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2016 PPG ANNUAL REPORT AND FORM 10-K
All other schedules are omitted because they are not applicable.
(a)(3) Exhibits. The following exhibits are filed as a part of, or
incorporated by reference into, this Form 10-K.
2 Transaction Agreement by and among PPG
Industries, Inc., PPG Industries Securities, LLC,
PPG Luxembourg Finance S.àR.L., Group 26
Diversified Holdings Ireland, and Essilor
International (Compagnie Generale D’Optique)
S.A. was filed as Exhibit 2.1 to the Registrant’s
Quarterly Report on Form 10-Q for the period
ended September 30, 2013.
2.1 Stock Purchase Agreement, dated June 30, 2014,
by and among Avisep, S.A. de C.V., Bevisep,
S.A. de C.V., PPG Industries, Inc. and Consorcio
Comex, S.A. de C.V., was filed as Exhibit 2 to
the Registrant’s Quarterly Report on Form 10-Q
for the period ended June 30, 2014.
2.2 Definitive Purchase Agreement, dated as of June
24, 2016, by and among Massachusetts Mutual
Life Insurance Company, PPG Industries, Inc.
and State Street Bank and Trust Company, as
Independent Fiduciary of the PPG Industries,
Inc. Pension Plans, was filed as Exhibit 2.1 to
the Registrant’s Quarterly Report on Form 10-Q
for the quarter ended June 30, 2016.
2.3 Definitive Purchase Agreement, dated as of June
24, 2016, by and among Metropolitan Life
Insurance Company, PPG Industries, Inc. and
State Street Bank and Trust Company, as
Independent Fiduciary of the PPG Industries,
Inc. Pension Plans, was filed as Exhibit 2.2 to
the Registrant’s Quarterly Report on Form 10-Q
for the quarter ended June 30, 2016.
3 Statement with Respect to Shares Eliminating
the Series A Junior Participating Preferred
Stock, was filed as Exhibit 3.1 to the
Registrant’s Quarterly Report on Form 10-Q for
the period ended September 30, 2014.
3.1 Restated Articles of Incorporation of PPG
Industries, Inc., was filed as Exhibit 3.2 to the
Registrant’s Quarterly Report on Form 10-Q for
the period ended September 30, 2014.
3.2 Articles of Amendment to the Restated Articles
of Incorporation of PPG Industries, Inc.
effective June 12, 2015, was filed as Exhibit 3.1
to the Registrant’s Current Report on Form 8-K
filed on June 18, 2015.
3.3 Amended and Restated Bylaws of PPG
Industries, Inc., as amended on December 10,
2015, was filed as Exhibit 3.1 to the Registrant’s
Current Report on Form 8-K filed on December
15, 2015.
4 Indenture, dated as of Aug. 1, 1982, was filed as
Exhibit 4.1 to the Registrant’s Registration
Statement on Form S-3 (No. 333-44397) dated
January 16, 1998.
4.1 First Supplemental Indenture, dated as of April
1, 1986, was filed as Exhibit 4.2 to the
Registrant’s Registration Statement on Form S-3
(No. 333-44397) dated January 16, 1998.
4.2 Second Supplemental Indenture, dated as of
October 1, 1989, was filed as Exhibit 4.3 to the
Registrant’s Registration Statement on Form S-3
(No. 333-44397) dated January 16, 1998.
4.3 Third Supplemental Indenture, dated as of
November 1, 1995, was filed as Exhibit 4.4 to
the Registrant’s Registration Statement on Form
S-3 (No. 333-44397) dated January 16, 1998.
4.4 Indenture, dated as of June 24, 2005, was filed
as Exhibit 4.1 to the Registrant’s Current Report
on Form 8-K dated June 20, 2005.
4.5 Indenture, dated as of March 18, 2008, was filed
as Exhibit 4.1 to the Registrant’s Current Report
on Form 8-K filed on March 18, 2008.
4.6 Supplemental Indenture, dated as of March 18,
2008, was filed as Exhibit 4.2 to the Registrant’s
Current Report on Form 8-K filed on March 18,
2008.
4.7 Second Supplemental Indenture, dated as of
November 12, 2010, was filed as Exhibit 4.3 to
the Registrant’s Current Report on Form 8-K
filed on November 12, 2010.
4.8 Third Supplemental Indenture, dated as of
August 3, 2012, was filed as Exhibit 4.4 to the
Registrant’s Current Report on Form 8-K filed
on August 3, 2012.
4.9 Fourth Supplemental Indenture, dated as of
November 12, 2014, between PPG Industries,
Inc. and The Bank of New York Mellon Trust
Company, was filed as Exhibit 4.2 to the
Registrant’s Current Report on Form 8-K filed
on November 12, 2014.
4.10 Fifth Supplemental Indenture, dated as of March
13, 2015, between PPG Industries, Inc. and The
Bank of New York Mellon Trust Company,
N.A., as trustee, was filed as Exhibit 4.3 to the
Registrant’s Current Report on Form 8-K filed
on March 13, 2015.
4.11 Sixth Supplemental Indenture, dated as of
November 3, 2016, between PPG Industries,
Inc. and The Bank of New York Mellon Trust
Company, N.A., as trustee, was filed as Exhibit
4.3 to the Registrant’s Current Report on Form
8-K filed on November 3, 2016.
* 10 PPG Industries, Inc. Nonqualified Retirement
Plan, as amended and restated September 24,
2008, was filed as Exhibit 10 to the Registrant’s
Annual Report on Form 10-K for the period
ended December 31, 2011.
* 10.1 Form of Change in Control Employment
Agreement entered into with executives prior to
January 1, 2008, as amended, was filed as
Exhibit 10.2 to the Registrant’s Annual Report
on Form 10-K for the period ended
December 31, 2007.
* 10.2 Form of Change in Control Employment
Agreement entered into with executives on or
after January 1, 2008 through December 31,
2009, was filed as Exhibit 10.24 to the
Registrant’s Annual Report on Form 10-K for
the period ended December 31, 2007.