

Great Lakes Chemical

 

Continuous process for the manufacture

 

228



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

of phosphoric acid esters

United States

 

Granted

 

09/023,634

 

13-Feb-1998

 

6,031,035

 

29-Feb-2000

 

Great Lakes Chemical Corporation

 

Process for making and using bisaryl diphosphates

 

 

United States

 

Granted

 

09/044,286

 

19-Mar-1998

 

6,008,283

 

28-Dec-1999

 

Great Lakes Chemical Corporation

 

OLIGOMERIC FLAME RETARDANT ADDITIVE

United States

 

Granted

 

08/026,039

 

4-Mar-1993

 

6,030,543

 

29-Feb-2000

 

Great Lakes Chemical Corporation

 

IMPROVED AIRCRAFT HYDRAULIC FLUID BASESTOCKS

United States

 

Granted

 

07/873,867

 

27-Apr-1992

 

5,206,404

 

27-Apr-1993

 

Great Lakes Chemical Corporation

 

TRIARYL PHOSPHATE ESTER COMPOSITION AND PROCESS FOR ITS PREPARATION

United States

 

Granted

 

09/196,720

 

20-Nov-1998

 

6,165,950

 

26-Dec-2000

 

Great Lakes Chemical Corporation

 

PHOSPHATE LUBRICANT COMPOSITIONS AND METAL FORMING USE

United States

 

Granted

 

07/844,478

 

2-Mar-1992

 

5,328,983

 

12-Jul-1994

 

Great Lakes Chemical Corporation

 

PROCESS FOR PURIFYING BROMINATED POLYSTYRENE

United States

 

Granted

 

07/675,214

 

26-Mar-1991

 

5,102,932

 

7-Apr-1992

 

Great Lakes Chemical Corporation

 

FLAME RETARDANTS FOR POLYMERS

United

 

Granted

 

08/776,972

 

21-Jul-1997

 

6,075,158

 

13-Jun-2000

 

Great Lakes

 

TRANSESTERIFICATION

 

229



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Chemical Corporation

 

PROCESS

United States

 

Granted

 

08/438,694

 

11-May-1995

 

5,530,044

 

25-Jun-1996

 

Great Lakes Chemical Corporation

 

ALKYL END-CAPPED, HALOGENATED POLYETHERS

United States

 

Granted

 

08/095,865

 

22-Jul-1993

 

5,304,618

 

19-Apr-1994

 

Great Lakes Chemical Corporation

 

POLYMERS OF BROMINATED STYRENE

United States

 

Granted

 

08/363,186

 

23-Dec-1994

 

5,560,849

 

1-Oct-1996

 

Great Lakes Chemical Corporation

 

SYNTHETIC ESTER LUBRICANT HAVING IMPROVED ANTIWEAR PROPERTIES

United States

 

Granted

 

08/243,050

 

16-May-1994

 

5,438,096

 

1-Aug-1995

 

Great Lakes Chemical Corporation

 

FLAME RETARDANT BROMINATED STYRENE-BASED LATICES

United States

 

Granted

 

08/245,831

 

18-May-1994

 

5,484,839

 

16-Jan-1996

 

Great Lakes Chemical Corporation

 

FLAME RETARDANT BROMINATED STYRENE GRAFT LATEX COMPOSITIONS

United States

 

Granted

 

08/056,858

 

30-Apr-1993

 

5,385,650

 

31-Jan-1995

 

Great Lakes Chemical Corporation

 

RECOVERY OF BROMINE AND PREPARATION OF HYPOBROMOUS ACID FROM BROMIDE SOLUTION

United States

 

Granted

 

09/113,039

 

9-Jul-1998

 

6,048,833

 

11-Apr-2000

 

Great Lakes Chemical Corporation

 

AZEOTROPE AND AZEOTROPE-LIKE COMPOSITIONS OF 1-BROMOPROPANE AND HIGHLY

 

230



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FLUORINATED HYDROCARBONS

United States

 

Granted

 

08/419,814

 

11-Apr-1995

 

5,728,760

 

17-Mar-1998

 

Great Lakes Chemical Corporation

 

USE OF RING-BROMINATED BENZOATE COMPOUNDS AS FLAME RETARDANTS AND/ OR PLASTICIZERS

 

EP Title:  BENZOATES AS FLAME RETARDANTS

United States

 

Granted

 

09/341,010

 

26-Nov-1999

 

6,232,485

 

15-May-2001

 

Great Lakes Chemical Corporation

 

PRODUCTION OF PHOSPHATE ESTERS

United States

 

Granted

 

09/256,063

 

24-Feb-1999

 

6,204,227

 

20-Mar-2001

 

Great Lakes Chemical Corporation

 

METAL WORKING LUBRICANT COMPOSITION

United States

 

Granted

 

09/243,769

 

3-Feb-1999

 

6,140,399

 

31-Oct-2000

 

Great Lakes Chemical Corporation

 

Polymer Compositions

United States

 

Granted

 

09/506,049

 

17-Feb-2000

 

6,225,387

 

1-May-2001

 

Great Lakes Chemical Corporation

 

STABILIZER BLEND FOR ORGANIC POLYMER COMPOSITIONS; STABILIZED POLYMER COMPOSITIONS AND METHOD OF STABILIZING POLYMERS

United States

 

Granted

 

08/952,764

 

16-Sep-1997

 

6,358,895

 

19-Mar-2002

 

Great Lakes Chemical Corporation

 

FLUID TREATMENT PROCESS

United States

 

Granted

 

07/744,388

 

11-Oct-1991

 

5,130,325

 

14-Jul-1992

 

Great Lakes Chemical

 

METHOD FOR CONTROLLING

 

231



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

PLANT DISEASE AND MICROORGANISMS BY INCORPORATION OF N-HALOHYDANTION INTO NUTRIENT-WATERING SUPPLIES

United States

 

Granted

 

09/700480

 

26-Jan-2001

 

6673276

 

6-Jan-2004

 

Great Lakes Chemical Corporation

 

OPHTHALMIC LENSES

United States

 

Granted

 

09/966158

 

28-Sep-2001

 

7329786

 

12-Feb-2008

 

Great Lakes Chemical Corporation

 

PROCESSES FOR PRODUCING CF3CFHCFS

United States

 

Granted

 

10/331821

 

30-Dec-2002

 

7250539

 

31-Jul-2007

 

Great Lakes Chemical Corporation

 

MATERIALS AND METHODS FOR THE CONVERSION OF HYDROFLUOROCARBONS

United States

 

Granted

 

10/698579

 

31-Oct-2003

 

7151197

 

19-Dec-2006

 

Great Lakes Chemical Corporation

 

PROCESSES FOR PURIFYING CHLOROFLUORINATED COMPOUNDS AND PROCESSES FOR PURIFYING CF3CFHCF3

United States

 

Granted

 

10/698730

 

31-Oct-2003

 

7332635

 

19-Feb-2008

 

Great Lakes Chemical Corporation

 

PROCESSES FOR PURIFYING CHLOROFLUORINATED COMPOUNDS

United States

 

Granted

 

10/698731

 

25-Mar-2008

 

7348461

 

31-Oct-2003

 

Great Lakes Chemical Corporation

 

PROCESSES FOR HALOGENATING COMPOUNDS

United States

 

Granted

 

10/699491

 

31-Oct-2003

 

7335805

 

26-Feb-2008

 

Great Lakes Chemical

 

PROCESSESS FOR PURIFYING

 

232



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Corporation

 

REACTION PRODUCTS AND PROCESSES FOR SEPARATING CHLOROFLUORINATED COMPOUNDS

United States

 

Granted

 

11/069180

 

28-Feb-2005

 

7368089

 

6-May-2008

 

Great Lakes Chemical Corporation

 

SYSTEMS AND METHODS FOR PRODUCING FLUOROCARBONS

United States

 

Granted

 

11/218055

 

31-Aug-2005

 

7268261

 

11-Sep-2007

 

Great Lakes Chemical Corporation

 

PRODUCTION PROCESSES

United States

 

Pending

 

11/661166

 

23-Feb-2007

 

20070299287

 

27-Dec-2007

 

Great Lakes Chemical Corporation

 

CHEMICAL PRODUCTION PROCESSES AND SYSTEMS

United States

 

Pending

 

11/661167

 

6-May-2008

 

20080300432

 

4-Dec-2008

 

Great Lakes Chemical Corporation

 

CHEMICAL PRODUCTION PROCESSES AND SYSTEMS

United States

 

Pending

 

11/922980

 

28-Dec-2007

 

20090137773

 

28-May-2009

 

Great Lakes Chemical Corporation

 

PRODUCTION PROCESSES AND SYSTEMS, COMPOSITIONS, SURFACTANTS, MONOMER UNITS, METAL COMPLEXES, PHOSPHATE ESTERS, GLYCOLS, AQUEOUS FILM FORMING FOAMS, AND FOAM STABILIZERS

United States

 

Granted

 

723896

 

30-Sep-1996

 

5728555

 

17-Mar-1998

 

Great Lakes Chemical Corporation

 

PREPARATION OF D-AMINO ACIDS BY DIRECT

 

233



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FERMENTATIVE MEANS

United States

 

Granted

 

966,673

 

10-Nov-1997

 

5,814,233

 

29-Sep-1998

 

Great Lakes Chemical Corporation

 

COMPOSITIONS AND METHODS FOR TREATING WATER

Australia

 

Granted

 

89187/98

 

25-Aug-1998

 

755427

 

27-Mar-2003

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

Australia

 

Granted

 

2003247913

 

9-Jul-2003

 

2003247913

 

5-Feb-2009

 

Hatco Corporation

 

High Viscosity Synthetic Ester Lubricant Base Stock

Belgium

 

Granted

 

98941033.7

 

25-Aug-1998

 

1019463

 

12-Jan-2005

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

Belgium

 

Granted

 

02025590.7

 

15-Nov-2002

 

1281701

 

24-Aug-2005

 

Hatco Corporation

 

High Viscosity Synthetic Ester Lubricant Base Stock

Brazil

 

Pending

 

PI0305503-5

 

9-Jul-2003

 

 

 

 

 

Hatco Corporation

 

High Viscosity Synthetic Ester Lubricant Base Stock

Canada

 

Granted

 

2301623

 

25-Aug-1998

 

2301623

 

19-Aug-2008

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

Canada

 

Pending

 

2496307

 

9-Jul-2003

 

 

 

 

 

Hatco Corporation

 

High Viscosity Synthetic Ester Lubricant Base Stock

China P.R.

 

Granted

 

98809160.7

 

25-Aug-1998

 

ZL98809160.7

 

16-Jul-2003

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

China P.R.

 

Granted

 

03816604.6

 

9-Jul-2003

 

ZL03816604.6

 

14-Nov-2007

 

Hatco Corporation

 

High Viscosity Synthetic Ester

 

234



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Lubricant Base Stock

China P.R.

 

Pending

 

200680047471.1

 

18-Dec-2006

 

 

 

 

 

Hatco Corporation

 

Additive Package for High Temperature Synthetic Lubricants

European Patent Convention

 

Pending

 

06845688.8

 

18-Dec-2006

 

 

 

 

 

Hatco Corporation

 

Additive Package for High Temperature Synthetic Lubricants

France

 

Granted

 

92305169.2

 

5-Jun-1992

 

0518567

 

13-Sep-2000

 

Hatco Corporation

 

Synthetic Lubricant Base Stock Formed From High Content Branched Chain Acid Mixtures

France

 

Granted

 

98941033.7

 

25-Aug-1998

 

1019463

 

12-Jan-2005

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

France

 

Granted

 

02700993.5

 

4-Jan-2002

 

1356013

 

17-Jun-2009

 

Hatco Corporation

 

Biodegradable Polyneopentyl Polyol Based Synthetic Ester Blends and Lubricants

France

 

Granted

 

02025590.7

 

15-Nov-2002

 

1281701

 

24-Aug-2005

 

Hatco Corporation

 

High Viscosity Synthetic Ester Lubricant Base Stock

Germany

 

Granted

 

92305169.2

 

5-Jun-1992

 

69231433.4

 

13-Sep-2000

 

Hatco Corporation

 

Synthetic Lubricant Base Stock Formed From High Content Branched Chain Acid Mixtures

Germany

 

Granted

 

98941033.7

 

25-Aug-1998

 

69828627.8

 

12-Jan-2005

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

Germany

 

Granted

 

02700993.5

 

4-Jan-2002

 

60232640.0

 

17-Jun-2009

 

Hatco Corporation

 

Biodegradable Polyneopentyl Polyol Based Synthetic Ester Blends and Lubricants

 

235



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Germany

 

Granted

 

02025590.7

 

15-Nov-2002

 

60205685.3

 

24-Aug-2005

 

Hatco Corporation

 

High Viscosity Synthetic Ester Lubricant Base Stock

Great Britain

 

Granted

 

92305169.2

 

5-Jun-1992

 

0518567

 

13-Sep-2000

 

Hatco Corporation

 

Synthetic Lubricant Base Stock Formed From High Content Branched Chain Acid Mixtures

Great Britain

 

Granted

 

98941033.7

 

25-Aug-1998

 

1019463

 

12-Jan-2005

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

Great Britain

 

Granted

 

02700993.5

 

4-Jan-2002

 

1356013

 

17-Jun-2009

 

Hatco Corporation

 

Biodegradable Polyneopentyl Polyol Based Synthetic Ester Blends and Lubricants

Great Britain

 

Granted

 

02025590.7

 

15-Nov-2002

 

1281701

 

24-Aug-2005

 

Hatco Corporation

 

High Viscosity Synthetic Ester Lubricant Base Stock

Hong Kong

 

Granted

 

01102761.2

 

18-Apr-2001

 

1033677

 

5-Dec-2003

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

Hong Kong

 

Pending

 

04102999.3

 

4-Jan-2002

 

 

 

 

 

Hatco Corporation

 

Biodegradable Polyneopentyl Polyol Based Synthetic Ester Blends and Lubricants

Israel

 

Granted

 

134720

 

25-Aug-1998

 

134720

 

8-Aug-2003

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

Israel

 

Granted

 

156747

 

4-Jan-2002

 

156747

 

6-Jan-2007

 

Hatco Corporation

 

Biodegradable Polyneopentyl Polyol Based Synthetic Ester Blends and

 

236



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Lubricants

Italy

 

Granted

 

92305169.2

 

5-Jun-1992

 

0518567

 

13-Sep-2000

 

Hatco Corporation

 

Synthetic Lubricant Base Stock Formed From High Content Branched Chain Acid Mixtures

Japan

 

Pending

 

2000-507764

 

25-Aug-1998

 

 

 

 

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

Japan

 

Granted

 

2002-555199

 

4-Jan-2002

 

4094953

 

14-Mar-2008

 

Hatco Corporation

 

Biodegradable Polyneopentyl Polyol Based Synthetic Ester Blends and Lubricants

Japan

 

Pending

 

2004-521551

 

9-Jul-2003

 

 

 

 

 

Hatco Corporation

 

High Viscosity Synthetic Ester Lubricant Base Stock

Japan

 

Pending

 

2008-545881

 

18-Dec-2006

 

 

 

 

 

Hatco Corporation

 

Additive Package for High Temperature Synthetic Lubricants

Netherlands

 

Granted

 

98941033.7

 

25-Aug-1998

 

1019463

 

12-Jan-2005

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

Netherlands

 

Granted

 

02025590.7

 

15-Nov-2002

 

1281701

 

24-Aug-2005

 

Hatco Corporation

 

High Viscosity Synthetic Ester Lubricant Base Stock

Republic of Korea

 

Granted

 

2000-7001975

 

25-Aug-1998

 

580786

 

10-May-2008

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

Republic of Korea

 

Granted

 

10-2003-7009062

 

4-Jan-2002

 

0814149

 

14-Mar-2008

 

Hatco Corporation

 

Biodegradable Polyneopentyl Polyol Based Synthetic Ester Blends and Lubricants

 

237



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Republic of Korea

 

Granted

 

10-2005-7000580

 

9-Jul-2003

 

0896495

 

29-Apr-2009

 

Hatco Corporation

 

High Viscosity Synthetic Ester Lubricant Base Stock

Russian Federation

 

Pending

 

2008129100

 

18-Dec-2006

 

 

 

 

 

Hatco Corporation

 

Additive Package for High Temperature Synthetic Lubricants

Singapore

 

Granted

 

200000993.6

 

25-Aug-1998

 

71355

 

15-Feb-2002

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

United States

 

Granted

 

08/918177

 

25-Aug-1997

 

5895778

 

20-Apr-1999

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

United States

 

Granted

 

09/486624

 

3-Sep-2002

 

6444626

 

3-Sep-2002

 

Hatco Corporation

 

(Poly) Neopentylpolyol Ester Based Coolants (And Improved Additive Package)

United States

 

Granted

 

09/754932

 

5-Jan-2001

 

6551968

 

22-Apr-2003

 

Hatco Corporation

 

Biodegradable Polyneopentyl Polyol Based Synthetic Ester Blends and Lubricants

United States

 

Granted

 

10/194413

 

12-Jul-2002

 

6774093

 

10-Aug-2004

 

Hatco Corporation

 

High Viscosity Synthetic Ester Lubricant Base Stock

United States

 

Pending

 

11/640639

 

18-Dec-2006

 

 

 

 

 

Hatco Corporation

 

Additive Package for High Temperature Synthetic Lubricants

Brazil

 

Granted

 

PI9704028-2

 

18-Jul-1997

 

PI9704028-2

 

14-Sep-2004

 

Montell North America, Inc.

 

PROCESS FOR PRODUCING POLYOLEFIN GRAFTED COPOLYMERS

Canada

 

Granted

 

2210828

 

18-Jul-1997

 

2210828

 

7-Oct-2003

 

Montell North America, Inc.

 

PROCESS FOR PRODUCING POLYOLEFIN

 

238



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

GRAFTED COPOLYMERS

Canada

 

Granted

 

2320954

 

8-Dec-1999

 

2320954

 

24-Oct-2006

 

Montell North America, Inc.

 

POLYPROPYLENE GRAFT COPOLYMERS WITH IMPROVED SCRATCH AND MAR RESISTANCE

China P.R.

 

Granted

 

97115572.0

 

21-Jul-1997

 

97115572.0

 

13-Aug-2003

 

Montell North America, Inc.

 

PROCESS FOR PRODUCING POLYOLEFIN GRAFTED COPOLYMERS

Russian Federation

 

Granted

 

97112504

 

18-Jul-1997

 

2179559

 

20-Feb-2002

 

Montell North America, Inc.

 

PROCESS FOR PRODUCING POLYOLEFIN GRAFTED COPOLYMERS

United States

 

Granted

 

08/683999

 

19-Jul-1996

 

5696203

 

9-Dec-1997

 

Montell North America, Inc.

 

PROCESS FOR PRODUCING POLYOLEFIN GRAFTED COPOLYMERS

United States

 

Granted

 

08/892749

 

15-Jul-1997

 

5942194

 

24-Aug-1999

 

Montell North America, Inc.

 

APPARATUS FOR PRODUCING POLYOLEFIN GRAFTED COPOLYMERS

Australia

 

Granted

 

41769/96

 

29-Nov-1995

 

717025

 

29-Jun-2000

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

Belgium

 

Granted

 

95940258.7

 

29-Nov-1995

 

0794793

 

10-Jan-2007

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

 

239



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Brazil

 

Pending

 

PI9509925.5

 

29-Nov-1995

 

 

 

 

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

Canada

 

Granted

 

2204652

 

29-Nov-1995

 

2204652

 

7-Apr-2009

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

China P.R.

 

Granted

 

95196540.9

 

29-Nov-1995

 

95196540.9

 

9-Apr-2003

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

Germany

 

Granted

 

95940258.7

 

29-Nov-1995

 

69535366.7

 

10-Jan-2007

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

Hungary

 

Granted

 

P9800354

 

29-Nov-1995

 

223548

 

19-Jul-2004

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

Israel

 

Granted

 

115944

 

9-Nov-1995

 

115944

 

3-Feb-2002

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

Israel

 

Granted

 

140224

 

11-Dec-2000

 

140224

 

16-Mar-2005

 

Rega Institute

 

A COMPOSITION FOR THE TREATMENT OF HIV-1 INFECTION

 

240



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CONTAINING A HETEROCYCLYL CARB(OX/THIO) ANILIDE DERIVATIVE

Japan

 

Granted

 

518188/96

 

29-Nov-1995

 

3655636

 

11-Mar-2005

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

Mexico

 

Granted

 

9704024

 

29-Nov-1995

 

203230

 

25-Jul-2001

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

New Zealand

 

Granted

 

297006

 

29-Nov-1995

 

297006

 

12-Jul-2001

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

Republic of Korea

 

Granted

 

97-703579

 

29-Nov-1995

 

403545

 

16-Oct-2003

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

Russian Federation

 

Granted

 

97110670

 

29-Nov-1995

 

2227750

 

27-Apr-2004

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

South Africa

 

Granted

 

95/10108

 

28-Nov-1995

 

95/10108

 

28-Aug-1996

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1

 

241



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

INFECTION

United States

 

Granted

 

346,721

 

30-Nov-1994

 

5968910

 

19-Oct-1999

 

Rega Institute

 

COMPOSITION AND METHOD FOR PREVENTION AND TREATMENT OF HIV-1 INFECTION

Patent Cooperation Treaty

 

Pending

 

PCT/US2009/053802

 

15-Aug-2009

 

 

 

 

 

Slingshot Product Development Group/Bio-Lab, Inc.

 

A Floating Dispenser for Dispensing a Solid Dissovable Chemical into Ambient Water

United States

 

Pending

 

12/205553

 

5-Sep-2008

 

 

 

 

 

Slingshot Product Development Group/Bio-Lab, Inc.

 

A Floating Dispenser for Dispensing a Solid Dissovable Chemical into Ambient Water

Argentina

 

Pending

 

P040102132

 

18-Jun-2004

 

 

 

 

 

Uniroyal Chem.&Crompton Co./Cie

 

FUNGICIDAL PHENOXYPHENYLHYDRAZINE DERIVATIVES

Argentina

 

Pending

 

P000104657

 

6-Sep-2000

 

 

 

 

 

Uniroyal Chem.&Crompton Co./Cie

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Australia

 

Granted

 

2003246309

 

22-Jan-1999

 

2003246309

 

25-May-2007

 

Uniroyal Chem.&Crompton Co./Cie

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

Australia

 

Granted

 

76180/00

 

26-Sep-2000

 

783729

 

16-Mar-2006

 

Uniroyal Chem.&Crompton Co./Cie

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Austria

 

Granted

 

99908577.2

 

1-Mar-1999

 

1064276

 

26-Feb-2003

 

Uniroyal Chem.&Crompton Co./Cie

 

PROCESS OR SYNTHESIZING SUBSTITUTED 2-BENZO{b} THIOPHENECARBOXYLIC ACIDS AND SALTS

 

242



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

THEREOF

Brazil

 

Pending

 

PI0014461-4

 

26-Sep-2000

 

 

 

 

 

Uniroyal Chem.&Crompton Co./Cie

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Canada

 

Granted

 

2123885

 

17-Nov-1992

 

2123885

 

30-Mar-2004

 

Uniroyal Chem.&Crompton Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Canada

 

Granted

 

2169654

 

24-Aug-1994

 

2169654

 

23-May-2006

 

Uniroyal Chem.&Crompton Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Canada

 

Granted

 

2225624

 

24-Jun-1996

 

2225624

 

5-Jun-2007

 

Uniroyal Chem.&Crompton Co./Cie

 

HYDRAZINE DERIVATIVES

Canada

 

Granted

 

2237194

 

15-Nov-1996

 

2237194

 

13-Jun-2006

 

Uniroyal Chem.&Crompton Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Canada

 

Granted

 

2276875

 

16-Dec-1997

 

2276875

 

13-Feb-2007

 

Uniroyal Chem.&Crompton Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Canada

 

Pending

 

2318889

 

22-Jan-1999

 

 

 

 

 

Uniroyal Chem.&Crompton Co./Cie

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

Canada

 

Granted

 

2382135

 

14-Aug-2000

 

2382135

 

19-May-2009

 

Uniroyal Chem.&Crompton Co./Cie

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Canada

 

Pending

 

2384134

 

12-Sep-2000

 

 

 

 

 

Uniroyal Chem.&Crompton Co./Cie

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

Canada

 

Granted

 

2385200

 

26-Sep-2000

 

2385200

 

18-Nov-2008

 

Uniroyal

 

NOVEL 4-

 

243



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chem.&Crompton Co./Cie

 

HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

China P.R.

 

Granted

 

00813921.0

 

26-Sep-2000

 

00813921.0

 

29-Sep-2004

 

Uniroyal Chem.&Crompton Co./Cie

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Czech Republic

 

Granted

 

PV2002-1185

 

26-Sep-2000

 

295841

 

14-Sep-2005

 

Uniroyal Chem.&Crompton Co./Cie

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Eurasian Patent Convention

 

Pending

 

200801754

 

26-Aug-2008

 

 

 

 

 

Uniroyal Chem.&Crompton Co./Cie

 

FUNGICIDAL PHENOXYPHENYLHYDRAZINE DERIVATIVES

Germany

 

Granted

 

99908577.2

 

1-Mar-1999

 

69905553.9

 

26-Feb-2003

 

Uniroyal Chem.&Crompton Co./Cie

 

PROCESS OR SYNTHESIZING SUBSTITUTED 2-BENZO{b} THIOPHENECARBOXYLIC ACIDS AND SALTS THEREOF

Hungary

 

Pending

 

P0203538

 

26-Sep-2000

 

 

 

 

 

Uniroyal Chem.&Crompton Co./Cie

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

India

 

Pending

 

22/DEL/98

 

5-Jan-1998

 

 

 

 

 

Uniroyal Chem.&Crompton Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

India

 

Granted

 

1239/Del/2001

 

12-Dec-2001

 

219611

 

9-May-2008

 

Uniroyal Chem.&Crompton Co./Cie

 

An Insecticidal 1,3,4-Oxadiazine Compound of Formula (1)

India

 

Granted

 

PCT2000,00399

 

1-Mar-1999

 

195353

 

7-Jun-2005

 

Uniroyal Chem.&Crompton Co./Cie

 

PROCESS FOR SYNTHESIZING SUBSTITUTED 2-BENZO[b]THIO PHENECARBOXYLIC ACIDS AND

 

244



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SALTS THEREOF

India

 

Pending

 

228/MUMNP/2004

 

16-Apr-2004

 

 

 

 

 

Uniroyal Chem.&Crompton Co./Cie

 

PROCESS FOR SYNTHESIZING SUBSTITUTED 2-BENZO(b)THIO

 

PHENECARBOXYLIC ACIDS AND SALTS THEREOF

Israel

 

Granted

 

148629

 

26-Sep-2000

 

148629

 

1-Feb-2007

 

Uniroyal Chem.&Crompton Co./Cie

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Italy

 

Granted

 

99908577.2

 

1-Mar-1999

 

1064276

 

26-Feb-2003

 

Uniroyal Chem.&Crompton Co./Cie

 

PROCESS OR SYNTHESIZING SUBSTITUTED 2-BENZO{b} THIOPHENECARBOXYLIC ACIDS AND SALTS THEREOF

Japan

 

Granted

 

2006-517138

 

25-May-2004

 

4331751

 

26-Jun-2009

 

Uniroyal Chem.&Crompton Co./Cie

 

FUNGICIDAL PHENOXYPHENYLHYDRAZINE DERIVATIVES

Japan

 

Granted

 

2000-531440

 

22-Jan-1999

 

3378237

 

6-Dec-2002

 

Uniroyal Chem.&Crompton Co./Cie

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

Japan

 

Granted

 

2001-521158

 

14-Aug-2000

 

3726060

 

30-Sep-2005

 

Uniroyal Chem.&Crompton Co./Cie

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Japan

 

Granted

 

2001-528139

 

26-Sep-2000

 

3779616

 

10-Mar-2006

 

Uniroyal Chem.&Crompton Co./Cie

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Poland

 

Granted

 

P-354483

 

26-Sep-2000

 

200493

 

26-May-2008

 

Uniroyal Chem.&Crompton Co./Cie

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE

 

245



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

DERIVATIVES

Republic of Korea

 

Pending

 

7008786/2000

 

22-Jan-1999

 

 

 

 

 

Uniroyal Chem.&Crompton Co./Cie

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

Republic of Korea

 

Granted

 

7010267/2000

 

1-Mar-1999

 

10-0648791

 

15-Nov-2006

 

Uniroyal Chem.&Crompton Co./Cie

 

PROCESS FOR SYNTHESIZING SUBSTITUTED 2-BENZO[b]THIO PHENECARBOXYLIC ACIDS AND SALTS THEREOF

Republic of Korea

 

Granted

 

7003783/2002

 

26-Sep-2000

 

10-0669572

 

9-Jan-2007

 

Uniroyal Chem.&Crompton Co./Cie

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Russian Federation

 

Granted

 

200600091

 

25-May-2004

 

011609

 

29-Jan-2009

 

Uniroyal Chem.&Crompton Co./Cie

 

FUNGICIDAL PHENOXYPHENYLHYDRAZINE DERIVATIVES

Russian Federation

 

Granted

 

2002111656

 

26-Sep-2000

 

2242461

 

20-Dec-2004

 

Uniroyal Chem.&Crompton Co./Cie

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

South Africa

 

Granted

 

992076

 

15-Mar-1999

 

99/2076

 

24-Nov-1999

 

Uniroyal Chem.&Crompton Co./Cie

 

PROCESS FOR SYNTHESIZING SUBSTITUTED 2-BENZO[b]THIO PHENECARBOXYLIC ACIDS AND SALTS THEREOF

South Africa

 

Granted

 

2002/2185

 

26-Sep-2000

 

2002/2185

 

27-Aug-2003

 

Uniroyal Chem.&Crompton Co./Cie

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Taiwan

 

Pending

 

093116436

 

8-Jun-2004

 

 

 

 

 

Uniroyal Chem.&Crompton Co./Cie

 

FUNGICIDAL PHENOXYPHENYLHYDRAZINE DERIVATIVES

Taiwan

 

Granted

 

88104072

 

20-Mar-1999

 

NI-169188

 

28-Apr-2003

 

Uniroyal Chem.&Crompton

 

PROCESS FOR SYNTHESIZING

 

246



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Co./Cie

 

SUBSTITUTED 2-BENZO[b]THIO PHENECARBOXYLIC ACIDS AND SALTS THEREOF

Thailand

 

Pending

 

091427

 

10-Jun-2004

 

 

 

 

 

Uniroyal Chem.&Crompton Co./Cie

 

FUNGICIDAL PHENOXYPHENYLHYDRAZINE DERIVATIVES

United States

 

Granted

 

10/855452

 

27-May-2004

 

7045512

 

16-May-2006

 

Uniroyal Chem.&Crompton Co./Cie

 

FUNGICIDAL PHENOXYPHENYLHYDRAZINE DERIVATIVES

United States

 

Granted

 

10/294315

 

14-Nov-2002

 

6706895

 

16-Mar-2004

 

Uniroyal Chem.&Crompton Co./Cie

 

4-METHOXYBIPHENYL HYDRAZONE DERIVATIVES

United States

 

Granted

 

832,277

 

7-Feb-1992

 

5,211,736

 

18-May-1993

 

Uniroyal Chem.&Crompton Co./Cie

 

AZOLE DERIVATIVES OF SPIROHETEROCYCLES

United States

 

Granted

 

588,208

 

26-Sep-1990

 

5,268,389

 

7-Dec-1993

 

Uniroyal Chem.&Crompton Co./Cie

 

TREATMENT OF HIV INFECTIONS AND COMPOUNDS USEFUL THEREIN

United States

 

Granted

 

08/485291

 

7-Jun-1995

 

5693827

 

2-Dec-1997

 

Uniroyal Chem.&Crompton Co./Cie

 

TREATMENT OF HIV INFECTIONS AND COMPOUNDS USEFUL THEREIN

United States

 

Granted

 

474,955

 

2-Feb-1990

 

4,979,982

 

25-Dec-1990

 

Uniroyal Chem.&Crompton Co./Cie

 

HERBICIDAL CINNAMIC ESTER URACILS

United States

 

Granted

 

979,095

 

20-Nov-1992

 

5,367,093

 

22-Nov-1994

 

Uniroyal Chem.&Crompton Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

United States

 

Granted

 

286,738

 

5-Aug-1994

 

5438123

 

1-Aug-1995

 

Uniroyal Chem.&Crompton Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

United States

 

Granted

 

08/410250

 

24-Mar-1995

 

5536746

 

16-Jul-1996

 

Uniroyal Chem.&Crompton

 

INSECTICIDAL PHENYLHYDRAZINE

 

247



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Co./Cie

 

DERIVATIVES

United States

 

Granted

 

08/295117

 

24-Aug-1994

 

5777110

 

7-Jul-1998

 

Uniroyal Chem.&Crompton Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

United States

 

Granted

 

08/967856

 

12-Nov-1997

 

6372297

 

16-Apr-2002

 

Uniroyal Chem.&Crompton Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

United States

 

Granted

 

08/241211

 

11-May-1994

 

5536720

 

16-Jul-1996

 

Uniroyal Chem.&Crompton Co./Cie

 

PESTICIDAL OXADIAZINES

United States

 

Granted

 

08/636295

 

23-Apr-1996

 

5677301

 

14-Oct-1997

 

Uniroyal Chem.&Crompton Co./Cie

 

PESTICIDAL OXADIAZINES

United States

 

Granted

 

08/346819

 

30-Nov-1994

 

5663199

 

2-Sep-1997

 

Uniroyal Chem.&Crompton Co./Cie

 

ANTI-VIRAL AROMATIC O-ALKYLATED OXIMES, ETHERS AND THIOETHERS

United States

 

Granted

 

08/852939

 

8-May-1997

 

5824704

 

20-Oct-1998

 

Uniroyal Chem.&Crompton Co./Cie

 

ANTI-VIRAL AROMATIC O-ALKYLATED OXIMES, ETHERS AND THIOETHERS

United States

 

Granted

 

08/346811

 

30-Nov-1994

 

5550280

 

27-Aug-1996

 

Uniroyal Chem.&Crompton Co./Cie

 

HINDERED AROMATIC ESTER COMPOUNDS USEFUL AS ANTI-VIRAL AGENTS

United States

 

Granted

 

08/620590

 

22-Mar-1996

 

5756813

 

26-May-1998

 

Uniroyal Chem.&Crompton Co./Cie

 

HINDERED AROMATIC ESTER COMPOUNDS USEFUL AS ANTI-VIRAL AGENTS

United States

 

Granted

 

08/642832

 

2-May-1996

 

5719103

 

17-Feb-1998

 

Uniroyal Chem.&Crompton Co./Cie

 

POWDER FORMULATION USEFUL FOR SEED TREATMENT AND FOLIAR TREATMENT OF PLANTS

 

248



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Granted

 

08/528451

 

14-Sep-1995

 

5654441

 

5-Aug-1997

 

Uniroyal Chem.&Crompton Co./Cie

 

Synthesis of 1,3-Oxathiolane Sulfoxide Compounds

United States

 

Granted

 

08/498102

 

5-Jul-1995

 

5567723

 

22-Oct-1996

 

Uniroyal Chem.&Crompton Co./Cie

 

HYDRAZINE DERIVATIVES

United States

 

Granted

 

08/565493

 

30-Nov-1995

 

5696151

 

9-Dec-1997

 

Uniroyal Chem.&Crompton Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

United States

 

Granted

 

08/736309

 

24-Oct-1996

 

5874465

 

23-Feb-1999

 

Uniroyal Chem.&Crompton Co./Cie

 

HYDRAZINECARBOXYLATE MITICIDES AND INSECTICIDES

United States

 

Granted

 

08/989377

 

12-Dec-1997

 

5914351

 

22-Jun-1999

 

Uniroyal Chem.&Crompton Co./Cie

 

ANTI-VIRAL AROMATIC HYDRAZONES

United States

 

Granted

 

08/950609

 

14-Oct-1997

 

5804579

 

8-Sep-1998

 

Uniroyal Chem.&Crompton Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

United States

 

Granted

 

08/963714

 

4-Nov-1997

 

5869504

 

9-Feb-1999

 

Uniroyal Chem.&Crompton Co./Cie

 

PESTICIDAL TETRAZOLE DERIVATIVES

United States

 

Granted

 

09/022616

 

12-Feb-1998

 

6011034

 

4-Jan-2000

 

Uniroyal Chem.&Crompton Co./Cie

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

United States

 

Granted

 

09/228349

 

11-Jan-1999

 

6197766

 

6-Mar-2001

 

Uniroyal Chem.&Crompton Co./Cie

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

United States

 

Granted

 

09/039769

 

16-Mar-1998

 

5965749

 

12-Oct-1999

 

Uniroyal Chem.&Crompton Co./Cie

 

PROCESS FOR SYNTHESIZING SUBSTITUTED 2-BENZO[b]THIO PHENECARBOXYLIC ACIDS AND SALTS THEREOF

United

 

Granted

 

09/287854

 

7-Apr-1999

 

6020355

 

1-Feb-2000

 

Uniroyal

 

PESTICIDAL

 

249



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Chem.&Crompton Co./Cie

 

TETRAZOLE DERIVATIVES

United States

 

Granted

 

09/391292

 

7-Sep-1999

 

6297275

 

2-Oct-2001

 

Uniroyal Chem.&Crompton Co./Cie

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

United States

 

Granted

 

09/398649

 

17-Sep-1999

 

6143780

 

7-Nov-2000

 

Uniroyal Chem.&Crompton Co./Cie

 

N-ARYLMETHYLTHIOANILIDE COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

United States

 

Granted

 

09/399283

 

17-Sep-1999

 

6017947

 

25-Jan-2000

 

Uniroyal Chem.&Crompton Co./Cie

 

HETEROCYCLIC CARBODITHIOPEROXYIMIDIC COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV

United States

 

Granted

 

09/413072

 

6-Oct-1999

 

6093843

 

25-Jul-2000

 

Uniroyal Chem.&Crompton Co./Cie

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Argentina

 

Granted

 

323725

 

23-Nov-1992

 

249125

 

7-May-1996

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Argentina

 

Granted

 

P980100398

 

29-Jan-1998

 

AR011097B1

 

28-Apr-2008

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Argentina

 

Pending

 

P980100638

 

12-Feb-1998

 

 

 

 

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

PESTICIDAL THIADIAZINE COMPOUNDS

Armenia

 

Granted

 

199900691

 

16-Dec-1997

 

001632

 

25-Jun-2001

 

Uniroyal

 

INSECTICIDAL

 

250



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

OXADIAZINE COMPOUNDS

Australia

 

Granted

 

31374/93

 

17-Nov-1992

 

670927

 

17-Dec-1996

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Australia

 

Granted

 

76401/94

 

24-Aug-1994

 

688371

 

2-Jul-1998

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Australia

 

Granted

 

11199/97

 

15-Nov-1996

 

704086

 

22-Jul-1999

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Australia

 

Granted

 

55297/98

 

16-Dec-1997

 

747304

 

29-Aug-2002

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Austria

 

Granted

 

92925247.6

 

17-Nov-1992

 

0641316

 

22-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Austria

 

Granted

 

94926617.5

 

24-Aug-1994

 

0715625

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Azerbaijan

 

Granted

 

199900691

 

16-Dec-1997

 

001632

 

25-Jun-2001

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Belarus

 

Granted

 

199900691

 

16-Dec-1997

 

001632

 

25-Jun-2001

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Belgium

 

Granted

 

92925247.6

 

17-Nov-1992

 

0641316

 

22-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

 

251



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chem.Co./Cie

 

 

Belgium

 

Granted

 

94926617.5

 

24-Aug-1994

 

0715625

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Brazil

 

Granted

 

PI9206803.0

 

17-Nov-1992

 

PI9206803.0

 

30-Mar-1999

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Brazil

 

Granted

 

PI9407561.1

 

24-Aug-1994

 

PI9407561-1

 

13-May-2003

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Brazil

 

Granted

 

PI9609813.9

 

24-Jun-1996

 

PI9609813.9

 

23-May-2006

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

HYDRAZINE DERIVATIVES

Brazil

 

Pending

 

PI9611838.5

 

15-Nov-1996

 

 

 

 

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Brazil

 

Granted

 

PI9714297.2

 

16-Dec-1997

 

PI9714297-2

 

13-Jan-2009

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Chile

 

Granted

 

2849/97

 

24-Dec-1997

 

CL41.795

 

17-Jul-2003

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Chile

 

Granted

 

311/98

 

10-Feb-1998

 

CL42.018

 

18-Aug-2004

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

PESTICIDAL THIADIAZINE COMPOUNDS

Chile

 

Granted

 

139/99

 

27-Jan-1999

 

41414

 

6-Aug-2002

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL DIHYDROOXADIAZINE COMPOUNDS

China P.R.

 

Granted

 

92114622.1

 

21-Nov-1992

 

92114622.1

 

12-Oct-1996

 

Uniroyal

 

INSECTICIDAL

 

252



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

PHENYLHYDRAZINE DERIVATIVES

China P.R.

 

Granted

 

94193747.X

 

24-Aug-1994

 

94193747.X

 

23-Sep-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

China P.R.

 

Granted

 

96198705.7

 

15-Nov-1996

 

96198705.7

 

15-Jan-2003

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

China P.R.

 

Granted

 

97181594.1

 

16-Dec-1997

 

97181594.1

 

13-Aug-2003

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Colombia

 

Granted

 

9775262

 

29-Dec-1997

 

27504

 

19-Dec-2002

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Costa Rica

 

Granted

 

5714

 

30-Jan-1998

 

2704

 

2-Oct-2008

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Czech Republic

 

Granted

 

PV1248-94

 

17-Nov-1992

 

290371

 

17-May-2002

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Czech Republic

 

Granted

 

PV560-96

 

24-Aug-1994

 

291537

 

27-Jan-2003

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Czech Republic

 

Granted

 

PV2717-99

 

16-Dec-1997

 

295309

 

10-May-2005

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Denmark

 

Granted

 

92925247.6

 

17-Nov-1992

 

0641316

 

22-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

 

253



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chem.Co./Cie

 

 

Denmark

 

Granted

 

94926617.5

 

24-Aug-1994

 

0715625

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Egypt

 

Granted

 

414/95

 

23-May-1995

 

20557

 

31-Aug-1999

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

PESTICIDAL OXADIAZINES

Finland

 

Granted

 

942355

 

17-Nov-1992

 

120340

 

30-Sep-2009

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Finland

 

Granted

 

960829

 

24-Aug-1994

 

119512

 

15-Dec-2008

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

France

 

Granted

 

92925247.6

 

17-Nov-1992

 

0641316

 

22-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

France

 

Granted

 

94926617.5

 

24-Aug-1994

 

0715625

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

France

 

Granted

 

96924292.4

 

24-Jun-1996

 

0836596

 

23-Aug-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

HYDRAZINE DERIVATIVES

Germany

 

Granted

 

92925247.6

 

17-Nov-1992

 

69217085.5

 

22-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Germany

 

Granted

 

94926617.5

 

24-Aug-1994

 

69403667.6

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Germany

 

Granted

 

96924292.4

 

24-Jun-1996

 

69609976.4

 

23-Aug-2000

 

Uniroyal Chemical Co., Inc/Uniroyal

 

HYDRAZINE DERIVATIVES

 

254



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chem.Co./Cie

 

 

Ghana

 

Granted

 

AP/P/98/01245

 

15-Nov-1996

 

AP902

 

30-Nov-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Greece

 

Granted

 

92925247.6

 

17-Nov-1992

 

3023097

 

22-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Greece

 

Granted

 

94926617.5

 

24-Aug-1994

 

3024590

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Guatemala

 

Granted

 

PI-960096

 

29-Nov-1996

 

4854

 

2-Sep-2002

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Haiti

 

Granted

 

unknown

 

11-Oct-1990

 

198/5

 

12-Oct-1994

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

TREATMENT OF HIV INFECTIONS AND COMPOUNDS USEFUL THEREIN

Haiti

 

Granted

 

unknown

 

28-Nov-1996

 

229-REG.5

 

2-Sep-1999

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Hong Kong

 

Granted

 

99101720.7

 

21-Apr-1999

 

HK1016601

 

5-Sep-2003

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Hungary

 

Granted

 

P9401552

 

17-Nov-1992

 

219189

 

30-Nov-2000

 

Uniroyal Chemical Co., Inc/Uniroyal

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

 

255



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chem.Co./Cie

 

 

Hungary

 

Granted

 

P9600437

 

24-Aug-1994

 

215235

 

2-Oct-1998

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Hungary

 

Granted

 

P9901990

 

15-Nov-1996

 

223660

 

5-Oct-2004

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Hungary

 

Pending

 

P0200911

 

16-Dec-1997

 

 

 

 

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

India

 

Granted

 

407/DEL/98

 

17-Feb-1998

 

222078

 

17-Jul-2008

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

PESTICIDAL THIADIAZINE COMPOUNDS

Indonesia

 

Granted

 

P-941394

 

24-Aug-1994

 

ID0003518

 

25-Jan-1999

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Ireland

 

Granted

 

94926617.5

 

24-Aug-1994

 

E74543

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Israel

 

Granted

 

103828

 

20-Nov-1992

 

103828

 

11-Apr-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Israel

 

Granted

 

130657

 

16-Dec-1997

 

130657

 

27-Nov-2001

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Italy

 

Granted

 

92925247.6

 

17-Nov-1992

 

0641316

 

22-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Italy

 

Granted

 

94926617.5

 

24-Aug-1994

 

0715625

 

4-Jun-1997

 

Uniroyal

 

WOOD

 

256



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

PRESERVATIVE OXATHIAZINES

Italy

 

Granted

 

96924292.4

 

24-Jun-1996

 

0836596

 

23-Aug-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

HYDRAZINE DERIVATIVES

Japan

 

Granted

 

509447/93

 

17-Nov-1992

 

2552811

 

22-Aug-1996

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Japan

 

Granted

 

507780/95

 

24-Aug-1994

 

2761441

 

20-Mar-1998

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Japan

 

Granted

 

534778/96

 

17-May-1995

 

3210676

 

13-Jul-2001

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

PESTICIDAL OXADIAZINES

Japan

 

Granted

 

505170/97

 

24-Jun-1996

 

2994760

 

22-Oct-1999

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

HYDRAZINE DERIVATIVES

Japan

 

Granted

 

520533/97

 

15-Nov-1996

 

3027771

 

28-Jan-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Japan

 

Granted

 

532876/98

 

16-Dec-1997

 

3465907

 

29-Aug-2003

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Kazakhstan

 

Granted

 

941631.1

 

17-Nov-1992

 

6431

 

15-Jul-1998

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Kazakhstan

 

Granted

 

199900691

 

16-Dec-1997

 

001632

 

25-Jun-2001

 

Uniroyal Chemical Co., Inc/Uniroyal

 

INSECTICIDAL OXADIAZINE COMPOUNDS

 

257



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chem.Co./Cie

 

 

Kenya

 

Granted

 

AP/P/98/01245

 

15-Nov-1996

 

AP902

 

30-Nov-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Kyrgyzstan

 

Granted

 

199900691

 

16-Dec-1997

 

001632

 

25-Jun-2001

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Lesotho

 

Granted

 

AP/P/98/01245

 

15-Nov-1996

 

AP902

 

30-Nov-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Luxembourg

 

Granted

 

92925247.6

 

17-Nov-1992

 

0641316

 

22-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Luxembourg

 

Granted

 

94926617.5

 

24-Aug-1994

 

0715625

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Malawi

 

Granted

 

AP/P/98/01245

 

15-Nov-1996

 

AP902

 

30-Nov-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Malaysia

 

Granted

 

PI9402201

 

23-Aug-1994

 

MY-137123-A

 

31-Dec-2008

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Mexico

 

Granted

 

22844

 

15-Oct-1990

 

179450

 

31-Aug-1995

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

TREATMENT OF HIV INFECTIONS AND COMPOUNDS USEFUL THEREIN

Mexico

 

Granted

 

9406411

 

23-Aug-1994

 

190010

 

9-Oct-1998

 

Uniroyal

 

WOOD

 

258



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

PRESERVATIVE OXATHIAZINES

Mexico

 

Granted

 

978819

 

17-May-1995

 

256755

 

30-Apr-2008

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

PESTICIDAL OXADIAZINES

Mexico

 

Granted

 

984267

 

15-Nov-1996

 

205805

 

8-Jan-2002

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Mexico

 

Granted

 

997073

 

16-Dec-1997

 

215336

 

18-Jul-2003

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Moldova

 

Granted

 

199900691

 

16-Dec-1997

 

001632

 

25-Jun-2001

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Monaco

 

Granted

 

94926617.5

 

24-Aug-1994

 

0715625

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Netherlands

 

Granted

 

92925247.6

 

17-Nov-1992

 

0641316

 

22-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Netherlands

 

Granted

 

94926617.5

 

24-Aug-1994

 

0715625

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

New Zealand

 

Granted

 

235653

 

12-Oct-1990

 

235653

 

8-Dec-1993

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

TREATMENT OF HIV INFECTIONS AND COMPOUNDS USEFUL THEREIN

New Zealand

 

Granted

 

273187

 

24-Aug-1994

 

273187

 

11-Sep-1998

 

Uniroyal Chemical Co., Inc/Uniroyal

 

WOOD PRESERVATIVE OXATHIAZINES

 

259



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chem.Co./Cie

 

 

New Zealand

 

Granted

 

324118

 

15-Nov-1996

 

324118

 

14-Jun-1999

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Nicaragua

 

Granted

 

91-009

 

23-May-1991

 

920R.P.I.

 

3-Mar-1994

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

TREATMENT OF HIV INFECTIONS AND COMPOUNDS USEFUL THEREIN

Nicaragua

 

Granted

 

96-0062

 

18-Nov-1996

 

1189 R.P.I.

 

12-Jun-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Norway

 

Granted

 

19960696

 

24-Aug-1994

 

305837

 

2-Aug-1999

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

O.A.P.I

 

Granted

 

9800070

 

15-Nov-1996

 

10864

 

7-Oct-1999

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Pakistan

 

Pending

 

1065/97

 

29-Dec-1997

 

 

 

 

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Philippines

 

Granted

 

49013

 

23-Aug-1994

 

1-199449013

 

4-Apr-2001

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Philippines

 

Granted

 

54707

 

7-Nov-1996

 

1-199654707

 

3-Nov-1999

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND

 

260



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

HIV-1 MUTANTS

Poland

 

Granted

 

P303793

 

17-Nov-1992

 

171968

 

8-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Poland

 

Granted

 

P-313136

 

24-Aug-1994

 

180262

 

1-Jul-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Poland

 

Granted

 

P-334496

 

16-Dec-1997

 

188016

 

26-Mar-2004

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Portugal

 

Granted

 

94926617.5

 

24-Aug-1994

 

0715625

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Republic of Korea

 

Granted

 

700831/92

 

9-Oct-1990

 

0222233

 

2-Jul-1999

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

TREATMENT OF HIV INFECTIONS AND COMPOUNDS USEFUL THEREIN

Republic of Korea

 

Granted

 

701712/94

 

17-Nov-1992

 

0235246

 

21-Sep-1999

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Republic of Korea

 

Granted

 

700888/96

 

24-Aug-1994

 

0335756

 

24-Apr-2002

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Republic of Korea

 

Granted

 

97-708149

 

17-May-1995

 

417794

 

27-Jan-2004

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

PESTICIDAL OXADIAZINES

Republic of Korea

 

Granted

 

98/703958

 

15-Nov-1996

 

0505841

 

26-Jul-2005

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Republic of

 

Granted

 

99-7005731

 

16-Dec-1997

 

10-0711325

 

18-Apr-2007

 

Uniroyal

 

INSECTICIDAL

 

261



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Korea

 

 

 

 

 

 

 

 

 

 

 

Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

OXADIAZINE COMPOUNDS

Romania

 

Granted

 

94-00851

 

17-Nov-1992

 

112860

 

31-Dec-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Russian Federation

 

Granted

 

96105384

 

24-Aug-1994

 

2127266

 

10-Mar-1999

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Russian Federation

 

Granted

 

199900691

 

16-Dec-1997

 

001632

 

25-Jun-2001

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Slovak Republic

 

Granted

 

PV0600-94

 

17-Nov-1992

 

282306

 

10-Oct-2001

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

South Africa

 

Granted

 

92/8915

 

18-Nov-1992

 

92/8915

 

27-Oct-1993

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

South Africa

 

Granted

 

94/6450

 

24-Aug-1994

 

94/6450

 

27-Sep-1995

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

South Africa

 

Granted

 

96/9490

 

12-Nov-1996

 

96/9490

 

27-Aug-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Spain

 

Granted

 

92925247.6

 

17-Nov-1992

 

0641316

 

22-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Spain

 

Granted

 

94926617.5

 

24-Aug-1994

 

0715625

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal

 

WOOD PRESERVATIVE OXATHIAZINES

 

262



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chem.Co./Cie

 

 

Spain

 

Granted

 

96924292.4

 

24-Jun-1996

 

0836596

 

23-Aug-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

HYDRAZINE DERIVATIVES

Sri Lanka

 

Granted

 

10655

 

17-Nov-1992

 

10655

 

16-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Sudan

 

Granted

 

PCT/177/94

 

17-Nov-1992

 

PCT/SD/132

 

31-May-1994

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Sudan

 

Granted

 

AP/P/98/01245

 

15-Nov-1996

 

AP902

 

30-Nov-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Swaziland

 

Granted

 

AP/P/98/01245

 

15-Nov-1996

 

AP902

 

30-Nov-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Sweden

 

Granted

 

92925247.6

 

17-Nov-1992

 

0641316

 

22-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Sweden

 

Granted

 

94926617.5

 

24-Aug-1994

 

0715625

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Switzerland

 

Granted

 

92925247.6

 

17-Nov-1992

 

0641316

 

22-Jan-1997

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Switzerland

 

Granted

 

94926617.5

 

24-Aug-1994

 

0715625

 

4-Jun-1997

 

Uniroyal Chemical Co., Inc/Uniroyal

 

WOOD PRESERVATIVE OXATHIAZINES

 

263



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chem.Co./Cie

 

 

Switzerland

 

Granted

 

96924292.4

 

24-Jun-1996

 

0836596

 

23-Aug-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

HYDRAZINE DERIVATIVES

Taiwan

 

Granted

 

79108696

 

16-Oct-1990

 

NI-58187

 

23-Dec-1992

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

TREATMENT OF HIV INFECTIONS AND COMPOUNDS USEFUL THEREIN

Taiwan

 

Granted

 

83108750

 

22-Sep-1994

 

NI-078790

 

12-Oct-1996

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Taiwan

 

Granted

 

85113662

 

8-Nov-1996

 

NI-137218

 

16-Nov-2001

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Tajikistan

 

Granted

 

199900691

 

16-Dec-1997

 

001632

 

25-Jun-2001

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Thailand

 

Granted

 

023553

 

23-Aug-1994

 

15627

 

27-Oct-2003

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

WOOD PRESERVATIVE OXATHIAZINES

Thailand

 

Pending

 

041691

 

7-Jan-1998

 

 

 

 

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Turkey

 

Granted

 

92/1104

 

23-Nov-1992

 

29633

 

31-Oct-2003

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Turkey

 

Granted

 

1999/01701

 

16-Dec-1997

 

TR199901701B

 

21-Jul-2005

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Turkmenistan

 

Granted

 

199900691

 

16-Dec-1997

 

001632

 

25-Jun-2001

 

Uniroyal

 

INSECTICIDAL

 

264



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

OXADIAZINE COMPOUNDS

Uganda

 

Granted

 

AP/P/98/01245

 

15-Nov-1996

 

AP902

 

30-Nov-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Ukraine

 

Granted

 

94005513

 

17-Nov-1992

 

41298

 

17-Sep-2001

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Ukraine

 

Granted

 

99084848

 

16-Dec-1997

 

70917

 

15-Nov-2004

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Uruguay

 

Granted

 

24383

 

29-Nov-1996

 

14.107

 

2-Jul-2003

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND HIV-1 MUTANTS

Uzbekistan

 

Granted

 

P9400472.2

 

17-Nov-1992

 

IAP02018

 

29-Sep-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL PHENYLHYDRAZINE DERIVATIVES

Venezuela

 

Pending

 

155/98

 

27-Jan-1998

 

 

 

 

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Vietnam

 

Granted

 

S19990617

 

16-Dec-1997

 

2916

 

22-Jul-2002

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

INSECTICIDAL OXADIAZINE COMPOUNDS

Zimbabwe

 

Granted

 

AP/P/98/01245

 

15-Nov-1996

 

AP902

 

30-Nov-2000

 

Uniroyal Chemical Co., Inc/Uniroyal Chem.Co./Cie

 

COMPOUNDS USEFUL FOR THE INHIBITION OF THE REPLICATION OF HIV-1 AND

 

265



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

HIV-1 MUTANTS

Argentina

 

Pending

 

P000105233

 

4-Oct-2000

 

 

 

 

 

Uniroyal Chemical Co./Uniroyal Chem

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Chile

 

Granted

 

2219-2000

 

18-Aug-2000

 

CL44164

 

30-Oct-2008

 

Uniroyal Chemical Co./Uniroyal Chem

 

METHOD FOR CONTROLLING FUNGI PHENYLHYDRAZINE DERIVATIES

Colombia

 

Pending

 

00064471

 

29-Aug-2000

 

 

 

 

 

Uniroyal Chemical Co./Uniroyal Chem

 

METHOD FOR CONTROLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Sri Lanka

 

Pending

 

12198

 

6-Oct-2000

 

 

 

 

 

Uniroyal Chemical Co./Uniroyal Chem

 

NOVEL 4-HYDROXYBIPHENYL HYDRAZIDE DERIVATIVES

Thailand

 

Granted

 

059920

 

24-Aug-2000

 

23381

 

7-Mar-2008

 

Uniroyal Chemical Co./Uniroyal Chem

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Venezuela

 

Pending

 

2000-001966

 

5-Sep-2000

 

 

 

 

 

Uniroyal Chemical Co./Uniroyal Chem

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Argentina

 

Pending

 

P010101969

 

26-Apr-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

Argentina

 

Granted

 

311146

 

16-Jun-1988

 

251622

 

23-Feb-1998

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR THE SELECTIVE REDUCTION OF 2-QUINOXALINE-4-OXIDES

Argentina

 

Granted

 

312921

 

4-Jan-1989

 

248277

 

12-Jul-1995

 

Uniroyal Chemical

 

HETEROCYCLIC QUINOXALINYLO

 

266



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

XYPHENYLOXYPR
OPANOATE HERBICIDES

Argentina

 

Granted

 

320879

 

8-Oct-1991

 

247750

 

31-Mar-1995

 

Uniroyal Chemical Company, Inc.

 

BENZOQUINONEIMINES AS VINYL AROMATIC POLYMERIZATION INHIBITORS

Argentina

 

Granted

 

P970101338

 

3-Apr-1997

 

AR006498B1

 

16-Mar-2006

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

Argentina

 

Granted

 

P990102478

 

26-May-1999

 

AR018385B1

 

27-Nov-2006

 

Uniroyal Chemical Company, Inc.

 

METHOD FOR STABILIZING UNSATURATED ORGANIC COMPOUNDS FROM POLYMERIZATION

Argentina

 

Granted

 

P000104238

 

16-Aug-2000

 

AR025296B1

 

17-Apr-2007

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMERS

Argentina

 

Granted

 

P000102865

 

12-Jun-2000

 

AR024328B1

 

30-Nov-2007

 

Uniroyal Chemical Company, Inc.

 

TEST METHOD FOR EAVALUATING SOLUBLE POLYMER GROWTH WHEN RECYCLING AND INHIBITOR STREAMS

Argentina

 

Granted

 

P000106323

 

30-Nov-2000

 

AR026669B1

 

11-Jun-2008

 

Uniroyal Chemical Company, Inc.

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER

 

267



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

GROWTH

Argentina

 

Pending

 

P010100398

 

29-Jan-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

ENHANCEMENT OF SEED/FRUIT/NUT YIELD FROM FLOWERING PLANTS

Argentina

 

Pending

 

P010100172

 

15-Jan-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Australia

 

Granted

 

2002252275

 

8-Mar-2002

 

2002252275

 

29-Feb-2008

 

Uniroyal Chemical Company, Inc.

 

HIGH FRICTION POLYURETHANE ELASTOMERS HAVING IMPROVED ABRASION RESISTANCE

Australia

 

Granted

 

30022/97

 

9-May-1997

 

729669

 

24-May-2001

 

Uniroyal Chemical Company, Inc.

 

REMOVAL OF UNREACTED DIISOCYANATE MONOMER FROM POLYURETHANE POLYMERS

Australia

 

Granted

 

65103/00

 

2-Aug-2000

 

777484

 

10-Feb-2005

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMER

Austria

 

Granted

 

99920222.9

 

30-Apr-1999

 

1087658

 

21-Jan-2004

 

Uniroyal Chemical Company, Inc.

 

BIOLOGICALLY-ACTIVE MICRODISPERSION COMPOSITION

Austria

 

Granted

 

99951883.0

 

8-Oct-1999

 

1129133

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABIFLIZED BY BLENDS OF STERICALLY

 

268



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

HINDERED PHENOLS, SECONDARY AMINES, AND THIOETHERS

Belgium

 

Granted

 

01987785.1

 

11-Oct-2001

 

1326943

 

25-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Belgium

 

Granted

 

02721349.5

 

11-Mar-2002

 

1427774

 

19-Jul-2006

 

Uniroyal Chemical Company, Inc.

 

BLENDING OF RUBBER COMPOUNDS, FILLERS AND PLASTICIZERS

Belgium

 

Granted

 

94909541.8

 

2-Feb-1994

 

0686172

 

8-Nov-2000

 

Uniroyal Chemical Company, Inc.

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THEREFROM

Belgium

 

Granted

 

00937724.3

 

24-May-2000

 

1185501

 

28-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

Belgium

 

Granted

 

99951883.0

 

8-Oct-1999

 

1129133

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABIFLIZED BY BLENDS OF STERICALLY HINDERED PHENOLS, SECONDARY AMINES, AND THIOETHERS

Belgium

 

Granted

 

00948735.6

 

18-Jul-2000

 

1200420

 

18-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR MAKING N-ALKYL BIS (THIAZOLYL) SULFENIMIDES

 

269



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Brazil

 

Pending

 

PI0110524-8

 

3-Apr-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

Brazil

 

Pending

 

PI0110081-5

 

2-Apr-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Liquid Antiozonants and Rubber Compositions Containing Same

Brazil

 

Pending

 

PI0114667-0

 

11-Oct-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Brazil

 

Pending

 

PI0214912-5

 

6-Nov-2002

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION, THE RESULTING POLYMERS, AND LUBRICANTS CONTAINING SAME

Brazil

 

Pending

 

PI0415547-5

 

13-Oct-2004

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITIONS AND METHODS FOR DECREASING THE TANGENT DELTA VALUE AND ABRASION INDEX

Brazil

 

Granted

 

PI9306277.0

 

13-Apr-1993

 

PI9306277.0

 

5-Sep-2000

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITOR FOR VINYL AROMATICS

Brazil

 

Granted

 

PI9405740.0

 

2-Feb-1994

 

PI9405740.0

 

20-Feb-2001

 

Uniroyal Chemical Company, Inc.

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE

 

270



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FOAM OBTAINED THEREFROM

Brazil

 

Pending

 

PI9910693-0

 

29-Apr-1999

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

METHOD FOR STABILIZING UNSATURATED ORGANIC COMPOUNDS FROM POLYMERIZATION

Brazil

 

Pending

 

PI0011617-3

 

24-May-2000

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

Brazil

 

Pending

 

PI0013346-9

 

2-Aug-2000

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMER

Brazil

 

Pending

 

PI9915862-0

 

19-Nov-1999

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

LUBRICANT COMPOSITIONS COMPRISING MULTIPLE ANTIOXIDANTS

Brazil

 

Pending

 

PI0011970-9

 

26-May-2000

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

TEST METHOD FOR EVALUATING SOLUBLE POLYMER GROWTH WHEN RECYCLING INHIBITOR STREAMS

Brazil

 

Pending

 

PI0113185-0

 

8-Aug-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Process for Producing Liquid Polyalphaolefin Polymer, Metallocene Catalyst Therefor, the Resulting Polymer

 

271



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

and Lubricant

Brazil

 

Pending

 

PI0016113-6

 

13-Nov-2000

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER GROWTH

Brazil

 

Pending

 

PI0015512-8

 

6-Nov-2000

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITION AND METHOD OF MAKING SAME

Brazil

 

Pending

 

PI0108708.8

 

12-Jan-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

ENHANCEMENT OF SEED/FRUIT/NUT YIELDS FROM FLOWERING PLANTS

Canada

 

Pending

 

2406720

 

3-Apr-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

Canada

 

Granted

 

2443652

 

8-Mar-2002

 

2443652

 

15-Sep-2009

 

Uniroyal Chemical Company, Inc.

 

HIGH FRICTION POLYURETHANE ELASTOMERS HAVING IMPROVED ABRASION RESISTANCE

Canada

 

Pending

 

2458332

 

11-Mar-2002

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

BLENDING OF RUBBER COMPOUNDS, FILLERS AND PLASTICIZERS

Canada

 

Pending

 

2469985

 

6-Nov-2002

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION, THE RESULTING POLYMERS, AND

 

272



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

LUBRICANTS CONTAINING SAME

Canada

 

Granted

 

567,838

 

26-May-1988

 

1321202

 

10-Aug-1993

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR THE SELECTIVE REDUCTION OF 2-QUINOXALINE-4-OXIDES

Canada

 

Granted

 

587,018

 

6-Jan-1989

 

1340481

 

6-Apr-1999

 

Uniroyal Chemical Company, Inc.

 

HETEROCYCLIC QUINOXALINYLO
XYPHENYLOXYPR
OPANOATE HERBICIDES

Canada

 

Granted

 

2092534

 

30-Sep-1991

 

2092534

 

7-Jan-2003

 

Uniroyal Chemical Company, Inc.

 

BENZOQUINONEIMINES AS VINYL AROMATIC POLYMERIZATION INHIBITORS

Canada

 

Granted

 

2070551

 

5-Jun-1992

 

2070551

 

1-Apr-2003

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITORS FOR ACRYLIC ACIDS AND ESTERS

Canada

 

Granted

 

2250276

 

3-Mar-1997

 

2250276

 

5-Oct-2004

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITOR COMPOSITION

Canada

 

Granted

 

2150386

 

17-Nov-1993

 

2150386

 

16-Mar-2004

 

Uniroyal Chemical Company, Inc.

 

POLYURETHANES CURED WITH 4.4’-METHYLENE-BIS- (3-CHLORO-2,6 DIETHYLANILINE)

Canada

 

Granted

 

2156526

 

2-Feb-1994

 

2156526

 

12-Oct-2004

 

Uniroyal Chemical Company, Inc.

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THEREFROM

Canada

 

Granted

 

2257214

 

9-May-1997

 

2257214

 

21-Nov-2006

 

Uniroyal Chemical Company, Inc.

 

REMOVAL OF UNREACTED DIISOCYANATE

 

 

273



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

MONOMER FROM POLYURETHANE POLYMERS

Canada

 

Granted

 

550626

 

30-Oct-1987

 

1331621

 

23-Aug-1994

 

Uniroyal Chemical Company, Inc.

 

SUBSTITUTED 2-PHENYLIMINO-OXAZOLIDINE COMPOUNDS HAVING HERBICIDAL ACTIVITY

Canada

 

Granted

 

2283585

 

2-Mar-1998

 

2283585

 

20-Jan-2009

 

Uniroyal Chemical Company, Inc.

 

SUBSTITUTED TETRAHYDROPYRIMIDINE DERIVATIVES AND THEIR USE AS POLYMERIZATION INHIBITORS FOR VINYL AROMATIC COMPOUNDS

Canada

 

Granted

 

2278430

 

23-Jan-1998

 

2278430

 

1-Apr-2008

 

Uniroyal Chemical Company, Inc.

 

Lubricants Containing Ashless Antiwear-Dispersant Additive Having Viscosity Index Improver Credit

Canada

 

Granted

 

2331396

 

29-Apr-1999

 

2331396

 

23-Jun-2009

 

Uniroyal Chemical Company, Inc.

 

METHOD FOR STABILIZING UNSATURATED ORGANIC COMPOUNDS FROM POLYMERIZATION

Canada

 

Granted

 

2374663

 

24-May-2000

 

2374663

 

10-Nov-2009

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

Canada

 

Granted

 

2379934

 

2-Aug-2000

 

2379934

 

16-Jun-2009

 

Uniroyal

 

INHIBITION OF

 

274



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Company, Inc.

 

POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMER

Canada

 

Granted

 

2370051

 

10-Apr-2000

 

2370051

 

23-Jun-2009

 

Uniroyal Chemical Company, Inc.

 

IMPROVEMENT IN PROCESSING OF COUPLED, FILLED POLYOLEFINS IMPROVEMENT IN PROCESSING OF COUPLED, FILLED POLYOLEFINS

Canada

 

Granted

 

2350216

 

8-Oct-1999

 

2350216

 

2-Sep-2008

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABILIZED BY BLENDS OF STERICALLY HINDERED PHENOLS, SECONDARY AMINES, AND THIOETHERS

Canada

 

Granted

 

2349196

 

1-Nov-1999

 

2349196

 

20-Jan-2009

 

Uniroyal Chemical Company, Inc.

 

BLENDING OF POLYMERIC MATERIALS AND FILLERS

Canada

 

Pending

 

2416894

 

8-Aug-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Process for Producing Liquid Polyalphaolefin Polymer, Metallocene Catalyst Therefor, the Resulting Polymer and Lubricant

Canada

 

Pending

 

2392526

 

13-Nov-2000

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER

 

275



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

GROWTH

Chile

 

Granted

 

510/97

 

19-Mar-1997

 

40.336

 

14-Feb-2000

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

China P.R.

 

Granted

 

01808866.X

 

3-Apr-2001

 

ZL01808866.X

 

27-Aug-2008

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

China P.R.

 

Granted

 

200610006028.1

 

24-Jan-2006

 

ZL200610006028.1

 

10-Dec-2008

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

China P.R.

 

Granted

 

01817439.6

 

11-Oct-2001

 

ZL01817439.6

 

16-Jul-2008

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

China P.R.

 

Granted

 

02827346.X

 

6-Nov-2002

 

ZL02827346.X

 

23-Aug-2006

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION, THE RESULTING POLYMERS, AND LUBRICANTS CONTAINING SAME

China P.R.

 

Granted

 

02825795.2

 

26-Sep-2002

 

ZL02825795.2

 

30-Aug-2006

 

Uniroyal Chemical Company, Inc.

 

ALKYL-SUCCINHYRAZIDE ADDITIVES FOR LUBRICANTS

China P.R.

 

Granted

 

02823685.8

 

30-Sep-2002

 

ZL02823685.8

 

24-May-2006

 

Uniroyal Chemical Company, Inc.

 

1,3,4-OXADIAZOLE ADDITIVES FOR LUBRICANTS

China P.R.

 

Granted

 

02825793.6

 

15-Oct-2002

 

ZL02825793.6

 

23-Aug-2006

 

Uniroyal

 

TRI-

 

276



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Company, Inc.

 

GLYCERINATE VEGETABLE OIL-SUCCINHYDRAZIDE ADDITIVES FOR LUBRICANTS

China P.R.

 

Granted

 

02827089.4

 

13-Nov-2002

 

ZL02827089.4

 

5-Nov-2008

 

Uniroyal Chemical Company, Inc.

 

METHOD OF PREPARING HYDROXYALKYL HINDERED PHENOLIC ANTIOXIDANTS

China P.R.

 

Pending

 

200480035090.2

 

13-Oct-2004

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITIONS AND METHODS FOR DECREASING THE TANGENT DELTA VALUE AND ABRASION INDEX

China P.R.

 

Granted

 

99813302.7

 

27-Sep-1999

 

99813302.7

 

11-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

CYCLIC THIOUREA ADDITIVES FOR LUBRICANTS

China P.R.

 

Granted

 

00808988.4

 

24-May-2000

 

00808988.4

 

1-Dec-2004

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

China P.R.

 

Granted

 

00815989.0

 

6-Nov-2000

 

00815989.0

 

30-May-2007

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITION AND METHOD OF MAKING SAME

China P.R.

 

Granted

 

00818625.1

 

5-Dec-2000

 

ZL00818625.1

 

7-Jun-2006

 

Uniroyal Chemical Company, Inc.

 

ANTIOXIDANT AMINES BASED ON N-(4-ANILINOPHENYL) AMIDES

Colombia

 

Pending

 

296672

 

21-Dec-1988

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

HETEROCYCLIC QUINOXALINYLO
XYPHENYLOXYPR
OPANOATE

 

277



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

HERBICIDES

Czech Republic

 

Pending

 

PV2002-3474

 

2-Apr-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Liquid Antiozonants and Rubber Compositions Containing Same

Czech Republic

 

Pending

 

PV2003-1015

 

11-Oct-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Czech Republic

 

Granted

 

PV2001-4447

 

24-May-2000

 

301125

 

5-Oct-2009

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

Denmark

 

Granted

 

99920222.9

 

30-Apr-1999

 

1087658

 

21-Jan-2004

 

Uniroyal Chemical Company, Inc.

 

BIOLOGICALLY-ACTIVE MICRODISPERSION COMPOSITION

Finland

 

Granted

 

952744

 

17-Nov-1993

 

113373

 

15-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

POLYURETHANES CURED WITH 4.4’-METHYLENE-BIS- (3-CHLORO-2,6 DIETHYLANILINE)

Finland

 

Granted

 

20011153

 

1-Jun-2001

 

111736

 

15-Sep-2003

 

Uniroyal Chemical Company, Inc.

 

POLYURETHANES CURED WITH 4.4’METHYLENE-BIS-(3-CHLORO—2,6 DIETHYLANILINE)

Finland

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Uniroyal Chemical Company, Inc.

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Finland

 

Granted

 

99920222.9

 

30-Apr-1999

 

1087658

 

21-Jan-2004

 

Uniroyal Chemical Company, Inc.

 

BIOLOGICALLY-ACTIVE MICRODISPERSION COMPOSITION

 

278



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

France

 

Granted

 

01987785.1

 

11-Oct-2001

 

1326943

 

25-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

France

 

Granted

 

02721349.5

 

11-Mar-2002

 

1427774

 

19-Jul-2006

 

Uniroyal Chemical Company, Inc.

 

BLENDING OF RUBBER COMPOUNDS, FILLERS AND PLASTICIZERS

France

 

Granted

 

02786411.5

 

15-Oct-2002

 

1461403

 

25-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

TRI-GLYCERINATE VEGETABLE OIL-SUCCINGHYDRAZIDE ADDITIVES FOR LUBRICANTS

France

 

Granted

 

91919065.2

 

30-Sep-1991

 

0553210

 

19-Jul-1995

 

Uniroyal Chemical Company, Inc.

 

BENZOQUINONEIMINES AS VINYL AROMATIC POLYMERIZATION INHIBITORS

France

 

Granted

 

92305201.3

 

5-Jun-1992

 

0522709

 

21-Aug-1996

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITORS FOR ACRYLIC ACIDS AND ESTERS

France

 

Granted

 

93909517.0

 

13-Apr-1993

 

0637294

 

29-Jul-1998

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITOR FOR VINYL AROMATICS

France

 

Granted

 

94913370.6

 

5-Apr-1994

 

0694057

 

1-Mar-2000

 

Uniroyal Chemical Company, Inc.

 

LUBRICANT COMPOSITION CONTAINING ANTIOXIDANT

France

 

Granted

 

98902582.0

 

19-Jan-1998

 

0956329

 

15-Nov-2006

 

Uniroyal Chemical Company, Inc.

 

DITHIOCARBAMATE DERIVATIVES AND LUBRICANTS CONTAINING SAME

 

279



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

France

 

Granted

 

99920222.9

 

30-Apr-1999

 

1087658

 

21-Jan-2004

 

Uniroyal Chemical Company, Inc.

 

BIOLOGICALLY-ACTIVE MICRODISPERSION COMPOSITION

France

 

Granted

 

98943518.5

 

1-Sep-1998

 

1017280

 

18-Aug-2004

 

Uniroyal Chemical Company, Inc.

 

SEED TREATMENT FUNGICIDES FOR CONTROL OF PLANT DISEASES

France

 

Granted

 

99971639.2

 

27-Sep-1999

 

1124920

 

9-Jun-2004

 

Uniroyal Chemical Company, Inc.

 

CYCLIC THIOUREA ADDITIVES FOR LUBRICANTS

France

 

Granted

 

00952395.2

 

2-Aug-2000

 

1206507

 

20-Oct-2004

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMERS

France

 

Granted

 

00922009.6

 

10-Apr-2000

 

1173514

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

IMPROVEMENT IN PROCESSING OF COUPLED, FILLED POLYOLEFINS

France

 

Granted

 

99951883.0

 

8-Oct-1999

 

1129133

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABIFLIZED BY BLENDS OF STERICALLY HINDERED PHENOLS, SECONDARY AMINES, AND THIOETHERS

France

 

Granted

 

00936362.3

 

26-May-2000

 

1190247

 

17-Mar-2004

 

Uniroyal Chemical Company, Inc.

 

TEST METHOD FOR EVALUATING SOLUBLE POLYMER GROWTH WHEN RECYCLING INHIBITOR STREAMS

 

280



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Germany

 

Granted

 

01924585.1

 

3-Apr-2001

 

60113524.5

 

21-Sep-2005

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

Germany

 

Granted

 

01923049.9

 

2-Apr-2001

 

60120677.0

 

14-Jun-2006

 

Uniroyal Chemical Company, Inc.

 

Liquid Antiozonants and Rubber Compositions Containing Same

Germany

 

Granted

 

01987785.1

 

11-Oct-2001

 

60116894.1

 

25-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Germany

 

Granted

 

02721349.5

 

11-Mar-2002

 

60213261.4

 

19-Jul-2006

 

Uniroyal Chemical Company, Inc.

 

BLENDING OF RUBBER COMPOUNDS, FILLERS AND PLASTICIZERS

Germany

 

Granted

 

02786411.5

 

15-Oct-2002

 

60208924.7

 

25-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

TRI-GLYCERINATE VEGETABLE OIL-SUCCINGHYDRAZIDE ADDITIVES FOR LUBRICANTS

Germany

 

Granted

 

91919065.2

 

30-Sep-1991

 

69111462.5

 

19-Jul-1995

 

Uniroyal Chemical Company, Inc.

 

BENZOQUINONEIMINES AS VINYL AROMATIC POLYMERIZATION INHIBITORS

Germany

 

Granted

 

92305201.3

 

5-Jun-1992

 

P69212925.1

 

21-Aug-1996

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITORS FOR ACRYLIC ACIDS AND ESTERS

Germany

 

Granted

 

93909517.0

 

13-Apr-1993

 

69320039.1

 

29-Jul-1998

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITOR FOR VINYL AROMATICS

Germany

 

Granted

 

94909541.8

 

2-Feb-1994

 

69426262.5

 

8-Nov-2000

 

Uniroyal

 

STABILIZED

 

281



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Company, Inc.

 

POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THEREFROM

Germany

 

Granted

 

94913370.6

 

5-Apr-1994

 

69423211.4

 

1-Mar-2000

 

Uniroyal Chemical Company, Inc.

 

LUBRICANT COMPOSITION CONTAINING ANTIOXIDANT

Germany

 

Granted

 

98902582.0

 

19-Jan-1998

 

69836414.7

 

15-Nov-2006

 

Uniroyal Chemical Company, Inc.

 

DITHIOCARBAMATE DERIVATIVES AND LUBRICANTS CONTAINING SAME

Germany

 

Granted

 

99920222.9

 

30-Apr-1999

 

69914327.6

 

21-Jan-2004

 

Uniroyal Chemical Company, Inc.

 

BIOLOGICALLY-ACTIVE MICRODISPERSION COMPOSITION

Germany

 

Granted

 

98943518.5

 

1-Sep-1998

 

69825766.9

 

18-Aug-2004

 

Uniroyal Chemical Company, Inc.

 

SEED TREATMENT FUNGICIDES FOR CONTROL OF PLANT DISEASES

Germany

 

Granted

 

99971639.2

 

27-Sep-1999

 

69917921.1

 

9-Jun-2004

 

Uniroyal Chemical Company, Inc.

 

CYCLIC THIOUREA ADDITIVES FOR LUBRICANTS

Germany

 

Granted

 

00937724.3

 

24-May-2000

 

60010258.0

 

28-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

Germany

 

Granted

 

00922009.6

 

10-Apr-2000

 

60009690.4

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

IMPROVEMENT IN PROCESSING OF COUPLED, FILLED POLYOLEFINS

Germany

 

Granted

 

99951883.0

 

8-Oct-1999

 

69916313.7

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABIFLIZED BY BLENDS OF STERICALLY HINDERED

 

282



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PHENOLS, SECONDARY AMINES, AND THIOETHERS

Germany

 

Granted

 

00948735.6

 

18-Jul-2000

 

60025614.6

 

18-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR MAKING N-ALKYL BIS (THIAZOLYL) SULFENIMIDES

Germany

 

Granted

 

00936362.3

 

26-May-2000

 

60009066.3

 

17-Mar-2004

 

Uniroyal Chemical Company, Inc.

 

TEST METHOD FOR EVALUATING SOLUBLE POLYMER GROWTH WHEN RECYCLING INHIBITOR STREAMS

Germany

 

Granted

 

00943172.7

 

26-Jun-2000

 

60013453.9

 

1-Sep-2004

 

Uniroyal Chemical Company, Inc.

 

IMIDAZOLE THIONE ADDITIVES FOR LUBRICANTS

Germany

 

Granted

 

00983908.5

 

5-Dec-2000

 

60015606.0

 

3-Nov-2004

 

Uniroyal Chemical Company, Inc.

 

ANTIOXIDANT AMINES BASED ON N-(4-ANILINOPHENYL) AMIDES

Great Britain

 

Granted

 

01923049.9

 

2-Apr-2001

 

1276804

 

14-Jun-2006

 

Uniroyal Chemical Company, Inc.

 

Liquid Antiozonants and Rubber Compositions Containing Same

Great Britain

 

Granted

 

01987785.1

 

11-Oct-2001

 

1326943

 

25-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Great Britain

 

Granted

 

02786411.5

 

15-Oct-2002

 

1461403

 

25-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

TRI-GLYCERINATE VEGETABLE OIL-SUCCINGHYDRAZIDE ADDITIVES

 

283



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FOR LUBRICANTS

Great Britain

 

Granted

 

98902582.0

 

19-Jan-1998

 

0956329

 

15-Nov-2006

 

Uniroyal Chemical Company, Inc.

 

DITHIOCARBAMATE DERIVATIVES AND LUBRICANTS CONTAINING SAME

Great Britain

 

Granted

 

99920222.9

 

30-Apr-1999

 

1087658

 

21-Jan-2004

 

Uniroyal Chemical Company, Inc.

 

BIOLOGICALLY-ACTIVE MICRODISPERSION COMPOSITION

Great Britain

 

Granted

 

98943518.5

 

1-Sep-1998

 

1017280

 

18-Aug-2004

 

Uniroyal Chemical Company, Inc.

 

SEED TREATMENT FUNGICIDES FOR CONTROL OF PLANT DISEASES

Great Britain

 

Granted

 

99971639.2

 

27-Sep-1999

 

1124920

 

9-Jun-2004

 

Uniroyal Chemical Company, Inc.

 

CYCLIC THIOUREA ADDITIVES FOR LUBRICANTS

Great Britain

 

Granted

 

00922009.6

 

10-Apr-2000

 

1173514

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

IMPROVEMENT IN PROCESSING OF COUPLED, FILLED POLYOLEFINS

Great Britain

 

Granted

 

99951883.0

 

8-Oct-1999

 

1129133

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABIFLIZED BY BLENDS OF STERICALLY HINDERED PHENOLS, SECONDARY AMINES, AND THIOETHERS

Great Britain

 

Granted

 

00936362.3

 

26-May-2000

 

1190247

 

17-Mar-2004

 

Uniroyal Chemical Company, Inc.

 

TEST METHOD FOR EVALUATING SOLUBLE POLYMER GROWTH WHEN RECYCLING INHIBITOR STREAMS

 

284



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Great Britain

 

Granted

 

00943172.7

 

26-Jun-2000

 

1204728

 

1-Sep-2004

 

Uniroyal Chemical Company, Inc.

 

IMIDAZOLE THIONE ADDITIVES FOR LUBRICANTS

Great Britain

 

Granted

 

00983908.5

 

5-Dec-2000

 

1252209

 

3-Nov-2004

 

Uniroyal Chemical Company, Inc.

 

ANTIOXIDANT AMINES BASED ON N-(4-ANILINOPHENYL) AMIDES

India

 

Pending

 

00315/MUMNP/2006

 

17-Mar-2006

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Liquid Antiozonants and Rubber Compositions Containing Same

India

 

Granted

 

PCT/2002/01377/MUM

 

2-Apr-2001

 

201249

 

14-Jul-2006

 

Uniroyal Chemical Company, Inc.

 

Liquid Antiozonants and Rubber Compositions Containing Same

India

 

Pending

 

01604/DEL2003

 

8-Mar-2002

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

HIGH FRICTION POLYURETHANE ELASTOMERS HAVING IMPROVED ABRASION RESISTANCE

India

 

Pending

 

2126/DELNP/2006

 

13-Oct-2004

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITIONS AND METHODS FOR DECREASING THE TANGENT DELTA VALUE AND ABRASION INDEX

India

 

Granted

 

1101/DEL/97

 

29-Apr-1997

 

232796

 

21-Mar-2009

 

Uniroyal Chemical Company, Inc.

 

POLYURETHANE COMPOSITION USEFUL FOR COATING CYLINDRICAL PARTS

India

 

Pending

 

1968/DEL/2005

 

26-Jul-2005

 

 

 

 

 

Uniroyal Chemical

 

Polyurethane Composition Useful

 

285



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

For Coating Cylinarical Parts

India

 

Pending

 

1618DELNP2005

 

15-Feb-2000

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

OIL SOLUBLE MOLYBDENUM MULTI-FUNCTIONAL FRICTION MODIFIER ADDITIVES FOR LUBRICANT COMPOSITIONS

India

 

Granted

 

INPCT/2001/00817/DEL

 

15-Feb-2000

 

217883

 

29-Mar-2008

 

Uniroyal Chemical Company, Inc.

 

OIL SOLUBLE MOLYBDENUM MULTI-FUNCTIONAL FRICTION MODIFIER ADDITIVES FOR LUBRICANT COMPOSITIONS

India

 

Granted

 

2002,00108

 

18-Jul-2000

 

230891

 

28-Feb-2009

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR MAKING N-ALKYL BIS (THIAZOLYL) SULFENIMIDES

India

 

Granted

 

114/MUMNP2003

 

8-Aug-2001

 

204036

 

28-Sep-2006

 

Uniroyal Chemical Company, Inc.

 

Process for Producing Liquid Polyalphaolefin Polymer, Metallocene Catalyst Therefor, the Resulting Polymer and Lubricant

India

 

Granted

 

4489/DELNP/2005

 

4-Oct-2005

 

236439

 

29-Oct-2009

 

Uniroyal Chemical Company, Inc.

 

IMIDAZONE THIONE ADDITIVES FOR LUBRICANTS

India

 

Granted

 

INPCT200100752MUM

 

15-Sep-2000

 

213608

 

9-Jan-2008

 

Uniroyal Chemical Company, Inc.

 

SIDE BEARING PAD

India

 

Granted

 

2002/00647

 

6-Nov-2000

 

205613

 

5-Apr-2007

 

Uniroyal

 

RUBBER

 

286



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Company, Inc.

 

COMPOSITION AND METHOD OF MAKING SAME

Indonesia

 

Pending

 

W-00200202496

 

3-Apr-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

Indonesia

 

Granted

 

W-00200300747

 

11-Oct-2001

 

ID0022110

 

10-Oct-2008

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Indonesia

 

Granted

 

W-00200302152

 

8-Mar-2002

 

ID0016801

 

29-Dec-2005

 

Uniroyal Chemical Company, Inc.

 

HIGH FRICTION POLYURETHANE ELASTOMERS HAVING IMPROVED ABRASION RESISTANCE

Indonesia

 

Granted

 

W00200200376

 

2-Aug-2000

 

ID0014744

 

29-Nov-2004

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMER

Indonesia

 

Pending

 

W-00200201235

 

13-Nov-2000

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER GROWTH

Indonesia

 

Granted

 

W-00200201248

 

6-Nov-2000

 

ID0017903

 

7-Aug-2006

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITION AND METHOD OF MAKING SAME

Ireland

 

Granted

 

01987785.1

 

11-Oct-2001

 

1326943

 

25-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS

 

287



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

POLYMERIZATION INHIBITORS

Ireland

 

Granted

 

99920222.9

 

30-Apr-1999

 

1087658

 

21-Jan-2004

 

Uniroyal Chemical Company, Inc.

 

BIOLOGICALLY-ACTIVE MICRODISPERSION COMPOSITION

Israel

 

Granted

 

126294

 

13-Mar-1997

 

126294

 

31-Dec-2000

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

Italy

 

Granted

 

01923049.9

 

2-Apr-2001

 

1276804

 

14-Jun-2006

 

Uniroyal Chemical Company, Inc.

 

Liquid Antiozonants and Rubber Compositions Containing Same

Italy

 

Granted

 

01987785.1

 

11-Oct-2001

 

1326943

 

25-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Italy

 

Granted

 

02721349.5

 

11-Mar-2002

 

1427774

 

19-Jul-2006

 

Uniroyal Chemical Company, Inc.

 

BLENDING OF RUBBER COMPOUNDS, FILLERS AND PLASTICIZERS

Italy

 

Granted

 

91919065.2

 

30-Sep-1991

 

0553210

 

19-Jul-1995

 

Uniroyal Chemical Company, Inc.

 

BENZOQUINONEIMINES AS VINYL AROMATIC POLYMERIZATION INHIBITORS

Italy

 

Granted

 

94909541.8

 

2-Feb-1994

 

0686172

 

8-Nov-2000

 

Uniroyal Chemical Company, Inc.

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THEREFROM

Italy

 

Granted

 

94913370.6

 

5-Apr-1994

 

0694057

 

1-Mar-2000

 

Uniroyal Chemical Company, Inc.

 

LUBRICANT COMPOSITION CONTAINING ANTIOXIDANT

 

288



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Italy

 

Granted

 

99920222.9

 

30-Apr-1999

 

1087658

 

21-Jan-2004

 

Uniroyal Chemical Company, Inc.

 

BIOLOGICALLY-ACTIVE MICRODISPERSION COMPOSITION

Italy

 

Granted

 

98943518.5

 

1-Sep-1998

 

1017280

 

18-Aug-2004

 

Uniroyal Chemical Company, Inc.

 

SEED TREATMENT FUNGICIDES FOR CONTROL OF PLANT DISEASES

Italy

 

Granted

 

00937724.3

 

24-May-2000

 

1185501

 

28-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

Italy

 

Granted

 

00922009.6

 

10-Apr-2000

 

1173514

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

IMPROVEMENT IN PROCESSING OF COUPLED, FILLED POLYOLEFINS

Italy

 

Granted

 

99951883.0

 

8-Oct-1999

 

1129133

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABIFLIZED BY BLENDS OF STERICALLY HINDERED PHENOLS, SECONDARY AMINES, AND THIOETHERS

Italy

 

Granted

 

00936362.3

 

26-May-2000

 

1190247

 

17-Mar-2004

 

Uniroyal Chemical Company, Inc.

 

TEST METHOD FOR EVALUATING SOLUBLE POLYMER GROWTH WHEN RECYCLING INHIBITOR STREAMS

Japan

 

Granted

 

2001-580192

 

3-Apr-2001

 

3898053

 

5-Jan-2007

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

Japan

 

Granted

 

2001-578539

 

2-Apr-2001

 

3987726

 

20-Jul-2007

 

Uniroyal Chemical

 

Liquid Antiozonants and Rubber

 

289



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

Compositions Containing Same

Japan

 

Granted

 

2002-516233

 

19-Jul-2001

 

3919659

 

23-Feb-2007

 

Uniroyal Chemical Company, Inc.

 

Recycle of Nitroxyl-Containing Streams at Low Temperature

Japan

 

Pending

 

2002-536396

 

11-Oct-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Japan

 

Granted

 

2002-536397

 

2-Oct-2001

 

4248875

 

23-Jan-2009

 

Uniroyal Chemical Company, Inc.

 

BLENDS OF QUINONE ALKIDE AND NITROXYL COMPOUNDS AS POLYMERIZATION INHIBITORS

Japan

 

Pending

 

2003-552820

 

6-Nov-2002

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION, THE RESULTING POLYMERS, AND LUBRICANTS CONTAINING SAME

Japan

 

Granted

 

2004-539751

 

26-Sep-2002

 

4027934

 

19-Oct-2007

 

Uniroyal Chemical Company, Inc.

 

ALKYL-SUCCINHYRAZIDE ADDITIVES FOR LUBRICANTS

Japan

 

Granted

 

2003-549460

 

30-Sep-2002

 

4111918

 

18-Apr-2008

 

Uniroyal Chemical Company, Inc.

 

1,3,4-OXADIAZOLE ADDITIVES FOR LUBRICANTS

Japan

 

Pending

 

2003-549459

 

15-Oct-2002

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

TRI-GLYCERINATE VEGETABLE OIL-SUCCINHYDRAZIDE ADDITIVES

 

290



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FOR LUBRICANTS

Japan

 

Granted

 

2003-552704

 

13-Nov-2002

 

4141958

 

20-Jun-2008

 

Uniroyal Chemical Company, Inc.

 

METHOD OF PREPARING HYDROXYALKYL HINDERED PHENOLIC ANTIOXIDANTS

Japan

 

Pending

 

2006-536696

 

13-Oct-2004

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITIONS AND METHODS FOR DECREASING THE TANGENT DELTA VALUE AND ABRASION INDEX

Japan

 

Granted

 

184087/92

 

10-Jul-1992

 

2032114

 

19-Mar-1996

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITORS FOR ACRYLIC ACIDS AND ESTERS

Japan

 

Granted

 

532646/97

 

3-Mar-1997

 

3157841

 

9-Feb-2001

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITOR COMPOSITION

Japan

 

Granted

 

514108/93

 

26-Jan-1993

 

2568804

 

3-Oct-1996

 

Uniroyal Chemical Company, Inc.

 

COMPOSITION AND METHOD FOR PROTECTING PLANTS FROM PHYTOPATHOGENIC FUNGI

Japan

 

Granted

 

519289/93

 

13-Apr-1993

 

2804372

 

17-Jul-1998

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITOR FOR VINYL AROMATICS

Japan

 

Granted

 

500583/98

 

9-May-1997

 

3183519

 

27-Apr-2001

 

Uniroyal Chemical Company, Inc.

 

REMOVAL OF UNREACTED DIISOCYANATE MONOMER FROM POLYURETHANE POLYMERS

Japan

 

Granted

 

536204/97

 

13-Mar-1997

 

3200441

 

15-Jun-2001

 

Uniroyal

 

PREPARATION OF

 

291



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Company, Inc.

 

SUBSTITUTED AROMATIC AMINES

Japan

 

Granted

 

539609/98

 

2-Mar-1998

 

3282830

 

1-Mar-2002

 

Uniroyal Chemical Company, Inc.

 

SUBSTITUTED TETRAHYDROPYRIMIDINE DERIVATIVES AND THEIR USE AS POLYMERIZATION INHIBITORS FOR VINYL AROMATIC COMPOUNDS

Japan

 

Granted

 

2000-513840

 

1-Sep-1998

 

3803028

 

12-May-2006

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR THE PREPARATION OF IMIDAZOLINE NITROXYL

Japan

 

Granted

 

533240/98

 

23-Jan-1998

 

3324764

 

5-Jul-2002

 

Uniroyal Chemical Company, Inc.

 

PHENOLIC BORATES FOR USE AS A LUBRICANT ADDITIVE

Japan

 

Granted

 

533239/98

 

23-Jan-1998

 

3332935

 

26-Jul-2002

 

Uniroyal Chemical Company, Inc.

 

Lubricants Containing Ashless Antiwear-Dispersant Additive Having Viscosity Index Improver Credit

Japan

 

Granted

 

2000-603330

 

27-Sep-1999

 

3602057

 

1-Oct-2004

 

Uniroyal Chemical Company, Inc.

 

CYCLIC THIOUREA ADDITIVES FOR LUBRICANTS

Japan

 

Granted

 

2001-517637

 

2-Aug-2000

 

4083429

 

22-Feb-2008

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMER

Japan

 

Granted

 

2000-612370

 

10-Apr-2000

 

4057245

 

21-Dec-2007

 

Uniroyal

 

IMPROVEMENT IN

 

292



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Company, Inc.

 

PROCESSING OF COUPLED, FILLED POLYOLEFINS IMPROVEMENT IN PROCESSING OF COUPLED, FILLED POLYOLEFINS

Japan

 

Granted

 

2000-581086

 

8-Oct-1999

 

4148645

 

4-Jul-2008

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABILIZED BY BLENDS OF STERICALLY HINDERED PHENOLS, SECONDARY AMINES, AND THIOETHERS

Japan

 

Granted

 

2000-605702

 

15-Feb-2000

 

3544946

 

16-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

OIL SOLUBLE MOLYBDENUM MULTI-FUNCTIONAL FRICTION MODIFIER ADDITIVES FOR LUBRICANT COMPOSITIONS

Japan

 

Pending

 

2006-131521

 

10-May-2006

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Process for Producing Liquid Polyalphaolefin Polymer, Metallocene Catalyst Therefor, the Resulting Polymer and Lubricant

Japan

 

Granted

 

2002-519521

 

8-Aug-2001

 

4074191

 

1-Feb-2008

 

Uniroyal Chemical Company, Inc.

 

Process for Producing Liquid Polyalphaolefin Polymer, Metallocene Catalyst Therefor, the

 

293



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Resulting Polymer and Lubricant

Japan

 

Granted

 

2001-541145

 

13-Nov-2000

 

4070461

 

25-Jan-2008

 

Uniroyal Chemical Company, Inc.

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER GROWTH

Japan

 

Granted

 

2001-512815

 

26-Jun-2000

 

3523235

 

20-Feb-2004

 

Uniroyal Chemical Company, Inc.

 

IMIDAZOLE THIONE ADDITIVES FOR LUBRICANTS

Japan

 

Pending

 

2001-539011

 

6-Nov-2000

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITION AND METHOD OF MAKING SAME

Japan

 

Granted

 

2001-550301

 

5-Dec-2000

 

4094850

 

14-Mar-2008

 

Uniroyal Chemical Company, Inc.

 

ANTIOXIDANT AMINES BASED ON N-(4-ANILINOPHENYL) AMIDES

Malaysia

 

Granted

 

PI20012045

 

2-May-2001

 

MY-130469-A

 

29-Jun-2007

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

Malaysia

 

Pending

 

PI20013612

 

31-Jul-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Recycle of Nitroxyl-Containing Streams at Low Temperature

Malaysia

 

Pending

 

PI9500244

 

3-Feb-1995

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOUNDING FORMULATION AND METHOD

Malaysia

 

Granted

 

PI20003714

 

14-Aug-2000

 

MY-128862-A

 

28-Feb-2007

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMERS

Malaysia

 

Pending

 

PI20005674

 

1-Dec-2000

 

 

 

 

 

Uniroyal Chemical

 

COMPOSITION AND METHOD

 

294



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

FOR INHIBITING POLYMERIZATION AND POLYMER GROWTH

Mexico

 

Granted

 

2002/010812

 

3-Apr-2001

 

232778

 

9-Dec-2005

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

Mexico

 

Granted

 

2002/009583

 

30-Jan-2001

 

245541

 

30-Apr-2007

 

Uniroyal Chemical Company, Inc.

 

Rotational Casting Method for Coating a Flexible Substrate and Resulting Coated Flexible Article

Mexico

 

Granted

 

2003/000990

 

19-Jul-2001

 

246121

 

31-May-2007

 

Uniroyal Chemical Company, Inc.

 

Recycle of Nitroxyl-Containing Streams at Low Temperature

Mexico

 

Granted

 

2003/003314

 

11-Oct-2001

 

231754

 

1-Nov-2005

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Mexico

 

Pending

 

PA/a/2007/000947

 

23-Jan-2007

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

BLENDS OF QUINONE ALKIDE AND NITROXYL COMPOUNDS AS POLYMERIZATION INHIBITORS

Mexico

 

Granted

 

2003/003405

 

2-Oct-2001

 

262482

 

25-Nov-2008

 

Uniroyal Chemical Company, Inc.

 

BLENDS OF QUINONE ALKIDE AND NITROXYL COMPOUNDS AS POLYMERIZATION INHIBITORS

Mexico

 

Granted

 

2004/002406

 

11-Mar-2002

 

254967

 

26-Feb-2008

 

Uniroyal Chemical Company, Inc.

 

BLENDING OF RUBBER COMPOUNDS, FILLERS AND PLASTICIZERS

Mexico

 

Granted

 

9101321

 

27-Sep-1991

 

178836

 

21-Jul-1995

 

Uniroyal

 

STABILIZATION

 

295



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Company, Inc.

 

OF POLYPOLS WITH LIQUID ANTISCORCH COMPOSITION

Mexico

 

Granted

 

9101669

 

18-Oct-1991

 

181695

 

22-May-1996

 

Uniroyal Chemical Company, Inc.

 

BENZOQUINONEIMINES AS VINYL AROMATIC POLYMERIZATION INHIBITORS

Mexico

 

Granted

 

9205120

 

8-Sep-1992

 

181142

 

22-Mar-1996

 

Uniroyal Chemical Company, Inc.

 

STABILIZATION OF POLYOXYALKYLENE POLYETHER POLYOLS

Mexico

 

Granted

 

963197

 

25-Jan-1995

 

197764

 

27-Jul-2000

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOUNDING FORMULATION AND METHOD

Mexico

 

Granted

 

003122

 

29-Sep-1998

 

212349

 

19-Dec-2002

 

Uniroyal Chemical Company, Inc.

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THREFROM

Mexico

 

Granted

 

2001/007107

 

15-Dec-1999

 

220508

 

21-May-2004

 

Uniroyal Chemical Company, Inc.

 

In Situ Preparation of Bis(Benzothiazolesulfen) Amide in a Polymeric Matrix

Mexico

 

Granted

 

2001/012910

 

24-May-2000

 

221648

 

23-Jul-2004

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

Mexico

 

Granted

 

2002/001651

 

2-Aug-2000

 

228619

 

21-Jun-2005

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMER

Mexico

 

Granted

 

2001/004445

 

1-Nov-1999

 

229671

 

4-Aug-2005

 

Uniroyal Chemical

 

BLENDING OF POLYMERIC

 

296



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

MATERIALS AND FILLERS

Mexico

 

Granted

 

2002/001101

 

18-Jul-2000

 

226214

 

10-Feb-2005

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR MAKING N-ALKYL BIS (THIAZOLYL) SULFENIMIDES

Mexico

 

Granted

 

2003/001289

 

8-Aug-2001

 

235239

 

27-Mar-2006

 

Uniroyal Chemical Company, Inc.

 

Process for Producing Liquid Polyalphaolefin Polymer, Metallocene Catalyst Therefor, the Resulting Polymer and Lubricant

Mexico

 

Granted

 

2002/005502

 

13-Nov-2000

 

261401

 

15-Oct-2008

 

Uniroyal Chemical Company, Inc.

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER GROWTH

Mexico

 

Granted

 

2002/007029

 

5-Dec-2000

 

226175

 

8-Feb-2005

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Mexico

 

Granted

 

2002/006543

 

5-Dec-2000

 

237319

 

30-May-2006

 

Uniroyal Chemical Company, Inc.

 

ANTIOXIDANT AMINES BASED ON N-(4-ANILINOPHENYL) AMIDES

Netherlands

 

Granted

 

01924585.1

 

3-Apr-2001

 

1278712

 

21-Sep-2005

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

Netherlands

 

Granted

 

01987785.1

 

11-Oct-2001

 

1326943

 

25-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

 

297



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Netherlands

 

Granted

 

91919065.2

 

30-Sep-1991

 

0553210

 

19-Jul-1995

 

Uniroyal Chemical Company, Inc.

 

BENZOQUINONEIMINES AS VINYL AROMATIC POLYMERIZATION INHIBITORS

Netherlands

 

Granted

 

93909517.0

 

13-Apr-1993

 

0637294

 

29-Jul-1998

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITOR FOR VINYL AROMATICS

Netherlands

 

Granted

 

94909541.8

 

2-Feb-1994

 

0686172

 

8-Nov-2000

 

Uniroyal Chemical Company, Inc.

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THEREFROM

Netherlands

 

Granted

 

99920222.9

 

30-Apr-1999

 

1087658

 

21-Jan-2004

 

Uniroyal Chemical Company, Inc.

 

BIOLOGICALLY-ACTIVE MICRODISPERSION COMPOSITION

Netherlands

 

Granted

 

98943518.5

 

1-Sep-1998

 

1017280

 

18-Aug-2004

 

Uniroyal Chemical Company, Inc.

 

SEED TREATMENT FUNGICIDES FOR CONTROL OF PLANT DISEASES

Netherlands

 

Granted

 

00952395.2

 

2-Aug-2000

 

1206507

 

20-Oct-2004

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMERS

Netherlands

 

Granted

 

00922009.6

 

10-Apr-2000

 

1173514

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

IMPROVEMENT IN PROCESSING OF COUPLED, FILLED POLYOLEFINS

Netherlands

 

Granted

 

99951883.0

 

8-Oct-1999

 

1129133

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABIFLIZED BY BLENDS OF STERICALLY HINDERED PHENOLS,

 

298



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SECONDARY AMINES, AND THIOETHERS

Netherlands

 

Granted

 

00936362.3

 

26-May-2000

 

1190247

 

17-Mar-2004

 

Uniroyal Chemical Company, Inc.

 

TEST METHOD FOR EVALUATING SOLUBLE POLYMER GROWTH WHEN RECYCLING INHIBITOR STREAMS

Philippines

 

Granted

 

37047

 

10-Jun-1988

 

25129

 

19-Feb-1991

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR THE SELECTIVE REDUCTION OF 2-QUINOXALINE-4-OXIDES

Poland

 

Pending

 

P-377841

 

10-Mar-2004

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

4-NITROSODIPHENYLAMINE DERIVATIVES AND THEIR USE AS COUPLING AGENTS FOR FILLED RUBBER COMPOUNDS

Poland

 

Granted

 

277055

 

5-Jan-1989

 

153976

 

10-Dec-1990

 

Uniroyal Chemical Company, Inc.

 

HETEROCYCLIC QUINOXALINYLO
XYPHENYLOXYPR
OPANOATE HERBICIDES

Republic of Korea

 

Granted

 

7014561/2002

 

3-Apr-2001

 

10-0879678

 

13-Jan-2009

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

Republic of Korea

 

Pending

 

7013865/2002

 

2-Apr-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Liquid Antiozonants and Rubber Compositions Containing Same

Republic of Korea

 

Granted

 

7005294/2003

 

11-Oct-2001

 

10-0815329

 

13-Mar-2008

 

Uniroyal Chemical

 

C-NITROSOANILINE

 

299



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Republic of Korea

 

Granted

 

7005217/2003

 

2-Oct-2001

 

10-0812038

 

3-Mar-2008

 

Uniroyal Chemical Company, Inc.

 

BLENDS OF QUINONE ALKIDE AND NITROXYL COMPOUNDS AS POLYMERIZATION INHIBITORS

Republic of Korea

 

Granted

 

7013264/2003

 

8-Mar-2002

 

10-0839303

 

11-Jun-2008

 

Uniroyal Chemical Company, Inc.

 

HIGH FRICTION POLYURETHANE ELASTOMERS HAVING IMPROVED ABRASION RESISTANCE

Republic of Korea

 

Pending

 

2006-7007579

 

13-Oct-2004

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITIONS AND METHODS FOR DECREASING THE TANGENT DELTA VALUE AND ABRASION INDEX

Republic of Korea

 

Granted

 

17741/88

 

29-Dec-1988

 

120267

 

14-Aug-1997

 

Uniroyal Chemical Company, Inc.

 

HETEROCYCLIC QUINOXALINYLO
XYPHENYLOXYPR
OPANOATE HERBICIDES

Republic of Korea

 

Granted

 

701069/93

 

30-Sep-1991

 

0215505

 

24-May-1999

 

Uniroyal Chemical Company, Inc.

 

BENZOQUINONEIMINES AS VINYL AROMATIC POLYMERIZATION INHIBITORS

Republic of Korea

 

Granted

 

703707/94

 

13-Apr-1993

 

0353264

 

5-Sep-2002

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITOR FOR VINYL AROMATICS

Republic of

 

Granted

 

704056/96

 

25-Jan-1995

 

0320064

 

24-Dec-2001

 

Uniroyal

 

RUBBER

 

300



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Korea

 

 

 

 

 

 

 

 

 

 

 

Chemical Company, Inc.

 

COMPOUNDING FORMULATION AND METHOD

Republic of Korea

 

Granted

 

7016795/2004

 

19-Oct-2004

 

0497955

 

20-Jun-2005

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

Republic of Korea

 

Pending

 

99-7007485

 

2-Mar-1998

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

SUBSTITUTED TETRAHYDROPYRIMIDINE DERIVATIVES AND THEIR USE AS POLYMERIZATION INHIBITORS FOR VINYL AROMATIC COMPOUNDS

Republic of Korea

 

Granted

 

7001664/2002

 

2-Aug-2000

 

10-0694450

 

6-Mar-2007

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMER

Republic of Korea

 

Pending

 

2001-7005785

 

8-Oct-1999

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABILIZED BY BLENDS OF STERICALLY HINDERED PHENOLS, SECONDARY AMINES, AND THIOETHERS

Republic of Korea

 

Granted

 

7011668/2001

 

15-Feb-2000

 

10-0640453

 

24-Oct-2006

 

Uniroyal Chemical Company, Inc.

 

OIL SOLUBLE MOLYBDENUM MULTI-FUNCTIONAL FRICTION MODIFIER

 

301



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ADDITIVES FOR LUBRICANT COMPOSITIONS

Republic of Korea

 

Granted

 

7007007/2002

 

13-Nov-2000

 

10-0763663

 

27-Sep-2007

 

Uniroyal Chemical Company, Inc.

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER GROWTH

Republic of Korea

 

Granted

 

2002-7005771

 

6-Nov-2000

 

705989

 

4-Apr-2007

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITION AND METHOD OF MAKING SAME

Republic of Korea

 

Granted

 

7009091/2002

 

5-Dec-2000

 

10-0727222

 

4-Jun-2007

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

Singapore

 

Granted

 

200206576-1

 

3-Apr-2001

 

92838

 

30-Nov-2004

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

Singapore

 

Granted

 

200301556-7

 

11-Oct-2001

 

95753

 

29-Jul-2005

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Singapore

 

Granted

 

200403438-5

 

6-Nov-2002

 

104813

 

30-Jun-2006

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION, THE RESULTING POLYMERS, AND LUBRICANTS CONTAINING SAME

Singapore

 

Granted

 

200403347-8

 

13-Nov-2002

 

104774

 

30-Jun-2006

 

Uniroyal Chemical

 

METHOD OF PREPARING

 

302



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

HYDROXYALKYL HINDERED PHENOLIC ANTIOXIDANTS

Singapore

 

Granted

 

9600820.6

 

2-Feb-1994

 

71646

 

24-Oct-2000

 

Uniroyal Chemical Company, Inc.

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THEREFROM

Singapore

 

Granted

 

200102723-4

 

19-Nov-1999

 

80846

 

31-Jul-2003

 

Uniroyal Chemical Company, Inc.

 

LUBRICANT COMPOSITIONS COMPRISING MULTIPLE ANTIOXIDANTS

Singapore

 

Granted

 

200105561-5

 

15-Feb-2000

 

83479

 

30-Sep-2003

 

Uniroyal Chemical Company, Inc.

 

OIL SOLUBLE MOLYBDENUM MULTI-FUNCTIONAL FRICTION MODIFIER ADDITIVES FOR LUBRICANT COMPOSITIONS

Slovak Republic

 

Pending

 

PP1503-2002

 

2-Apr-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Liquid Antiozonants and Rubber Compositions Containing Same

Slovak Republic

 

Granted

 

PV1808-2001

 

24-May-2000

 

285493

 

20-Dec-2006

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

South Africa

 

Granted

 

2003/8187

 

8-Mar-2002

 

2003/8187

 

24-Nov-2004

 

Uniroyal Chemical Company, Inc.

 

HIGH FRICTION POLYURETHANE ELASTOMERS HAVING IMPROVED ABRASION RESISTANCE

Spain

 

Granted

 

01987785.1

 

11-Oct-2001

 

1326943

 

25-Jan-2006

 

Uniroyal

 

 

 

303



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Spain

 

Granted

 

02721349.5

 

11-Mar-2002

 

1427774

 

19-Jul-2006

 

Uniroyal Chemical Company, Inc.

 

BLENDING OF RUBBER COMPOUNDS, FILLERS AND PLASTICIZERS

Spain

 

Granted

 

91919065.2

 

30-Sep-1991

 

0553210

 

19-Jul-1995

 

Uniroyal Chemical Company, Inc.

 

BENZOQUINONEIMINES AS VINYL AROMATIC POLYMERIZATION INHIBITORS

Spain

 

Granted

 

97924800.2

 

23-May-1997

 

0910366

 

13-Nov-2002

 

Uniroyal Chemical Company, Inc.

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Spain

 

Granted

 

98908819.0

 

2-Mar-1998

 

0968192

 

18-Feb-2004

 

Uniroyal Chemical Company, Inc.

 

SUBSTITUTED TETRAHYDROPYRIMIDINE DERIVATIVES AND THEIR USE AS POLYMERIZATION INHIBITORS FOR VINYL AROMATIC COMPOUNDS

Spain

 

Granted

 

98949599.9

 

29-Sep-1998

 

1023377

 

3-Dec-2003

 

Uniroyal Chemical Company, Inc.

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THREFROM

Spain

 

Granted

 

99951883.0

 

8-Oct-1999

 

1129133

 

7-Apr-2004

 

Uniroyal Chemical

 

THERMOPLASTIC RESINS

 

304



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

STABIFLIZED BY BLENDS OF STERICALLY HINDERED PHENOLS, SECONDARY AMINES, AND THIOETHERS

Spain

 

Granted

 

00948735.6

 

18-Jul-2000

 

1200420

 

18-Jan-2006

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR MAKING N-ALKYL BIS (THIAZOLYL) SULFENIMIDES

Spain

 

Granted

 

00936362.3

 

26-May-2000

 

1190247

 

17-Mar-2004

 

Uniroyal Chemical Company, Inc.

 

TEST METHOD FOR EVALUATING SOLUBLE POLYMER GROWTH WHEN RECYCLING INHIBITOR STREAMS

Spain

 

Granted

 

00955549.1

 

14-Aug-2000

 

1209977

 

29-Oct-2003

 

Uniroyal Chemical Company, Inc.

 

METHOD FOR CONTROLLING FUNGI USING PHENYLHYDRAZINE DERIVATIVES

Sweden

 

Granted

 

99920222.9

 

30-Apr-1999

 

1087658

 

21-Jan-2004

 

Uniroyal Chemical Company, Inc.

 

BIOLOGICALLY-ACTIVE MICRODISPERSION COMPOSITION

Sweden

 

Granted

 

99951883.0

 

8-Oct-1999

 

1129133

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABIFLIZED BY BLENDS OF STERICALLY HINDERED PHENOLS, SECONDARY AMINES, AND THIOETHERS

Switzerland

 

Granted

 

99920222.9

 

30-Apr-1999

 

1087658

 

21-Jan-2004

 

Uniroyal

 

BIOLOGICALLY-

 

305



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Chemical Company, Inc.

 

ACTIVE MICRODISPERSION COMPOSITION

Switzerland

 

Granted

 

99951883.0

 

8-Oct-1999

 

1129133

 

7-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABIFLIZED BY BLENDS OF STERICALLY HINDERED PHENOLS, SECONDARY AMINES, AND THIOETHERS

Taiwan

 

Granted

 

90109046

 

16-Apr-2001

 

NI-175306

 

30-Jul-2003

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

Taiwan

 

Granted

 

90109282

 

18-Apr-2001

 

I229106

 

11-Mar-2005

 

Uniroyal Chemical Company, Inc.

 

Liquid Antiozonants and Rubber Compositions Containing Same

Taiwan

 

Granted

 

90118803

 

1-Aug-2001

 

NI-196027

 

26-May-2004

 

Uniroyal Chemical Company, Inc.

 

Recycle of Nitroxyl-Containing Streams at Low Temperature

Taiwan

 

Granted

 

90125550

 

16-Oct-2001

 

NI-180540

 

23-Oct-2003

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Taiwan

 

Pending

 

093131895

 

20-Oct-2004

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITIONS AND METHODS FOR DECREASING THE TANGENT DELTA VALUE AND ABRASION INDEX

Taiwan

 

Granted

 

82103028

 

20-Apr-1993

 

NI-072468

 

22-Nov-1995

 

Uniroyal Chemical

 

POLYMERIZATION INHIBITOR FOR

 

306



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

VINYL AROMATICS

Taiwan

 

Granted

 

84100906

 

28-Jan-1995

 

NI-081819

 

24-Feb-1997

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOUNDING FORMULATION AND METHOD

Taiwan

 

Granted

 

89116233

 

11-Aug-2000

 

I252864

 

11-Apr-2006

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMERS

Taiwan

 

Granted

 

89115039

 

27-Jul-2000

 

NI-203598

 

6-Oct-2004

 

Uniroyal Chemical Company, Inc.

 

THE PROCESS FOR MAKING N-ALKYL BIS (THIAZOLYL) SULFENIMIDES

Taiwan

 

Granted

 

89111046

 

7-Jun-2000

 

I254051

 

1-May-2006

 

Uniroyal Chemical Company, Inc.

 

TEST METHOD FOR EVALUATING SOLUBLE POLYMER GROWTH WHEN RECYCLING INHIBITOR STGREAMS

Taiwan

 

Granted

 

89125330

 

29-Nov-2000

 

I259185

 

1-Aug-2006

 

Uniroyal Chemical Company, Inc.

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER GROWTH

Thailand

 

Pending

 

065128

 

23-Apr-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

Thailand

 

Pending

 

065041

 

18-Apr-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

Liquid Antiozonants and Rubber Compositions Containing Same

Thailand

 

Pending

 

067277

 

27-Jul-2001

 

 

 

 

 

Uniroyal Chemical

 

Recycle of Nitroxyl-Containing Streams

 

307



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

at Low Temperature

Thailand

 

Pending

 

069001

 

12-Oct-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

Thailand

 

Pending

 

068808

 

4-Oct-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

BLENDS OF QUINONE ALKIDE AND NITROXYL COMPOUNDS AS POLYMERIZATION INHIBITORS

Thailand

 

Pending

 

094725

 

20-Oct-2004

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITIONS AND METHODS FOR DECREASING THE TANGENT DELTA VALUE AND ABRASION INDEX

Thailand

 

Pending

 

037529

 

27-May-1997

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

Thailand

 

Granted

 

042671

 

9-Mar-1998

 

20899

 

16-Nov-2006

 

Uniroyal Chemical Company, Inc.

 

SUBSTITUTED TETRAHYDROPYRIMIDINE DERIVATIVES AND THEIR USE AS POLYMERIZATION INHIBITORS FOR VINYL AROMATIC COMPOUNDS

Thailand

 

Pending

 

050607

 

24-May-1999

 

 

 

 

 

Uniroyal Chemical

 

METHOD FOR STABILIZING

 

308



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

UNSATURATED ORGANIC COMPOUNDS FROM POLYMERIZATION

Thailand

 

Pending

 

059695

 

15-Aug-2000

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMERS

Thailand

 

Pending

 

062129

 

28-Nov-2000

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIATION AND POLYMER GROWTH

Thailand

 

Pending

 

062928

 

5-Jan-2001

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

United States

 

Granted

 

09/564221

 

3-May-2000

 

6344560

 

5-Feb-2002

 

Uniroyal Chemical Company, Inc.

 

Nitroaromatic Solubilizer for Nitroxyls in Aromatic Solvents

United States

 

Granted

 

09/552098

 

19-Apr-2000

 

6706216

 

16-Mar-2004

 

Uniroyal Chemical Company, Inc.

 

Liquid Antiozonants and Rubber Compositions Containing Same

United States

 

Granted

 

10/054275

 

22-Oct-2001

 

6706217

 

16-Mar-2004

 

Uniroyal Chemical Company, Inc.

 

Liquid Antiozonants and Rubber Compositions Containing Same

United States

 

Granted

 

09/590320

 

8-Jun-2000

 

6753374

 

22-Jun-2004

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITIONS AND METHOD FOR INCREASING THE MOONEY

 

309



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SCORCH VALUE

United States

 

Granted

 

10/703581

 

10-Nov-2003

 

7022220

 

4-Apr-2006

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

United States

 

Granted

 

10/703580

 

10-Nov-2003

 

6902663

 

7-Jun-2005

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

United States

 

Granted

 

10/703592

 

10-Nov-2003

 

6899806

 

31-May-2005

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

United States

 

Granted

 

10/030991

 

11-Oct-2001

 

6685823

 

3-Feb-2004

 

Uniroyal Chemical Company, Inc.

 

C-NITROSOANILINE COMPOUNDS AND THEIR BLENDS AS POLYMERIZATION INHIBITORS

United States

 

Granted

 

11/370691

 

7-Mar-2006

 

7473795

 

6-Jan-2009

 

Uniroyal Chemical Company, Inc.

 

BLENDS OF QUINONE ALKIDE AND NITROXYL COMPOUNDS AS POLYMERIZATION INHIBITORS

United States

 

Granted

 

10/363970

 

2-Oct-2001

 

7045647

 

16-May-2006

 

Uniroyal Chemical Company, Inc.

 

BLENDS OF QUINONE ALKIDE AND NITROXYL COMPOUNDS AS POLYMERIZATION INHIBITORS

United States

 

Granted

 

09/685168

 

6-Oct-2000

 

6569927

 

27-May-2003

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABILIZED BY

 

310



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

BLENDS OF STERICALLY HINDERED PHENOLS, SECONDARY AMINES, AND LACTONES

United States

 

Granted

 

10/091209

 

4-Mar-2002

 

6723771

 

20-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

HIGH FRICTION POLYURETHANE ELASTOMERS HAVING IMPROVED ABRASION RESISTANCE

United States

 

Granted

 

09/951018

 

12-Sep-2001

 

7153895

 

26-Dec-2006

 

Uniroyal Chemical Company, Inc.

 

BLENDING OF RUBBER COMPOUNDS, FILLERS AND PLASTICIZERS

United States

 

Granted

 

09/945606

 

4-Sep-2001

 

6620875

 

16-Sep-2003

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITIONS AND METHOD FOR INCREASING THE MOONEY SCORCH VALUE

United States

 

Granted

 

10/007867

 

13-Nov-2001

 

6451835

 

17-Sep-2002

 

Uniroyal Chemical Company, Inc.

 

PESTICIDAL FLUOROETHYL PYRAZOLE DERIVATIVES

United States

 

Granted

 

10/771780

 

4-Feb-2004

 

7037974

 

2-May-2006

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR THE OLIGOMERIZATION OF ALPHA-OLEFINS HAVING LOW UNSATURATION, THE RESULTING POLYMERS, AND LURICANTS CONTAINING SAME

 

311



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Granted

 

10/014911

 

14-Dec-2001

 

6713582

 

30-Mar-2004

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR THE OLIGOMERIZATION OF a-OLEFINS HAVING LOW UNSATURATION, THE RESULTING POLYMERS, AND LUBRICANTS CONTAINING SAME

United States

 

Granted

 

09/996774

 

30-Nov-2001

 

6706671

 

16-Mar-2004

 

Uniroyal Chemical Company, Inc.

 

ALKYL-SUCCINHYDRAZIDE ADDITIVES FOR LUBRICANTS

United States

 

Granted

 

09/996775

 

30-Nov-2001

 

6566311

 

20-May-2003

 

Uniroyal Chemical Company, Inc.

 

1,3,4-OXADIAZOLE ADDITIVES FOR LUBRICANTS

United States

 

Granted

 

09/996728

 

30-Nov-2001

 

6559106

 

6-May-2003

 

Uniroyal Chemical Company, Inc.

 

TRI-GLYCERINATE VEGETABLE OIL-SUCCINHYDRAZIDE ADDITIVES FOR LUBRICANTS

United States

 

Granted

 

10/060360

 

1-Feb-2002

 

6699957

 

2-Mar-2004

 

Uniroyal Chemical Company, Inc.

 

RESILIENT, SHEAR RESISTANT POLYURETHANE COMPOSITIONS FOR GOLF BALL COVERS

United States

 

Granted

 

10/964855

 

13-Oct-2004

 

7605201

 

20-Oct-2009

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITIONS AND METHODS FOR DECREASING THE TANGENT DELTA VALUE AND ABRASION INDEX

United

 

Granted

 

876,614

 

30-Apr-1992

 

5,319,102

 

7-Jun-1994

 

Uniroyal

 

HETEROCYCLIC-

 

312



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Chemical Company, Inc.

 

ALKLENEQUINOX
ALINYLOXYPHENOXY- PROPANOATE HERBICIDES

United States

 

Granted

 

219,130

 

29-Mar-1994

 

5474973

 

12-Dec-1995

 

Uniroyal Chemical Company, Inc.

 

HETEROCYCLIC-ALKYLENEQUINO
XALINYLOXYPHENOXY- PROPANOATE HERBICIDES

United States

 

Granted

 

539,286

 

18-Jun-1990

 

5,298,662

 

29-Mar-1994

 

Uniroyal Chemical Company, Inc.

 

PHENYLENEDIAMINES AS HIGH STABILIZERS

United States

 

Granted

 

935,663

 

24-Aug-1992

 

5,254,709

 

19-Oct-1993

 

Uniroyal Chemical Company, Inc.

 

METHOD FOR PREPARING STERICALLY HINDERED ARYL PHOSPHITES

United States

 

Granted

 

260,147

 

15-Jun-1994

 

5442115

 

15-Aug-1995

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF ALPHA-CHLOROACETOACETANILDE COMPOUNDS

United States

 

Granted

 

890,496

 

28-May-1992

 

5,208,280

 

4-May-1993

 

Uniroyal Chemical Company, Inc.

 

N-ALKYL-P-QUINONEDIMINO TRIAZINE COMPOUNDS

United States

 

Granted

 

496,483

 

20-Mar-1990

 

5,126,385

 

30-Jun-1992

 

Uniroyal Chemical Company, Inc.

 

CHLOROPYRIMIDINES AND CHLOROTRIAZINES AS RUBBER-TO-METAL ADHESION PROMOTERS

United States

 

Granted

 

590,104

 

28-Sep-1990

 

5,238,606

 

24-Aug-1993

 

Uniroyal Chemical Company, Inc.

 

STABILIZATION OF POLYOLS WITH LIQUID ANTISCORCH

United States

 

Granted

 

959,507

 

9-Oct-1992

 

5,326,828

 

5-Jul-1994

 

Uniroyal Chemical

 

A TETRABENZYLTHIURAM

 

313



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

DISULFIDE/UREA CURED ELASTOMERIC COMPOSITION

United States

 

Granted

 

276,685

 

18-Jul-1994

 

6039895

 

21-Mar-2000

 

Uniroyal Chemical Company, Inc.

 

BENZOQUINONEIMINES AS VINYL AROMATIC POLYMERIZATION INHIBITORS

United States

 

Pending

 

459,243

 

2-Jun-1995

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITORS FOR ACRYLIC ACIDS AND ESTERS

United States

 

Granted

 

08/615663

 

13-Mar-1996

 

5659095

 

19-Aug-1997

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITOR COMPOSITION

United States

 

Granted

 

918,724

 

21-Jul-1992

 

5,328,942

 

12-Jul-1994

 

Uniroyal Chemical Company, Inc.

 

SEED FILM COMPOSITIONS

United States

 

Granted

 

015,329

 

9-Feb-1993

 

5,268,394

 

7-Dec-1993

 

Uniroyal Chemical Company, Inc.

 

STABILIZATION OF POLYOXYALKYLENE POLYETHER POLYOLS

United States

 

Granted

 

742,957

 

9-Aug-1991

 

5,169,430

 

8-Dec-1992

 

Uniroyal Chemical Company, Inc.

 

NOVEL BENEZENESULFONAMIDE DERIVATIVES AND METHODS FOR THEIR PRODUCTION

United States

 

Granted

 

872,563

 

23-Apr-1992

 

5,312,952

 

17-May-1994

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITOR FOR VINYL AROMATICS

United States

 

Granted

 

08/195801

 

14-Feb-1994

 

5540861

 

30-Jul-1996

 

Uniroyal Chemical Company, Inc.

 

POLYMERIZATION INHIBITOR FOR VINYL

 

314



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

AROMATICS

United States

 

Granted

 

686,102

 

16-Apr-1991

 

5,112,933

 

12-May-1992

 

Uniroyal Chemical Company, Inc.

 

ETHER-BASED POLYURETHANE ELEVATOR SHEAVE LINER

United States

 

Granted

 

199,233

 

22-Feb-1994

 

5491168

 

13-Feb-1996

 

Uniroyal Chemical Company, Inc.

 

INSECTICIDE COMPOUNDS FOR AGRICULTURAL AND HORTICULTURAL USE

United States

 

Granted

 

08/459196

 

2-Jun-1995

 

5534543

 

9-Jul-1996

 

Uniroyal Chemical Company, Inc.

 

INSECTICIDE COMPOUNDS FOR AGRICULTURAL AND HORTICULTURAL USE

United States

 

Granted

 

08/758067

 

27-Nov-1996

 

6046297

 

4-Apr-2000

 

Uniroyal Chemical Company, Inc.

 

POLYURETHANES CURED WITH 4,4’-METHYLENE-BIS- (3-CHLORO-2,6-DIETHYLANILINE)

United States

 

Granted

 

08/023325

 

26-Feb-1993

 

5,269,961

 

14-Dec-1993

 

Uniroyal Chemical Company, Inc.

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THEREFROM

United States

 

Granted

 

123,622

 

17-Sep-1993

 

5,308,884

 

3-May-1994

 

Uniroyal Chemical Company, Inc.

 

STABILIZED POLYURETHANE FOAM OBTAINED THEREFROM

United States

 

Granted

 

046,252

 

13-Apr-1993

 

5,310,491

 

10-May-1994

 

Uniroyal Chemical Company, Inc.

 

LUBRICANT COMPOSITION CONTAINING ANTIOXIDANT

United States

 

Granted

 

08/318927

 

6-Oct-1994

 

5574187

 

12-Nov-1996

 

Uniroyal Chemical Company, Inc.

 

PROCESS OF PREPARING PARA SUBSTITUTED PHENYLAMINES

 

315



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Granted

 

08/729703

 

7-Oct-1996

 

5689007

 

18-Nov-1997

 

Uniroyal Chemical Company, Inc.

 

PROCESS OF PREPARING PARA SUBSTITUTED PHENYLAMINES

United States

 

Granted

 

318,928

 

6-Oct-1994

 

5,420,354

 

30-May-1995

 

Uniroyal Chemical Company, Inc.

 

PROCESS OF PREPARING PARA PHENYLAMINES

United States

 

Granted

 

08/464439

 

5-Jun-1995

 

5574056

 

12-Nov-1996

 

Uniroyal Chemical Company, Inc.

 

FUNGICIDAL AZOLE DERIVATIVES

United States

 

Granted

 

08/192220

 

3-Feb-1994

 

6171517

 

9-Jan-2001

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOUNDING FORMULATION AND METHOD

United States

 

Granted

 

08/643713

 

6-May-1996

 

5895806

 

20-Apr-1999

 

Uniroyal Chemical Company, Inc.

 

POLYURETHANE COMPOSITION USEFUL FOR COATING CYLINDRICAL PARTS

United States

 

Granted

 

09/073466

 

6-May-1998

 

5895689

 

20-Apr-1999

 

Uniroyal Chemical Company, Inc.

 

POLYURETHANE COMPOSITION USEFUL FOR COATING CYLINDRICAL PARTS

United States

 

Granted

 

08/329019

 

25-Oct-1994

 

5571453

 

5-Nov-1996

 

Uniroyal Chemical Company, Inc.

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THEREFROM

United States

 

Granted

 

676,743

 

28-Mar-1991

 

5,107,913

 

28-Apr-1992

 

Uniroyal Chemical Company, Inc.

 

INDUSTRIAL SOLID TIRES

United States

 

Granted

 

08/085713

 

1-Jul-1993

 

5605657

 

25-Feb-1997

 

Uniroyal Chemical Company, Inc.

 

INDUSTRIAL SOLID TIRES AND METHOD OF MANUFACTURE

United

 

Granted

 

08/657135

 

3-Jun-1996

 

5703193

 

30-Dec-1997

 

Uniroyal

 

REMOVAL OF

 

316



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Chemical Company, Inc.

 

UNREACTED DIISOCYANATE MONOMER FROM POLYURETHANE POLYMERS

United States

 

Pending

 

412,040

 

28-Mar-1995

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

POLYURETHANE CURATIVE SYSTEMS AND ELASTOMERS

United States

 

Granted

 

08/628181

 

4-Apr-1996

 

5728882

 

17-Mar-1998

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

United States

 

Granted

 

08/816612

 

13-Mar-1997

 

5925790

 

20-Jul-1999

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

United States

 

Granted

 

08/968623

 

12-Nov-1997

 

5858321

 

12-Jan-1999

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

United States

 

Granted

 

693863

 

1-May-1991

 

5164396

 

17-Nov-1992

 

Uniroyal Chemical Company, Inc.

 

BARBITURIC ACID DERIVATIVES HAVING INSECTICIDAL ACTIVITY

United States

 

Granted

 

892,365

 

3-Jun-1992

 

5245071

 

14-Sep-1993

 

Uniroyal Chemical Company, Inc.

 

INSECTICIDAL 2,6-DIHALOBENZOYL UREA DERIVATIVES

United States

 

Granted

 

104,645

 

11-Aug-1993

 

5342958

 

30-Aug-1994

 

Uniroyal Chemical Company, Inc.

 

INSECTICIDAL 2,6-DIHALOBENZOYL UREA DERIVATIVES

United States

 

Granted

 

865,059

 

8-Apr-1992

 

5212197

 

18-May-1993

 

Uniroyal Chemical Company, Inc.

 

FUNGICIDALLY ACTIVE PYRAZOLE COMPOUNDS

United States

 

Granted

 

08/915762

 

21-Aug-1997

 

5872121

 

16-Feb-1999

 

Uniroyal Chemical

 

PESTICIDAL HYDRAZIDE

 

317



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

DERIVATIVES

United States

 

Granted

 

08/715904

 

23-Sep-1996

 

5714561

 

3-Feb-1998

 

Uniroyal Chemical Company, Inc.

 

WATER-DISPERSIBLE POLYURETHANES

United States

 

Granted

 

09/889250

 

23-May-1997

 

6710077

 

23-Mar-2004

 

Uniroyal Chemical Company, Inc.

 

METHOD FOR PREVENTING THE TRANSMISSION OF HIV TO UNINFECTED CELLS

United States

 

Granted

 

08/863387

 

27-May-1997

 

6057370

 

2-May-2000

 

Uniroyal Chemical Company, Inc.

 

BENZOYLUREA INSECTICIDES ON GENE-MODIFIED Bt COTTON

United States

 

Granted

 

08/816630

 

13-Mar-1997

 

5847035

 

8-Dec-1998

 

Uniroyal Chemical Company, Inc.

 

SUBSTITUTED TETRAHYDROPYRIMIDINE DERIVATIVES AND THEIR USE AS POLYMERIZATION INHIBITORS FOR VINYL AROMATIC COMPOUNDS COMPOUNDS

United States

 

Granted

 

08/938895

 

26-Sep-1997

 

5849929

 

15-Dec-1998

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR THE PREPARATION OF IMIDAZOLINE NITROXYL

United States

 

Granted

 

08/839694

 

15-Apr-1997

 

5917044

 

29-Jun-1999

 

Uniroyal Chemical Company, Inc.

 

PHENOLIC AMIDES AND THEIR USE AS STABILIZERS

United States

 

Granted

 

09/237062

 

26-Jan-1999

 

6103776

 

15-Aug-2000

 

Uniroyal Chemical Company, Inc.

 

PHENOLIC AMIDES AND THEIR USE AS STABILIZERS

United States

 

Granted

 

08/794110

 

3-Feb-1997

 

5698499

 

16-Dec-1997

 

Uniroyal Chemical

 

PHENOLIC BORATES FOR

 

318



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

USE AS A LUBRICANT ADDITIVE

United States

 

Granted

 

08/782203

 

10-Jan-1997

 

5789357

 

4-Aug-1998

 

Uniroyal Chemical Company, Inc.

 

DITHIOCARBAMYL CARBOSYLIC ACIDS AND THEIR USE AS MULTIFUNCTIONAL ADDITIVES FOR LUBRICATING OILS

United States

 

Granted

 

09/023885

 

13-Feb-1998

 

5872286

 

16-Feb-1999

 

Uniroyal Chemical Company, Inc.

 

DITHIOCARBAMYL CARBOSYLIC ACIDS AND THEIR USE AS MULTIFUNCTIONAL ADDITIVES FOR LUBRICATING OILS

United States

 

Granted

 

08/794112

 

3-Feb-1997

 

5686397

 

11-Nov-1997

 

Uniroyal Chemical Company, Inc.

 

DITHIOCARBAMATE DERIVATIVES AND LUBRICANTS CONTAINING SAME

United States

 

Granted

 

09/453582

 

2-Dec-1999

 

RE37105

 

20-Mar-2001

 

Uniroyal Chemical Company, Inc.

 

Lubricants Containing Ashless Antiwear-Dispersant Additive Having Viscosity Index Improver Credit

United States

 

Granted

 

09/047697

 

25-Mar-1998

 

6080929

 

27-Jun-2000

 

Uniroyal Chemical Company, Inc.

 

STABILIZED FILLER COMPOSITIONS FOR CABLE AND WIRE

United States

 

Granted

 

09/403482

 

13-May-1998

 

6245712

 

12-Jun-2001

 

Uniroyal Chemical Company, Inc.

 

CHEMICAL PINCHING METHOD AND

 

319



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COMPOSITION

United States

 

Granted

 

09/149641

 

8-Sep-1998

 

6117826

 

12-Sep-2000

 

Uniroyal Chemical Company, Inc.

 

DITHIOCARBAMYL DERIVATIVES USEFUL AS LUBRICANT ADDITIVES

United States

 

Granted

 

09/090600

 

4-Jun-1998

 

5840982

 

24-Nov-1998

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR PREPARING PARA-PHENYLENEDIAMINE DERIVATIVES

United States

 

Granted

 

08/966764

 

10-Nov-1997

 

5990258

 

23-Nov-1999

 

Uniroyal Chemical Company, Inc.

 

HIGH RESILIENCE, HIGH CLARITY POLYURETHANE ELASTOMER

United States

 

Granted

 

08/954773

 

20-Oct-1997

 

5834544

 

10-Nov-1998

 

Uniroyal Chemical Company, Inc.

 

ORGANIC MATERIALS STABILIZED BY COMPOUNDS CONTAINING BOTH AMINE AND HINDERED PHENOL FUNCTIONAL FUNCTIONALITIES

United States

 

Granted

 

09/084619

 

26-May-1998

 

6287483

 

11-Sep-2001

 

Uniroyal Chemical Company, Inc.

 

METHOD FOR STABILIZING UNSATURATED ORGANIC COMPOUNDS FROM POLYMERIZATION

United States

 

Granted

 

09/486762

 

29-Sep-1998

 

6348514

 

19-Feb-2002

 

Uniroyal Chemical Company, Inc.

 

STABILIZED POLYETHER POLYOL AND POLYURETHANE FOAM OBTAINED THEREFROM

United

 

Granted

 

09/486903

 

18-Sep-1998

 

6376430

 

23-Apr-2002

 

Uniroyal

 

ENHANCEMENT

 

320



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

States

 

 

 

 

 

 

 

 

 

 

 

Chemical Company, Inc.

 

OF SEED YIELD OF SOYBEANS BY A SUBSTITUTED BENZOYL UREA

United States

 

Granted

 

09/138752

 

24-Aug-1998

 

6027769

 

22-Feb-2000

 

Uniroyal Chemical Company, Inc.

 

METHOD FOR PRODUCING CYLINDRICAL OBJECTS OF MULTILAYER DISSIMILAR COMPOSITIONS WITHOUT INTERFACES

United States

 

Granted

 

09/288350

 

8-Apr-1999

 

5990310

 

23-Nov-1999

 

Uniroyal Chemical Company, Inc.

 

METHOD FOR PREPARING SUBSTITUTED TRIAZINES

United States

 

Granted

 

09/228297

 

12-Jan-1999

 

6573339

 

3-Jun-2003

 

Uniroyal Chemical Company, Inc.

 

In Situ Preparation of Bis(Benzothiazolesulfen) Amide in a Polymeric Matrix

United States

 

Granted

 

09/173888

 

16-Oct-1998

 

5935913

 

10-Aug-1999

 

Uniroyal Chemical Company, Inc.

 

CYCLIC THIOUREA ADDITIVES FOR LUBRICANTS

United States

 

Granted

 

09/332304

 

14-Jun-1999

 

6069279

 

30-May-2000

 

Uniroyal Chemical Company, Inc.

 

PREPARATION OF SUBSTITUTED AROMATIC AMINES

United States

 

Granted

 

09/375033

 

16-Aug-1999

 

6300533

 

9-Oct-2001

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF ETHYLENICALLY UNSATURATED MONOMERS

United States

 

Granted

 

09/203894

 

2-Dec-1998

 

6726855

 

27-Apr-2004

 

Uniroyal Chemical Company, Inc.

 

LUBRICANT COMPOSITIONS COMPRISING MULTIPLE ANTIOXIDANTS

 

321



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Granted

 

09/295191

 

20-Apr-1999

 

6288144

 

11-Sep-2001

 

Uniroyal Chemical Company, Inc.

 

IMPROVEMENT IN PROCESSING OF COUPLED, FILLED POLYOLEFINS

United States

 

Granted

 

09/188426

 

9-Nov-1998

 

6277907

 

21-Aug-2001

 

Uniroyal Chemical Company, Inc.

 

THERMOPLASTIC RESINS STABILIZED BY BLENDS OF STERICALLY HINDERED PHENOLS, SECONDARY AMINES, AND THIOETHERS

United States

 

Granted

 

09/185811

 

4-Nov-1998

 

6111129

 

29-Aug-2000

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR THE PREPARATION OF ALKANEDIOL DIAMINOBENZOATES

United States

 

Granted

 

10/046387

 

16-Jan-2002

 

6514911

 

4-Feb-2003

 

Uniroyal Chemical Company, Inc.

 

SUBSTITUTED OXADIAZINES USEFUL AS PESTICIDES

United States

 

Granted

 

09/646841

 

1-Nov-1999

 

6686410

 

3-Feb-2004

 

Uniroyal Chemical Company, Inc.

 

BLENDING OF POLYMERIC MATERIALS AND FILLERS

United States

 

Granted

 

09/405589

 

27-Sep-1999

 

6419214

 

16-Jul-2002

 

Uniroyal Chemical Company, Inc.

 

NON-LINEAR SPRING RATE SWAY BAR BUSHING

United States

 

Granted

 

09/916580

 

30-Jul-2001

 

6653414

 

25-Nov-2003

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

United States

 

Granted

 

09/268130

 

15-Mar-1999

 

6103674

 

15-Aug-2000

 

Uniroyal Chemical Company, Inc.

 

OIL SOLUBLE MOLYBDENUM MULTI-FUNCTIONAL

 

322



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FRICTION MODIFIER ADDITIVES FOR LUBRICANT COMPOSITIONS

United States

 

Granted

 

09/365295

 

30-Jul-1999

 

6180795

 

30-Jan-2001

 

Uniroyal Chemical Company, Inc.

 

PROCESS FOR MAKING N-ALKYL BIS (THIAZOLYL) SULFENIMIDES

United States

 

Granted

 

09/374955

 

16-Aug-1999

 

6136951

 

24-Oct-2000

 

Uniroyal Chemical Company, Inc.

 

TEST METHOD FOR EVALUATING INSOLUBLE POLYMER GROWH

United States

 

Granted

 

09/637791

 

11-Aug-2000

 

6858767

 

22-Feb-2005

 

Uniroyal Chemical Company, Inc.

 

Process for Producing Liquid Polyalphaolefin Polymer, Metallocene Catalyst Therefor, the Resulting Polymer and Lubricant

United States

 

Pending

 

12/582419

 

20-Oct-2009

 

 

 

 

 

Uniroyal Chemical Company, Inc.

 

COMPOSITION AND METHOD FOR INHIBITING POLYMERIZATION AND POLYMER GROWTH

United States

 

Granted

 

09/359229

 

22-Jul-1999

 

6187722

 

13-Feb-2001

 

Uniroyal Chemical Company, Inc.

 

IMIDAZOLE THIONE ADDITIVES FOR LUBRICANTS

United States

 

Granted

 

09/333306

 

14-Jun-1999

 

6174984

 

16-Jan-2001

 

Uniroyal Chemical Company, Inc.

 

CLEAR, RESILIENT POLYURETHANE ELASTOMERS

United States

 

Granted

 

09/407053

 

27-Sep-1999

 

7083165

 

1-Aug-2006

 

Uniroyal Chemical Company, Inc.

 

SIDE BEARING PAD

United States

 

Granted

 

09/976817

 

12-Oct-2001

 

6530849

 

11-Mar-2003

 

Uniroyal Chemical

 

LOW COST, RESILIENT,

 

323



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

Company, Inc.

 

SHEAR RESISTANT POLYURETHANE ELASTOMERS FOR GOLF BALL COVERS

United States

 

Granted

 

09/393837

 

10-Sep-1999

 

6221999

 

24-Apr-2001

 

Uniroyal Chemical Company, Inc.

 

HIGH RESILIENCE, HIGH CLARITY POLYURETHANE ELASTOMER

United States

 

Granted

 

10/819691

 

7-Apr-2004

 

7205348

 

17-Apr-2007

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITIONS AND METHOD OF MAKING SAME

United States

 

Granted

 

09/514701

 

28-Feb-2000

 

6242385

 

5-Jun-2001

 

Uniroyal Chemical Company, Inc.

 

ENHANCEMENT OF SEED/FRUIT/NUT YIELDS FROM FLOWERING PLANTS

United States

 

Granted

 

09/618581

 

17-Jul-2000

 

6403850

 

11-Jun-2002

 

Uniroyal Chemical Company, Inc.

 

INHIBITION OF POLYMERIZATION OF UNSATURATED MONOMERS

United States

 

Granted

 

10/168405

 

5-Dec-2000

 

6916767

 

12-Jul-2005

 

Uniroyal Chemical Company, Inc.

 

ANTIOXIDANT AMINES BASED ON N-(4-ANILINOPHENYL) AMIDES

United States

 

Granted

 

10/021202

 

29-Oct-2001

 

6498254

 

24-Dec-2002

 

Uniroyal Chemical Company, Inc.

 

ANTIRETROVIRAL COMPOUNDS AND COMPOSITIONS

United States

 

Granted

 

10/021453

 

29-Oct-2001

 

7064139

 

20-Jun-2006

 

Uniroyal Chemical Company, Inc.

 

METHOD FOR TREATING RETROVIRAL INFECTIONS

United States

 

Pending

 

11/024342

 

28-Dec-2004

 

20050113626

 

26-May-2005

 

Uniroyal Chemical Company, Inc.

 

COMPOSITION AND METHOD FOR INHIBITING

 

324



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

POLYMERIZATION AND POLYMER GROWTH

United States

 

Granted

 

555,206

 

19-Jul-1990

 

5,120,844

 

9-Jun-1992

 

Uniroyal Chemical Company, Inc.

 

SUBSTITUTED TRIAZINES

United States

 

Granted

 

562,522

 

3-Aug-1990

 

5,120,779

 

9-Jun-1992

 

Uniroyal Chemical Company, Inc.

 

IMPROVED TIRE SIDEWALL

Vietnam

 

Granted

 

1-2002-00489

 

6-Nov-2000

 

6967

 

31-Mar-2008

 

Uniroyal Chemical Company, Inc.

 

RUBBER COMPOSITION AND METHOD OF MAKING SAME

Mexico

 

Granted

 

2003/002926

 

3-Oct-2001

 

240584

 

28-Sep-2006

 

Uniroyal Chemical/U Of Conecticut

 

PROCESS FOR THE SYNTHESIS OF 2,2,6,6-TERAMETHYL-4-

 

OXOPIPERIDINE

United States

 

Granted

 

09/970069

 

2-Oct-2001

 

6646127

 

11-Nov-2003

 

Uniroyal Chemical/U Of Conecticut

 

PROCESS FOR THE SYNTHESIS OF 2,2,6,6-TETRAMETHYL-4-OXOPIPERIDINE

Belgium

 

Granted

 

91304066.3

 

7-May-1991

 

0457471

 

29-Jan-1997

 

Witco Corporation

 

POLYMER STABILIZER AND POLYMER COMPOSITION STABILIZED THEREW ITH

Belgium

 

Granted

 

92302948.2

 

3-Apr-1992

 

0507602

 

11-Jun-1997

 

Witco Corporation

 

THIOESTER POLYMERIZATION MODIFIERS

Belgium

 

Granted

 

93913975.4

 

18-May-1993

 

0642548

 

1-Jul-1998

 

Witco Corporation

 

ELECTRICAL GRADE POLYVINAL CHLORIDE RESIN COMPOSITION STABIL IZED WITH A NON-

 

325



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

LEAD STABILIZER

Canada

 

Granted

 

2214689

 

8-Mar-1996

 

2214689

 

17-Jul-2007

 

Witco Corporation

 

Alkyl-Thio-Glycolate PVC Stabilizers with Added Aromatic Ether Alcohol to Prevent Precipitation

Canada

 

Granted

 

2221558

 

16-May-1996

 

2221558

 

6-Mar-2007

 

Witco Corporation

 

Alkyl-Tin PVC Stabilizers with Added Aromatic Ether Alcohol to Prevent Precipitation

Canada

 

Granted

 

2224398

 

19-Jun-1996

 

2224398

 

10-Apr-2007

 

Witco Corporation

 

Overbased PVC Stabilizer

Canada

 

Granted

 

2224202

 

17-Jun-1996

 

2224202

 

28-Aug-2007

 

Witco Corporation

 

METHOD FOR MAKING OVERBASED PVC STABILIZER

Canada

 

Granted

 

2042158

 

9-May-1991

 

2042158

 

17-Sep-2002

 

Witco Corporation

 

POLYMER STABILIZER AND POLYMER COMPOSITION STABILIZED THEREW ITH

Canada

 

Pending

 

2047361

 

22-Jul-1991

 

 

 

 

 

Witco Corporation

 

Polyvinylchloride Composition and Stabilizers Therfor

Canada

 

Granted

 

2135883

 

18-May-1993

 

2135883

 

5-Nov-2002

 

Witco Corporation

 

ELECTRICAL GRADE POLYVINAL CHLORIDE RESIN COMPOSITION STABIL IZED WITH A NON-LEAD STABILIZER

Canada

 

Granted

 

2116369

 

24-Feb-1994

 

2116369

 

25-May-1999

 

Witco Corporation

 

IMPROVED SULFONATE GREASES

France

 

Granted

 

91304066.3

 

7-May-1991

 

0457471

 

29-Jan-1997

 

Witco Corporation

 

POLYMER STABILIZER AND POLYMER

 

326



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

COMPOSITION STABILIZED THEREW ITH

France

 

Granted

 

92302948.2

 

3-Apr-1992

 

0507602

 

11-Jun-1997

 

Witco Corporation

 

THIOESTER POLYMERIZATION MODIFIERS

France

 

Granted

 

93913975.4

 

18-May-1993

 

0642548

 

1-Jul-1998

 

Witco Corporation

 

ELECTRICAL GRADE POLYVINAL CHLORIDE RESIN COMPOSITION STABIL IZED WITH A NON-LEAD STABILIZER

Germany

 

Granted

 

91304066.3

 

7-May-1991

 

69124418.9

 

29-Jan-1997

 

Witco Corporation

 

POLYMER STABILIZER AND POLYMER COMPOSITION STABILIZED THEREW ITH

Germany

 

Granted

 

91306682.5

 

23-Jul-1991

 

69127814.8

 

1-Oct-1997

 

Witco Corporation

 

POLYVINYLCHLORIDE COMPOSITION AND STABILIZERS THERFOR

Germany

 

Granted

 

92302948.2

 

3-Apr-1992

 

69220277.3

 

11-Jun-1997

 

Witco Corporation

 

THIOESTER POLYMERIZATION MODIFIERS

Germany

 

Granted

 

93913975.4

 

18-May-1993

 

69319429.4

 

1-Jul-1998

 

Witco Corporation

 

ELECTRICAL GRADE POLYVINAL CHLORIDE RESIN COMPOSITION STABIL IZED WITH A NON-LEAD STABILIZER

Italy

 

Granted

 

91304066.3

 

7-May-1991

 

0457471

 

29-Jan-1997

 

Witco Corporation

 

POLYMER STABILIZER AND POLYMER COMPOSITION

 

327



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

STABILIZED THEREW ITH

Italy

 

Granted

 

92302948.2

 

3-Apr-1992

 

0507602

 

11-Jun-1997

 

Witco Corporation

 

THIOESTER POLYMERIZATION MODIFIERS

Italy

 

Granted

 

93913975.4

 

18-May-1993

 

0642548

 

1-Jul-1998

 

Witco Corporation

 

ELECTRICAL GRADE POLYVINAL CHLORIDE RESIN COMPOSITION STABIL IZED WITH A NON-LEAD STABILIZER

Japan

 

Granted

 

503903/1997

 

19-Jun-1996

 

3605415

 

8-Oct-2004

 

Witco Corporation

 

OVERBASED PVC STABILIZER

Japan

 

Granted

 

503899/1997

 

17-Jun-1996

 

4208962

 

31-Oct-2008

 

Witco Corporation

 

METHOD FOR MAKING OVERBASED PVC STABILIZER

Japan

 

Pending

 

79671/91

 

12-Apr-1991

 

 

 

 

 

Witco Corporation

 

Process for the Preparation of Aromatic Beta-Diketones

Mexico

 

Granted

 

99/11134

 

25-Feb-1999

 

207690

 

3-May-2002

 

Witco Corporation

 

OVERBASED MAGNESIUM DEPOSIT CONTROL ADDITIVE FOR RESIDUAL FU EL OILS

Mexico

 

Granted

 

25827

 

17-May-1991

 

183389

 

27-Nov-1996

 

Witco Corporation

 

POLYMER STABILIZER AND POLYMER COMPOSITION STABILIZED THEREW ITH

Netherlands

 

Granted

 

91304066.3

 

7-May-1991

 

0457471

 

29-Jan-1997

 

Witco Corporation

 

POLYMER STABILIZER AND POLYMER COMPOSITION

 

328



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

STABILIZED THEREW ITH

Netherlands

 

Granted

 

92302948.2

 

3-Apr-1992

 

0507602

 

11-Jun-1997

 

Witco Corporation

 

THIOESTER POLYMERIZATION MODIFIERS

Philippines

 

Granted

 

1-1995-51429

 

4-Oct-1995

 

1-1995-51429

 

23-Jan-2002

 

Witco Corporation

 

HYPO ALLERGENIC COATING COMPOSITION FOR LATEX RUBBER GLOVES.

Republic of Korea

 

Granted

 

95-24914

 

12-Aug-1995

 

375467

 

26-Feb-2003

 

Witco Corporation

 

HYPO ALLERGENIC COATING COMPOSITION FOR LATEX RUBBER GLOVES.

Singapore

 

Granted

 

9704175.0

 

28-Nov-1997

 

54604

 

16-Nov-1999

 

Witco Corporation

 

FUNCTIONAL GROUP TERMINATED POLYMERS CONTAINING SULFONATE GR OUP VIA SULFONATION OF ETHYLENICALLY UNSATURATED POLYMERS

Singapore

 

Granted

 

9704204.8

 

1-Dec-1997

 

55426

 

19-Jun-2001

 

Witco Corporation

 

WATER-BORNE POLYURETHANES FROM SULFONATE-GRAFTED POLYOLS

Singapore

 

Granted

 

9704174-3

 

28-Nov-1997

 

77613

 

21-Aug-2001

 

Witco Corporation

 

FUNCTIONAL GROUP-TERMINATED ARYL-FREE SULFONATED POLYMERS

 

329



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

Singapore

 

Granted

 

9905217-7

 

25-Feb-1999

 

68521

 

31-Aug-2005

 

Witco Corporation

 

VISCOSITY DRIFT CONTROL IN OVERBASED DETERGENTS

Spain

 

Granted

 

P9450003

 

18-May-1993

 

2078197

 

24-Jun-1996

 

Witco Corporation

 

ELECTRICAL GRADE POLYVINAL CHLORIDE RESIN COMPOSITION STABIL IZED WITH A NON-LEAD STABILIZER

Spain

 

Granted

 

94301460.5

 

1-Mar-1994

 

0613940

 

9-Jun-1999

 

Witco Corporation

 

OVERBASED CALCIUM SULFONATE GREASE

United States

 

Granted

 

271153

 

6-Jul-1994

 

5439602

 

8-Aug-1995

 

Witco Corporation

 

OVERBASED SULFONATES COMBINED WITH PETROLEUM OXIDATES FOR METAL FORMING

United States

 

Granted

 

08/768661

 

18-Dec-1996

 

5753774

 

19-May-1998

 

Witco Corporation

 

FUNCTIONAL GROUP TERMINATED POLYMERS CONTAINING SULFONATE GR OUP VIA SULFONATION OF ETHYLENICALLY UNSATURATED POLYMERS

United States

 

Granted

 

08/401784

 

10-Mar-1995

 

5527842

 

18-Jun-1996

 

Witco Corporation

 

ALKYL-THIO-GLYCOLATE PVC STABILIZERS WITH ADDED AROMATIC ETH ER ALCOHOL TO PREVENT

 

330



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PRECIPITATION

United States

 

Granted

 

08/566064

 

1-Dec-1995

 

5874643

 

23-Feb-1999

 

Witco Corporation

 

Hypophosphorous Acid to Stabilize Fatty Alcohols

United States

 

Granted

 

08/503886

 

18-Jul-1995

 

5741865

 

21-Apr-1998

 

Witco Corporation

 

Fatty Alkyl Diethanolamines to Stabilize the Optical Clarity of Polyols Containing Zink Fatty Acid Salts

United States

 

Granted

 

08/679270

 

12-Jul-1996

 

5807802

 

15-Sep-1998

 

Witco Corporation

 

STABLE AQUEOUS DISPERSIONS OF DIBUTYLIN OXIDE

United States

 

Granted

 

08/457813

 

1-Jun-1995

 

5567751

 

22-Oct-1996

 

Witco Corporation

 

ALKYL-TIN PVC STABILIZERS WITH ADDED AROMATIC ETHER ALCOHOL TO PREVENT PRECIPITATION

United States

 

Granted

 

08/850689

 

2-May-1997

 

5880189

 

9-Mar-1999

 

Witco Corporation

 

LIQUID PVC STABILIZERS AND LUBRICANTS

United States

 

Granted

 

08/492629

 

20-Jun-1995

 

5872166

 

16-Feb-1999

 

Witco Corporation

 

OVERBASED PVC STABILIZER

United States

 

Granted

 

08/870968

 

6-Jun-1997

 

5888427

 

30-Mar-1999

 

Witco Corporation

 

METHOD FOR MAKING OVERBASED PVC STABILIZER

United States

 

Granted

 

08/768662

 

18-Dec-1996

 

5698626

 

16-Dec-1997

 

Witco Corporation

 

FUNCTIONAL GROUP-TERMINATED ARYL-FREE SULFONATED POLYMERS

United States

 

Granted

 

08/583458

 

5-Jan-1996

 

5686025

 

11-Nov-1997

 

Witco Corporation

 

STABILIZER AND BLOWING AGENT USEFUL FOR RIGID FOAMED PVC

 

331



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

United States

 

Granted

 

08/897272

 

21-Jul-1997

 

5821274

 

13-Oct-1998

 

Witco Corporation

 

STABILIZER AND BLOWING AGENT USEFUL FOR RIGID FOAMED PVC

United States

 

Granted

 

08/745005

 

7-Nov-1996

 

5659060

 

19-Aug-1997

 

Witco Corporation

 

ARYL FLUOROPHOSPHITES USEFUL AS STABILIZERS IN POLYOLEFINS

United States

 

Granted

 

08/646233

 

13-May-1996

 

5712320

 

27-Jan-1998

 

Witco Corporation

 

Low Fogging Polyester Polyurethane Foams

United States

 

Granted

 

770991

 

1-Oct-1991

 

5198486

 

30-Mar-1993

 

Witco Corporation

 

S-Alkylthiopropionic Acids and Derivatives

United States

 

Granted

 

402155

 

9-Mar-1995

 

5516821

 

14-May-1996

 

Witco Corporation

 

Polymer Stabilizer and Polymer Composition Therewith

United States

 

Granted

 

463199

 

5-Jun-1995

 

5518662

 

21-May-1996

 

Witco Corporation

 

POLYMER STABILIZER AND POLYMER COMPOSITION THEREWITH

United States

 

Granted

 

519002

 

4-May-1990

 

4977193

 

11-Dec-1990

 

Witco Corporation

 

Stabilization and Foaming of PolyvinylChloride Resins

United States

 

Granted

 

525443

 

18-May-1990

 

5034443

 

23-Jul-1991

 

Witco Corporation

 

POLYMER STABILIZER AND POLYMER COMPOSITION STA- BILIZED THER EWITH

United States

 

Granted

 

722350

 

27-Jun-1991

 

5225108

 

6-Jul-1993

 

Witco Corporation

 

POLYMER STABILIZER AND POLYMER COMPOSITION STABLIZED

 

332



 

Country

 

Status

 

Application
No.

 

Application
Date

 

Patent No.

 

Grant Date

 

Record
Owner

 

Title

 

 

 

 

 

 

 

 

 

 

 

 

 

 

THEREWI TH

United States

 

Granted

 

526833

 

22-May-1990

 

5102933

 

7-Apr-1992

 

Witco Corporation

 

POLYVINYLCHLORIDE COMPOSITION AND STABILIZERS THEREFOR

United States

 

Granted

 

609479

 

5-Nov-1990

 

5157147

 

20-Oct-1992

 

Witco Corporation

 

METHOD FOR PREPARING MERCAPTOPROPIONIC ACID ESTERS

United States

 

Granted

 

999454

 

29-Dec-1992

 

5286788

 

15-Feb-1994

 

Witco Corporation

 

THIOESTER POLYMERIZATION MODIFIERS

United States

 

Granted

 

08/819024

 

17-Mar-1997

 

5756570

 

26-May-1998

 

Witco Corporation

 

ELECTRICAL GRADE POLYVINYLCHLORIDE RESIN COMPOSITION STABILIZED WITH A NON-LEAD STABILIZER

United States

 

Granted

 

025598

 

3-Mar-1993

 

5308514

 

3-May-1994

 

Witco Corporation

 

IMPROVED CALCIUM SULFONATE GREASES

United States

 

Granted

 

025867

 

3-Mar-1993

 

5338467

 

16-Aug-1994

 

Witco Corporation

 

SULFONATE GREASE IMPROVEMENT

United States

 

Granted

 

07/564792

 

8-Aug-1990

 

5055495

 

8-Oct-1991

 

Witco Corporation

 

STABILIZATION AND FOAMING OF POLYVINYLCHLORIDE RESINS

United States

 

Granted

 

627542

 

10-Dec-1990

 

5057622

 

15-Oct-1991

 

Witco Corporation

 

S-ALKYLTHIOPROPIONIC ACIDS AND DERIVATIVES

 

333



 

Schedule III

Material IP Agreements

 

None.

 

5



 

Schedule IV

Initial Pledged Equity

 

Grantor

 

Issuer

 

Class of Equity
Interest

 

Number
of Shares

 

Chemtura Corporation

 

Chemtura Receivables LLC

 

Uncertificated

 

 

 

Chemtura Holdings GmbH

 

Crompton Europe Financial Services Company

 

Certificated

 

330

 

Chemtura Corporation (successor to Uniroyal Chemical Company, Inc.)

 

Crompton Holding Corporation

 

Certificated

 

750

 

Great Lakes Chemical Corporation

 

Chemtura Holding Company, Inc.

 

Certificated

 

330

 

Chemtura Corporation

 

Chemtura Holding Company, Inc.

 

Certificated

 

330

 

Chemtura Corporation

 

Chemtura Holding Company, Inc.

 

Certificated

 

330

 

Chemtura Corporation

 

Weber City Road LLC

 

Uncertificated

 

N/A

 

Chemtura Corporation (successor to Uniroyal Chemical Company, Inc.)

 

CNK Chemical Realty Corporation

 

Certificated

 

100

 

Chemtura Corporation (successor to Uniroyal Chemical Company, Inc.)

 

Naugatuck Treatment Company

 

Certificated

 

100

 

Chemtura Corporation (successor to Uniroyal Chemical Company, Inc.)

 

GT Seed Treatment, Inc.

 

Certificated

 

116,310

 

Chemtura Corporation (successor to Uniroyal Chemical Company, Inc.)

 

Kem Manufacturing Corporation

 

Certificated

 

5,000

 

Chemtura Corporation (successor to Chemtura USA Corporation)

 

Uniroyal Chemical Company Limited

 

Certificated

 

3,997

 

Chemtura Corporation

 

Great Lakes Chemical Corporation

 

Certificated

 

100

 

Chemtura Corporation (successor to Uniroyal Chemical Company, Inc.)

 

Monochem, Inc.

 

Certificated

 

502,020

 

Chemtura Corporation (successor to Uniroyal Chemical Company, Inc.)

 

Crompton Monochem, Inc.

 

Certificated

 

1,000

 

Chemtura Corporation

 

PT Crompton Indonesia

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura (Thailand) Ltd.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Taiwan Limited

 

Uncertificated

 

 

 

Chemtura Corporation

 

Crompton, Inc.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Hong Kong Limited

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura (HK) Holding Co. Limited

 

Uncertificated

 

 

 

 

6



 

Grantor

 

Issuer

 

Class of Equity
Interest

 

Number
of Shares

 

Chemtura Corporation

 

Crompton Specialties Asia Pacific Pte. Ltd.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Singapore Pte. Ltd.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Crompton Specialties Shanghai Company Limited

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Chemicals (Nanjing) Co., Ltd.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Australia Pty. Ltd.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Chemicals India Private Limited

 

Uncertificated

 

 

 

Chemtura Corporation

 

Crompton & Knowles of Canada Ltd.

 

Uncertificated

 

 

 

Chemtura Corporation

 

0956-0921 Quebec Inc.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Quimica Argentina S.A.C.I.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Colombia Ltda.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Crompton Corporation Ltda.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Corporation Mexico de R.L. de C.V.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Crompton Servicios S.A. de C.V.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Specialties Ecuador S.A.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Belgium N.V.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Korea Inc.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Uniroyal Chemical S.A.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Europe Limited

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura (Pty.) Ltd.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Uniroyal Chemical S.A.R.L.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Crompton S.A.

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Management GmbH

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Holdings GmbH

 

Uncertificated

 

 

 

Chemtura Corporation

 

Chemtura Verwaltungs GmbH

 

Uncertificated

 

 

 

Chemtura Corporation (as successor to Chemtura USA Corporation)

 

Uniroyal Chemical Taiwan Limited

 

Uncertificated

 

 

 

Great Lakes Chemical Corporation

 

GLCC Laurel, LLC

 

Uncertificated

 

 

 

Laurel Industries Holdings, Inc.

 

GLCC Laurel, LLC

 

Uncertificated

 

 

 

Great Lakes Chemical Global, Inc.

 

Laurel Industries Holdings, Inc.

 

Uncertificated

 

 

 

 

7



 

Grantor

 

Issuer

 

Class of Equity
Interest

 

Number
of Shares

 

Bio-Lab, Inc.

 

BioLab Company Store, LLC

 

Uncertificated

 

 

 

Bio-Lab, Inc.

 

BioLab Franchise Company, LLC

 

Uncertificated

 

 

 

Crompton Holding Corporation

 

Crompton Colors Incorporated

 

Certificated

 

500

 

Great Lakes Chemical Corporation

 

QO Chemicals, Inc.

 

Certificated

 

6,600

 

Great Lakes Chemical Corporation

 

Great Lakes Chemical Global, Inc.

 

Certificated

 

1,000

 

Great Lakes Chemical Corporation

 

Bio-Lab, Inc.

 

Certificated

 

915

 

Great Lakes Chemical Corporation

 

WRL of Indiana, Inc.

 

Certificated

 

10

 

Great Lakes Chemical Corporation

 

ISCI, Inc.

 

Certificated

 

6,526

 

Great Lakes Chemical Corporation

 

Chemtura Sales Mexico S. de R.L. de C.V.

 

Uncertificated

 

 

 

Bio-Lab, Inc.

 

ASCK, Inc.

 

Certificated

 

10

 

Bio-Lab, Inc.

 

Aqua Clear Industries, LLC

 

Certificated

 

100,000

 

Bio-Lab, Inc.

 

ASEPSIS, Inc.

 

Certificated

 

1,000

 

Bio-Lab, Inc.

 

HomeCare Labs, Inc.

 

Certificated

 

100

 

Bio-Lab, Inc.

 

Recreational Water Products, Inc.

 

Certificated

 

1,000

 

Bio-Lab, Inc.

 

Poolbrite (SA) (PTY) Ltd.

 

Uncertificated

 

 

 

Bio-Lab, Inc.

 

Recreational Water Products Inc. (Canada)

 

Uncertificated

 

 

 

Bio-Lab, Inc.

 

A & M Cleaning Products, LLC

 

Uncertificated

 

N/A

 

Bio-Lab, Inc.

 

BioLab Textile Additives, LLC

 

Uncertificated

 

N/A

 

Chemtura Corporation

 

Hatco Advanced Technologies Corporation

 

Certificated

 

66

 

Chemtura Corporation

 

Anderol B.V.

 

Uncertificated

 

 

 

Great Lakes Chemical Corporation

 

Niagara Insurance Company Ltd. (Bermuda Company)

 

Uncertificated

 

 

 

 

8



 

Schedule V

Initial Pledged Debt

 

None.

 

9



 

Schedule VI

Designated Account Debtors

 

Kuraray Co LTD

 

Japan

Chevron Japan LTD

 

Japan

LG Chem LTD

 

South Korea

Shell Eastern Petroleum PTE Ltd

 

Singapore

Exxon Mobil Chemical Asia Pacific

 

Singapore

 

10



 

Schedule VII

Form of Invoices

 

(See Attached)

 

11



 

Schedule VIII

Non-Filing Domestic Subsidiaries

 

Crompton Europe Financial Services Company

Crompton LLC

Chemtura Holding Company, Inc.

Chemtura Receivables LLC

Assured Insurance Company

Hatco Advanced Technologies Corporation

QO Chemicals, Inc.

Great Lakes Trading Company, Inc.

GLCC Mexico Holdings, Inc.

 

12



 

SCHEDULE IX

 

EXISTING LETTERS OF CREDIT

 

Roll Up Revolver Facility

 

LC #

 

Issuing
Bank

 

Type

 

Issuer

 

Beneficiary

 

Amount

 

Issuance Date

 

Expiration
Date

 

Comments

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

63650985

 

Citi

 

STB

 

Chemtura Corporation

 

National Union Fire Insurance

 

6,500,000.00

 

5/28/2009

 

5/29/2010

 

 

 

63651371

 

Citi

 

STB

 

Chemtura Corporation

 

American Casualty Co.

 

600,000.00

 

7/1/2009

 

7/1/2010

 

Increase by $50,000 on 7/28/2009

 

63651372

 

Citi

 

STB

 

Chemtura Corporation

 

American Casualty Co.

 

20,000.00

 

7/1/2009

 

7/1/2010

 

 

 

63651369

 

Citi

 

STB

 

Chemtura Corporation

 

American Casualty Co.

 

200,000.00

 

7/1/2009

 

7/1/2010

 

Increase by $50,000 on 7/28/2009

 

63651424

 

Citi

 

STB

 

Chemtura Corporation

 

Banco Citibank

 

10,800,000.00

 

7/8/2009

 

7/8/2010

 

Increase by $4,200,000 on 10/21/09 and increased by $1,800,000 on 10/29/09

 

63651439

 

Citi

 

STB

 

Chemtura Corporation

 

Citibank International PLC

 

240,000.00

 

7/9/2009

 

7/8/2010

 

 

 

63651696

 

Citi

 

STB

 

Chemtura Corporation

 

Citibank N.A. Mumbai

 

450,000.00

 

8/7/2009

 

8/6/2010

 

New Issuance

 

63652405

 

Citi

 

STB

 

Chemtura Corporation

 

State of Vermont

 

250,000.00

 

10/9/2009

 

10/14/2010

 

New Issuance

 

63652413

 

Citi

 

STB

 

Chemtura Corporation

 

National Union Fire

 

25,000.00

 

10/15/2009

 

10/20/2010

 

New Issuance

 

63652646

 

Citi

 

STB

 

Chemtura Corporation

 

Insurance Commissioner of W. VA

 

250,000.00

 

11/6/2009

 

11/13/2010

 

New Issuance

 

 

 

 

 

 

 

 

 

Sub Total LC’s under the Roll Up

 

$

19,335,000.00

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Expired/Cancelled

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Total LC’s under the Roll Up

 

$

19,335,000.00

 

 

 

 

 

 

 

 

13


 


 

Schedule 4.01(a)

Equity Investments; Subsidiaries

 

Subsidiary

 

Percentage Owned
directly or indirectly
by the Borrower

 

State or Country of
Formation

 

9056-0921 Quebec Inc.

 

100

 

Canada

 

A & M Cleaning Products, LLC

 

100

 

Delaware

 

Anderol B.V.

 

100

 

The Netherlands

 

Anderol Italia S.r.l.

 

51

 

Italy

 

Antimony Products (Proprietary) Ltd.

 

75

 

South Africa

 

Aqua Clear Industries, LLC

 

100

 

New York

 

ASCK, Inc.

 

100

 

Delaware

 

ASEPSIS Inc.

 

100

 

Canada

 

Asepsis U.K. Limited

 

100

 

United Kingdom

 

ASEPSIS, Inc.

 

100

 

Georgia

 

ASIA Stabilizers Co., Ltd.

 

65

 

Korea

 

Assured Insurance Company

 

100

 

Vermont

 

Baxenden Chemicals Limited

 

100

 

United Kingdom

 

Baxenden Scandinavia A.S.

 

100

 

Denmark

 

BAYROL Deutschland GmbH

 

100

 

Germany

 

BAYROL France S.A.S.

 

100

 

France

 

BAYROL Iberica S.A.

 

100

 

Spain

 

BAYROL Scandinavia A/S

 

100

 

Denmark

 

BioLab Australia Pty. Ltd.

 

100

 

Australia

 

BioLab Company Store, LLC

 

100

 

Delaware

 

BioLab Franchise Company, LLC

 

100

 

Delaware

 

BioLab Textile Additives, LLC

 

100

 

Delaware

 

BioLab U.K. Limited

 

100

 

United Kingdom

 

Bio-Lab Canada Inc.

 

100

 

Canada

 

Bio-Lab, Inc.

 

100

 

Delaware

 

BLSA Industries (Proprietary) Limited

 

100

 

South Africa

 

Certis Europe B.V.

 

15

 

The Netherlands

 

Chemol Reszvenytarsasag International

 

78.3

 

Hungary

 

Chemtura (HK) Holding Co. Limited

 

100

 

China-Hong Kong

 

Chemtura (PTY) Limited

 

100

 

South Africa

 

Chemtura (Thailand) Limited

 

100

 

Thailand

 

Chemtura Australia Pty. Ltd.

 

100

 

Australia

 

Chemtura Belgium N.V.

 

100

 

Belgium

 

Chemtura Canada Co./Cie

 

100

 

Canada

 

Chemtura Chemicals (Nanjing) Company Limited

 

100

 

China-PRC

 

Chemtura Chemicals India Private Limited

 

100

 

India

 

Chemtura Colombia Limitada

 

100

 

Colombia

 

Chemtura Corporation U.K. Limited

 

100

 

United Kingdom

 

Chemtura Corporation Mexico, S. de R.L. de C.V.

 

100

 

Mexico

 

Chemtura Europe d.o.o.

 

100

 

Slovenia

 

Chemtura Europe GmbH

 

100

 

Switzerland

 

Chemtura Europe Limited

 

100

 

United Kingdom

 

 

1



 

Subsidiary

 

Percentage Owned
directly or indirectly
by the Borrower

 

State or Country of
Formation

 

Chemtura France SAS

 

100

 

France

 

Chemtura Holding Company, Inc.

 

100

 

Delaware

 

Chemtura Holdings GmbH

 

100

 

Germany

 

Chemtura Hong Kong Limited

 

100

 

China-Hong Kong

 

Chemtura Industria Quimica do Brasil Limitada

 

100

 

Brazil

 

Chemtura Italy S.r.l.

 

100

 

Italy

 

Chemtura Japan Limited

 

100

 

Japan

 

Chemtura Korea Inc.

 

100

 

Korea

 

Chemtura LLC

 

100

 

Russia

 

Chemtura Management GmbH

 

100

 

Germany

 

Chemtura Manufacturing Germany GmbH

 

100

 

Germany

 

Chemtura Manufacturing Italy S.r.I.

 

100

 

Italy

 

Chemtura Manufacturing UK Limited

 

100

 

United Kingdom

 

Chemtura Netherlands B.V.

 

100

 

The Netherlands

 

Chemtura New Zealand Limited

 

100

 

New Zealand

 

Chemtura Organometallics GmbH

 

100

 

Germany

 

Chemtura Receivables LLC

 

100

 

Delaware

 

Chemtura Quimica Argentina S.A.C.I.

 

100

 

Argentina

 

Chemtura Sales France SAS

 

100

 

France

 

Chemtura Sales Germany GmbH

 

100

 

Germany

 

Chemtura Sales Mexico, S. de R.L. de C.V.

 

100

 

Mexico

 

Chemtura Sales UK Limited

 

100

 

United Kingdom

 

Chemtura Shanghai Co., Ltd.

 

100

 

China-PRC

 

Chemtura Singapore Pte. Ltd.

 

100

 

Singapore

 

Chemtura Specialties Ecuador S.A.

 

100

 

Ecuador

 

Chemtura Taiwan Limited

 

100

 

Taiwan

 

Chemtura Technology B.V.

 

100

 

The Netherlands

 

Chemtura Technology Belgium N.V.

 

100

 

Belgium

 

Chemtura UK Limited

 

100

 

United Kingdom

 

Chemtura Vermögensverwaltungs GmbH & Co. KG

 

100

 

Germany

 

Chemtura Verwaltungs GmbH

 

50

 

Germany

 

Chemtura Vinyl Additives GmbH

 

100

 

Germany

 

CNK Chemical Realty Corporation

 

100

 

Pennsylvania

 

CPC Bayrol Limited

 

100

 

United Kingdom

 

Crompton & Knowles of Canada Limited

 

100

 

Canada

 

Crompton (Uniroyal Chemical) Registrations Limited

 

100

 

United Kingdom

 

Crompton Chemicals B.V.

 

100

 

The Netherlands

 

Crompton Colors Incorporated

 

100

 

Delaware

 

Crompton Corporation Ltda.

 

100

 

Chile

 

Crompton Europe Financial Services Company

 

100

 

Delaware

 

Crompton European Holdings B.V.

 

100

 

The Netherlands

 

Crompton Financial Holdings

 

100

 

Ireland

 

Crompton Holding Corporation

 

100

 

Delaware

 

Crompton Holdings B.V.

 

100

 

The Netherlands

 

 

2



 

Subsidiary

 

Percentage Owned
directly or indirectly
by the Borrower

 

State or Country of
Formation

 

Crompton Investments S.A.S.

 

100

 

France

 

Crompton Ireland Investment Company Limited

 

100

 

Ireland

 

Crompton Kazakhstan LLP

 

100

 

Kazakhstan

 

Crompton LLC

 

100

 

Delaware

 

Crompton Monochem, Inc.

 

100

 

Louisiana

 

Crompton Overseas B.V.

 

100

 

The Netherlands

 

Crompton S.A.

 

100

 

Switzerland

 

Crompton Services B.V.B.A.

 

100

 

Belgium

 

Crompton Servicios S.A. de C.V.

 

100

 

Mexico

 

Crompton Specialties Asia Pacific Pte. Ltd.

 

100

 

Singapore

 

Crompton Specialties GmbH

 

100

 

Germany

 

Crompton Specialties Limited

 

92

 

Thailand

 

Crompton Specialties Shanghai Company Limited

 

100

 

China-PRC

 

Crompton, Inc.

 

100

 

Philippines

 

DiaKhem Technologies, LLC

 

30

 

Michigan

 

EPA B.V.

 

100

 

The Netherlands

 

Estech GmbH & Co. KG

 

49

 

Germany

 

Estech Managing GmbH

 

49

 

Germany

 

GL Development, Ltd.

 

100

 

British West Indies

 

GLCC Laurel de Mexico, S.A. de C.V.

 

100

 

Mexico

 

GLCC Laurel, LLC

 

100

 

Delaware

 

GLCC Mexico Holdings, Inc.

 

100

 

Delaware

 

Great Lakes Chemical (Far East) Limited

 

100

 

Hong Kong

 

Great Lakes Chemical (Netherlands) B.V.

 

100

 

The Netherlands

 

Great Lakes Chemical (S) Pte. Ltd

 

100

 

Singapore

 

Great Lakes Chemical Corporation

 

100

 

Delaware

 

Great Lakes Chemical Global, Inc.

 

100

 

Delaware

 

Great Lakes Chemical Konstanz GmbH

 

100

 

Germany

 

Great Lakes Europe Unlimited

 

100

 

United Kingdom

 

Great Lakes Holding (Europe) A.G.

 

100

 

Switzerland

 

Great Lakes Holding Deutschland GmbH

 

100

 

Germany

 

Great Lakes Holding S.A.S.

 

100

 

France

 

Great Lakes Trading Company, Inc.

 

100

 

Delaware

 

Great Lakes Vermögensverwaltungs GmbH & Co. KG

 

100

 

Germany

 

GT Seed Treatment, Inc.

 

100

 

Minnesota

 

Gulf Stabilizers Industries Sales FZCO

 

52

 

Dubai

 

Gulf Stabilizers Industries, Ltd.

 

49

 

Saudi Arabia

 

Hatco Advanced Technologies Corporation

 

100

 

Delaware

 

Hattech GmbH

 

100

 

Germany

 

HomeCare Labs, Inc.

 

100

 

Delaware

 

Hydrotech Chemical Corporation

 

100

 

Canada

 

Hydrotech Chemical Corporation Pty. Ltd.

 

100

 

Australia

 

INTERBAYROL, A.G.

 

100

 

Switzerland

 

ISCI, Inc.

 

100

 

Indiana

 

Isofoam Limited

 

100

 

England

 

 

3



 

Subsidiary

 

Percentage Owned
directly or indirectly
by the Borrower

 

State or Country of
Formation

 

Kem Manufacturing Corporation

 

100

 

Georgia

 

Knight Investments B.V.

 

100

 

The Netherlands

 

Laurel Industries Holdings, Inc.

 

100

 

Delaware

 

Monochem, Inc.

 

100

 

Louisiana

 

MPC S.A.R.L.

 

100

 

France

 

Nanjing Crompton Shuguang Organosilicon Specialties Co., Ltd.

 

85

 

China-PRC

 

Naugatuck Treatment Company

 

100

 

Connecticut

 

Niagara Insurance Company, Ltd.

 

100

 

Bermuda

 

Penn Specialty Chemicals Inc.

 

29.8

 

Delaware

 

NPC Services, Inc.

 

12.75

 

Louisiana

 

Poolbrite (SA) (Pty) Ltd

 

100

 

South Africa

 

POOLTIME GmbH

 

100

 

Germany

 

PT Crompton Indonesia

 

100

 

Indonesia

 

QO Chemicals GmbH

 

100

 

Germany

 

QO Chemicals, Inc.

 

100

 

Delaware

 

Recreational Water Products Inc.

 

100

 

Canada

 

Recreational Water Products Pty. Ltd.

 

100

 

Australia

 

Recreational Water Products, Inc.

 

100

 

Delaware

 

Rubicon LLC

 

50

 

Utah

 

Sonneborn Crompton Sodium Joint Venture B.V.

 

50

 

The Netherlands

 

TETRABROM Technologies Ltd.

 

50

 

Israel

 

Unimers India Limited

 

1.62

 

India

 

Uniroyal Chemical Company Limited

 

100

 

Bahamas

 

Uniroyal Chemical Company Limited (Delaware)

 

100

 

Delaware

 

Uniroyal Chemical S.A.

 

100

 

Spain

 

Uniroyal Chemical S.A.R.L.

 

100

 

Switzerland

 

Uniroyal Chemical Taiwan Limited

 

80

 

Taiwan

 

Vestaron Corporation

 

8.12

 

Delaware

 

Weber City Road LLC

 

100

 

Louisiana

 

WRL of Indiana, Inc.

 

100

 

Indiana

 

 

4



 

Schedule 4.01(b)

Loan Parties

 

Loan Party

 

Jurisdiction of
Formation

 

Taxpayer ID Number/Non-US
Unique ID Number

 

Chemtura Corporation

 

Delaware

 

52-2183153

 

A & M Cleaning Products, LLC

 

Delaware

 

20-0994712

 

Aqua Clear Industries, LLC

 

New York

 

14-1801394

 

ASCK, Inc.

 

Delaware

 

35-2024489

 

ASEPSIS, Inc.

 

Georgia

 

58-6016270

 

BioLab Company Store, LLC

 

Delaware

 

41-2260131

 

Bio-Lab Franchise Company, LLC

 

Delaware

 

77-0706709

 

Bio-Lab, Inc.

 

Delaware

 

22-2268754

 

BioLab Textile Additives, LLC

 

Delaware

 

36-4514348

 

CNK Chemical Realty Corporation

 

Pennsylvania

 

25-1885340

 

Crompton Colors Incorporated

 

Delaware

 

06-1413341

 

Crompton Holding Corporation

 

Delaware

 

06-1413342

 

Crompton Monochem, Inc.

 

Louisiana

 

62-1873574

 

GLCC Laurel, LLC

 

Delaware

 

16-1695687

 

Great Lakes Chemical Corporation

 

Delaware

 

95-1765035

 

Great Lakes Chemical Global, Inc.

 

Delaware

 

35-2024486

 

GT Seed Treatment, Inc.

 

Minnesota

 

41-0795292

 

HomeCare Labs, Inc.

 

Delaware

 

57-1095038

 

ISCI, Inc.

 

Indiana

 

35-1427696

 

Kem Manufacturing Corporation

 

Georgia

 

58-0620603

 

Laurel Industries Holdings, Inc.

 

Delaware

 

76-0213635

 

Monochem, Inc.

 

Louisiana

 

72-0545612

 

Naugatuck Treatment Company

 

Connecticut

 

06-0902035

 

Recreational Water Products, Inc.

 

Delaware

 

22-2268754

 

Uniroyal Chemical Company Limited (Delaware)

 

Delaware

 

98-0159910

 

Weber City Road LLC

 

Louisiana

 

62-1864381

 

WRL of Indiana, Inc.

 

Indiana

 

35-1119136

 

 

5



 

Schedule 4.01(i)

Disclosures

 

None.

 

6



 

Schedule 4.01(m)

Environmental Liabilities

 

None.

 

7



 

Schedule 4.01(t)

Surviving Debt

 

Borrower

 

Lender/Trustee

 

Description

 

Transaction Currency
Balance as of
February 1, 2010

 

Chemtura Corporation

 

Manufacturers and Traders Trust Company, as Indenture Trustee

 

$150 million of 6.875% Debentures due 2026

 

$

150,000,000.00

 

Chemtura Corporation

 

U.S. Bank National Association, as Trustee

 

$500 million of 6.875% Debentures due 2016

 

$

500,000,000.00

 

Great Lakes Chemical Corporation

 

The Bank of New York Mellon Trust Company, National Association, as Indenture Trustee

 

$400 million of 7.00% Debentures due 2009

 

$

370,000,00000

 

Chemtura Corporation

 

Citibank

 

Revolving Credit Agreement

 

$

151,699,790.77

 

Chemtura Corporation

 

Deutsche Bank

 

Connecticut DEP - SAO

 

$

2,000,000.00

 

Chemtura Corporation

 

Deutsche Bank

 

Banca Intesa

 

1,350,000

 

Chemtura Corporation

 

Citibank

 

Zurich American Ins

 

$

2,295,200.00

 

Chemtura Corporation

 

Deutsche Bank

 

Louisiana DEQ - SAO / NSAO (Geismar)

 

$

2,000,000.00

 

Chemtura Corporation

 

Calyon

 

United States EPA - Eldorado

 

$

1,600,000.00

 

Chemtura Corporation

 

Calyon

 

Arkansas Dept of Env. Quality - Eldorado

 

$

11,880,106.00

 

Chemtura Corporation

 

Calyon

 

Arkansas Dept of Env. Quality - Eldorado

 

$

8,000,000.00

 

Chemtura Corporation

 

Rubicon LLC

 

Capital Lease

 

$

2,848,220

 

Anderol Italia SRL

 

Banca Intesa

 

Term Loans

 

764,515

 

Asia Stabilizers Co

 

Korea Development Bank

 

Equipment Loan

 

KRW

766,693,000

 

Asia Stabilizers Co

 

Korea Exchange Bank

 

Operating Loan

 

KRW

1,057,107,000

 

Asia Stabilizers Co

 

Shinhan Bank

 

Operating Loan

 

KRW

800,381,000

 

Crompton Specialty Chemicals India Pte Ltd

 

Citibank India

 

Line of credit

 

IDR

20,000,000

 

 

1



 

Schedule 4.01(u)

Lien

 

1.               Asia Stabilizers Co., Ltd. has granted liens against its land, building and new production line as collateral to secure loan agreements with certain Korean banks, in an aggregate principal amount of approximately KRW 10 Billion (approximately US$9.3MM)

 

2.               Chemtura Corporation, in accordance with the December 31, 2008 executed Waiver and Amendment No. 2 to the Amended and Restated Credit Agreement dated as of July 31, 2008, has granted to the Agent, a security interest as defined in Section 2 of the executed Second Amended and Restated Pledge and Security Agreement, dated as of December 31, 2008

 

DEBTOR

 

JURISDICTION

 

SECURED PARTY

 

DATE & FILE NO.

 

DESCRIPTION

 

A&M Cleaning Products, LLC

 

DE- Secretary of State

 

Citibank, N.A., as agent
Two Penns Way
New Castle, DE 19720

 

12/31/08
2008-4330567

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

A&M Cleaning Products, LLC
1735 North Brown Road
Lawrenceville, GA 30043

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE 19720

 

3/24/09
2009 0928850

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Aqua Clear Industries, LLC

 

NY- Secretary of State

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

12/31/08

200812310857433

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

Aqua Clear Industries, LLC
1735 North Brown Road
Lawrenceville, GA  30043

 

NY - Dept. of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
200903240164355

 

All assets

 

 



 

ASCK, Inc.

 

DE- Secretary of State

 

Citibank, N.A., as agent

Two Penn Way

New Castle, DE 19720

 

12/31/08

2008-4331425

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

ASCK, Inc.
199 Benson Road
Middlebury, CT  06749

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 0928918

 

All assets

 

 

 

 

 

 

 

 

 

 

 

ASEPSIS, Inc.

 

GA- Cooperative Authority

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

1/2/09

060-2009-000004

 

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

ASEPSIS, Inc.
199 Benson Road
Middlebury, CT  06749

 

GA - Cooperative Authority

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/25/09
0602009-02487

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Biolab Company Store, LLC

 

DE- Secretary of State

 

Citibank, N.A., as agent

Two Penn Way

New Castle, DE 19720

 

12/31/08

2008-4331490

 

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

Biolab Company Store, LLC
1735 North Brown Road
Lawrenceville, GA  30043

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
009 0928785

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Bio-lab Franchise Company, LLC

 

DE- Secretary of State

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

12/31/08

2008-4331623

 

 

Blanket Security Interest

 

 



 

Bio-lab Franchise Company, LLC
1735 North Brown Road
Lawrenceville, GA  30043

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 0928827

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Biolab Textile Additives, LLC

 

DE- Secretary of State

 

Citibank, N.A., as agent

Two Penn Way

New Castle, DE 19720

 

12/31/08

2008-4331680

 

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

BioLab Textile Additives, LLC
199 Benson Road
Middlebury, CT  06749

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 0928959

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc.

 

DE- Secretary of State

 

Citibank, N.A., as Agent

Tow Penns Way

New Castle, DE 19720

 

6/27/07

2007-2437125

 

Blank Security Interest

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc.

 

DE- Secretary of State

 

Citibank, N.A., as Agent

Tow Penns Way

New Castle, DE 19720

 

12/31/08

2008-4239387

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc.

 

DE- Secretary of State

 

Recycle America Alliance, L.L.C.

4600 North Port

Washington Road

Milwaukee, WI 53212

 

11/17/03

33009928

 

 

Leased Equipment- Selco 60 VS-HD Bailer

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc.

 

DE-Secretary of State

 

Crown Credit Company

40 S. Washington Street

New Bremen, OH 45869

 

1/14/05

50169434

 

Leased Equipment - 3 Crown Lift Trucks

 

 



 

Bio-Lab, Inc.

 

DE- Secretary of State

 

Toyota Motor Credit Corporation

P.O. Box 3457

Torrance, CA 90510

 

2/23/05

50586223

 

Leased Equipment - 10 Toyota Fort Lift T-Model Trucks

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc.

 

DE- Secretary of State

 

Toyota Motor Credit Corporation

P.O. Box 3457

Torrance, CA 90510

 

4/25/05

51255893

 

Leased Equipment - 12 Toyota Fork Lift T-Model Trucks

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc.

 

DE- Secretary of State

 

Toyota Motor Credit Corporation

P.O. Box 3457

Torrance, CA 90510

 

5/3/05

51353672

 

Leased Equipment - 16 Toyota Fork Lift T-Model Trucks

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc.

 

DE- Secretary of State

 

Toyota Motor Credit Corporation

P.O. Box 3457

Torrance, CA 90510

 

12/27/07

2007-4873815

 

Leased Equipment - 4 Toyota Fork Lifts

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc.

 

DE- Secretary of State

 

Toyota Motor Credit Corporation

P.O. Box 3457

Torrance, CA 90510

 

2/12/08

2008-0516748

 

Leased Equipment - 10 Toyota Fork Lifts

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc.

 

DE- Secretary of State

 

Toyota Motor Credit Corporation

P.O. Box 3457

Torrance, CA 90510

 

2/21/08

2008-0625531

 

Leased Equipment - 3 new Toyota Fork Lifts

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc.

 

DE- Secretary of State

 

Toyota Motor Credit Corporation

P.O. Box 3457

Torrance, CA 90510

 

5/13/08

2008-1650470

 

Leased Equipment - 7 new Toyota Fork lifts

 

 



 

Bio-Lab, Inc.

 

DE- Secretary of State

 

Toyota Motor Credit Corporation

P.O. Box 3457

Torrance, CA 90510

 

6/10/08

2008-1981985

 

Leased Equipment - 3 Used Fork lifts

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc.

 

DE- Secretary of State

 

Toyota Motor Credit Corporation

P.O. Box 3457

Torrance, CA 90510

 

7/21/08

2008-2491759

 

Leased Equipment - 6 new Toyota Fork lifts

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc.

 

GA- Barrow County Clerk of Superior Court

 

Fuji film

850 Central Avenue

Hanover Park, IL 60133

 

11/12/04

007200415541

 

Fuji Graphic Arts equipment

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc. (Seller)

 

DE-Secretary of State

 

Citicorp USA, Inc., as Agent (Buyer)

390 Greenwich Street, 1st Fl.

New York, NY 10013

 

1/26/09

2009-0248523

 

Blank Security Interest in all Seller Receivables.

 

 

 

 

 

 

 

 

 

 

 

Bio-Lab, Inc.
199 Benson Road
Middlebury, CT  06749

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 0928934

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

Citicorp USA, Inc., as Agent (Buyer)

390 Greenwich Street, 1st Fl.

New York, NY 10013

 

1/26/09

2009-0248358

 

Blank Security Interest in all Seller Receivables.

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

Citibank, N.A., as Agent

Two Penns Way

New Castle, DE 19720

 

6/27/07

2007-2437175

 

Blanket Security Interest

 

 



 

Chemtura Corporation

 

CT- Secretary of State

 

MB Financial Bank, N.A.

6111 North River Road

Rosemont, IL 60018

 

6/29/07

0002465329

Page 1 of 2 of Vol U-00360

 

Leased Equipment under Master Lease with Schedule #001 dated 5/8/07

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

CT- Secretary of State

 

LaSalle Systems Leasing, Inc.

6111 North River Road

Rosemont, IL 60018

 

12/14/07

0002608607

Page 1 of 1 of Vol U-00372

 

Leased Equipment under Master Lease dated 5/8/07 with Schedule #002 dated 8/6/07

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

Lyondell Chemical Company

1221 McKinney, Suite 1600

Houston, TX 77010

 

7/10/08

2008-2361598

 

Continuation of 3328252

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

Citicorp Del Lease, Inc.

d/b/a Citicorp Dealer Finance

450 Mamaroneck Ave,

Harrison, NY 10528

 

10/7/05

53114197

 

Amendment to 22314312 to correct Debtor’s name to “Chemtura Corporation” and change Debtor address to 199 Benson Road, Middlebury, CT 06749

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE- Secretary of State

 

Bankers/Softech, a Division of Citicapital Technology Finance, Inc.

450 Mamaroneck Ave

Harrison, NY 10528

 

9/30/05

53027381

 

In lieu statement from SOS-CT - Leased equipment

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE- Secretary of State

 

IOS Capital

1738 Bass Road

Macon, GA 31210

 

11/15/05

53531424

 

Leased equipment under Master Lease Agreement

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE- Secretary of State

 

General Electric Capital Corporation

10 Riverview Drive

Danbury, CT 06810

 

1/17/06

60166371

 

All accounts receivable for which Honeywell International us the Account Debtor and which have been purchased by the Debtor pursuant to an Agreement dated 12/17/99.

 

 



 

Chemtura Corporation

 

DE-Secretary of State

 

Trilogy Leasing Co., LLC

2551 Route 130

Cranbury, NJ 08512

 

IDB Leasing Inc.

1001 Durham Ave.

South Plainfield, NJ 07080

 

4/19/06

61313733

 

Lease Equipment - under Master Lease dated 2/18/00 by and between Debtor and Secured Party

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

MB Financial Bank, N.A.

6111 N. River Road

Rosemont, IL 60018

 

1/3/07

2007-0013267

 

Leased Equipment under Master Lease Agreement dated 2/18/00 by and between Debtor and Trilogy Leasing Co., LLC.

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

Trilogy Leasing Co., LLC 2551 Route 130

Cranbury, NJ 08512

 

1st Constitution Bank

2650 Route 130

Cranbury, NJ 08512

 

2/9/07

2007-0522549

 

Lease Equipment - under Master Lease dated 2/18/00 by and between Debtor and Secured Party

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

Lanxess Corporation

111 Ridc Park West Drive

Pittsburg, PA 15275

 

3/2/07

2007-0798727

 

Debtor shall direct Baxter-Harris Co, Inc. to grant Secured Party first priority purchase money security interest in the Consignment Products -trade name Terrazole-Technical (CAS 63721-05-1)

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

De Lage Landen Financial Services Inc.

1111 Old Eagle School Road

Wayne, PA 19087

 

4/27/07

2007-1583110

 

Leased Equipment

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

MB Financial Bank, N.A.

6111 N. River Road

Rosemont, IL 60018

 

5/9/07

2007-1747947

 

Leased Equipment under Master Lease Agreement dated 2/18/00 by and between Debtor and Trilogy Leasing Co., LLC.

 

 



 

Chemtura Corporation

 

DE-Secretary of State

 

Trilogy Leasing Co., LLC

2551 Route 130

Cranbury, NJ 08512

 

1st Constitution Bank

2650 Route 130

Cranbury, NJ 08512

 

6/20/07

2007-2331105

 

Lease Equipment - under Master Lease dated 2/18/00 by and between Debtor and Secured Party

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

Cisco Systems Capital Corporation

111 Old Eagle School Road

Wayne, PA 19087

 

6/20/07

2007-2557758

 

Lease Equipment

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

Trilogy Leasing Co., LLC

2551 Route 130

Cranbury, NJ 08512

 

1st Constitution Bank

2650 Route 130

Cranbury, NJ 08512

 

8/20/07

2007-3157285

 

Lease Equipment - under Master Lease dated 2/18/00 by and between Debtor and Secured Party

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

MB Financial Bank, N.A.

6111 N. River Road

Rosemont, IL 60018

 

8/29/07

2007-3305983

 

Leased Equipment under Master Lease Agreement dated 2/18/00 by and between Debtor and Trilogy Leasing Co., LLC

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

AEL Financial LLC

600 North Buffalo Grove Road

Buffalo Grove, IL 60089

 

8/29/07

2007-3680781

 

Leased Equipment - Water Purification System

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

DE-Secretary of State

 

Trilogy Leasing Co., LLC

2551 Route 130

Cranbury, NJ 08512

 

MB Financial Bank, N.A.

6111 N. River Road

Rosemont, IL 60018

 

10/3/07

2007-3729695

 

Leased Equipment under Master Lease Agreement dated 2/18/00 by and between Debtor and Trilogy Leasing Co., LLC

 

 



 

Chemtura Corporation

 

DE-Secretary of State

 

Trilogy Leasing Co., LLC

2551 Route 130

Cranbury, NJ 08512

 

MB Financial Bank, N.A.

6111 N. River Road

Rosemont, IL 60018

 

2/29/08

2008-0736585

 

Amendment to 2007-3729695 to amend collateral description

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

 

DE-Secretary of State

 

Cisco Systems Capital Corporation

111 Old Eagle School Road

Wayne, PA 19087

 

11/16/07

2007-4418439

 

Leased Equipment

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

 

DE-Secretary of State

 

MB Financial Bank, N.A.

6111 N. River Road

Rosemont, IL 60018

 

 

2/29/08

2008-0736551

 

Amendment to 2007-4644224 to amend collateral description

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

 

DE-Secretary of State

 

MB Financial Bank, N.A.

6111 N. River Road

Rosemont, IL 60018

 

 

1/30/08

2008-0358968

 

Leased Equipment under Master Lease Agreement dated 2/18/00 by and between Debtor and Trilogy Leasing Co., LLC

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

 

DE-Secretary of State

 

MB Financial Bank, N.A.

6111 N. River Road

Rosemont, IL 60018

 

 

5/19/08

2008-1713278

 

Leased Equipment under Master Lease Agreement dated 2/18/00 by and between Debtor and Trilogy Leasing Co., LLC

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation

 

 

DE-Secretary of State

 

MB Financial Bank, N.A.

6111 N. River Road

Rosemont, IL 60018

 

 

8/22/08

2008-2868006

 

Leased Equipment under Master Lease Agreement dated 2/18/00 by and between Debtor and Trilogy Leasing Co., LLC

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation
199 Benson Road
Middlebury, CT  06749

 

DE - Secretary of State

 

Rohm and Haas Electronic Materials CMP Inc.
451 Bellevue Road
Newark, DE  19713

 

3/17/09
2009 0848025

 

Leased equipment

 

 



 

Chemtura Corporation
215 Merry Lane
East Hanover, NJ  07936

 

DE - Secretary of State

 

Trilogy Leasing Co., LLC
2551 Route 130
Cranbury, NJ  08512

 

3/23/09
2009 0909686

 

Leased equipment

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation
199 Benson Road
Middlebury, CT  06749

 

DE - Secretary of State

 

Trilogy Leasing Co., LLC
2551 Route 130
Cranbury, NJ  08512

 

3/23/09
2009 0909835

 

Leased equipment

 

 

 

 

 

 

 

 

 

 

 

 

Chemtura Corporation
199 Benson Road
Middlebury, CT  06749

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 0928975

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Chemtura Receivables, LLC

 

DE- Secretary of State

 

Citicorp USA, Inc., as Agent

390 Greenwich Street, 1st Floor

New York, NY 10013

 

1/26/09

2009-0248440

 

 

All assets of the Seller (Debtor)

 

 

 

 

 

 

 

 

 

 

 

CNK Chemical Realty Corporation

 

PA- Department of State

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

1/2/09

2009010503921

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

CNK Chemical Realty Corporation
199 Benson Road
Middlebury, CT  06749

 

PA - Dept. of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 032502951

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Crompton Colors Incorporated

 

DE-Secretary of State

 

Citibank, N.A., as Agent

Two Penns Way

New Castle, DE 19720

 

12/31/08

2008-4331722

 

Blanket Security Interest

 

 



 

Crompton Colors Incorporated
199 Benson Road
Middlebury, CT  06749

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 0929114

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Crompton Holding Corporation

 

DE-Secretary of State

 

Citibank, N.A., as Agent

Two Penns Way

New Castle, DE 19720 to

 

6/27/07

2007-2437209

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

Crompton Holding Corporation
199 Benson Road
Middlebury, CT  06749

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 0929130

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Crompton Monochem, Inc.

 

LA- Database

Acadia Parish

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

1/5/09

01-090027

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

Crompton Monochem, Inc.
199 Benson Road
Middlebury, CT  06749

 

LA - Acadia Parish

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/25/09
01-090490

 

All assets

 

 

 

 

 

 

 

 

 

 

 

GLCC Laurel, LLC

 

 

DE-Secretary of State

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

12/31/08

2008-4331821

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

GLCC Laurel, LLC

 

 

DE-Secretary of State

 

Citicorp USA, Inc., as agent

390 Greenwich Street, 1st Fl

New York, NY 10013

 

1/26/09

2009-0248481

 

Blank Security Interest in all Seller Receivables.

 

 



 

GLCC Laurel, LLC

 

 

DE- Secretary of State

 

Fifth Third Bank

215 N. Illinois, Suite 1000

Indianapolis, IN 46204

 

5/6/04

41262932

 

All acquired investory, accounts, supporting obligation, software, rents, issues, profits, products and proceeds

 

 

 

 

 

 

 

 

 

 

 

GLCC Laurel, LLC
199 Benson Road
Middlebury, CT  06749

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 0928983

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Great Lakes Chemical Corporation

 

DE- Secretary of State

 

Citibank N.A., as agent

Two Penns Way

New Castle, DE 19720

 

6/27/07

2007-2437274

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

Great Lakes Chemical Corporation

 

 

DE- Secretary of State

 

Citicorp USA, Inc., as Agent

390 Greenwich Street, 1st Floor

New York, NY 10013

 

1/26/09

2009-0248465

 

Blank Security Interest in all Seller Receivables.

 

 

 

 

 

 

 

 

 

 

 

Great Lakes Chemical Corporation

 

DE- Secretary of State

 

United of Omaha Life Insurance Company

Mutual of Omaha Plaza

Omaha, NE 681759

 

5/28/03

31352502

 

All of the Debtor’s right title and interest in and as a LP of House Investments - 1997 Tax Credits LP including interest in the property and assets of the Partnership and its interest in its capital accounts of the Partnership

 

 

 

 

 

 

 

 

 

 

 

Great Lakes Chemical Corporation

 

 

DE- Secretary of State

 

Steel case Financial Services Inc.

1111 44th Street SE

Grand Rapids, MI 45908

 

11/11/03

32961962

 

Amendment to 32625435 to change secured party address of 901 44th Street S.E., Grand Rapids, MI 45908

 

 

 

 

 

 

 

 

 

 

 

Great Lakes Chemical Corporation

 

DE- Secretary of State

 

Toyota Motor Credit Corporation

P.O. Box 3457

Torrance, CA 90510

 

5/26/04

41463234

 

Leased Equipment - 1 new Toyota forklift

 

 



 

Great Lakes Chemical Corporation

 

DE- Secretary of State

 

The CIT Group/Equipment Financing, Inc.

One CIT Drive,

Livingston, NJ 07039

 

6/14/04

41740531

 

Leased Equipment -assorted

 

 

 

 

 

 

 

 

 

 

 

Great Lakes Chemical Corporation

 

DE- Secretary of State

 

Toyota Motor Credit Corporation

P.O. Box 3457

Torrance, CA 90510

 

2/17/05

50537309

 

Leased Equipment

 

 

 

 

 

 

 

 

 

 

 

Great Lakes Chemical Corporation

 

DE- Secretary of State

 

Toyota Motor Credit Corporation

P.O. Box 3457

Torrance, CA 90510

 

2/17/05

50537440

 

Leased Equipment

 

 

 

 

 

 

 

 

 

 

 

Great Lakes Chemical Corporation

 

DE- Secretary of State

 

General Electric Capital Corporation

40 Liberty Blvd.

Malvern, PA 19355

 

11/30/05

53693950

 

In lieu statement from SOS-AR.  All accounts receivable for with Honeywell International Inc, is the debtor and which have been purchased by the Debtor pursuant to an agreement dated 11/10/99

 

 

 

 

 

 

 

 

 

 

 

Great Lakes Chemical Corporation

 

DE- Secretary of State

 

General Electric Capital Corporation

10 Riverview Drive

Danbury, CT 06810

 

1/17/06

60166470

 

All accounts receivable for with Honeywell International Inc, is the debtor and which have been purchased by the Debtor pursuant to an agreement dated 11/10/99

 

 

 

 

 

 

 

 

 

 

 

Great Lakes Chemical Corporation
199 Benson Road
Middlebury, CT  06749

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 0929031

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Great Lakes Chemical Global, Inc.

 

DE- Secretary of State

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

12/31/08

2008-4331862

 

 

Blanket Security Interest

 

 



 

Great Lakes Chemical Global, Inc.
199 Benson Road
Middlebury, CT  06749

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 0929072

 

All assets

 

 

 

 

 

 

 

 

 

 

 

GT Seed Treatment, Inc.

 

MN- Secretary of State

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

1//2/09

200914420231

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

GT Seed Treatment, Inc.
199 Benson Road
Middlebury, CT  06749

 

MN - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
200915450898

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Homecare Labs, Inc.

 

DE- Secretary of State

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

12/31/08

2008-4331896

 

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

HomeCare Labs, Inc.
199 Benson Road
Middlebury, CT  06749

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 0929171

 

All assets

 

 

 

 

 

 

 

 

 

 

 

ISCI, Inc.

 

IN- Secretary of State

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

1/2/09

200900000052654

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

ISCI, Inc.
199 Benson Road
Middlebury, CT  06749

 

IN - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/25/09
200900002456745

 

All assets

 

 



 

KEM Manufacturing Corporation

 

 

GA- Cooperative Authority

Fulton County

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

1//2/09

060-2009-000003

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

KEM Manufacturing Corporation
199 Benson Road
Middlebury, CT 06749

 

GA- Cooperative Authority

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE 19720

 

3/25/09
060-2009-002488

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Laurel Industries Holdings, Inc.

 

 

DE- Secretary of State

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

12/31/08

2008-4331979

 

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

Laurel Industries Holdings, Inc.
199 Benson Road
Middlebury, CT  06749

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 0928470

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Monochem, Inc.

 

LA- Database LA- Database

Acadia Parish

 

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

1/5/09

01-090026

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

Monochem, Inc.

199 Benson Road
Middlebury, CT  06749

 

LA - Acadia Parish

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/25/09
01-090489

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Naugatuck Treatment

Company

 

CT Secretary of State

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

1/2/09

0002673336

 

Blanket Security Interest

 

 



 

Naugatuck Treatment Company
199 Benson Road
Middlebury, CT  06749

 

CT - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
0002686102

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Recreational Water

Products, Inc.

 

DE- Secretary of State

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

12/31/08

2008-4332043

 

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

Recreational Water Products, Inc.
1735 North Brown Road
Lawrenceville, GA  30043

 

DE - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/24/09
2009 0928710

 

All assets

 

 

 

 

 

 

 

 

 

 

 

Uniroyal Chemical Company Limited (Delaware)

 

DE- Secretary of State

 

IOS Capital

1728 Bass Road

Macon, GA 31210

 

10/9/03

32739590

 

Leased Equipment pursuant to Master Lease Agreement, Schedule No. SK4921

 

 

 

 

 

 

 

 

 

 

 

Weber City Road LLC

 

 

LA- Database

Acadia Parish

 

Citibank, N.A., as agent

Two Penns Way

New Castle, DE 19720

 

1/5/09

01-090025

 

Blanket Security Interest

 

 

 

 

 

 

 

 

 

 

 

Weber City Road LLC
199 Benson Road
Middlebury, CT  06749

 

LA - Acadia Parish

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/25/09
01-090488

 

All assets

 

 

 

 

 

 

 

 

 

 

 

WRL of Indiana, Inc.

 

 

IN- Secretary of State

 

Citibank, N.A., as Agent

Two Penns Way

New Castle, DE 19720

 

1/2/09

200900000052765

 

Blanket Security Interest

 

 



 

WRL of Indiana, Inc.

199 Benson Road
Middlebury, CT  06749

 

IN - Secretary of State

 

Citibank, N.A., as Administrative Agent
2 Penns Way
New Castle, DE  19720

 

3/25/09
200900002456634

 

All assets

 

 



 

Schedule 5.02(g)

Investments in Joint Ventures

 

 

 

 

 

 

 

 

 

 

 

Amount in US$

 

JV

 

Agreement

 

Location

 

Product

 

Nature of Contribution

 

(in 000’s)

 

Rubicon

 

JV - Manufacturing

 

Louisiana, US

 

Aniline/ DPA

 

Fund capital expenditures

 

$

1,635

(a)

Vestaron Corporation

 

Crop R&D Venture

 

Connecticut, US

 

Start-up Research

 

Expense contribution

 

50

(b)

NPC Services, Inc.

 

JV - Environmental Clean-up

 

Louisiana, US

 

Not applicable

 

Share of Environmental Clean-up

 

1,154

(c)

Gulf Stabilizers Industries

 

JV- Manufacturing

 

Saudi Arabia

 

AO/UV

 

Fund capital expenditure

 

2,533

 

Total

 

 

 

 

 

 

 

 

 

$

5,372

 

 


Notes

(a)  Capital funding requirements are determined each month.  This amount represents the capital that was actually funded in 2009.

(b)  Represents a pre-petition amount.  JV Agreement was terminated in November 2009.

(c)  JV was formed to facilitate environmental clean-up of Petrolia site.

Amount is based on 10 year cash flows.  Amount is currently being considered for discharge under Chapter 11.

 



 

Schedule 5.02(p)

Sale and Lease Backs

 

None.

 


EX-21 5 a09-35975_1ex21.htm EX-21

Exhibit 21

 

SUBSIDIARIES OF CHEMTURA CORPORATION as of December 31, 2009

 

 

 

Owned Directly
or

Indirectly by
Chemtura
Corporation

 

State or
Country of
Organization

 

 

 

 

 

 

 

9056-0921 Quebec Inc.

 

100.0

 

Canada

 

A & M Cleaning Products, LLC

 

100.0

 

Delaware

 

Anderol B.V.

 

100.0

 

The Netherlands

 

Anderol Italia S.r.l.

 

51.0

 

Italy

 

Antimony Products (Proprietary) Ltd.

 

75.0

 

South Africa

 

Aqua Clear Industries, LLC

 

100.0

 

New York

 

ASCK, Inc.

 

100.0

 

Delaware

 

ASEPSIS Inc.

 

100.0

 

Canada

 

Asepsis U.K. Limited

 

100.0

 

United Kingdom

 

ASEPSIS, Inc.

 

100.0

 

Georgia

 

ASIA Stabilizers Co., Ltd.

 

65.0

 

Korea

 

Assured Insurance Company

 

100.0

 

Vermont

 

Baxenden Chemicals Limited

 

100.0

 

United Kingdom

 

Baxenden Scandinavia A.S.

 

100.0

 

Denmark

 

BAYROL Deutschland GmbH

 

100.0

 

Germany

 

BAYROL France S.A.S.

 

100.0

 

France

 

BAYROL Iberica S.A.

 

100.0

 

Spain

 

BAYROL Scandinavia A/S

 

100.0

 

Denmark

 

BioLab Australia Pty. Ltd.

 

100.0

 

Australia

 

BioLab Company Store, LLC

 

100.0

 

Delaware

 

BioLab Franchise Company, LLC

 

100.0

 

Delaware

 

BioLab Textile Additives, LLC

 

100.0

 

Delaware

 

BioLab U.K. Limited

 

100.0

 

United Kingdom

 

Bio-Lab Canada Inc.

 

100.0

 

Canada

 

Bio-Lab, Inc.

 

100.0

 

Delaware

 

BLSA Industries (Proprietary) Limited

 

100.0

 

South Africa

 

Certis Europe B.V.

 

15.0

 

The Netherlands

 

Chemol Reszvenytarsasag International

 

78.3

 

Hungary

 

Chemtura (HK) Holding Co. Limited

 

100.0

 

China-Hong Kong

 

Chemtura (PTY) Limited

 

100.0

 

South Africa

 

Chemtura (Thailand) Limited

 

100.0

 

Thailand

 

Chemtura Australia Pty. Ltd.

 

100.0

 

Australia

 

Chemtura Belgium N.V.

 

100.0

 

Belgium

 

Chemtura Canada Co./Cie

 

100.0

 

Canada

 

Chemtura Chemicals (Nanjing) Company Limited

 

100.0

 

China-PRC

 

Chemtura Chemicals India Private Limited

 

100.0

 

India

 

Chemtura Colombia Limitada

 

100.0

 

Colombia

 

Chemtura Corporation U.K. Limited

 

100.0

 

United Kingdom

 

Chemtura Corporation Mexico, S. de R.L. de C.V.

 

100.0

 

Mexico

 

Chemtura Europe d.o.o.

 

100.0

 

Slovenia

 

Chemtura Europe GmbH

 

100.0

 

Switzerland

 

Chemtura Europe Limited

 

100.0

 

United Kingdom

 

Chemtura France SAS

 

100.0

 

France

 

Chemtura Holding Company, Inc.

 

100.0

 

Delaware

 

Chemtura Holdings GmbH

 

100.0

 

Germany

 

Chemtura Hong Kong Limited

 

100.0

 

China-Hong Kong

 

Chemtura Industria Quimica do Brasil Limitada

 

100.0

 

Brazil

 

Chemtura Italy S.r.l.

 

100.0

 

Italy

 

Chemtura Japan Limited

 

100.0

 

Japan

 

 



 

Chemtura Korea Inc.

 

100.0

 

Korea

 

Chemtura LLC

 

100.0

 

Russia

 

Chemtura Management GmbH

 

100.0

 

Germany

 

Chemtura Manufacturing Germany GmbH

 

100.0

 

Germany

 

Chemtura Manufacturing Italy S.r.I.

 

100.0

 

Italy

 

Chemtura Manufacturing UK Limited

 

100.0

 

United Kingdom

 

Chemtura Netherlands B.V.

 

100.0

 

The Netherlands

 

Chemtura New Zealand Limited

 

100.0

 

New Zealand

 

Chemtura Organometallics GmbH

 

100.0

 

Germany

 

Chemtura Receivables LLC

 

100.0

 

Delaware

 

Chemtura Quimica Argentina S.A.C.I.

 

100.0

 

Argentina

 

Chemtura Sales France SAS

 

100.0

 

France

 

Chemtura Sales Germany GmbH

 

100.0

 

Germany

 

Chemtura Sales Mexico, S. de R.L. de C.V.

 

100.0

 

Mexico

 

Chemtura Sales UK Limited

 

100.0

 

United Kingdom

 

Chemtura Shanghai Co., Ltd.

 

100.0

 

China-PRC

 

Chemtura Singapore Pte. Ltd.

 

100.0

 

Singapore

 

Chemtura Specialties Ecuador S.A.

 

100.0

 

Ecuador

 

Chemtura Taiwan Limited

 

100.0

 

Taiwan

 

Chemtura Technology B.V.

 

100.0

 

The Netherlands

 

Chemtura Technology Belgium N.V.

 

100.0

 

Belgium

 

Chemtura UK Limited

 

100.0

 

United Kingdom

 

Chemtura Vermögensverwaltungs GmbH & Co. KG

 

100.0

 

Germany

 

Chemtura Verwaltungs GmbH

 

50

%

Germany

 

Chemtura Vinyl Additives GmbH

 

100.0

 

Germany

 

CNK Chemical Realty Corporation

 

100.0

 

Pennsylvania

 

CPC Bayrol Limited

 

100.0

 

United Kingdom

 

Crompton & Knowles of Canada Limited

 

100.0

 

Canada

 

Crompton (Uniroyal Chemical) Registrations Limited

 

100.0

 

United Kingdom

 

Crompton Chemicals B.V.

 

100.0

 

The Netherlands

 

Crompton Colors Incorporated

 

100.0

 

Delaware

 

Crompton Corporation Ltda.

 

100.0

 

Chile

 

Crompton Europe Financial Services Company

 

100.0

 

Delaware

 

Crompton European Holdings B.V.

 

100.0

 

The Netherlands

 

Crompton Financial Holdings

 

100.0

 

Ireland

 

Crompton Holding Corporation

 

100.0

 

Delaware

 

Crompton Holdings B.V.

 

100.0

 

The Netherlands

 

Crompton Investments S.A.S.

 

100.0

 

France

 

Crompton Ireland Investment Company Limited

 

100.0

 

Ireland

 

Crompton Kazakhstan LLP

 

100.0

 

Kazakhstan

 

Crompton LLC

 

100.0

 

Delaware

 

Crompton Monochem, Inc.

 

100.0

 

Louisiana

 

Crompton Overseas B.V.

 

100.0

 

The Netherlands

 

Crompton S.A.

 

100.0

 

Switzerland

 

Crompton Services B.V.B.A.

 

100.0

 

Belgium

 

Crompton Servicios S.A. de C.V.

 

100.0

 

Mexico

 

Crompton Specialties Asia Pacific Pte. Ltd.

 

100.0

 

Singapore

 

Crompton Specialties GmbH

 

100.0

 

Germany

 

Crompton Specialties Limited

 

92.0

 

Thailand

 

Crompton Specialties Shanghai Company Limited

 

100.0

 

China-PRC

 

Crompton, Inc.

 

100.0

 

Philippines

 

DiaKhem Technologies, LLC

 

30.0

 

Michigan

 

EPA B.V.

 

100.0

 

The Netherlands

 

Estech GmbH & Co. KG

 

49.0

 

Germany

 

Estech Managing GmbH

 

49.0

 

Germany

 

GL Development, Ltd.

 

100.0

 

British West Indies

 

GLCC Laurel de Mexico, S.A. de C.V.

 

100.0

 

Mexico

 

GLCC Laurel, LLC

 

100.0

 

Delaware

 

GLCC Mexico Holdings, Inc.

 

100.0

 

Delaware

 

Great Lakes Chemical (Far East) Limited

 

100.0

 

Hong Kong

 

Great Lakes Chemical (Netherlands) B.V.

 

100.0

 

The Netherlands

 

Great Lakes Chemical (S) Pte. Ltd

 

100.0

 

Singapore

 

 



 

Great Lakes Chemical Corporation

 

100.0

 

Delaware

 

Great Lakes Chemical Global, Inc.

 

100.0

 

Delaware

 

Great Lakes Chemical Konstanz GmbH

 

100.0

 

Germany

 

Great Lakes Europe Unlimited

 

100.0

 

United Kingdom

 

Great Lakes Holding (Europe) A.G.

 

100.0

 

Switzerland

 

Great Lakes Holding Deutschland GmbH

 

100.0

 

Germany

 

Great Lakes Holding S.A.S.

 

100.0

 

France

 

Great Lakes Trading Company, Inc.

 

100.0

 

Delaware

 

Great Lakes Vermögensverwaltungs GmbH & Co. KG

 

100.0

 

Germany

 

GT Seed Treatment, Inc.

 

100.0

 

Minnesota

 

Gulf Stabilizers Industries Sales FZCO

 

52.0

 

Dubai

 

Gulf Stabilizers Industries, Ltd.

 

49.0

 

Saudi Arabia

 

Hatco Advanced Technologies Corporation

 

100.0

 

Delaware

 

Hattech GmbH

 

100.0

 

Germany

 

HomeCare Labs, Inc.

 

100.0

 

Delaware

 

Hydrotech Chemical Corporation

 

100.0

 

Canada

 

Hydrotech Chemical Corporation Pty. Ltd.

 

100.0

 

Australia

 

INTERBAYROL, A.G.

 

100.0

 

Switzerland

 

ISCI, Inc.

 

100.0

 

Indiana

 

Isofoam Limited

 

100.0

 

England

 

Kem Manufacturing Corporation

 

100.0

 

Georgia

 

Knight Investments B.V.

 

100.0

 

The Netherlands

 

Laurel Industries Holdings, Inc.

 

100.0

 

Delaware

 

Monochem, Inc.

 

100.0

 

Louisiana

 

MPC S.A.R.L.

 

100.0

 

France

 

Nanjing Crompton Shuguang Organosilicon Specialties Co., Ltd.

 

85.0

 

China-PRC

 

Naugatuck Treatment Company

 

100.0

 

Connecticut

 

Niagara Insurance Company, Ltd.

 

100.0

 

Bermuda

 

NPC Services, Inc.

 

12.75

 

Louisiana

 

Penn Specialty Chemicals, inc.

 

29.8

 

Delaware

 

Poolbrite (SA) (Pty) Ltd

 

100.0

 

South Africa

 

POOLTIME GmbH

 

100.0

 

Germany

 

PT Crompton Indonesia

 

100.0

 

Indonesia

 

QO Chemicals GmbH

 

100.0

 

Germany

 

QO Chemicals, Inc.

 

100.0

 

Delaware

 

Recreational Water Products Inc.

 

100.0

 

Canada

 

Recreational Water Products Pty. Ltd.

 

100.0

 

Australia

 

Recreational Water Products, Inc.

 

100.0

 

Delaware

 

Rubicon LLC

 

50.0

 

Utah

 

Sonneborn Crompton Sodium Joint Venture B.V.

 

50.0

 

The Netherlands

 

TETRABROM Technologies Ltd.

 

50.0

 

Israel

 

Unimers India Limited

 

1.62

 

India

 

Uniroyal Chemical Company Limited

 

100.0

 

Bahamas

 

Uniroyal Chemical Company Limited (Delaware)

 

100.0

 

Delaware

 

Uniroyal Chemical S.A.

 

100.0

 

Spain

 

Uniroyal Chemical S.A.R.L.

 

100.0

 

Switzerland

 

Uniroyal Chemical Taiwan Limited

 

80.0

 

Taiwan

 

Vestaron Corporation

 

8.12

 

Delaware

 

Weber City Road LLC

 

100.0

 

Louisiana

 

WRL of Indiana, Inc.

 

100.0

 

Indiana

 

 


EX-23 6 a09-35975_1ex23.htm EX-23

Exhibit 23

 

Consent of Independent Registered Public Accounting Firm

 

The Board of Directors
Chemtura Corporation:

 

We consent to the incorporation by reference in the registration statements (Nos. 333-62429, 333-60422, 333-87035, 333-71030, 333-71032, 333-87886, 333-123857, 333-126341 and 333-136217) on Form S-8 and registration statements (Nos. 333-123857, 333-119641, 333-35678 and 333-83901) on Form S-4 of Chemtura Corporation of our report dated March 12, 2010, with respect to the consolidated balance sheets of Chemtura Corporation and subsidiaries (Debtor-in-Possession) (the “Company”) as of December 31, 2009 and 2008, and the related consolidated statements of operations, stockholders’ equity, and cash flows for each of the years in the three-year period ended December 31, 2009, and the related financial statement schedule, and the effectiveness of internal control over financial reporting as of December 31, 2009, which report appears in the December 31, 2009 annual report on Form 10-K of Chemtura Corporation.

 

Our report dated March 12, 2010 contains an explanatory paragraph that states Chemtura Corporation and 26 of its subsidiaries organized in the United States filed for relief under Chapter 11 of Title 11 of the United States Bankruptcy Code and there are uncertainties inherent in the bankruptcy process.  The Company also has suffered recurring losses from continuing operations.  These factors raise substantial doubt about the Company’s ability to continue as a going concern.   The consolidated financial statements and financial statement schedule do not include any adjustments that might result from the outcome of this uncertainty.

 

Our report includes an explanatory paragraph which states that as discussed in Note 2 to Notes to Consolidated Financial Statements, the Company, due to the adoption of new accounting principles, in 2009, changed its method of accounting for fair value measurements for non-financial assets and liabilities, and non-controlling interests; in 2008,  changed its method of accounting for fair value measurements for financial assets and liabilities; and in 2007,  changed its method of accounting for uncertainty in income taxes.

 

 

/s/ KPMG LLP

 

Stamford, Connecticut
March 12, 2010

 


EX-24 7 a09-35975_1ex24.htm EX-24

EXHIBIT 24

 

POWER OF ATTORNEY

 

We the undersigned officers and/or directors of Chemtura Corporation, hereby constitute and appoint Stephen C. Forsyth and Billie S. Flaherty and each of them our true and lawful attorneys in fact with full power of substitution to sign and file with the U.S. Securities and Exchange Commission the Annual Report on Form 10-K of Chemtura Corporation for the fiscal year ended December 31, 2009, and any and all amendments and other filings or documents related thereto.

 

IN WITNESS WHEREOF, we have signed this Power of Attorney in the capacities indicated on February 25, 2010.

 

 

/s/ Craig A. Rogerson

 

/s/ Nigel D.T. Andrews

Craig A. Rogerson

 

Nigel D.T. Andrews

Principal Executive Officer

 

Director

Chairman of the Board President, Chief Executive Officer and Director

 

 

 

 

 

 

 

 

/s/ James W. Crownover

 

/s/ Martin M. Hale

James W. Crownover

 

Martin M. Hale

Director

 

Director

 

 

 

 

 

 

/s/ Roger L. Headrick

 

/s/ Burton M. Joyce

Roger L. Headrick

 

Burton M. Joyce

Lead Director

 

Director

 

 

 

 

 

 

/s/ Bruce F. Wesson

 

/s/ John K. Wulff

Bruce F. Wesson

 

John K. Wulff

Director

 

Director

 


EX-31.1 8 a09-35975_1ex31d1.htm EX-31.1

Exhibit 31.1

 

I, Craig A. Rogerson, certify that:

 

1.             I have reviewed this annual report on Form 10-K of Chemtura Corporation;

 

2.             Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

 

3.             Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;

 

4.             The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:

 

a)                                      Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

 

b)                                     Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

 

c)                                      Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and

 

d)                                     Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

 



 

5.             The registrant’s other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

 

a)                                      All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and

 

b)                                     Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

 

Date:

March 12, 2010

 

 

 

 

 

 

 

By:

/s/ Craig A. Rogerson

 

 

Craig A. Rogerson

 

 

Chairman, President and Chief Executive Officer

 

 


EX-31.2 9 a09-35975_1ex31d2.htm EX-31.2

Exhibit 31.2

 

I, Stephen C. Forsyth, certify that:

 

1.             I have reviewed this annual report on Form 10-K of Chemtura Corporation;

 

2.             Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

 

3.             Based on my knowledge, the financial statements, and other financial information included in this annual report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this annual report;

 

4.             The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:

 

a)                                      Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

 

b)                                     Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

 

c)                                      Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and

 

d)                                     Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

 



 

5.             The registrant’s other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

 

a)                                      All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and

 

b)                                     Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

 

Date:

March 12, 2010

 

 

 

 

 

 

 

By:

/s/ Stephen C. Forsyth

 

 

Stephen C. Forsyth

 

 

Executive Vice President and Chief Financial Officer

 

 


EX-32.1 10 a09-35975_1ex32d1.htm EX-32.1

Exhibit 32.1

 

CERTIFICATION PURSUANT TO

18 U.S.C. SECTION 1350,

AS ADOPTED PURSUANT TO

SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002

 

In connection with the Annual Report of Chemtura Corporation (the “Company”) on Form 10-K for the period ending December 31, 2009 (the “Report”), I, Craig A. Rogerson, Chairman, President and Chief Executive Officer of the Company, certify, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that, to my knowledge:

 

(1)           The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and

 

(2)           The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company.

 

 

/s/ Craig A. Rogerson

 

Craig A. Rogerson

 

Chairman, President and

 

Chief Executive Officer

 

 

 

Date:   March 12, 2010

 

 

 

This written statement accompanies the Report pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 and shall not, except to the extent required by the Sarbanes-Oxley Act of 2002, be deemed filed by the Company for purposes of Section 18 of the Securities Exchange Act of 1934.

 

A signed original of this written statement required by Section 906 has been provided to the Company and will be retained by the Company and furnished to the Securities and Exchange Commission or its staff upon request.

 


EX-32.2 11 a09-35975_1ex32d2.htm EX-32.2

Exhibit 32.2

 

CERTIFICATION PURSUANT TO

18 U.S.C. SECTION 1350,

AS ADOPTED PURSUANT TO

SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002

 

In connection with the Annual Report of Chemtura Corporation (the “Company”) on Form 10-K for the period ending December 31, 2009 (the “Report”), I, Stephen C. Forsyth, Executive Vice President and Chief Financial Officer, certify, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that, to my knowledge:

 

(1)           The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and

 

(2)           The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company.

 

 

/s/ Stephen C. Forsyth

 

Stephen C. Forsyth

 

Executive Vice President,

 

Chief Financial Officer,

 

 

 

Date:   March 12, 2010

 

 

 

This written statement accompanies the Report pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 and shall not, except to the extent required by the Sarbanes-Oxley Act of 2002, be deemed filed by the Company for purposes of Section 18 of the Securities Exchange Act of 1934.

 

A signed original of this written statement required by Section 906 has been provided to the Company and will be retained by the Company and furnished to the Securities and Exchange Commission or its staff upon request.

 


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-----END PRIVACY-ENHANCED MESSAGE-----