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20. Does the Ap
plicant carry Directors and Officers, Employment Practices Liability, Professional Liability Insurance?
Yes No
If “Yes,” provide the following information with regard to all insurance:
D&O EPLI E&O
Insurance carrier
Limits of liability $ $ $
Deductible/Retention $ $ $
Premium $ $ $
Policy Period
Retroactive date/Continuity date
Years of continuous coverage
21. Has any insurance carrier refused, canceled or non-renewed the Applicant’s Directors and Officers or other
management liability insurance, Employment Practices Liability insurance or Professional Liability insurance for
In-House Counsel? (MISSOURI APPLICANTS NEED NOT REPLY) Yes No
If “Yes,” please provide the date, carrier, coverage and reason for each declination, cancellation or non-
renewal.
22. Has any In-House Counsel been subject to any discipline by, or been refused admission to any bar, court or
administrative agency? Yes No If “Yes,” attach complete information.
23. Has the Applicant or any In-House Counsel been charged with a violation of any federal, state or foreign
securities law, rule or regulation in any court or by any civil, criminal, administrative or regulatory agency?
Yes No If “Yes,” attach complete information.
24. After reasonable inquiry, is any In-House Counsel or the Applicant aware of any claims or actions against any
person proposed for insurance in his or her capacity as In-House Counsel within the past three (3) years?
Yes No If “Yes,” attach complete information.
25. After reasonable inquiry, is any In-House Counsel or the Applicant, aware, of any act, error or omission which
may reasonably be expected to give rise to a claim against any In-House Counsel? Yes No
If “Yes,” attach complete information.
It is agreed that with respect to questions 22, 23, 24 and 25 above, that if any answer is in the affirmative, then
such Claim, proceeding or action and any Claim or action arising from such Claim, proceeding, action,
knowledge, information or involvement is excluded from the proposed coverage. It is further agreed that all written
statements and materials furnished to the insurer in conjunction with this Application along with all public
documents (including 10-Qs, 10-Ks and other filings) are hereby incorporated by reference into this application and
made a part hereof.
WARNING: ANY PERSON WHO KNOWINGLY AND WITH INTENT TO DEFRAUD ANY INSURANCE COMPANY
OR OTHER PERSON FILES AN APPLICATION FOR INSURANCE OR STATEMENT OF CLAIM CONTAINING
ANY MATERIALLY FALSE INFORMATION OR CONCEA
LS FOR THE PURPOSE OF MISLEADING,
INFORMATION C
ONCERNING ANY FACT MATERIAL THERETO COMMITS A FRAUDULENT INSURANCE ACT,
WHICH IS A CRIME AND SUBJECTS SUCH PERSON TO CRIMINAL AND CIVIL PENALTIES.
PI-EW-APP FL (05/10)