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EX-10.1 - EX-10.1 - Level 3 Parent, LLCa12-13066_1ex10d1.htm

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

 

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

 

Date of Report (Date of earliest event reported):  May 24, 2012

 

Level 3 Communications, Inc.

(Exact name of Registrant as specified in its charter)

 

Delaware

 

0-15658

 

47-0210602

(State or other

 

(Commission File

 

(IRS employer

jurisdiction of incorporation)

 

Number)

 

Identification No.)

 

1025 Eldorado Blvd., Broomfield, Colorado
(Address of principal executive offices)

 

80021

(Zip code)

 

720-888-1000
(Registrant’s telephone number including area code)

 

Not applicable
(Former name and former address, if changed since last report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

o            Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o            Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o            Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o            Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 



 

Item 5.07. Submission of Matters to a Vote of Security Holders.

 

Level 3 Communications, Inc. (“Level 3” or “we” or “us” or “our”) held its 2012 annual meeting of stockholders on May 24, 2012.  At the meeting, stockholders present in person or by proxy voted on the matters described below.  The votes noted below are the final voting results.

 

There were 216,217,175 of our common stock entitled to vote at the 2012 annual meeting and a total of 200,323,643 shares (92.65% of the outstanding common stock) were represented at the meeting in person or by proxy.

 

1.               Election of Directors:  Stockholders elected each of the 12 directors named below to our Board of Directors (our “Board”) to hold office until the annual meeting of stockholders in 2013 or until his successor is elected and qualified, based on the following votes:

 

 

 

FOR

 

WITHHOLD

 

BROKER NON-VOTE

 

Walter Scott, Jr.

 

167,164,650

 

1,545,091

 

31,613,902

 

James Q. Crowe

 

166,819,207

 

1,890,534

 

31,613,902

 

General Kevin P. Chilton

 

167,205,121

 

1,504,620

 

31,613,902

 

Admiral Archie R. Clemins

 

167,018,728

 

1,691,013

 

31,613,902

 

Steven T. Clontz

 

167,166,853

 

1,542,888

 

31,613,902

 

Admiral James O. Ellis, Jr.

 

167,479,078

 

1,230,663

 

31,613,902

 

Richard R. Jaros

 

111,175,401

 

57,534,340

 

31,613,902

 

Michael J. Mahoney

 

111,225,314

 

57,484,427

 

31,613,902

 

Charles C. Miller, III

 

167,517,168

 

1,192,573

 

31,613,902

 

Peter Seah Lim Huat

 

162,334,865

 

6,374,876

 

31,613,902

 

John T. Reed

 

165,368,851

 

3,340,890

 

31,613,902

 

Dr. Albert C. Yates

 

111,286,006

 

57,423,735

 

31,613,902

 

 

2.               To approve an amendment to the Level 3 Communications, Inc. restated certificate of incorporation to increase the number of authorized shares of common stock, par value $.01 per share, from 293,333,333 to 343,333,333.

 

FOR

 

AGAINST

 

ABSTAIN

 

BROKER NON-VOTE

 

193,235,788

 

6,827,506

 

260,349

 

0

 

 

3.               To approve the amendment of the Level 3 Communications, Inc. Stock Plan to increase the number of shares of our common stock, par value $.01 per share, that are reserved for issuance under the plan by 6.5 million.

 

FOR

 

AGAINST

 

ABSTAIN

 

BROKER NON-VOTE

 

151,912,954

 

16,623,457

 

173,330

 

31,613,902

 

 

4.               To approve and ratify the implementation of the Rights Agreement that is designed to protect Level 3 Communications, Inc.’s U.S. net operating loss carryforwards from limitations pursuant to Section 382 under the U.S. Internal Revenue Code of 1986, as amended.

 

FOR

 

AGAINST

 

ABSTAIN

 

BROKER NON-VOTE

 

149,444,548

 

19,103,072

 

162,121

 

31,613,902

 

 

2



 

5.               To approve the named executive officer compensation, which vote is on an advisory basis.

 

FOR

 

AGAINST

 

ABSTAIN

 

BROKER NON-VOTE

 

96,985,267

 

70,437,793

 

1,286,681

 

31,613,902

 

 

Item 8.01.  Other Matters

 

Attached as Exhibit 10.1 to this Current Report is the Level 3 Communications, Inc. Stock Plan, effective May 24, 2012.

 

Item 9.01. Financial Statements and Exhibits

 

(a)

Financial Statements of Business Acquired

 

None

 

 

(b)

Pro Forma Financial Information

 

None

 

 

(c)

Shell Company Transactions

 

None

 

 

(d)

Exhibits

 

 

 

10.1

Level 3 Communications, Inc. Stock Plan, effective May 24, 2012.

 

3



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.

 

 

Level 3 Communications, Inc.

 

 

 

By:

/s/ Neil J. Eckstein

 

Neil J. Eckstein, Senior Vice President

 

Date:  May 25, 2012

 

4



 

Exhibit Index

 

Exhibit

 

Description

 

 

 

10.1

 

Level 3 Communications, Inc. Stock Plan, effective May 24, 2012.

 

5