Item 15. Exhibits and Financial Statement Schedules
34K characters. Original on sec.gov · Markdown
Item 15. Exhibits and Financial Statement Schedules
(a) Financial Statements and Schedules. See accompanying Index to Financial Statements.
| AIG | 2022 Form 10-K | 257 |
Exhibit Index
| Exhibit Number | Description | Location | ||||||
| 2 | Plan of acquisition, reorganization, arrangement, liquidation or succession | |||||||
| (1) 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) Description of Registrant’s Securities | Filed herewith. | |||||||
| (2) 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). | |||||||
| (3) Form of depositary receipt representing the Depository Shares (included in Exhibit A to Exhibit 4.2) | ||||||||
| (4) Indenture, dated April 5, 2022, between Corebridge Financial, Inc. and The Bank of New York Mellon, as Trustee | Incorporated by reference to Exhibit 4.1 to AIG’s Current Report on Form 8-K, filed with the SEC on April 7, 2022 (File No. 1-8787). | |||||||
| (5) First Supplemental Indenture, dated April 5, 2022, between Corebridge Financial, Inc. and The Bank of New York Mellon, as Trustee, relating to the 3.500% Senior Notes due 2025 (2025 Notes) | Incorporated by reference to Exhibit 4.2 to AIG’s Current Report on Form 8-K, filed with the SEC on April 7, 2022 (File No. 1-8787). | |||||||
| (6) Second Supplemental Indenture, dated April 5, 2022, between Corebridge Financial, Inc. and The Bank of New York Mellon, as Trustee, relating to the 3.650% Senior Notes due 2027 (2027 Notes) | Incorporated by reference to Exhibit 4.3 to AIG's Current Report on Form 8-K, filed with the SEC on April 7, 2022 (File No. 1-8787). | |||||||
| (7) Third Supplemental Indenture, dated April 5, 2022, between Corebridge Financial, Inc. and The Bank of New York Mellon, as Trustee, relating to the 3.850% Senior Notes due 2029 (2029 Notes) | Incorporated by reference to Exhibit 4.4 to AIG’s Current Report on Form 8-K, filed with the SEC on April 7, 2022 (File No. 1-8787). | |||||||
| (8) Fourth Supplemental Indenture, dated April 5, 2022, between Corebridge Financial, Inc. and The Bank of New York Mellon, as Trustee, relating to the 3.900% Senior Notes due 2032 (2032 Notes) | Incorporated by reference to Exhibit 4.5 to AIG’s Current Report on Form 8-K, filed with the SEC on April 7, 2022 (File No. 1-8787). | |||||||
| (9) Fifth Supplemental Indenture, dated April 5, 2022, between Corebridge Financial, Inc. and The Bank of New York Mellon, as Trustee, relating to the 4.350% Senior Notes due 2042 (2042 Notes) | Incorporated by reference to Exhibit 4.6 to AIG’s Current Report on Form 8-K, filed with the SEC on April 7, 2022 (File No. 1-8787). | |||||||
| (10) Sixth Supplemental Indenture, dated April 5, 2022, between Corebridge Financial, Inc. and The Bank of New York Mellon, as Trustee, relating to the 4.400% Senior Notes due 2052 (2052 Notes) | Incorporated by reference to Exhibit 4.7 to AIG’s Current Report on Form 8-K, filed with the SEC on April 7, 2022 (File No. 1-8787). | |||||||
| (11) Form of the 2025 Notes (included in Exhibit 4.5) | Incorporated by reference to Exhibit 4.2 to AIG’s Current Report on Form 8-K, filed with the SEC on April 7, 2022 (File No. 1-8787). | |||||||
| (12) Form of the 2027 Notes (included in Exhibit 4.6) | Incorporated by reference to Exhibit 4.3 to AIG’s Current Report on Form 8-K, filed with the SEC on April 7, 2022 (File No. 1-8787). | |||||||
| (13) Form of the 2029 Notes (included in Exhibit 4.7) | Incorporated by reference to Exhibit 4.4 to AIG’s Current Report on Form 8-K, filed with the SEC on April 7, 2022 (File No. 1-8787). | |||||||
| (14) Form of the 2032 Notes (included in Exhibit 4.8) | Incorporated by reference to Exhibit 4.5 to AIG’s Current Report on Form 8-K, filed with the SEC on April 7, 2022 (File No. 1-8787). | |||||||
| (15) Form of the 2042 Notes (included in Exhibit 4.9) | Incorporated by reference to Exhibit 4.6 to AIG’s Current Report on Form 8-K, filed with the SEC on April 7, 2022 (File No. 1-8787). | |||||||
| (16) Form of the 2052 Notes (included in Exhibit 4.10) | Incorporated by reference to Exhibit 4.7 to AIG’s Current Report on Form 8-K, filed with the SEC on April 7, 2022 (File No. 1-8787). | |||||||
| 9 | Voting Trust Agreement | None. | ||||||
| 10 | Material contracts | |||||||
| (1) American International Group, Inc. 2010 Stock Incentive Plan* | Incorporated by reference to Appendix B in AIG’s Definitive Proxy Statement, dated April 12, 2010 (Filed No. 1-8787). | |||||||
| (2) AIG 2010 Stock Incentive Plan Non-Employee Director Deferred Stock Units (DSU) Award Agreement* | Incorporated by reference to Exhibit 10.14 to AIG’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2012 (File No. 1-8787). |
| 258 | AIG | 2022 Form 10-K |
| AIG | 2022 Form 10-K | 259 |
| Exhibit Number | Description | Location | ||||||
| (21) Description of Non-Management Director Compensation* | Incorporated by reference to “Compensation of Directors” in AIG’s Definitive Proxy Statement on Schedule 14A, dated March 29, 2022 (File No. 1-8787). | |||||||
| (22) 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). | |||||||
| (23) 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). | |||||||
| (24) 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). | |||||||
| (25) 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). | |||||||
| (26) 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). | |||||||
| (27) 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). | |||||||
| (28) 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). | |||||||
| (29) 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). | |||||||
| (30) 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). | |||||||
| (31) 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). | |||||||
| (32) 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). | |||||||
| (33) 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). | |||||||
| (34) 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). | |||||||
| (35) Form of AIG 2021 Omnibus Incentive Plan Non-Employee Director DSU Award Agreement* | Incorporated by reference to Exhibit 10.41 to AIG's Annual Report on Form 10-K, filed with the SEC on February 17, 2022 (File No. 1-8787). | |||||||
| (36) 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). | |||||||
| (37) 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). | |||||||
| (38) 18-Month Delayed Draw Term Agreement, dated as of February 25, 2022, among SAFG Retirement Services, Inc., as borrower, the lenders party thereto and the administrative agent party thereto | Incorporated by Reference to Exhibit 10.1 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on May 5, 2022. | |||||||
| (39) 3-Year Delayed Draw Term Agreement, dated as of February 25, 2022, among SAFG Retirement Services, Inc., as borrower, the lenders party thereto and the administrative agent party thereto | Incorporated by Reference to Exhibit 10.2 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on May 5, 2022. | |||||||
| (40) AIG Long-Term Incentive Plan (as amended and restated March 2022)* | Incorporated by Reference to Exhibit 10.3 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on May 5, 2022. | |||||||
| (41) Form of Long-Term Incentive Award Agreement (as of March 2022)* | Incorporated by Reference to Exhibit 10.4 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on May 5, 2022. | |||||||
| (42) Revolving Credit Agreement, dated as of May 12, 2022 among Corebridge Financial, Inc., the subsidiary borrowers thereto, the lenders party thereto, and JPMorgan Chase Bank, N.A., as administrative agent, and the several L/C agent party thereto | Incorporated by reference Exhibit 10.1 to AIG’s Current Report on Form 8-K, filed with the SEC on May 13, 2022 (File No. 1-8787). | |||||||
| (43) Amendment Letter, dated as of May 12, 2022, to the Credit Agreement among AIG, the subsidiary borrowers party thereto, the lenders party thereto, and Bank of America, N.A., as administrative agent, and each several L/C agent party thereto | Incorporated by Reference to Exhibit 10.2 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on August 8, 2022 (File No. 1-8787). |
| 260 | AIG | 2022 Form 10-K |
| Exhibit Number | Description | Location | ||||||
| (44) Amendment Letter, dated as of May 11, 2022, to the 3-Year Delayed Draw Term Loan Agreement among Corebridge Financial, Inc., the lenders party thereto, and JPMorgan Chase Bank, N.A., as administrative agent | Incorporated by Reference to Exhibit 10.3 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on June on August 8, 2022 (File No. 1-8787). | |||||||
| (45) Amendment Letter, dated as of August 24, 2022, to the 3-Year Delayed Draw Term Loan Agreement among Corebridge Financial, Inc., the lenders party thereto, and JPMorgan Chase Bank, N.A., as administrative agent | Incorporated by Reference to Exhibit 10.1 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on November 2, 2022 (File No. 1-8787). | |||||||
| (46) AIG Long Term Incentive Plan (as amended and restated September 2022) | Incorporated by Reference to Exhibit 10.2 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on November 2, 2022 (File No. 1-8787). | |||||||
| (47) Separation Agreement, dated as of September 14, 2022, by and between American International Group, Inc. and Corebridge Financial, Inc. | Incorporated by Reference to Exhibit 10.3 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on November 2, 2022 (File No. 1-8787). | |||||||
| (48) Registration Rights Agreement, dated as of September 14, 2022, by and between American International Group, Inc. and Corebridge Financial, Inc. | Incorporated by Reference to Exhibit 10.4 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on November 2, 2022 (File No. 1-8787). | |||||||
| (49) Transition Services Agreement, dated as of September 14, 2022, by and between American International Group, Inc. and Corebridge Financial, Inc. | Incorporated by Reference to Exhibit 10.5 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on November 2, 2022 (File No. 1-8787). | |||||||
| (50) Trademark License Agreement, dated as of September 14, 2022, by and between American International Group, Inc. and Corebridge Financial, Inc. | Incorporated by Reference to Exhibit 10.6 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on November 2, 2022 (File No. 1-8787). | |||||||
| (51) Intellectual Property Assignment Agreement, dated as of September 14, 2022, by and between American International Group, Inc. and Corebridge Financial, Inc. | Incorporated by Reference to Exhibit 10.7 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on November 2, 2022 (File No. 1-8787). | |||||||
| (52) Grantback License Agreement, dated as of September 14, 2022, by and between American International Group, Inc. and Corebridge Financial, Inc. | Incorporated by Reference to Exhibit 10.8 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on November 2, 2022 (File No. 1-8787). | |||||||
| (53) Employee Matters Agreement, dated as of September 14, 2022, by and between American International Group, Inc. and Corebridge Financial, Inc. | Incorporated by Reference to Exhibit 10.9 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on November 2, 2022 (File No. 1-8787). | |||||||
| (54) Tax Matters Agreement, dated as of September 14, 2022, by and between American International Group, Inc. and Corebridge Financial, Inc. | Incorporated by Reference to Exhibit 10.10 to AIG’s Quarterly Report on Form 10-Q, filed with the SEC on November 2, 2022 (File No. 1-8787). | |||||||
| (55) Employment Agreement, dated as of November 10, 2022, by and between American International Group, Inc. and Peter Zaffino* | Filed herewith. | |||||||
| (56) RSU Award Agreement, between American International Group, Inc. and Peter Zaffino* | Filed herewith. | |||||||
| (57) Settlement Agreement and Release, dated January 29, 2023, by and between American International Group, Inc. and Mark Lyons* | Incorporated by Reference to Exhibit 99.1 to AIG’s Current Report on Form 8-K, filed with the SEC on January 30, 2023 (File No. 1-8787). | |||||||
| 18 | Letter of PricewaterhouseCoopers LLP, dated February 17, 2023 | Filed herewith. | ||||||
| 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. | ||||||
| 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, 2022 and December 31, 2021, (ii) the Consolidated Statements of Income (Loss) for the three years ended December 31, 2022, (iii) the Consolidated Statements of Equity for the three years ended December 31, 2022, (iv) the Consolidated Statements of Cash Flows for the three years ended December 31, 2022, (v) the Consolidated Statements of Comprehensive Income (Loss) for the three years ended December 31, 2022 and (vi) the Notes to the Consolidated Financial Statements. | Filed herewith. | ||||||
| 104 | Cover Page Interactive Data File (formatted as inline XBRL with applicable taxonomy extension information contained in Exhibits 101) | 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.
Previous: Item 14. Principal Accountant Fees and Services · Next: Item 16. Form 10-K Summary
Sponsor Sponsor this sector. One slot per industry, shown on every filing in it. Details