EX-9.1 4 l97786aexv9w1.txt EXHIBIT 9.1 EXHIBIT 9.1 VOTING TRUST EXTENSION AGREEMENT THIS AGREEMENT entered into by and among those holders of Common Shares of SIFCO Industries, Inc. executing and delivering this Agreement ("Shareholders") and JANICE G. CARLSON and CHARLES H. SMITH, III, as Trustees and their successors in trust (said named Trustees and their successors being hereinafter called the "Trustees"); WITNESSES As of February 1, 1997 certain shareholders of SIFCO Industries, Inc. (the "Company") entered into a Voting Trust Agreement (the "Trust Agreement") with respect to their shares of Common Stock in the Company; and Pursuant to Section 14 of the Trust Agreement, the term of Trust Agreement may be extended for an additional period not to exceed ten years upon the concurrence of the holders of Trust Certificates representing not less than 85% of the 2,002,947 shares deposited under the Trust Agreement, (after giving effect to stock dividends issued subsequent to the date of the Trust Agreement, the "Trust Shares"); and The shareholders constituting the holders of Trust Certificates representing not less than 85% of the Trust Shares, wish to extend the term of the Trust Agreement, on the terms and conditions set forth therein, for an additional five (5) years from January 31, 2002. NOW, THEREFORE, each Shareholder of the Company who becomes a party hereto agrees with each of the other such Shareholders for himself and his heirs, administrators, successors and assigns as follows: 1. Extension of Trust Agreement. The Trust Agreement shall be extended, unless sooner terminated on the terms and conditions set forth therein, to January 31, 2007, upon the occurrence prior to January 31, 2002 of the earlier of either: (a) the execution of this Agreement by the holders of not less than 1,702,5005 shares of Common Stock of the Company, such number representing not less than 85% of the Trust Shares, or (b) the presentation to the Company of a certificate signed by the Secretary of the meeting, certifying that at a meeting duly called and held for the purpose of considering an extension, at a place in Cuyahoga County, Ohio, specified in a notice given either by the Trustees or a Trust Certificate holder, not less than ten (10) nor more than thirty (30) days prior to such meeting to each Trust Certificate holder under the Trust Agreement, the holders of Trust Certificates representing not less than eighty-five (85) percent of the Trust Shares voted in favor of this extension. 2. Defined Terms. Capitalized terms used herein and not otherwise defined shall have the meanings assigned to them in the Trust Agreement. 3. Execution. This Extension Agreement may be executed in any number of counterparts, each of which, when executed, shall be deemed to be an original and all of which together shall constitute but one and the same instrument. This Extension Agreement shall inure to the benefit of, and be binding upon, all persons executing it and their respective heirs, executors, administrators, legatees and assigns. IN WITNESS WHEREOF, the Trustees have executed and delivered this Extension Agreement and the Shareholders have become parties hereto in the manner herein before provided. TRUSTEES: /s/ Janice G. Carlson /s/ Charles H. Smith, III --------------------- ------------------------- Janice G. Carlson Charles H. Smith, III 1 VOTING TRUST EXTENSION AGREEMENT TO JANUARY 31, 2007
NUMBER SHAREHOLDER OF SHARES SIGNATURE DATE ----------- --------- --------- ---- C. H. Smith, Jr. 243,367 /s/ C. H. Smith, Jr 1/14/02 ------------------------- ------- Florence Smith 3,600 /s/ Florence Smith 1/14/02 ------------------------- ------- C. H. Smith Sr. Foundation 75,463 C. H. Smith, Jr., President /s/ C. H. Smith, Jr. 1/14/02 ------------------------- ------- Charles H. Smith, III 59,337 /s/ C.H. Smith, III 1/12/02 ------------------------- ------- Hilda Smith 3,575 /s/ Hilda Smith 1/12/02 ------------------------- ------- Jennifer Smith (Cust) 4,963 /s/ Charles H. Smith, III 1/12/02 ------------------------- ------- Jennifer C. Smith (TTEE) 14,250 /s/ Charles H. Smith, III 1/12/02 ------------------------- ------- Jason Smith (Cust) 4,838 /s/ Charles H. Smith, III 1/12/02 ------------------------- ------- C. Jason Smith (TTEE) 14,250 /s/ Charles H. Smith, III 1/12/02 ------------------------- ------- Hudson D. Smith 73,344 /s/ Hudson D. Smith 1/07/02 ------------------------- ------- Deborah Ann Smith 4,255 /s/ Deborah Smith 1/07/02 ------------------------- ------- Hudson D. Smith, Jr. 4,576 /s/ Hudson D. Smith, Jr. 1/07/02 ------------------------- ------- Hudson D. Smith, Jr. (TTEE) 15,000 /s/ Hudson D. Smith 1/07/02 ------------------------- ------- Cynthia R. Smith (Cust) 4,576 /s/ Hudson D. Smith 1/07/02 ------------------------- ------- Cynthia R. Smith (TTEE) 15,200 /s/ Hudson D. Smith 1/07/02 ------------------------- ------- C. Halle Smith (Cust) 4,576 /s/ Hudson D. Smith 1/07/02 ------------------------- ------- C. Halle Smith (TTEE) 15,200 /s/ Hudson D. Smith 1/07/02 ------------------------- -------
2 VOTING TRUST EXTENSION AGREEMENT TO JANUARY 31, 2007
NUMBER SHAREHOLDER OF SHARES SIGNATURE DATE ----------- --------- --------- ---- Deborah Morris 61,741 /s/ Deborah Morris 12/25/01 ------------------------- -------- Robert J. Morris, Jr. 225 /s/ Robert J. Morris, Jr 12/25/01 ------------------------- -------- Robert J. Morris, III 18,863 /s/ Robert J. Morris, III 12/25/01 ------------------------- -------- Skylar D. Morris (Cust) 2,250 /s/ Robert J. Morris, III 12/25/01 ------------------------- -------- Ryan C. Morris 11,738 /s/ Ryan C. Morris 12/25/01 ------------------------- -------- Ryan C. Morris (TTEE) 7,125 /s/ Deborah Morris 12/25/01 ------------------------- -------- Kaitlin Morris (Cust) 100 /s/ Ryan C. Morris 12/25/01 ------------------------- -------- Adam Morris 4,613 /s/ Adam Morris 12/25/01 ------------------------- -------- Adam Morris (TTEE) 14,250 /s/ Deborah Morris 12/25/01 ------------------------- -------- Molly D. Morris (Cust) 4,613 /s/ Deborah Morris 12/25/01 ------------------------- -------- Molly D. Morris (TTEE) 14,250 /s/ Deborah Morris 12/25/01 ------------------------- --------
3 VOTING TRUST EXTENSION AGREEMENT TO JANUARY 31, 2007
NUMBER SHAREHOLDER OF SHARES SIGNATURE DATE ----------- --------- --------- ---- Phyllis S. Gotschall TTEE 304,677 /s/ Phyllis S. Gotschall 12/22/01 ------------------------ -------- George D. Gotschall TTEE 94,088 /s/ Phyllis S. Gotschall 12/22/01 ------------------------ -------- /s/ Jeffrey P. Gotschall 12/13/01 ------------------------ -------- Family Annuity TR #1 43,500 /s/ Phyllis S. Gotschall 12/22/01 ------------------------ -------- /s/ Jeffrey P. Gotschall 12/13/01 ------------------------ -------- Family Annuity TR #2 43,500 /s/ Phyllis S. Gotschall 12/22/01 ------------------------ -------- Jeffrey P. Gotschall 104,700 /s/ Jeffrey P. Gotschall 12/2/01 ------------------------ -------- Dianne Gotschall 400 /s/ Dianne Gotschall 12/2/01 ------------------------ -------- Judith A. Gotschall 10,375 /s/ Judith A. Gotschall 12/9/01 ------------------------ -------- Andrew C. Gotschall 10,375 /s/ Andrew C. Gotschall1 2/14/01 ------------------------ -------- Charles H. Gotschall (Cust) 10,375 /s/ Jeffrey P. Gotschall 12/13/01 ------------------------ -------- Craig Ramsey 7,400 /s/ Craig Ramsey 12/13/01 ------------------------ -------- Alison Ramsey 7,400 /s/ Alison Ramsey 12/13/01 ------------------------ --------
4 VOTING TRUST EXTENSION AGREEMENT TO JANUARY 31, 2007
NUMBER SHAREHOLDER OF SHARES SIGNATURE DATE ----------- --------- --------- ---- Janice G. Carlson 66,099 /s/ Janice G. Carlson 12/26/01 ---------------------- -------- Christie L. Lennen 10,375 /s/ Christie L. Lennen 12/10/01 ---------------------- -------- David E. Fulcher 10,375 /s/ David E. Fulcher 12/21/01 ---------------------- -------- Laura G. Gifford 58,844 /s/ Laura G. Gifford 12/04/01 ---------------------- -------- Robert V. Gifford, Jr. (Cust) 7,000 /s/ Laura G. Gifford 12/04/01 ---------------------- -------- Robert V. Gifford, Jr. (TTEE) 9,450 /s/ Laura G. Gifford 12/04/01 ---------------------- -------- Terry G. Gifford (Cust) 7,800 /s/ Laura G. Gifford 12/04/01 ---------------------- --------
5 VOTING TRUST EXTENSION AGREEMENT TO JANUARY 31, 2007
NUMBER SHAREHOLDER OF SHARES SIGNATURE DATE ----------- --------- --------- ---- National City Bank, and its successors, as trustee of Fund A-1 under the trust agreement between Rhea D. Smith and National City Bank as trustee dated December 8, 1981 as amended and restated on September 16, 1989 112,356 /s/ Maurice Condon, Jr 2/17/01 ---------------------- -------- National City Bank, and its successors, as trustee of Fund B under the trust agreement between Rhea D. Smith and National City Bank as trustee dated December 8, 1981 as amended and restated on September 16, 1989 41,313 /s/ Maurice Condon, Jr 12/17/01 ---------------------- -------- National City Bank TTEE U/A FRW/CHS #33-3443034 171,202 /s/ Maurice Condon, Jr 12/17/01 ---------------------- -------- National City Bank TTEE U/A FRW/PSG #33-3443026 171,207 /s/ Maurice Condon, Jr 12/17/01 ---------------------- --------
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