UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C FORM 8-K

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1 CARLISLE COMPANIES INC FORM 8-K (Current report filing) Filed 11/20/12 for the Period Ending 11/15/12 Address NORTH COMMUNITY HOUSE ROAD SUITE 600 CHARLOTTE, NC Telephone CIK Symbol CSL SIC Code Fabricated Rubber Products, Not Elsewhere Industry Chemicals - Plastics & Rubber Sector Basic Materials Fiscal Year 12/31 Copyright 2015, EDGAR Online, Inc. All Rights Reserved. Distribution and use of this document restricted under EDGAR Online, Inc. Terms of Use.

2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C 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): November 15, 2012 CARLISLE COMPANIES INCORPORATED (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction (Commission File Number) (I.R.S. Employer of incorporation) Identification No.) North Community House Road, Suite 600, Charlotte, North Carolina (Address of principal executive offices) (Zip Code) Registrant s telephone number, including area code: (704) (Former name or 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: Written communications pursuant to Rule 425 under the Securities Act (17 CFR ) Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR a-12) Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR d-2(b)) Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR e-4(c))

3 Item Other Events. On November 15, 2012, Carlisle Companies Incorporated (the Company ) entered into an Underwriting Agreement with J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Wells Fargo Securities, LLC, as representatives of the underwriters named therein, in connection with the public offering and sale of $350,000,000 aggregate principal amount of the Company s 3.75% Notes due 2022 (the Notes ) and entered into a related Pricing Agreement, dated November 15, 2012, among the Company, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Wells Fargo Securities, LLC, as representatives of the underwriters named therein. The Notes were registered for offer and sale by the Company s Registration Statement on Form S-3 (Registration No ). In connection with the public offering and sale of the Notes, the Company filed a prospectus dated December 6, 2010 and a prospectus supplement dated November 15, 2012 (collectively, the Final Prospectus ) with the Securities and Exchange Commission pursuant to Rule 424(b)(2) of the Securities Act of 1933, as amended. Interest on the Notes is payable semiannually on May 15 and November 15 of each year, commencing May 15, 2013, to holders of record on the preceding May 1 or November 1, as the case may be. The Notes will mature on November 15, The Notes are the Company s senior unsecured obligations and will rank equally in right of payment with all of the Company s existing and future senior unsecured indebtedness. The terms of the Notes are further described in the Final Prospectus, which description is hereby incorporated herein by reference. The Notes were issued on November 20, 2012 pursuant to the Indenture, dated as of January 15, 1997, between the Company and U.S. Bank National Association (as successor to State Street Bank and Trust Company, as successor to Fleet National Bank) (the Original Trustee ), as amended and supplemented by a First Supplemental Indenture, dated as of August 18, 2006, among the Company, the Original Trustee and The Bank of New York Mellon Trust Company, N.A. (as successor to The Bank of New York Trust Company, N.A.), a Second Supplemental Indenture, dated December 9, 2010, among the Company, the Original Trustee and The Bank of New York Mellon Trust Company, N.A. (the Series Trustee ) and a Third Supplemental Indenture (the Third Supplemental Indenture ), dated November 20, 2012, among the Company, the Original Trustee and the Series Trustee, which provides for the appointment of the Series Trustee to serve as the registrar, paying agent and trustee with respect to the Notes. The descriptions of the Underwriting Agreement, the Pricing Agreement and the Third Supplemental Indenture are qualified in their entirety by the terms of such agreements themselves. Please refer to such agreements and the form of Notes, each of which is incorporated herein by reference and attached to this report as Exhibits 1.1, 4.1 and 4.2, respectively. 2

4 Item Financial Statements and Exhibits. (d) Exhibits. Exhibit Number Description 1.1 Underwriting Agreement and Pricing Agreement, each dated as of November 15, Third Supplemental Indenture, dated as of November 20, 2012, among Carlisle Companies Incorporated, U.S. Bank National Association (as successor to State Street Bank and Trust Company, as successor to Fleet National Bank) and The Bank of New York Mellon Trust Company, N.A. 4.2 Form of 3.75% Note due Opinion of Hunton & Williams LLP regarding the Notes 23.1 Consent of Hunton & Williams LLP (contained in Exhibit 5.1) 3

5 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. CARLISLE COMPANIES INCORPORATED DATE: November 20, By: /s/ Steven J. Ford Name: Steven J. Ford Title: Vice President and Chief Financial Officer

6 EXHIBIT INDEX Exhibit Number Description 1.1 Underwriting Agreement and Pricing Agreement, each dated as of November 15, Third Supplemental Indenture, dated as of November 20, 2012, among Carlisle Companies Incorporated, U.S. Bank National Association (as successor to State Street Bank and Trust Company, as successor to Fleet National Bank) and The Bank of New York Mellon Trust Company, N.A. 4.2 Form of 3.75% Note due Opinion of Hunton & Williams LLP regarding the Notes 23.1 Consent of Hunton & Williams LLP (contained in Exhibit 5.1) 5

7 Exhibit 1.1 EXECUTION COPY CARLISLE COMPANIES INCORPORATED Debt Securities Underwriting Agreement November 15, 2012 J.P. Morgan Securities LLC 383 Madison Avenue New York, New York Merrill Lynch, Pierce, Fenner & Smith Incorporated One Bryant Park New York, New York Wells Fargo Securities, LLC 301 S. College Street Charlotte, North Carolina As Representatives of the Underwriters referred to herein Ladies and Gentlemen: From time to time Carlisle Companies Incorporated, a Delaware corporation (the Company ), proposes to enter into one or more Pricing Agreements (each a Pricing Agreement ) in the form of Annex I hereto, with such additions and deletions as the parties thereto may determine, and, subject to the terms and conditions stated herein and therein, to issue and sell to the firms named in Schedule I to the applicable Pricing Agreement (such firms constituting the Underwriters with respect to such Pricing Agreement and the securities specified therein) such aggregate principal amount of the Company s debt securities (the Securities ) as specified in Schedule II to such Pricing Agreement (with respect to such Pricing Agreement, the Designated Securities ). The terms and rights of any particular issuance of Designated Securities shall be as specified in the Pricing Agreement relating thereto and in or pursuant to the indenture (the Indenture ) identified in such Pricing Agreement. As used herein, Significant Subsidiaries shall mean those subsidiaries of the Company named in Annex II hereto, and each other subsidiary of the Company, which at the time of the relevant Pricing Agreement is a significant subsidiary

8 as defined in Rule 405 of Regulation C under the Securities Act of 1933, as amended (including the rules and regulations promulgated thereunder, the Securities Act ). 1. Particular sales of Designated Securities may be made from time to time to the Underwriters of such Designated Securities, for whom the firms designated as representatives of the Underwriters of such Designated Securities in the Pricing Agreement relating thereto will act as representatives (the Representatives ). The term Representatives also refers to a single firm acting as sole representative of the Underwriters and to an Underwriter or Underwriters who act without any firm being designated as its or their representatives. This Underwriting Agreement shall not be construed as an obligation of the Company to sell any of the Securities or as an obligation of any of the Underwriters to purchase the Securities. The obligation of the Company to issue and sell any of the Securities and the obligation of any of the Underwriters to purchase any of the Securities shall be evidenced by the Pricing Agreement with respect to the Designated Securities specified therein. Each Pricing Agreement shall specify the aggregate principal amount of such Designated Securities, the initial public offering price of such Designated Securities, the purchase price to the Underwriters of such Designated Securities, the names of the Underwriters of such Designated Securities, the names of the Representatives of such Underwriters and the principal amount of such Designated Securities to be purchased by each Underwriter and shall set forth the date, time and manner of delivery of such Designated Securities and payment therefor. The Pricing Agreement shall also specify (to the extent not set forth in the Indenture and the registration statement and prospectus with respect thereto) the terms of such Designated Securities. A Pricing Agreement shall be in the form of an executed writing (which may be in counterparts), and may be evidenced by an exchange of telegraphic communications or any other rapid transmission device designed to produce a written record of communications transmitted. The obligations of the Underwriters under this Agreement and each Pricing Agreement shall be several and not joint. 2. The Company represents and warrants to, and agrees with, each of the Underwriters as of the date hereof, as of the time at which sales of the relevant Designated Securities were first made (the Initial Sale Time ) and as of the Time of Delivery (as defined below) (in each case, a Representation Date ) that: (a) The Company has prepared and filed with the Securities and Exchange Commission (the Commission ) a registration statement on Form S-3 (File No ), which contains a base prospectus (the Base Prospectus ), to be used in connection with the public offering and sale of debt securities, including the Securities, in accordance with Rule 415 under the Securities Act. Such registration statement, as amended, including the financial statements, exhibits and schedules thereto, at each time of effectiveness in respect of the relevant Designated Securities under the Securities Act, including any required information deemed to be a part thereof at the time of effectiveness pursuant to Rule 430B under the Securities Act or the Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder (collectively, the Exchange Act ), is called the Registration Statement. From and after the filing, if any, of a registration statement filed by the Company pursuant to Rule 462 (b) under the Securities Act (the Rule 462(b) Registration Statement ) relating to the relevant 2

9 Designated Securities, the term Registration Statement shall include the Rule 462(b) Registration Statement. The term Preliminary Prospectus shall mean a preliminary prospectus supplement that describes the relevant Designated Securities and the offering thereof and is used prior to filing of the Prospectus relating to such Designated Securities, together with the Base Prospectus. The term Prospectus shall mean the final prospectus supplement relating to the relevant Designated Securities, together with the Base Prospectus, that is first filed pursuant to Rule 424(b) after the date and time that the Pricing Agreement related to such Designated Securities is executed and delivered by the parties thereto. Any reference herein to the Registration Statement, the Preliminary Prospectus or the Prospectus shall be deemed to refer to and include the documents that are or are deemed to be incorporated by reference therein pursuant to Item 12 of Form S-3 under the Securities Act; any reference to any amendment or supplement to any Preliminary Prospectus or Prospectus shall be deemed to refer to and include any documents filed after the date of such Preliminary Prospectus or Prospectus, as the case may be, under the Exchange Act, and incorporated by reference in such Preliminary Prospectus or Prospectus, as the case may be; and any reference to any amendment to the Registration Statement shall be deemed to refer to and include any annual report of the Company on Form 10-K filed pursuant to Section 13(a) or 15(d) of the Exchange Act after the effective date of the Registration Statement that is incorporated by reference in the Registration Statement. All references in this Agreement to the Registration Statement, any Rule 462(b) Registration Statement, the Preliminary Prospectus, the Prospectus, or any amendments or supplements to any of the foregoing, shall include any copy thereof filed with the Commission pursuant to its Electronic Data Gathering, Analysis and Retrieval System ( EDGAR ). (b) The Company meets the requirements for use of Form S-3 under the Securities Act. The Registration Statement has become effective under the Securities Act and no stop order suspending the effectiveness of the Registration Statement has been issued under the Securities Act and no proceedings for that purpose have been instituted or are pending or, to the knowledge of the Company, are contemplated or threatened by the Commission, and any request on the part of the Commission for additional information has been complied with. In addition, the Indenture has been duly qualified under the Trust Indenture Act of 1939, as amended (the Trust Indenture Act ). (c) (i) At the time of filing the Registration Statement, (ii) at the time of the most recent amendment thereto for the purposes of complying with Section 10(a)(3) of the Securities Act (whether such amendment was by post effective amendment, incorporated report filed pursuant to Section 13 or 15(d) of the Exchange Act or form of prospectus), (iii) at the time the Company or any person acting on its behalf (within the meaning, for this clause only, of Rule 163(c) of the Securities Act) made any offer relating to the Securities in reliance on the exemption of Rule 163 of the Securities Act, and (iv) as of the Initial Sale Time, the Company was and is a well known seasoned issuer as defined in Rule 405 of the Securities Act. The Registration Statement is an automatic shelf registration statement, as defined in Rule 405 of the Securities Act, that automatically became effective not more than three years prior to the Initial Sale Time; the Company has not received from the Commission any notice pursuant to Rule 401(g)(2) of the Securities Act 3

10 objecting to use of the automatic shelf registration statement form and the Company has not otherwise ceased to be eligible to use the automatic shelf registration form. (d) At the determination date calculated pursuant to Rule 164(h) under the Securities Act in respect of the offering of the Designated Securities, the Company was not an Ineligible Issuer (as defined in Rule 405 of the Securities Act). (e) At the respective times the Registration Statement and any post-effective amendments thereto (including the filing of the Company s most recent Annual Report on Form 10-K with the Commission and the filing of the Prospectus with the Commission) became effective and at each Representation Date, the Registration Statement and any amendments thereto (i) complied and will comply in all material respects with the requirements of the Securities Act and the rules and regulations of the Commission thereunder and the Trust Indenture Act and the rules and regulations of the Commission thereunder, and (ii) did not, and will not, contain any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein not misleading. At the date of the Prospectus and at the Time of Delivery, neither the Prospectus nor any amendments or supplements thereto included or will include an untrue statement of a material fact or omitted or will omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. Notwithstanding the foregoing, the representations and warranties in this subsection shall not apply to (i) that part of the Registration Statement which constitutes the Statement of Eligibility on Form T-1 of the Trustee under the Trust Indenture Act (the Form T-1 ) and (ii) statements in, or omissions from, the Registration Statement or any post-effective amendment or the Prospectus or any amendments or supplements thereto, made in reliance upon and in conformity with information furnished to the Company in writing by any Underwriter through the Representatives expressly for use therein. Each preliminary prospectus and prospectus filed as part of the Registration Statement, as originally filed or as part of any amendment thereto, or filed pursuant to Rule 424 under the Securities Act, and in each case relating to the relevant Designated Securities, complied when so filed in all material respects with the Securities Act and the rules and regulations of the Commission thereunder, and the Preliminary Prospectus and the Prospectus delivered to the Underwriters for use in connection with the offering of the relevant Designated Securities will, at the time of such delivery, be identical to any electronically transmitted copies thereof filed with the Commission pursuant to EDGAR, except to the extent permitted by Regulation S-T or otherwise by the Securities Act. (f) The term Disclosure Package shall mean (i) the Preliminary Prospectus with respect to the relevant Designated Securities, (ii) the issuer free writing prospectuses as defined in Rule 433 under the Securities Act (each, an Issuer Free Writing Prospectus ), if any, identified in Exhibit A to the relevant Pricing Agreement and (iii) any other free writing prospectus that the parties hereto shall hereafter expressly agree in writing to treat as part of the Disclosure Package with respect to the relevant Designated Securities. As of the Initial Sale Time, each of (x) the Disclosure Package and (y) the Disclosure Package, 4

11 when read together with any electronic roadshow, will not contain any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. The preceding sentence does not apply to statements in, or omissions from, the Disclosure Package based upon and in conformity with written information furnished to the Company by any Underwriter through the Representatives specifically for use therein. (g) The documents incorporated or deemed to be incorporated by reference in the Registration Statement, the Disclosure Package and the Prospectus (i) at the time they were, or hereafter are, filed with the Commission, complied or will comply, as the case may be, in all material respects with the requirements of the Exchange Act and the rules and regulations of the Commission thereunder and (ii) when read together with the other information in the Disclosure Package, at the Initial Sale Time, and when read together with the other information in the Prospectus, at the date of the Prospectus and at the Time of Delivery, did not, and will not, include an untrue statement of a material fact or omit to state a material fact necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. (h) No Issuer Free Writing Prospectus, as of its issue date and at all subsequent times through the completion of the offering of the relevant Designated Securities or until any earlier date that the Company notified or notifies the Representatives as described in the next sentence conflicted, did not, does not and will not include any information that conflicts or will conflict with the information contained in the Registration Statement, including any document incorporated by reference therein that has not been superseded or modified. If at any time following issuance of an Issuer Free Writing Prospectus there occurred or occurs an event or development as a result of which such Issuer Free Writing Prospectus conflicted or would conflict with the information contained in the Registration Statement, the Company has promptly notified or will promptly notify the Representatives and has promptly amended or supplemented or will promptly amend or supplement, at its own expense, such Issuer Free Writing Prospectus to eliminate or correct such conflict. The foregoing two sentences do not apply to statements in or omissions from any Issuer Free Writing Prospectus based upon and in conformity with written information furnished to the Company by any Underwriter through the Representatives specifically for use therein. (i) The Company has not distributed and will not distribute, prior to the later of the Time of Delivery with respect to the relevant Designated Securities and the completion of the Underwriters distribution of such Designated Securities, any offering material in connection with the offering and sale of such Designated Securities other than the Preliminary Prospectus relating to such Designated Securities, the Prospectus relating to such Designated Securities, any Issuer Free Writing Prospectus identified in Exhibit A to the applicable Pricing Agreement or otherwise consented to in writing by the Representatives, or the Registration Statement. (j) Neither the Company nor any of its subsidiaries has sustained since the date of the latest audited financial statements included or incorporated by reference in the 5

12 Disclosure Package and the Prospectus any material loss or interference with its business from fire, explosion, flood or other calamity, whether or not covered by insurance, or from any labor dispute or court or governmental action, order or decree, otherwise than as set forth or contemplated in the Disclosure Package and the Prospectus; and, since the respective dates as of which information is given in the Disclosure Package and the Prospectus, there has not been any change in the capital stock or long-term debt of the Company or any of its subsidiaries or any material adverse change, or any development which could reasonably be expected to result in a material adverse change, in or affecting the general affairs, management, financial position, stockholders equity or results of operations of the Company and its subsidiaries, considered as a whole, otherwise than as set forth or contemplated in the Disclosure Package and the Prospectus. (k) The Company has been duly incorporated and is validly existing as a corporation in good standing under the laws of the State of Delaware, with power and authority (corporate and other) to own its properties and conduct its business as described in the Disclosure Package and the Prospectus; and the Company has been duly qualified as a foreign corporation for the transaction of business and is in good standing under the laws of each other jurisdiction in which it owns or leases properties or conducts any business so as to require such qualification, except to the extent that the failure to so qualify would not have a material adverse effect on the financial condition or results of operations of the Company and its subsidiaries, considered as a whole; and each subsidiary of the Company has been duly incorporated and is validly existing as a corporation in good standing under the laws of the jurisdiction of its incorporation, with power and authority (corporate and other) to own its properties and conduct its business as presently conducted, and has been duly qualified as a foreign corporation for the transaction of business and is in good standing under the laws of each other jurisdiction in which it owns or leases properties or conducts any business so as to require such qualification, except to the extent that the failure to so qualify would not have a material adverse effect on the financial condition or results of operations of the Company and its subsidiaries, considered as a whole. (l) The Company has an authorized capitalization as set forth in the Disclosure Package and the Prospectus, and all of the issued shares of capital stock of the Company have been duly and validly authorized and issued and are fully paid and nonassessable; all of the issued shares of capital stock of each Significant Subsidiary have been duly and validly authorized and issued, are fully paid and non-assessable, and the Company owns, directly or indirectly, all of the outstanding shares of capital stock of each Significant Subsidiary, free and clear of all liens, encumbrances, equities or claims. (m) The Securities have been duly authorized, and, when the relevant Designated Securities are issued and delivered pursuant to this Agreement and the Pricing Agreement with respect to such Designated Securities, such Designated Securities will have been duly executed, authenticated, issued and delivered and will constitute valid and legally binding obligations of the Company, subject, as to enforcement, to bankruptcy, insolvency, reorganization and other laws of general applicability relating to or affecting creditors rights and to general equity principles, entitled to the benefits provided by the Indenture, which will be substantially in the form filed as an exhibit to the Registration 6

13 Statement; at the Time of Delivery for such Designated Securities (as defined in Section 4 hereof), the Indenture will constitute a valid and legally binding instrument, enforceable in accordance with its terms, subject, as to enforcement, to bankruptcy, insolvency, reorganization and other laws of general applicability relating to or affecting creditors rights and to general equity principles; and the Indenture conforms, and the Designated Securities will conform, in all material respects, to the descriptions thereof contained in the Disclosure Package and the Prospectus. (n) The issue and sale of the relevant Designated Securities and the compliance by the Company with all of the provisions of such Designated Securities, the Indenture, this Agreement and the applicable Pricing Agreement, and the consummation of the transactions herein and therein contemplated will not conflict with or result in a breach or violation of any of the terms or provisions of, or constitute a default under, any indenture, mortgage, deed of trust, loan agreement or other agreement or instrument to which the Company or any of its subsidiaries is a party or by which the Company or any of its subsidiaries is bound or to which any of the property or assets of the Company or any of its subsidiaries is subject (except for such conflicts, breaches, violations or defaults that would not have a material adverse effect on the financial condition or results of operations of the Company and its subsidiaries, considered as a whole), nor will such action result in any violation of the provisions of the Certificate of Incorporation or By-laws of the Company or any of its subsidiaries or any statute or any order, rule or regulation of any court or governmental agency or body having jurisdiction over the Company or any of its subsidiaries or any of their properties; and no consent, approval, authorization, order, registration or qualification of or with any such court or governmental agency or body is required for the issue and sale of the Designated Securities or the consummation by the Company of the transactions contemplated by this Agreement or any Pricing Agreement or the Indenture, except such as have been, or will have been prior to each Time of Delivery, obtained under the Securities Act and the Trust Indenture Act and such consents, approvals, authorizations, registrations or qualifications as may be required under state securities or Blue Sky laws in connection with the purchase and distribution of the Designated Securities by the Underwriters. (o) The statements set forth in each of the Disclosure Package and the Prospectus under the caption Description of the Notes, when taken together with statements set forth in the Base Prospectus under the caption Description of Debt Securities, and under the caption Underwriting, when taken together with the statements set forth in the Base Prospectus under the caption Plan of Distribution, other than, in each case, information contained therein provided in writing by any Underwriter through the Representatives expressly for use therein, insofar as they purport to describe the provisions of the laws, instruments and other documents referred to therein, are accurate, complete and fair in all material respects. (p) Neither the Company nor any of its subsidiaries is (i) in violation of its Certificate of Incorporation or By-laws or (ii) in default in the performance or observance of any obligation, agreement, covenant or condition contained in any indenture, mortgage, deed of trust, loan agreement, lease or other agreement or instrument to which it is a party 7

14 or by which it or any of its properties may be bound, except, in the case of clause (i), with respect to the Company s subsidiaries which are not Significant Subsidiaries, where such violation would not have a material adverse effect on the financial condition or results of operations of the Company and its subsidiaries, considered as a whole, and except, in the case of clause (ii), where such default would not have a material adverse effect on the financial condition or results of operations of the Company and its subsidiaries, considered as a whole. (q) Otherwise than as set forth in the Disclosure Package and the Prospectus, there are no legal or governmental proceedings pending to which the Company or any of its subsidiaries is a party or of which any property of the Company or any of its subsidiaries is the subject which, if determined adversely to the Company or any of its subsidiaries, (i) would individually or in the aggregate have a material adverse effect on the current consolidated financial position, stockholders equity or results of operations of the Company and its subsidiaries or (ii) could individually or in the aggregate reasonably be expected to have a material adverse effect on the future consolidated financial position, stockholders equity or results of operations of the Company and its subsidiaries; and, to the best of the Company s knowledge, other than as set forth in the Disclosure Package and the Prospectus, no such proceedings are threatened or contemplated by governmental authorities or threatened by others. (r) The Company is not and, after giving effect to the offering and sale of the Securities, will not be an investment company or an entity controlled by an investment company, as such terms are defined in the Investment Company Act of 1940, as amended (the Investment Company Act ). (s) The financial statements together with the related notes thereto incorporated by reference in the Registration Statement, the Preliminary Prospectus and the Prospectus present fairly the consolidated financial position of the Company and its subsidiaries as of and at the dates indicated and the results of their operations and cash flows for the periods specified. Such financial statements have been prepared in conformity with generally accepted accounting principles as applied in the United States applied on a consistent basis throughout the periods involved, except as may be expressly stated in the related notes thereto. The selected financial data and the summary financial information included in the Preliminary Prospectus and the Prospectus present fairly the information shown therein and have been compiled on a basis consistent with that of the audited financial statements included in the Registration Statement, the Preliminary Prospectus and the Prospectus, except as such data and information pertain to the years 2004 to 2009, which do not reflect the re-segmentation of the Styled Wheels business from the Company s Transportation Products segment to its Brake & Friction segment as disclosed in the Disclosure Package and the Prospectus. The interactive data in extensible Business Reporting Language incorporated by reference in the Registration Statement, the Preliminary Prospectus and the Prospectus has been prepared in accordance with the Commission s rules and guidelines applicable thereto in all material respects. 8

15 (t) Ernst & Young LLP, who have expressed their opinion with respect to the Company s audited financial statements incorporated by reference in the Registration Statement, the Preliminary Prospectus and the Prospectus, are independent public accountants as required by the Securities Act and the Exchange Act and the rules and regulations of the Commission thereunder and is a registered public accounting firm within the meaning of the Sarbanes-Oxley Act of 2002 and the rules and regulations promulgated in connection therewith (the Sarbanes-Oxley Act ). (u) The Company and its subsidiaries (i) are in compliance with any and all applicable foreign, federal, state and local laws and regulations relating to the protection of human health and safety, the environment or hazardous or toxic substances or wastes, pollutants or contaminants ( Environmental Laws ), (ii) have received all permits, licenses or other approvals required of them under applicable Environmental Laws to conduct their respective businesses and (iii) are in compliance with all terms and conditions of any such permit, license or approval, except where such noncompliance with Environmental Laws, failure to receive required permits, licenses or approvals or failure to comply with the terms and conditions of any such permits, licenses or approvals would not, singly or in the aggregate, have a material adverse effect on the financial condition or results of operations of the Company and its subsidiaries, considered as a whole. (v) The Company is in compliance in all material respects with the provisions of the Sarbanes-Oxley Act, including Section 402 related to loans and Sections 302 and 906 related to certifications. (w) The Company maintains (i) internal controls over financial reporting as defined in Rule 13a-15 under the Exchange Act and (ii) a system of internal accounting controls sufficient to provide reasonable assurance that (A) transactions are executed in accordance with management s general or specific authorizations; (B) transactions are recorded as necessary to permit preparation of financial statements in conformity with generally accepted accounting principles and to maintain asset accountability; (C) access to assets is permitted only in accordance with management s general or specific authorization; and (D) the recorded accountability for assets is compared with the existing assets at reasonable intervals and appropriate action is taken with respect to any differences. (x) Except as disclosed in the Disclosure Package and the Prospectus (including any document incorporated by reference therein), since the end of the Company s most recent audited fiscal year, there has been (i) no material weakness in the Company s internal control over financial reporting (whether or not remediated) and (ii) no change in the Company s internal control over financial reporting that has materially affected, or is reasonably likely to materially affect, the Company s internal control over financial reporting. (y) Except as disclosed in the Disclosure Package, the Prospectus or any document incorporated by reference therein, neither the Company nor, to the knowledge of the Company, any of its subsidiaries, any director, officer, agent, employee or affiliate of 9

16 the Company or any of its subsidiaries is aware of, or has taken, any action, directly or indirectly, that would result in a violation by such persons of the FCPA (as defined below), including, without limitation, making use of the mails or any means or instrumentality of interstate commerce corruptly in furtherance of an offer, payment, promise to pay or authorization of the payment of any money, or other property, gift, promise to give, or authorization of the giving of anything of value to any foreign official (as such term is defined in the FCPA) or any foreign political party or official thereof or any candidate for foreign political office, in contravention of the FCPA, and the Company, its subsidiaries and, to the knowledge of the Company, its affiliates have instituted and maintain policies and procedures designed to ensure, and which are reasonably expected to ensure, compliance therewith. FCPA means Foreign Corrupt Practices Act of 1977, as amended, and the rules and regulations thereunder. (z) The operations of the Company and, to the knowledge of the Company, its subsidiaries are and have been conducted at all times in compliance with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as amended, the money laundering statutes of all applicable jurisdictions, the rules and regulations thereunder and any related or similar rules, regulations or guidelines issued, administered or enforced by any governmental agency (collectively, the Money Laundering Laws ) and no action, suit or proceeding by or before any court or governmental agency, authority or body or any arbitrator involving the Company or any of its subsidiaries with respect to the Money Laundering Laws is pending or, to the best knowledge of the Company, threatened. (aa) Neither the Company nor, to the knowledge of the Company, any of its subsidiaries, any director, officer, agent, employee or affiliate of the Company or any of its subsidiaries is currently subject to any U.S. sanctions administered by the Office of Foreign Assets Control of the U.S. Treasury Department ( OFAC ); and the Company will not directly or indirectly use the proceeds of the offering, or lend, contribute or otherwise make available such proceeds, to any subsidiary, joint venture partner or other person or entity, for the purpose of financing activities of any person currently subject to any U.S. sanctions administered by OFAC. 3. Upon the execution of the Pricing Agreement applicable to any Designated Securities and authorization by the Representatives of the release of such Designated Securities, the several Underwriters propose to offer such Designated Securities for sale upon the terms and conditions set forth in the Disclosure Package and the Prospectus. 4. Designated Securities to be purchased by each Underwriter pursuant to the Pricing Agreement relating thereto, in the form specified in such Pricing Agreement, and in such authorized denominations and registered in such names as the Representatives may request upon at least thirty-six hours prior notice to the Company, shall be delivered by or on behalf of the Company to the Representatives for the account of such Underwriter, against payment by such Underwriter or on its behalf of the purchase price therefor by wire or interbank transfer to an account specified by the Company in immediately available funds, all in the manner and at the place and time and date specified in such Pricing Agreement or at such other place and time and 10

17 date or by such other method of payment as the Representatives and the Company may agree upon in writing, such time and date being herein called the Time of Delivery for such Designated Securities. 5. The Company agrees with each of the Underwriters of the relevant Designated Securities: (a) The Company will comply with the requirements of Rule 430B under the Securities Act and will promptly notify the Representatives with respect to the relevant Designated Securities, and confirm the notice in writing, of (i) the effectiveness of any post-effective amendment to the Registration Statement or the filing of any supplement or amendment to the Preliminary Prospectus or the Prospectus, (ii) the receipt of any comments from the Commission, (iii) any request by the Commission for any amendment to the Registration Statement or any amendment or supplement to the Preliminary Prospectus or the Prospectus or for additional information, and (iv) the issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or of any order preventing or suspending the use of the Preliminary Prospectus or the Prospectus, or of the suspension of the qualification of the relevant Designated Securities for offering or sale in any jurisdiction, or of the initiation or threatening of any proceedings for any of such purposes, to the extent any of the circumstances described in clauses (i) through (iv) above occur prior to the later of the Time of Delivery and the completion of the Underwriters distribution of the relevant Designated Securities. The Company will promptly effect the filings necessary pursuant to Rule 424 and will take such steps as it deems necessary to ascertain promptly whether the Preliminary Prospectus and the Prospectus transmitted for filing under Rule 424 was received for filing by the Commission and, in the event that it was not, it will promptly file such document. The Company will use its best efforts to prevent the issuance of any stop order and, if any stop order is issued, to obtain the lifting thereof as soon as possible. (b) During such period beginning on the date of the Pricing Agreement applicable to the relevant Designated Securities and ending on the later of the Time of Delivery for such Designated Securities or such date as, in the opinion of counsel for the Underwriters, the Prospectus is no longer required by law to be delivered in connection with sales of the relevant Designated Securities by any Underwriter or dealer, including in circumstances where such requirement may be satisfied pursuant to Rule 172 under the Securities Act (the Prospectus Delivery Period ), prior to amending or supplementing the Registration Statement, the Disclosure Package or the Prospectus (including any amendment or supplement through incorporation by reference of any report filed under the Exchange Act), the Company shall furnish to the Representatives for review a copy of each such proposed amendment or supplement, and the Company shall not file or use any such proposed amendment or supplement to which the Representatives reasonably object. (c) Promptly from time to time to take such action as the Representatives may reasonably request to qualify the relevant Designated Securities for offering and sale under the securities laws of such jurisdictions as the Representatives may request and to comply with such laws so as to permit the continuance of sales and dealings therein in such 11

18 jurisdictions for as long as may be necessary to complete the distribution of such Designated Securities, provided that in connection therewith the Company shall not be required to qualify as a foreign corporation or to file a general consent to service of process in any jurisdiction. (d) The Company will deliver to each Underwriter of the relevant Designated Securities, without charge, as many copies of the Preliminary Prospectus and Prospectus as such Underwriter may reasonably request, and the Company hereby consents to the use of such copies for purposes permitted by the Securities Act. The Preliminary Prospectus and the Prospectus and any amendments or supplements thereto furnished to the Underwriters will be identical to any electronically transmitted copies thereof filed with the Commission pursuant to EDGAR, except to the extent permitted by Regulation S-T or otherwise under the Securities Act. (e) The Company will comply with the Securities Act and the Exchange Act, and the rules and regulations promulgated thereunder, so as to permit the completion of the distribution of the Designated Securities as contemplated in this Agreement, the relevant Pricing Agreement and in the Registration Statement, the Disclosure Package and the Prospectus. If at any time during the Prospectus Delivery Period with respect to the relevant Designated Securities, any event or development shall occur or condition shall exist as a result of which the Disclosure Package or the Prospectus, as then amended or supplemented, would include any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements therein in the light of the circumstances under which they were made or then prevailing, as the case may be, not misleading, or if it shall be necessary to amend or supplement such Disclosure Package or the Prospectus, or to file under the Exchange Act any document incorporated by reference in such Disclosure Package or the Prospectus, in order to make the statements therein, in the light of the circumstances under which they were made or then prevailing, as the case may be, not misleading, or if in the opinion of the Representatives it is otherwise necessary to amend or supplement the Registration Statement, such Disclosure Package or such Prospectus, or to file under the Exchange Act any document incorporated by reference in such Disclosure Package or such Prospectus, or to file a new registration statement containing such Prospectus, in order to comply with law, including in connection with the delivery of the Disclosure Package or Prospectus, the Company agrees to (i) notify the Representatives of any such event or condition and (ii) promptly prepare (subject to Section 5(b) and Section 5(j) hereof), file with the Commission (and use its best efforts to have any amendment to the Registration Statement or any new registration statement to be declared effective) and furnish at its own expense to the Underwriters and to dealers, amendments or supplements to the Registration Statement, such Disclosure Package or such Prospectus, or any new registration statement, as may be necessary in order to make the statements in such Disclosure Package or such Prospectus as so amended or supplemented, in the light of the circumstances then prevailing or under which they were made, as the case may be, not misleading or so that the Registration Statement, such Disclosure Package or such Prospectus, as amended or supplemented, will comply with law. 12

19 (f) To make generally available to its security holders, as soon as practicable, an earnings statement of the Company and its subsidiaries covering a period of at least 12 months and otherwise satisfying Section 11(a) of the Securities Act and the rules and regulations of the Commission thereunder (including, at the option of the Company, Rule 158). (g) During the period beginning from the date of the Pricing Agreement for the relevant Designated Securities and continuing to and including the Time of Delivery for such Designated Securities, not to offer, sell, contract to sell or otherwise dispose of any debt securities of the Company which mature more than one year after such Time of Delivery and which are substantially similar to such Designated Securities, without the prior written consent of the Representatives. (h) Promptly upon entering into a Pricing Agreement with respect to the relevant Designated Securities, the Company will prepare a final term sheet containing only a description of such Designated Securities, in a form approved by the Representatives, and will file such term sheet pursuant to Rule 433(d) under the Securities Act within the time required by such rule (such term sheet, the Final Term Sheet ). Any such Final Term Sheet shall be a Permitted Free Writing Prospectus (as defined below) for purposes of this Agreement and the applicable Pricing Agreement. The form of Final Term Sheet for the Designated Securities shall be attached to the applicable Pricing Agreement as Exhibit A. (i) The Company represents that it has not made, and agrees that, unless it obtains the prior written consent of the Representatives, it will not make, any offer relating to the relevant Designated Securities that would constitute an Issuer Free Writing Prospectus or that would otherwise constitute a free writing prospectus (as defined in Rule 405 under the Securities Act) that would be required to be filed by the Company with the Commission or retained by the Company under Rule 433 under the Securities Act; provided that the prior written consent of the Representatives shall be deemed to have been given in respect of any Issuer Free Writing Prospectuses attached as Exhibit A to the applicable Pricing Agreement. Any such free writing prospectus consented to or deemed to be consented to by the Representatives is hereinafter referred to as a Permitted Free Writing Prospectus. The Company agrees that (i) it has treated and will treat, as the case may be, each Permitted Free Writing Prospectus as an Issuer Free Writing Prospectus, and (ii) it has complied and will comply, as the case may be, with the requirements of Rules 164 and 433 under the Securities Act applicable to any Permitted Free Writing Prospectus, including in respect of timely filing with the Commission, legending and record keeping. Each Underwriter agrees that, without the prior written consent of the Company, it shall not use any free writing prospectus in respect of the relevant Designated Securities other than (A) any Permitted Free Writing Prospectus, or (B) any free writing prospectus that (a) is not an issuer free writing prospectus as defined in Rule 433 under the Securities Act, and (b) contains only (i) information describing the preliminary terms of the relevant Designated Securities or their offering, (ii) information permitted by Rule 134 under the Securities Act, or (iii) information that describes the final terms of the relevant Designated Securities or their offering and that is included in any Permitted Free 13