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                          CERTIFICATE OF INCORPORATION

                                       OF

                            UIL HOLDINGS CORPORATION

 

 

     Section 1. The name of the  corporation  is UIL HOLDINGS  CORPORATION  (the

     ----------

"Corporation").

 

 

     Section 2. The purpose of the  Corporation  is to engage in the  businesses

     ----------

and  activities  that a corporation  is authorized to engage in by virtue of the

Connecticut  Business Corporation Act in effect on the effective date hereof and

as it may be amended or superseded  from time to time after the  effective  date

hereof.

 

 

     Section 3.  The  street  address of the  Corporation's  initial  registered

     ----------

office  is 157  Church  Street,  New  Haven,  Connecticut;  and the  name of the

corporation's initial registered agent at that office is Kurt Mohlman.

 

 

     Section 4. The name of the Corporation's  incorporator is Robert L. Fiscus,

     ----------

whose address is 86 Cricket Lane, Shelton, Connecticut.

 

 

     Section 5. The  classes of shares,  and the number of shares of each class,

     ----------

that the Corporation is authorized to issue are as follows:

 

 

     (a) Common Stock.  Thirty million  (30,000,000) shares of a class of shares

         -------------

designated  "Common  Stock,"  without par value.  The Common Stock shares of the

Corporation  shall have unlimited voting rights and shall be entitled to receive

the net assets of the Corporation upon its dissolution. Each share of the Common

Stock of the Corporation shall have preferences, limitations and relative rights

that are  identical  with those of the other  shares of the Common  Stock of the

Corporation.

 

 

     (b) Preferred Stock - $100 Par Value. One million  (1,000,000)  shares of a

         ---------------------------------

class of shares  designated  "Preferred  Stock - $100 Par  Value,"  having a par

value of $100 per share.  Before  the  issuance  of any shares of the  Preferred

Stock - $100 Par  Value  of the  Corporation,  the  Board  of  Directors  of the

Corporation  shall determine the  preferences,  limitations and relative rights,

within the limits  prescribed by statute,  of such class of shares that shall be

identical  among  all of the  shares  of such  class of  shares.  Shares  of the

Preferred  Stock - $100 Par Value of the  Corporation  shall be issued in one or

more series.  Before the  issuance of the shares of any series of the  Preferred

Stock - $100 Par Value,  the Board of  Directors of the  Corporation  shall give

such series a  distinguishing  designation and shall determine the  preferences,

limitations and relative  rights,  within the limits  prescribed by statute,  of

such series of shares.  Each share of a series of the Preferred Stock - $100 Par

Value of the Corporation shall have preferences, limitations and relative rights

that are identical  with those of the other shares of such series of shares and,

except to the extent otherwise provided  in the description of  the preferences,

 

<PAGE>

 

limitations  and  relative  rights  prescribed  for such series of shares by the

Board of  Directors  of the  Corporation,  with those of the other shares of the

Preferred Stock - $100 Par Value of the Corporation.  No shares of the Preferred

Stock - $100 Par Value of the  Corporation  shall be issued where such issuance,

or the preferences, limitations or relative rights of such shares, will have the

effect, directly or indirectly, of precluding or inhibiting a person or group of

persons from seeking to obtain control of the management or business and affairs

of the  Corporation  by acquiring or offering to acquire  Common Stock shares of

the Corporation, or by soliciting proxies from the owners of Common Stock shares

of the Corporation for voting such shares at a meeting of the shareowners of the

Corporation, or by any other lawful means.

 

     (b) Preferred Stock - $25 Par Value. Four million  (4,000,000)  shares of a

         --------------------------------

class of shares designated "Preferred Stock - $25 Par Value," having a par value

of $25 per share. Before the issuance of any shares of the Preferred Stock - $25

Par Value of the  Corporation,  the Board of Directors of the Corporation  shall

determine the preferences,  limitations and relative  rights,  within the limits

prescribed by statute, of such class of shares that shall be identical among all

of the shares of such class of shares.  Shares of the Preferred  Stock - $25 Par

Value of the  Corporation  shall be issued  in one or more  series.  Before  the

issuance of the shares of any series of the Preferred Stock - $25 Par Value, the

Board of Directors of the  Corporation  shall give such series a  distinguishing

designation  and shall  determine  the  preferences,  limitations  and  relative

rights,  within the limits prescribed by statute, of such series of shares. Each

share of a series  of the  Preferred  Stock - $25 Par  Value of the  Corporation

shall have preferences,  limitations and relative rights that are identical with

those of the other  shares of such  series of shares  and,  except to the extent

otherwise  provided  in the  description  of the  preferences,  limitations  and

relative  rights  prescribed for such series of shares by the Board of Directors

of the Corporation,  with those of the other shares of the Preferred Stock - $25

Par Value of the  Corporation.  No shares of the Preferred Stock - $25 Par Value

of the  Corporation  shall be issued where such  issuance,  or the  preferences,

limitations or relative rights of such shares, will have the effect, directly or

indirectly,  of  precluding  or  inhibiting  a person or group of  persons  from

seeking to obtain  control of the  management  or  business  and  affairs of the

Corporation  by  acquiring  or offering to acquire  Common  Stock  shares of the

Corporation,  or by soliciting proxies from the owners of Common Stock shares of

the  Corporation  for voting such shares at a meeting of the  shareowners of the

Corporation, or by any other lawful means.

 

     (b) Preference Stock. Four million  (4,000,000) shares of a class of shares

         -----------------

designated  "Preference  Stock," having a par value of $25 per share. Before the

issuance of any shares of the Preference Stock of the Corporation,  the Board of

Directors of the Corporation  shall determine the  preferences,  limitations and

relative  rights,  within the limits  prescribed  by  statute,  of such class of

shares that shall be identical  among all of the shares of such class of shares.

Shares of the Preference Stock of the Corporation shall be issued in one or more

series. Before the issuance of the shares of any series of the Preference Stock,

the  Board  of   Directors  of  the   Corporation   shall  give  such  series  a

distinguishing designation and shall determine the preferences,  limitations and

relative  rights,  within the limits  prescribed  by statute,  of such series of

shares.  Each share of a series of the Preference Stock of the Corporation shall

have preferences,  limitations and relative rights that are identical with those

of the other shares of such series of shares and, except to the extent otherwise

provided in the description of the preferences, limitations and relative rights

 

 

                                       2

<PAGE>

 

prescribed  for  such  series  of  shares  by  the  Board  of  Directors  of the

Corporation,  with  those of the  other  shares of the  Preference  Stock of the

Corporation.  No  shares of the  Preference  Stock of the  Corporation  shall be

issued where such issuance,  or the preferences,  limitations or relative rights

of such shares, will have the effect,  directly or indirectly,  of precluding or

inhibiting a person or group of persons  from  seeking to obtain  control of the

management or business and affairs of the  Corporation  by acquiring or offering

to acquire Common Stock shares of the Corporation, or by soliciting proxies from

the owners of Common Stock shares of the Corporation for voting such shares at a

meeting of the shareowners of the Corporation, or by any other lawful means.

 

     Section 6. All corporate powers of the Corporation shall be exercised by or

     ----------

under  authority  of, and the business and affairs of the  Corporation  shall be

managed under the direction of, a Board of Directors consisting of not less than

three nor more than fifteen individuals, with the number fixed in, and increased

or decreased from  time-to-time by amendment of, the Bylaws of the  Corporation,

each of which individuals shall be a shareowner of the Corporation.

 

     Section 7. No person who is or was a director of the  Corporation  shall be

     ----------

personally liable to the Corporation or its shareowners for monetary damages for

breach of duty as a director in an amount that exceeds the compensation received

by the director for serving the Corporation during the year of the violation, if

such breach did not (A) involve a knowing and  culpable  violation of law by the

director, (B) enable the director or an associate,  as defined in Section 33-840

of the Connecticut  General  Statutes on the effective date hereof and as it may

be amended or superseded  from time to time after the effective date hereof,  to

receive an improper  personal economic gain, (C) show a lack of good faith and a

conscious  disregard  for the  duty of the  director  to the  Corporation  under

circumstances  in which  the  director  was  aware  that his or her  conduct  or

omission created an unjustifiable risk of serious injury to the Corporation, (D)

constitute a sustained and unexcused  pattern of inattention that amounted to an

abdication of the director's duty to the  Corporation,  or (E) create  liability

under Section 33-757 of the Connecticut  General  Statutes as constituted on the

effective  date hereof and as it may be amended or superseded  from time to time

after the effective date hereof.

 

     Section 8. The  Corporation  shall be obligated to indemnify a director for

     ----------

liability,  as defined in subdivision  (5) of Section 33-770 of the  Connecticut

General  Statutes  on the  effective  date  hereof  and as it may be  amended or

superseded from time to time after the effective date hereof,  to any person for

any action  taken,  or any  failure to take any action,  as a  director,  except

liability  that (a)  involved a knowing  and  culpable  violation  of law by the

director, (b) enabled the director or an associate, as defined in Section 33-840

of the Connecticut  General  Statutes on the effective date hereof and as it may

be amended or superseded  from time to time after the effective date hereof,  to

receive  an  improper  personal  gain,  (c)  showed a lack of good  faith  and a

conscious  disregard  for the  duty of the  director  to the  Corporation  under

circumstances  in which the  director  was aware that his  conduct  or  omission

crated  an  unjustifiable  risk  of  serious  injury  to  the  Corporation,  (d)

constituted a sustained and unexcused pattern of inattention that amounted to an

abdication of the director's  duty to the  Corporation or (e) created  liability

under Section 33-757 of the Connecticut  General  Statutes as constituted on the

effective  date hereof and as it may be amended or superseded  from time to time

after the effective date hereof.

 

 

 

 

AMENDMENT

 

The Board adopted the following amendment to existing Paragraph 6 of our certificate of incorporation and hereby submits it to shareowners for approval. Additions are in bold and are underlined.

 

Section 6.   All corporate powers of the Corporation shall be exercised by or under authority of, and the business and affairs of the Corporation shall be managed under the direction of, a Board of Directors consisting of not less than three nor more than fifteen individuals, with the number fixed in, and increased or decreased from time-to-time by amendment of, the Bylaws of the Corporation, each of which individuals shall be a shareowner of the Corporation.  A nominee for director shall be elected to the Board of Directors if a majority of the votes cast are in favor of such nominee’s election; provided, however, that if the number of nominees for director exceeds the number of directors so elected, directors shall be elected by a plurality of the votes of the shares represented in person or by proxy and entitled to vote on such election of directors at any meeting of the shareowners held to elect directors.

 

 

CERTIFICATE OF MERGER OF

UIL HOLDINGS CORPORATION

(A CONNECTICUT CORPORATION)

WITH AND INTO

GREEN MERGER SUB, INC.

(A CONNECTICUT CORPORATION)

(Pursuant to Section 33-819 of the Connecticut General Statutes)

1. The name of the terminating entity in the merger contemplated by this Certificate of Merger (the “Merger”) is UIL Holdings Corporation, a Connecticut corporation (the “Terminating Corporation”). The name of the surviving entity in the Merger is Green Merger Sub, Inc., a Connecticut corporation (the “Surviving Corporation”).

2. The Merger and Plan of Merger were duly authorized and approved by the shareholders of the Terminating Corporation in accordance with the provisions of Connecticut General Statutes Sections 33-600 to 33-998 and such corporation’s Certificate of Incorporation.

3. The Merger and Plan of Merger were duly authorized and approved by the shareholders of the Surviving Corporation in accordance with the provisions of Connecticut General Statutes Sections 33-600 to 33-998 and such corporation’s Certificate of Incorporation.

4. The Certificate of Incorporation of the Surviving Corporation is hereby amended by deleting in its entirety Section 1 thereof that states the name of the Surviving Corporation, and by replacing such section with the following new section in order to change the name of the Surviving Corporation:

“1. Name of Corporation: UIL Holdings Corporation.”

Other than with regard to the foregoing amendment, the Certificate of Incorporation of the Surviving Corporation, as in effect on the effective date of the Merger (the “Effective Date”), shall continue in full force and effect as the Certificate of Incorporation of the Surviving Corporation and shall not be amended by this Merger. The Surviving Corporation reserves the right and power, after the Effective Date, to alter, amend, change or repeal any of the provisions contained in its Certificate of Incorporation in the manner now or hereafter prescribed by statute.

5. The Merger shall be effective upon the filing of this Certificate of Merger with the Connecticut Secretary of State.

Dated this 16 day of December 2015.

 

SURVIVING CORPORATION:

 

 

TERMINATING CORPORATION:

GREEN MERGER SUB, INC.

 

 

UIL HOLDINGS CORPORATION

By:

 

/s/ R. Scott Mahoney

 

 

By:

 

/s/ James P. Torgerson

 

 

R. Scott Mahoney

 

 

 

 

James P. Torgerson

 

Its General Counsel and Secretary

 

 

 

Its Chief Executive Officer


STATE OF CONNECTICUT

OFFICE OF THE SECRETARY OF THE STATE

 

}

 

 

SS. HARTFORD

I hereby certify that this is a true copy of record

in this Office.

In Testimony whereof, I have hereunto set my hand

and affixed the Seal of said State, at Hartford,

this 16th day of December A.D. 2015

/s/ Denise W. Merrill

 

SECRETARY OF THE STATE


LOGO

CERTIFICATE OF INCORPORATION

STOCK CORPORATION

USE INK. COMPLETE ALL SECTIONS. PRINT OR TYPE. ATTACH 81/2 X 11 SHEETS IF NECESSARY.

 

  

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SECRETARY OF THE STATE

CONNECTICUT SECRETARY OF THE STATE

 

 

    FILING PARTY (CONFIRMATION WILL BE SENT TO THIS ADDRESS):  

 

 

    FILING FEE: $250

    

 

 

 

 

    NAME:

 

George Lofaso

 

 

 

    INCLUDES FRANCHISE TAX UP TO

    ADDRESS:        

 

c/o Latham & Watkins LLP

 

 

 

    20,000 SHARES

 

 

 

885 Third Avenue

 

 

 

    MAKE CHECKS PAYABLE TO

    CITY:

 

New York

 

 

 

    “SECRETARY OF STATE”

 

    STATE:

 

 

NY

 

    ZIP:        10022        

 

 

 

 

 

    1.  NAME OF CORPORATION:

 

 

 

 

         Green Merger Sub, Inc.

 

 

 

 

 

 

    2.  TOTAL NUMBER OF AUTHORIZED SHARES:

 

         1,000

 

 

 

 

 

 

 

    IF THE CORPORATION HAS MORE THAN ONE CLASS OF SHARES, IT MUST DESIGNATE EACH CLASS AND

    THE NUMBER OF SHARES AUTHORIZED WITHIN EACH CLASS BELOW.

 

 

 

    CLASS:

 

 

 

    NUMBER OF SHARES PER CLASS:                         

 

 

 

    Common Stock of no par value.

 

 

 

 

 

 

    1,000

 

 

 

 

    3.  TERMS, LIMITATIONS, RELATIVE RIGHTS AND PREFERENCES OF EACH CLASS OF SHARES

         AND SERIES THEREOF PURSUANT TO CONN. GEN. STAT. SECTION 33-665:

 

     None

 


  

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SECRETARY OF THE STATE

CONNECTICUT SECRETARY OF THE STATE

 

4. APPOINTMENT OF REGISTERED AGENT: [PLEASE SELECT ONLY ONE (A OR B) AND PRINT OR TYPE NAME OF AGENT.]

 

A. INDIVIDUAL’S AGENT NAME:

 

 

BUSINESS ADDRESS: (P.O. BOX UNACCEPTABLE)

 

ADDRESS:

 

CITY:

 

STATE:                                     ZIP:

 

 

RESIDENCE ADDRESS: (P.O. BOX UNACCEPTABLE)

 

ADDRESS:

 

CITY:

 

STATE:                                     ZIP:

 

 

B. BUSINESS ENTITY: C T Corporation System

 

ADDRESS: (P.O. BOX UNACCEPTABLE)

 

ADDRESS:      One Corporate Center, Fl. 14

 

CITY:      Hartford

 

STATE:        CT                         ZIP:      06103-3220

 

 

 

 

 

ACCEPTANCE OF APPOINTMENT

C T Corporation System

 

 

 

SIGNATURE OF AGENT:

 

 

 

/s/ Joe Villeda

 

 

Joe Villeda

Assistant Secretary

 

 

 

5. ELECTION OF BENEFIT CORPORATION STATUS (MUST check box if applicable.):

 

The Corporation elects to be a Benefit Corporation. In addition to any other stated purposes for which the corporation is formed, the corporation shall also have the purpose to create a general public benefit as defined in the Connecticut Benefit Corporation Act. [NOTE: If the corporation also seeks to have one or more specific public benefit(s) in addition to the general public benefit, then the corporation must set forth the specific public benefit(s), if any, in Box 6, below, under “Other Provisions”.]

 

6. OTHER PROVISIONS:

 

Attached.

 

 

7. CORPORATION EMAIL ADDRESS - REQUIRED: (IF NONE, MUST STATE “NONE.”)

 

None.

 


 

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SECRETARY OF THE STATE

CONNECTICUT SECRETARY OF THE STATE

 

 

  8. EXECUTION: CERTIFICATE MUST BE SIGNED BY EACH INCORPORATOR

 

        DATED THIS  23rd                             DAY OF   February                                , 2015                        

 

 

 

    NAME OF INCORPORATOR(S)    

(print or type)

 

 

ADDRESS

 

SIGNATURE(S)

 

 

  George Lofaso

 

    ADDRESS:

 

 

    CITY:

 

    STATE:

 

 

c/o Latham & Watkins LLP

 

885 Third Avenue

 

New York

 

NY             ZIP:      10022

 

 

/s/ George Lofaso

 

 

 

 

    ADDRESS:

 

    CITY:

 

    STATE:

 

 

 

                       ZIP:

 

 

 

 

 

 

    ADDRESS:

 

    CITY:

 

    STATE:

 

 

 

                       ZIP:

 

 


  

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SECRETARY OF THE STATE

CONNECTICUT SECRETARY OF THE STATE

ATTACHMENT TO THE CERTIFICATE OF INCORPORATION

OF

GREEN MERGER SUB, INC.

 

1.

The purpose of the Corporation is to engage in any lawful act or activity for which corporations may be organized under the Connecticut Business Corporation Act as it now exists or may hereafter be amended and supplemented.

 

2.

In furtherance and not in limitation of the powers conferred by statute, the Board of Directors is expressly authorized to make, alter or repeal the bylaws of the Corporation.

 

3.

No director of the Corporation shall be personally liable to the Corporation or its stockholders for monetary damages for breach of duty as a director for an amount that is in excess of the compensation received by the director for serving the corporation during the year of the violation if such breach did not: (A) involve a knowing and culpable violation of law by the director, (B) enable the director or an associate, as defined in section 33-840 of the Connecticut Business Corporation Act, to receive an improper personal economic gain, (C) show a lack of good faith and a conscious disregard for the duty of the director to the corporation under circumstances in which the director was aware that his conduct or omission created an unjustifiable risk of serious injury to the corporation, (D) constitute a sustained and unexcused pattern of inattention that amounted to an abdication of the director’s duty to the corporation, or (E) create liability under section 33-757 Connecticut Business Corporation Act, provided that this limitation of liability provision shall not limit or preclude the liability of a director for any act or omission occurring prior to the effective date of this provision. Any amendment, modification or repeal of the foregoing sentence shall not adversely affect any right or protection of a director of the Corporation hereunder in respect of any act or omission occurring prior to the time of such amendment, modification or repeal.

 

[As Filed: 12-17-2015]