ADES » Topics » TABLE OF CONTENTS

This excerpt taken from the ADES DEF 14A filed Nov 12, 2008.

TABLE OF CONTENTS

 

         Page

PROXY STATEMENT FOR THE SPECIAL MEETING OF SHAREHOLDERS

   1

PURPOSES OF THE MEETING

   1

QUESTIONS AND ANSWERS ABOUT THIS PROXY STATEMENT AND VOTING

   3

PROPOSAL NO. 1: APPROVAL OF THE PRIVATE PLACEMENT

   9

PROPOSAL NO. 2: APPROVAL OF THE STOCK ISSUANCE PLAN

   28

SECURITY OWNERSHIP OF BENEFICIAL OWNERS AND MANAGEMENT

   31

2009 SHAREHOLDER PROPOSALS

   33

INCORPORATION OF CERTAIN DOCUMENTS BY REFERENCE

   33

FORWARD-LOOKING STATEMENTS

   33

CAUTIONARY STATEMENT CONCERNING REPRESENTATIONS AND WARRANTIES CONTAINED IN THE PURCHASE AGREEMENT AND RELATED AGREEMENTS

   34

OTHER MATTERS

   34

ANNEX A

 

-   CERTIFICATE OF DESIGNATIONS, NUMBER, VOTING POWERS, PREFERENCES AND RIGHTS OF SERIES A CONVERTIBLE PREFERRED STOCK OF ADA-ES, INC.

   A-1

ANNEX B

 

-   SECURITIES PURCHASE AGREEMENT AMONG ADA-ES, INC. AND PURCHASERS

   B-1


Table of Contents
These excerpts taken from the ADES 10-Q filed Nov 7, 2008.

TABLE OF CONTENTS

 

          Page

Article 1.

  

Scope of Supply

   1

Article 2.

   Contract Price    3

Article 3.

   Project Security and Favored Customer Status    3

Article 4.

   Payments and Liens    5

Article 5.

   Termination for Convenience    8

Article 6.

   Title Transfer, Delivery, Risk of Loss, Shipment to Storage    10

Article 7.

   Drawings    11

Article 8.

   Quality    12

Article 9.

   Schedule and Performance    14

Article 10.

   Performance Guarantees and Substantial Completion    18

Article 11.

   Reliability Bonus    20

Article 12.

   Performance Guarantee Testing    20

Article 13.

   Inspection, Expediting and Factory Tests    21

Article 14.

   Seller-Provided Training    22

Article 15.

   Warranty Period    22

Article 16.

   Warranty    23

Article 17.

   Taxes    25

Article 18.

   Pricing and Scope Assumptions    25

Article 19.

   Changes    26

Article 20.

   Excusable Delays    27

Article 21.

   Intellectual Property    28

Article 22.

   General Indemnity    28

Article 23.

   Insurance    30

Article 24.

   Events of Default; Termination for Cause; Suspension    31

Article 25.

   Limitation of Liability    33

Article 26.

   Proprietary Information    34

Article 27.

   Assignment and Financing Provisions    35

Article 28.

   Dispute Resolution    36

Article 29.

   Governing Law    37

Article 30.

   [Reserved]    37

Article 31.

   Contract Documents and Order of Precedence    37

Article 32.

   Effective Date    38

Article 33.

   Entire Agreement    38

Article 34.

   Miscellaneous Provisions    38

 

Page i


TABLE OF CONTENTS

 

          Page

Article 1.

   Scope of Supply    1

Article 2.

   Contract Price    3

Article 3.

   Project Security and Favored Customer Status    3

Article 4.

   Payments and Liens    5

Article 5.

   Termination for Convenience    8

Article 6.

   Title Transfer, Delivery, Risk of Loss, Shipment to Storage    10

Article 7.

   Drawings    11

Article 8.

   Quality    13

Article 9.

   Schedule and Performance    14

Article 10.

   Performance Guarantees and Substantial Completion    18

Article 11.

   Reliability Bonus    20

Article 12.

   Performance Guarantee Testing    20

Article 13.

   Inspection, Expediting and Factory Tests    21

Article 14.

   Seller-Provided Training    22

Article 15.

   Warranty Period    23

Article 16.

   Warranty    23

Article 17.

   Taxes    25

Article 18.

   Pricing and Scope Assumptions    25

Article 19.

   Changes    26

Article 20.

   Excusable Delays    27

Article 21.

   Intellectual Property    29

Article 22.

   General Indemnity    29

Article 23.

   Insurance    30

Article 24.

   Events of Default; Termination for Cause; Suspension    31

Article 25.

   Limitation of Liability    33

Article 26.

   Proprietary Information    34

Article 27.

   Assignment and Financing Provisions    35

Article 28.

   Dispute Resolution    36

Article 29.

   Governing Law    37

Article 30.

   [Reserved]    37

Article 31.

   Contract Documents and Order of Precedence    37

Article 32.

   Effective Date    37

Article 33.

   Entire Agreement    38

Article 34.

   Miscellaneous Provisions    38

 

Page i


TABLE OF CONTENTS

 

          Page
Article 1.    Scope of Supply    1
Article 2.    Contract Price    3
Article 3.    Project Security and Favored Customer Status    3
Article 4.    Payments and Liens    5
Article 5.    Termination for Convenience    8
Article 6.    Title Transfer, Delivery, Risk of Loss, Shipment to Storage    10
Article 7.    Drawings    12
Article 8.    Quality    13
Article 9.    Schedule and Performance    14
Article 10.    Performance Guarantees and Substantial Completion    18
Article 11.    Reliability Bonus    20
Article 12.    Performance Guarantee Testing    21
Article 13.    Inspection, Expediting and Factory Tests    21
Article 14.    Seller-Provided Training    22
Article 15.    Warranty Period    23
Article 16.    Warranty    23
Article 17.    Taxes    25
Article 18.    Pricing and Scope Assumptions    25
Article 19.    Changes    26
Article 20.    Excusable Delays    28
Article 21.    Intellectual Property    29
Article 22.    General Indemnity    29
Article 23.    Insurance    30
Article 24.    Events of Default; Termination for Cause; Suspension    31
Article 25.    Limitation of Liability    33
Article 26.    Proprietary Information    34
Article 27.    Assignment and Financing Provisions    35
Article 28.    Dispute Resolution    36
Article 29.    Governing Law    37
Article 30.    [Reserved]    37
Article 31.    Contract Documents and Order of Precedence    37
Article 32.    Effective Date    38
Article 33.    Entire Agreement    38
Article 34.    Miscellaneous Provisions    38

 

Page i


TABLE OF CONTENTS

 

          Page

Article 1.

   Scope of Supply    1

Article 2.

   Contract Price    3

Article 3.

   Project Security and Favored Customer Status    3

Article 4.

   Payments and Liens    5

Article 5.

   Termination for Convenience    8

Article 6.

   Title Transfer, Delivery, Risk of Loss, Shipment to Storage    10

Article 7.

   Drawings    12

Article 8.

   Quality    13

Article 9.

   Schedule and Performance    14

Article 10.

   Performance Guarantees and Substantial Completion    18

Article 11.

   Reliability Bonus    20

Article 12.

   Performance Guarantee Testing    21

Article 13.

   Inspection, Expediting and Factory Tests    21

Article 14.

   Seller-Provided Training    22

Article 15.

   Warranty Period    23

Article 16.

   Warranty    23

Article 17.

   Taxes    25

Article 18.

   Pricing and Scope Assumptions    25

Article 19.

   Changes    26

Article 20.

   Excusable Delays    28

Article 21.

   Intellectual Property    29

Article 22.

   General Indemnity    29

Article 23.

   Insurance    30

Article 24.

   Events of Default; Termination for Cause; Suspension    31

Article 25.

   Limitation of Liability    33

Article 26.

   Proprietary Information    34

Article 27.

   Assignment and Financing Provisions    35

Article 28.

   Dispute Resolution    36

Article 29.

   Governing Law    37

Article 30.

   [Reserved]    37

Article 31.

   Contract Documents and Order of Precedence    37

Article 32.

   Effective Date    38

Article 33.

   Entire Agreement    38

Article 34.

   Miscellaneous Provisions    38

 

Page i


This excerpt taken from the ADES 10-Q filed Aug 6, 2008.

TABLE OF CONTENTS

 

  1.0

   DEFINITIONS    1

  2.0

   SCOPE    2

  3.0

   EXECUTION AND INTERPRETATION    2

  4.0

   PROPRIETARY INFORMATION    3

  5.0

   WARRANTY    3

  6.0

   PROPRIETARY INTEREST INDEMNIFICATION    3

  7.0

   FORCE MAJEURE    4

  8.0

   ALLOCATION OF RESPONSIBILITY    5

  9.0

   INSURANCE    5

10.0

   INDEMNITY    6

11.0

   TAXES    9

12.0

   RESPONSIBILITY FOR FOREIGN MANUFACTURE    9

13.0

   RATE OF EXCHANGE    9

14.0

   LANGUAGE AND MEASUREMENT SYSTEM    9

15.0

   SUBCONTRACTS    9

16.0

   ASSIGNMENT OF CONTRACT    9

17.0

   COMPLIANCE WITH LAWS AND REGULATIONS    10

18.0

   COMPLIANCE AND ETHICS.    10

19.0

   GENERAL SERVICES ADMINISTRATION    11

20.0

   GOVERNMENTAL HEARINGS    11

21.0

   CANCELLATION BY THE PURCHASER FOR BREACH    12

22.0

   SUPPLIER LIMITATION OF LIABILITY    12

23.0

   SUPPLIER’S RIGHTS UPON BREACH BY COMPANY    12

24.0

   DELIVERY    12

25.0

   INVOICING AND PAYMENT    12

26.0

   AUDIT    13

27.0

   TITLE    13

28.0

   INDEPENDENT CONTRACTOR    13

29.0

   SURVIVAL OF REPRESENTATIONS    13

30.0

   SUPPLIER REPRESENTATIVE    13

31.0

   POLICIES AND PROCEDURES    14

32.0

   TIME OF THE ESSENCE    14

33.0

   NOTICES    14

34.0

   MISCELLANEOUS    14

 

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These excerpts taken from the ADES 10-K filed Mar 14, 2008.

TABLE OF CONTENTS

 

FACE PAGE - DOE FORM 4600.1    1
ATTACHMENT 1 – SPECIAL TERMS AND CONDITIONS    3
1.    RESOLUTION OF CONFLICTING CONDITIONS (OCT 2004)    3
2.    PAYMENT PROCEDURES – REIMBURSEMENT THROUGH THE AUTOMATED STANDARD APPLICATION FOR PAYMENTS (ASAP) SYSTEM (OCT 2004)    3
3.    COST SHARING (OCT 2004)    3
4.    INCREMENTAL FUNDING (OCT 2004)    4
5.    STATEMENT OF FEDERAL STEWARDSHIP (OCT 2004)    4
6.    STATEMENT OF SUBSTANTIAL INVOLVEMENT (OCT 2004)    4
7.    SITE VISITS (OCT 2004)    5
8.    REPORTING REQUIREMENTS (OCT 2004)    5
9.    PUBLICATIONS (OCT 2004)    6
10.    FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS (OCT 2004)    6
11.    INTELLECTUAL PROPERTY PROVISIONS (OCT 2004)    6
12.    CONTACT INFORMATION FOR INTELLECTUAL PROPERTY MATTERS (NOV 2005)    6
13.    NATIONAL SECURITY: CLASSIFIABLE RESULTS ORIGINATING UNDER AN AWARD (OCT 2004)    7
14.    CONTINUATION APPLICATION AND FUNDING (OCT 2004)    8
15.    NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS (OCT 2004)    8
16.    LOBBYING RESTRICTIONS (OCT 2004)    8
17.    ANNUAL INDIRECT COST PROPOSAL AND RECONCILIATION (OCT 2004)    9
18.    NETL SPECIAL TERMS AND CONDITIONS    9
   PERFORMANCE OF WORK IN THE U.S.    9
   LIMITATION ON PERFORMANCE AND MAXIMUM GOV’T. LIABILITY    9
   DECISION POINT    9
ATTACHMENT 2 - INTELLECTUAL PROPERTY PROVISIONS   
1.    INTELLECTUAL PROPERTY PROVISIONS    11
2.    LIMITED RIGHTS DATA (JAN 2004)    22
ATTACHMENT 3 – STATEMENT OF PROJECT OBJECTIVES    24
ATTACHMENT 4 - FEDERAL ASSISTANCE REPORTING CHECKLIST    29
ATTACHMENT 5 – BUDGET PAGE(S)    43

 

2


TABLE OF CONTENTS

 

FACE PAGE - DOE FORM 4600.1   
ATTACHMENT 1 – SPECIAL TERMS AND CONDITIONS    3
1.    RESOLUTION OF CONFLICTING CONDITIONS (OCT 2004)    3
2.    PAYMENT PROCEDURES – REIMBURSEMENT THROUGH THE AUTOMATED STANDARD APPLICATION FOR PAYMENTS (ASAP) SYSTEM (OCT 2004)    3
3.    COST SHARING (OCT 2004)    3
4.    INCREMENTAL FUNDING (OCT 2004)    4
5.    STATEMENT OF FEDERAL STEWARDSHIP (OCT 2004)    4
6.    STATEMENT OF SUBSTANTIAL INVOLVEMENT (OCT 2004)    4
7.    SITE VISITS (OCT 2004)    5
8.    REPORTING REQUIREMENTS (OCT 2004)    5
9.    PUBLICATIONS (OCT 2004)    6
10.    FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS (OCT 2004)    6
11.    INTELLECTUAL PROPERTY PROVISIONS (OCT 2004)    6
12.    CONTACT INFORMATION FOR INTELLECTUAL PROPERTY MATTERS (NOV 2005)    6
13.    NATIONAL SECURITY: CLASSIFIABLE RESULTS ORIGINATING UNDER AN AWARD (OCT 2004)    6
14.    CONTINUATION APPLICATION AND FUNDING (OCT 2004)    8
15.    NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS (OCT 2004)    8
16.    LOBBYING RESTRICTIONS (OCT 2004)    8
17.    ANNUAL INDIRECT COST PROPOSAL AND RECONCILIATION (OCT 2004)    8
18.    NETL SPECIAL TERMS AND CONDITIONS    9
   PERFORMANCE OF WORK IN THE U.S.    9
   LIMITATION ON PERFORMANCE AND MAXIMUM GOV’T. LIABILITY    9
   DECISION POINT    10
ATTACHMENT 2 - INTELLECTUAL PROPERTY PROVISIONS    11
1.    INTELLECTUAL PROPERTY PROVISIONS    11
2.    LIMITED RIGHTS DATA (JAN 2004)    22
ATTACHMENT 3 – STATEMENT OF PROJECT OBJECTIVES    24
ATTACHMENT 4 - FEDERAL ASSISTANCE REPORTING CHECKLIST    30
ATTACHMENT 5 – BUDGET PAGE(S)    44

 

2


TABLE OF CONTENTS

 















































































































































































FACE PAGE - DOE FORM 4600.1  
ATTACHMENT 1 – SPECIAL TERMS AND CONDITIONS  3
1.  RESOLUTION OF CONFLICTING CONDITIONS (OCT 2004)  3
2.  PAYMENT PROCEDURES – REIMBURSEMENT THROUGH THE AUTOMATED STANDARD APPLICATION FOR PAYMENTS (ASAP) SYSTEM (OCT 2004)  3
3.  COST SHARING (OCT 2004)  3
4.  INCREMENTAL FUNDING (OCT 2004)  4
5.  STATEMENT OF FEDERAL STEWARDSHIP (OCT 2004)  4
6.  STATEMENT OF SUBSTANTIAL INVOLVEMENT (OCT 2004)  4
7.  SITE VISITS (OCT 2004)  5
8.  REPORTING REQUIREMENTS (OCT 2004)  5
9.  PUBLICATIONS (OCT 2004)  6
10.  FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS (OCT 2004)  6
11.  INTELLECTUAL PROPERTY PROVISIONS (OCT 2004)  6
12.  CONTACT INFORMATION FOR INTELLECTUAL PROPERTY MATTERS (NOV 2005)  6
13.  NATIONAL SECURITY: CLASSIFIABLE RESULTS ORIGINATING UNDER AN AWARD (OCT 2004)  6
14.  CONTINUATION APPLICATION AND FUNDING (OCT 2004)  8
15.  NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS (OCT 2004)  8
16.  LOBBYING RESTRICTIONS (OCT 2004)  8
17.  ANNUAL INDIRECT COST PROPOSAL AND RECONCILIATION (OCT 2004)  8
18.  NETL SPECIAL TERMS AND CONDITIONS  9
  PERFORMANCE OF WORK IN THE U.S.  9
  LIMITATION ON PERFORMANCE AND MAXIMUM GOV’T. LIABILITY  9
  DECISION POINT  10
ATTACHMENT 2 - INTELLECTUAL PROPERTY PROVISIONS  11
1.  INTELLECTUAL PROPERTY PROVISIONS  11
2.  LIMITED RIGHTS DATA (JAN 2004)  22
ATTACHMENT 3 – STATEMENT OF PROJECT OBJECTIVES  24
ATTACHMENT 4 - FEDERAL ASSISTANCE REPORTING CHECKLIST  30
ATTACHMENT 5 – BUDGET PAGE(S)  44

 


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