Item 15. Exhibits, Financial Statement Schedules
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Item 15. Exhibits, Financial Statement Schedules
(a) Financial Statements and Schedules. See accompanying Index to Financial Statements.
320 AIG | 2021 Form 10-K
Exhibit Index
| Exhibit Number | Description | Location |
|---|---|---|
| 2 | Plan of acquisition, reorganization, arrangement, liquidation or succession | |
| (1) Membership Interest Purchase Agreement, by and among AIG, Fortitude Group Holdings, LLC, Carlyle FRL, L.P., The Carlyle Group L.P., T&D United Capital Co., LTD. And T&D Holdings, Inc., dated as of November 25, 2019 | Incorporated by reference to Exhibit 2.1 to AIG’s Current Report on Form 8-K filed with the SEC on November 25, 2019 (File No. 1-8787). | |
| (2) Stock Purchase Agreement, dated as of July 14, 2021, between AIG and Argon Holdco LLC (an affiliate of Blackstone Inc.) | Incorporated by reference to Exhibit 10.3 to AIG’s Quarterly Report on Form 10-Q filed with the SEC on August 6, 2021 (File No. 1-8787). | |
| (3) Purchase Agreement, dated as of July 14, 2021, between AIG and Aztec Holdco LLC (an affiliate of Blackstone Inc.) | Incorporated by reference to Exhibit 10.4 to AIG’s Quarterly Report on Form 10-Q filed with the SEC on August 6, 2021 (File No. 1-8787). | |
| 3 | Articles of incorporation and by-laws | |
| 3(i) | Amended and Restated Certificate of Incorporation of AIG, amended and restated May 14, 2020 | Incorporated by reference to Exhibit 3.1 to AIG’s Current Report on Form 8-K filed with the SEC on May 15, 2020 (File No. 1-8787). |
| 3(ii) | AIG By-laws, amended and restated December 9, 2020 | Incorporated by reference to Exhibit 3.1 to AIG’s Current Report on Form 8-K filed with the SEC on December 9, 2020 (File No. 1-8787). |
| 4 | Instruments defining the rights of security holders, including indentures | Certain instruments defining the rights of holders of long-term debt securities of AIG and its subsidiaries are omitted pursuant to Item 601(b)(4)(iii) of Regulation S-K. AIG hereby undertakes to furnish to the Commission, upon request, copies of any such instruments. |
| (1) Tax Asset Protection Plan, dated as of March 9, 2011, between AIG and Wells Fargo Bank, N.A., as Rights Agent, including as Exhibit A the forms of Rights Certificate and of Election to Exercise | Incorporated by reference to Exhibit 4.1 to AIG’s Current Report on Form 8-K filed with the SEC on March 9, 2011 (File No. 1-8787). | |
| (2) Amendment No. 1, dated as of January 8, 2014, to Tax Asset Protection Plan, between AIG and Wells Fargo Bank, National Association, as Rights Agent | Incorporated by reference to Exhibit 4.1 to AIG’s Current Report on Form 8-K filed with the SEC on January 8, 2014 (File No. 1-8787). | |
| (3) Amendment No. 2, dated as of December 14, 2016, to Tax Asset Protection Plan, between AIG and Wells Fargo Bank, National Association, as Rights Agent | Incorporated by reference to Exhibit 4.1 to AIG’s Current Report on Form 8-K filed with the SEC on December 14, 2016 (File No. 1-8787). | |
| (4) Amendment No. 3, dated as of December 11, 2019, to Tax Asset Protection Plan, between Equiniti Trust Company, as successor to Wells Fargo Shareowner Services, a former division of Wells Fargo Bank, as Rights Agent | Incorporated by reference to Exhibit 4.1 to AIG’s Current Report on Form 8-K filed with the SEC on December 11, 2019 (File No. 1-8787). | |
| (5) Description of Registrant’s Securities | Filed herewith. | |
| (6) Deposit Agreement, dated March 14, 2019, among AIG, Equiniti Trust Company, as depositary, and the holders from time to time of the depositary receipts described therein | Incorporated by reference to Exhibit 4.2 to AIG’s Current Report on Form 8-K filed with the SEC on March 14, 2019 (File No. 1-8787). | |
| (7) Form of depositary receipt representing the Depository Shares (included in Exhibit A to Exhibit 4.7) | ||
| (8) Second Supplemental Indenture, dated as of June 10, 2021, to Junior Subordinated Indenture, dated as of December 1, 1996, among AIG Life Holdings, Inc. (as successor to American General Corporation), AIG and Deutsche Bank Trust Company Americas, as trustee. | Incorporated by reference to Exhibit 4 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on August 6, 2021 (File No. 1-8787). |
AIG | 2021 Form 10-K 321
322 AIG | 2021 Form 10-K
| (13) Aggregate Excess of Loss Reinsurance Agreement, dated January 20, 2017, by and between AIG Assurance Company, AIG Property Casualty Company, AIG Specialty Insurance Company, AIU Insurance Company, American Home Assurance Company, Commerce and Industry Insurance Company, Granite State Insurance Company, Illinois National Insurance Co., Lexington Insurance Company, National Union Fire Insurance Company of Pittsburgh, Pa., New Hampshire Insurance Company and The Insurance Company Of The State Of Pennsylvania and National Indemnity Company (portions of this exhibit have been redacted pursuant to a request for confidential treatment) | Incorporated by reference to Exhibit 10.1 to AIG's Current Report on Form 8-K filed with the SEC on February 14, 2017 (File No. 1-8787). | |
|---|---|---|
| (14) Trust Agreement, dated January 20, 2017, by and among National Union Fire Insurance Company of Pittsburgh, Pa., National Indemnity Company, and Wells Fargo Bank, National Association (portions of this exhibit have been redacted pursuant to a request for confidential treatment) | Incorporated by reference to Exhibit 10.2 to AIG's Current Report on Form 8-K filed with the SEC on February 14, 2017 (File No. 1-8787). | |
| (15) Parental Guarantee Agreement, dated January 20, 2017, by Berkshire Hathaway Inc. in favor of National Union Fire Insurance Company of Pittsburgh, Pa. | Incorporated by reference to Exhibit 10.3 to AIG's Current Report on Form 8-K filed with the SEC on February 14, 2017 (File No. 1-8787). | |
| (16) Form of AIG Long Term Incentive Award Agreement (as of March 2017)* | Incorporated by reference to Exhibit 10.2 to AIG’s Current Report on Form 8-K filed with the SEC on March 17, 2017 (File No. 1-8787). | |
| (17) Letter Agreement, dated July 22, 2015, between AIG and Douglas A. Dachille* | Incorporated by reference to Exhibit 10.9 to AIG’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2017 (File No. 1-8787). | |
| (18) Non-Solicitation and Non-Disclosure Agreement, dated July 22, 2015, between AIG and Douglas A. Dachille* | Incorporated by reference to Exhibit 10.10 to AIG’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2017 (File No. 1-8787). | |
| (19) Form of Stock Option Award Agreement, between American International Group, Inc. and Brian Duperreault* | Incorporated by reference to Exhibit 10.2 to AIG’s Current Report on Form 8-K filed with the SEC on May 15, 2017 (File No. 1-8787). | |
| (20) Non-Solicitation and Non-Disclosure Agreement, dated July 5, 2017, between American International Group, Inc. and Peter Zaffino* | Incorporated by reference to Exhibit 10.1 to AIG’s Current Report on Form 8-K filed with the SEC on July 6, 2017 (File No. 1-8787). | |
| (21) Form of Stock Option Award Agreement, between American International Group, Inc. and Peter Zaffino* | Incorporated by reference to Exhibit 10.2 to AIG’s Current Report on Form 8-K filed with the SEC on July 6, 2017 (File No. 1-8787). | |
| (22) Form of Long Term Incentive Stock Option Award Agreement* | Incorporated by reference to Exhibit 10.60 to AIG’s Annual Report on Form 10-K for the year ended December 31, 2017 (File No. 1-8787). | |
| (23) AIG Long Term Incentive Plan (as amended March 2018)* | Incorporated by reference to Exhibit 10.2 to AIG’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2018 (File No. 1-8787). | |
| (24) Description of Non-Management Director Compensation* | Incorporated by reference to “Compensation of Directors” in AIG’s Definitive Proxy Statement on Schedule 14A, dated March 30, 2021 (File No. 1-8787). | |
| (25) Letter Agreement, dated May 10, 2018, between AIG and Mark Lyons* | Incorporated by reference to Exhibit 10.1 to AIG’s Current Report on Form 8-K/A, Amendment No. 1, filed with the SEC on December 14, 2018 (File No. 1-8787). | |
| (26) Non-Solicitation and Non-Disclosure Agreement, dated May 13, 2018, between AIG and Mark Lyons* | Incorporated by reference to Exhibit 10.2 to AIG’s Current Report on Form 8-K/A, Amendment No. 1, filed with the SEC on December 14, 2018 (File No. 1-8787). | |
| (27) Form of AIG Long Term Incentive Award Agreement (as of April 2019)* | Incorporated by reference to Exhibit 10.1 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on May 7, 2019 (File No. 1-8787). |
AIG | 2021 Form 10-K 323
| (28) Form of AIG Long Term Incentive Award Agreement (as of January 2020)* | Incorporated by reference to Exhibit 10.49 to AIG’s Annual Report on Form 10-K, filed with the SEC on February 21, 2020 (File No. 1-8787). | |
|---|---|---|
| (29) Amended and Restated Combination Coinsurance and Modified Coinsurance Agreement by and between American General Life Insurance Company and Fortitude Reinsurance Company, Ltd., effective as of June 1, 2020 (portions of this exhibit have been redacted pursuant to a request for confidential treatment) | Incorporated by reference to Exhibit 10.1 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on August 4, 2020 (File No. 1-8787). | |
| (30) Amended and Restated Non-Qualified Pension Plan (as amended July 2020) | Incorporated by reference to Exhibit 10.2 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on August 4, 2020 (File No. 1-8787). | |
| (31) AIG 2012 Executive Severance Plan (as amended and restated February 2021)* | Incorporated by reference to Exhibit 10.35 to AIG’s Annual Report on Form 10-K, filed with the SEC on February 19, 2021 (File No. 1-8787). | |
| (32) AIG Long Term Incentive Plan (as amended and restated February 2021)* | Incorporated by reference to Exhibit 10.36 to AIG’s Annual Report on Form 10-K, filed with the SEC on February 19, 2021 (File No. 1-8787). | |
| (33) AIG Non-Qualified Retirement Income Plan (as amended and restated February 2021)* | Incorporated by reference to Exhibit 10.37 to AIG’s Annual Report on Form 10-K, filed with the SEC on February 19, 2021 (File No. 1-8787). | |
| (34) Letter Agreement, dated February 11, 2021, between AIG and Peter Zaffino* | Incorporated by reference to Exhibit 10.38 to AIG’s Annual Report on Form 10-K, filed with the SEC on February 19, 2021 (File No. 1-8787). | |
| (35) Letter Agreement, dated February 11, 2021, between AIG and Brian Duperreault* | Incorporated by reference to Exhibit 10.39 to AIG’s Annual Report on Form 10-K, filed with the SEC on February 19, 2021 (File No. 1-8787). | |
| (36) American International Group, Inc. 2021 Omnibus Incentive Plan | Incorporated by reference to Appendix B to AIG’s Definitive Proxy Statement filed with the Commission on March 30, 2021 (File No. 001-08787). | |
| (37) AIG Long Term Incentive Plan (as amended and restated April 2021)* | Incorporated by reference to Exhibit 10.6 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on May 7, 2021 (File No. 1-8787). | |
| (38) AIG Long Term Incentive Plan Form of Award Agreement (April 2021)* | Incorporated by reference to Exhibit 10.7 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on May 7, 2021 (File No. 1-8787). | |
| (39) AIG Long Term Incentive Plan (as amended and restated September 2021)* | Incorporated by reference to Exhibit 10.3 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on November 5, 2021 (File No. 1-8787). | |
| (40) AIG Long Term Incentive Plan Form of Award Agreement (September 2021)* | Incorporated by reference to Exhibit 10.4 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on November 5, 2021 (File No. 1-8787). | |
| (41) Form of AIG 2021 Omnibus Incentive Plan Non-Employee Director DSU Award Agreement* | Filed herewith. | |
| (42) Credit Agreement, dated as of November 19, 2021, among AIG, the subsidiary borrowers party thereto, the lenders party thereto, Bank of America, N.A., as Administrative Agent, and each Several L/C Agent party thereto | Incorporated by reference to Exhibit 10.1 to AIG’s Current Report on Form 8-K filed with the SEC on November 22, 2021 (File No. 1-8787). | |
| (43) Letter Agreement, dated December 7, 2021, between AIG and Shane Fitzsimons* | Incorporated by reference to Exhibit 10.1 to AIG’s Current Report on Form 8-K/A, Amendment No. 1, filed with the SEC on December 9, 2021 (File No. 1-8787). | |
| 21 | Subsidiaries of Registrant | Filed herewith. |
| 22 | Guaranteed Securities | None. |
| 23 | Consent of Independent Registered Public Accounting Firm | Filed herewith. |
| 24 | Powers of attorney | Included on signature page and filed herewith. |
324 AIG | 2021 Form 10-K
| 31 | Rule 13a-14(a)/15d-14(a) Certifications | Filed herewith. |
|---|---|---|
| 32 | Section 1350 Certifications** | Filed herewith. |
| 101 | Interactive data files pursuant to Rule 405 of Regulation S-T: (i) the Consolidated Balance Sheets as of December 31, 2021 and December 31, 2020, (ii) the Consolidated Statements of Income (Loss) for the three years ended December 31, 2021, (iii) the Consolidated Statements of Equity for the three years ended December 31, 2021, (iv) the Consolidated Statements of Cash Flows for the three years ended December 31, 2021, (v) the Consolidated Statements of Comprehensive Income (Loss) for the three years ended December 31, 2021 and (vi) the Notes to the Consolidated Financial Statements. | Filed herewith. |
- This exhibit is a management contract or a compensatory plan or arrangement.
** This information is furnished and not filed for purposes of Sections 11 and 12 of the Securities Act of 1933 and Section 18 of the Securities Exchange Act of 1934.
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