PI-EW-APP NY (05/10)
Page 3 of 4
20. Does the Applicant carry Directors and Officers, Employment Practices Liability, Professional Liability
Ins
urance? 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 refuse
d, canceled o
r 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-rene
wal.
22. Has any In-House Counsel bee
n subje
ct 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 “Y
es,” attach complete information.
24. After reasonable inquiry, is any In-Ho
u
se 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-Hous
e 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.
NOTICE TO NEW YORK APPLICANTS: ANY PERSON WHO KNO
WINGLY 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 CONCEALS FOR THE
PURPOSE OF MISLEADING, INFORMATION CONCERNING ANY FACT MATERIAL THERETO, COMMITS A
FRAUDULENT INSURANCE ACT, WHICH IS A CRIME AND SHALL ALSO BE SUBJECT TO A CIVIL PENALTY
NOT TO EXCEED FIVE THOUSAND DOLLARS AND THE STATED VALUE OF THE CLAIM FOR EACH SUCH
VIOLATION.