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Xyratex Ltd – ‘SC 13D’ on 8/5/05 re: Nstor Technologies Inc – EX-99.5

On:  Friday, 8/5/05, at 4:25pm ET   ·   Accession #:  1193125-5-159132   ·   File #:  5-32709

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 8/05/05  Xyratex Ltd                       SC 13D                17:1.2M Nstor Technologies Inc            RR Donnelley/FA

General Statement of Beneficial Ownership   —   Schedule 13D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13D      General Statement of Beneficial Ownership           HTML     75K 
 2: EX-99.1     Joint Filing Agreement                              HTML     10K 
11: EX-99.10    Form W-9 Guidlines                                  HTML     34K 
12: EX-99.11    Joint Press Release                                 HTML     22K 
13: EX-99.12    Summary Advertisement                               HTML     29K 
14: EX-99.13    Form of Non-Competition Agreement                   HTML     25K 
15: EX-99.14    Convertible Preferred Stock Purchase Agreement      HTML     38K 
16: EX-99.15    Intellectual Property License Agreement             HTML     52K 
17: EX-99.16    Promissory Note                                     HTML     17K 
 3: EX-99.2     Form of Tender and Stockholder Support Agreement    HTML     46K 
 4: EX-99.3     Agreement and Plan of Merger                        HTML    306K 
 5: EX-99.4     Offer to Purchase                                   HTML    281K 
 6: EX-99.5     Letter of Transmittal                               HTML     82K 
 7: EX-99.6     Mutual Non-Disclosure/Confidentiality Agreement     HTML     28K 
 8: EX-99.7     Notice of Guaranteed Delivery                       HTML     25K 
 9: EX-99.8     Letters to Brokers, Dealers, Commercial Banks,      HTML     17K 
                          Trust Companies, and Other                             
10: EX-99.9     Letter to Clients                                   HTML     25K 


EX-99.5   —   Letter of Transmittal


This exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]



  Letter of Transmittal  

Exhibit 5

 

LETTER OF TRANSMITTAL

TO TENDER SHARES OF COMMON STOCK

OF

NSTOR TECHNOLOGIES, INC.

AT

$0.105 NET PER SHARE

BY

 

NORMANDY ACQUISITION CORPORATION,

AN INDIRECT WHOLLY OWNED SUBSIDIARY OF

XYRATEX LTD

 

THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 12:00 MIDNIGHT, NEW YORK CITY TIME, ON FRIDAY, SEPTEMBER 2, 2005, UNLESS THE OFFER IS EXTENDED.

 

The Depositary for the Tender Offer is:

 

LOGO

 

By Mail:   By Facsimile Transmission:   By Hand or Overnight Courier:

Computershare Trust Company

of New York

Wall Street Station

P.O. Box 1010

New York, NY 10268-1010

 

For Eligible Institutions Only:

(212) 701-7636

For Confirmation Only

Telephone:

(212) 701-7600

 

Computershare Trust Company

of New York

Wall Street Plaza

88 Pine Street, 19th Floor

New York, NY 10005

 

DELIVERY OF THIS LETTER OF TRANSMITTAL TO AN ADDRESS OR FACSIMILE NUMBER OTHER THAN AS SET FORTH ABOVE WILL NOT CONSTITUTE A VALID DELIVERY.

 

THE INSTRUCTIONS ACCOMPANYING THIS LETTER OF TRANSMITTAL SHOULD BE READ CAREFULLY BEFORE THIS LETTER OF TRANSMITTAL IS COMPLETED.

 

This Letter of Transmittal is to be used if certificates are to be forwarded herewith or, unless an Agent’s Message (as defined in the Offer to Purchase dated August 5, 2005 (the “Offer to Purchase”)) is utilized, if delivery of Shares (as defined below) is to be made by book-entry transfer to the Depositary’s account at The Depository Trust Company (the “Book-Entry Transfer Facility”) pursuant to the procedures set forth in “The Offer—Procedure for Tendering Shares” of the Offer to Purchase.

 

DESCRIPTION OF SHARES TENDERED

Name(s) and Address(es) of Registered Holder(s)

(Please fill in, if blank, exactly as name(s)

and Shares tendered appear(s) on Share certificate(s))

 

Shares Tendered

(Attach additional list if necessary)

   

Certificate

Number(s)*

  

Total Number

of Shares

Represented by

Certificate(s)*

  

Number

of Shares

Tendered**

               
               
               
               
               
    Total Shares          

      *    Need not be completed by stockholders tendering by book-entry transfer.

    **    Unless otherwise indicated, it will be assumed that all Shares represented by any certificates delivered to the Depositary are being tendered. See Instruction 4.


Holders of outstanding shares of common stock, par value $0.05 per share (the “Shares”), of nStor Technologies, Inc. (the “Company”), whose certificates for such Shares (the “Share Certificates”) are not immediately available or who cannot deliver their Share Certificates and all other required documents to the Depositary on or prior to the Expiration Date as set forth in “The Offer—Terms of the Offer; Expiration Date” of the Offer to Purchase, or who cannot complete the procedure for book-entry transfer on a timely basis, must tender their Shares according to the guaranteed delivery procedure set forth in “The Offer—Procedure for Tendering Shares—Guaranteed Delivery” of the Offer to Purchase. See Instruction 2. DELIVERY OF DOCUMENTS TO THE BOOK-ENTRY TRANSFER FACILITY DOES NOT CONSTITUTE DELIVERY TO THE DEPOSITARY.

 

Lost Certificates

 

¨ I HAVE LOST MY CERTIFICATE(S) THAT REPRESENTED                              SHARES AND REQUIRE ASSISTANCE IN OBTAINING A REPLACEMENT CERTIFICATE(S). I UNDERSTAND THAT I MUST CONTACT REGISTRAR AND TRANSFER COMPANY TO OBTAIN INSTRUCTIONS FOR REPLACING LOST CERTIFICATES. SEE INSTRUCTION 9.

 

NOTE: SIGNATURES MUST BE PROVIDED BELOW.

 

PLEASE READ ACCOMPANYING INSTRUCTIONS CAREFULLY.

 

¨ CHECK HERE IF TENDERED SHARES ARE BEING DELIVERED BY BOOK-ENTRY TRANSFER TO THE DEPOSITARY’S ACCOUNT AT THE BOOK-ENTRY TRANSFER FACILITY AND COMPLETE THE FOLLOWING:

 

     Name of Tendering Institution

 

 

 

     Account Number

 

 

 

     Transaction Code Number

 

 

 

¨ CHECK HERE IF TENDERED SHARES ARE BEING DELIVERED PURSUANT TO A NOTICE OF GUARANTEED DELIVERY PREVIOUSLY SENT TO THE DEPOSITARY AND COMPLETE THE FOLLOWING:

 

     Name(s) of Tendering Stockholder(s)

 

 

 

     Date of Execution of Notice of Guaranteed Delivery

 

 

 

     Name of Institution which Guaranteed Delivery

 

 

 

     If delivery is by book-entry transfer:

 

     Name of Tendering Institution

 

 

 

     Account Number

 

 

 

     Transaction Code Number

 

 

 

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Ladies and Gentlemen:

 

The undersigned hereby tenders to Normandy Acquisition Corporation (“Purchaser”), a Delaware corporation and an indirect wholly owned subsidiary of Xyratex Ltd, a Bermuda corporation, the above-described shares of common stock, par value $0.05 per share (“Shares”), of nStor Technologies, Inc., a Delaware corporation (the “Company”), pursuant to Purchaser’s offer to purchase all of the outstanding Shares at $0.105 per Share, net to the seller in cash, without interest, upon the terms and subject to the conditions set forth in the Offer to Purchase dated August 5, 2005 (the “Offer to Purchase”), receipt of which is hereby acknowledged, and in this Letter of Transmittal (which together, as each may be amended, supplemented or otherwise modified from time to time, constitute the “Offer”). Purchaser reserves the right to transfer or assign, in whole or from time to time in part, to one or more of its affiliates the right to purchase Shares tendered pursuant to the Offer, but any such transfer or assignment will not relieve Purchaser of its obligations under the Offer or prejudice the undersigned’s rights to receive payment for Shares validly tendered and accepted for payment.

 

Upon the terms and subject to the conditions of the Offer (and if the Offer is extended or amended, the terms of any such extension or amendment) and effective upon acceptance for payment of and payment for the Shares tendered herewith, the undersigned hereby sells, assigns and transfers to, or upon the order of, Purchaser all right, title and interest in and to all the Shares that are being tendered hereby (and any and all other Shares or other securities issued or issuable in respect thereof on or after July 27, 2005 (collectively, the “Distributions”)) and appoints the Depositary the true and lawful agent and attorney-in-fact of the undersigned with respect to such Shares (and any Distributions), with full power of substitution and resubstitution (such power of attorney being deemed to be an irrevocable power coupled with an interest), to (i) deliver certificates for such Shares (and any Distributions) or transfer ownership of such Shares (and any Distributions) on the account books maintained by the Book-Entry Transfer Facility, together, in any such case, with all accompanying evidences of transfer and authenticity, to or upon the order of Purchaser, (ii) present such Shares (and any Distributions) for transfer on the books of the Company and (iii) receive all benefits and otherwise exercise all rights of beneficial ownership of such Shares (and any Distributions), all in accordance with the terms and conditions of the Offer.

 

The undersigned hereby irrevocably appoints Steve Barber and Richard Pearce, individually, as the attorneys and proxies of the undersigned, each with full power of substitution, to exercise all voting and other rights of the undersigned in such manner as each such attorney and proxy or his substitute shall in his sole discretion deem proper, with respect to all of the Shares tendered hereby which have been accepted for payment by Purchaser prior to the time of any vote or other action (and any associated Distributions), at any meeting of stockholders of the Company (whether annual or special and whether or not an adjourned meeting), by written consent or otherwise. This proxy is irrevocable and is granted in consideration of, and is effective upon, the acceptance for payment of such Shares by Purchaser in accordance with the terms of the Offer. Such acceptance for payment shall revoke any other proxy or written consent granted by the undersigned at any time with respect to such Shares (and any associated Distributions), and no subsequent proxies will be given or written consents will be executed by the undersigned (and if given or executed, will not be deemed to be effective).

 

The undersigned hereby represents and warrants that the undersigned has full power and authority to tender, sell, assign and transfer the Shares tendered hereby (and any Distributions) and that when the same are accepted for payment by Purchaser, Purchaser will acquire good and unencumbered title thereto, free and clear of all liens, restrictions, charges and encumbrances and not subject to any adverse claims. The undersigned will, upon request, execute and deliver any additional documents deemed by the Depositary or Purchaser to be necessary or desirable to complete the sale, assignment and transfer of the Shares tendered hereby (and any Distributions).

 

All authority herein conferred or agreed to be conferred shall survive the death or incapacity of the undersigned, and any obligation of the undersigned hereunder shall be binding upon the heirs, personal representatives, successors and assigns of the undersigned. Except as stated in the Offer, this tender is irrevocable.

 

The undersigned understands that tenders of Shares pursuant to any one of the procedures described in “The Offer—Procedure for Tendering Shares” of the Offer to Purchase and the instructions hereto will constitute the

 

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undersigned’s acceptance of the Offer and that Purchaser’s acceptance for payment of the Shares tendered will constitute a binding agreement between the undersigned and Purchaser upon the terms and subject to the conditions of the Offer. The undersigned recognizes that under certain circumstances set forth in the Offer to Purchase, Purchaser may not be required to accept for payment any of the Shares tendered hereby.

 

Unless otherwise indicated under “Special Payment Instructions,” please issue the check for the purchase price of any Share Certificates purchased, and return any Shares not tendered or not purchased, in the name(s) of the undersigned (and, in the case of Shares tendered by book-entry transfer, by credit to the account at the Book-Entry Transfer Facility). Similarly, unless otherwise indicated under “Special Delivery Instructions,” please mail the check for the purchase price of any Share Certificates purchased and any certificates for Shares not tendered or not purchased (and accompanying documents, as appropriate) to the undersigned at the address shown below the undersigned’s signature(s). In the event that both “Special Payment Instructions” and “Special Delivery Instructions” are completed, please issue the check for the purchase price of any Share Certificates purchased and return any Shares not tendered or not purchased in the name(s) of, and mail said check and any certificates to, the person(s) so indicated. The undersigned recognizes that Purchaser has no obligation, pursuant to the “Special Payment Instructions,” to transfer any Shares from the name of the registered holder(s) thereof if Purchaser does not accept for payment any of the Shares so tendered.

 

4


SPECIAL PAYMENT INSTRUCTIONS

(See Instructions 6 and 7)

 

To be completed ONLY if the check for the purchase price of Share Certificates purchased (less the amount of any federal income and back-up withholding tax required to be withheld) or certificates for Shares not tendered or not purchased are to be issued in the name of someone other than the undersigned.

     

SPECIAL DELIVERY INSTRUCTIONS

(See Instructions 6 and 7)

 

To be completed ONLY if the check for the purchase price of Share Certificates purchased (less the amount of any federal income and back-up withholding tax required to be withheld) or certificates for Shares not tendered or not purchased are to be mailed to someone other than the undersigned or to the undersigned at an address other than that shown below the undersigned’s signature(s).

   

Mail:    ¨  check

              ¨  certificates to:

 

Name:                                                                                         

(Please Print)

 

Address:                                                                                     

 

                                                                                                      

Zip Code

 

                                                                                                      

(Taxpayer Identification No.)

 

     

Mail:    ¨  check

              ¨  certificates to:

 

Name:                                                                                         

(Please Print)

 

Address:                                                                                     

 

                                                                                                      

Zip Code

 

                                                                                                      

(Taxpayer Identification No.)

 

 

5


 

SIGN HERE

 

 


 

 


(Signature(s) of Owners)

 

Dated                                      

 

Name(s)

 


(Please Print)

 

Capacity (full title)

 


 

Address

 


 

 


(Include Zip Code)

 

Area Code and Telephone Number

 


 

(Must be signed by registered holder(s) exactly as name(s) appear(s) on Share Certificate(s) or on a security position listing or by person(s) authorized to become registered holder(s) by certificates and documents transmitted herewith. If signature is by a trustee, executor, administrator, guardian, attorney-in-fact, agent, officer of a corporation or other person acting in a fiduciary or representative capacity, please set forth full title and see Instruction 5.)

 

 

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Guarantee of Signature(s)

(See Instructions 1 and 5)

 

Authorized Signature

 


 

Name

 


 

Title

 


(Please Type or Print)

 

Name of Firm

 


 

Address

 


(Include Zip Code)

 

Area Code and Telephone Number

 


 

Dated                                      

 

FOR USE BY FINANCIAL INSTITUTIONS ONLY

FINANCIAL INSTITUTIONS: PLACE MEDALLION GUARANTEE IN SPACE ABOVE

 

 

7


THIS FORM MUST BE COMPLETED BY ALL TENDERING U.S. HOLDERS.

See “The Offer—United States Federal Income Tax Considerations” of the Offer to Purchase and the

enclosed Guidelines for Certification of Taxpayer Identification Number on Substitute Form W-9

 

PAYER’S NAME:    Computershare Trust Company of New York

 

 

SUBSTITUTE

 

Form W-9

 

Department of the Treasury

Internal Revenue Service

 

Payer’s Request for Taxpayer Identification Number

and Certification

  

Name:                                                                                                                                       

 

Business name, if different from above:                                                                            

 

Check appropriate box: ¨ Individual/Sole proprietor ¨ Corporation ¨ Partnership

 

                                        ¨ Other                                                                                        

  

Part 1—Taxpayer Identification Number—Provide your taxpayer identification number (“TIN”) in the box at right and certify by signing and dating below.

If the account is in more than one name, see the enclosed Guidelines to determine which number to provide.

If you do not have a TIN, see the enclosed Guidelines for information on obtaining a number.

 

 

                                                          

Social Security Number

 

OR

 

                                                          

Employer Identification Number

     Part 2—Awaiting TIN  ¨        Exempt  ¨
    

Part 3—Certification—Under penalties of perjury, I certify that:

(1)    I am a U.S. person (including a U.S. resident alien);

(2)    The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and

(3)    I am not subject to backup withholding because:

(a)    I am exempt from backup withholding,

(b)    I have not been notified by the Internal Revenue Service (the “IRS”) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or

(c)    the IRS has notified me that I am no longer subject to backup withholding.

Certification Instructions—You must cross out item (3) above if you have been notified by the IRS that you are currently subject to backup withholding because of underreporting interest or dividends on your tax return and you have not been notified by the IRS that you are no longer subject to backup withholding.

    

Signature                                                            Date                                                          

 

Name                                                                                                                                       

 

Address                                                                                                                                   

 

City                                         State                                       Zip                                      

 

 

8


YOU MUST COMPLETE THE FOLLOWING CERTIFICATION IF YOU ARE AWAITING (OR WILL SOON APPLY FOR) A TAXPAYER IDENTIFICATION NUMBER.

 

CERTIFICATION OF AWAITING TAXPAYER IDENTIFICATION NUMBER

 

I certify under penalties of perjury that a taxpayer identification number has not been issued to me, and that I mailed or delivered, or intend to mail or deliver in the near future, an application to receive a taxpayer identification number to the appropriate Internal Revenue Service Center or Social Security Administration Office. I understand that, if I do not timely provide a correct taxpayer identification number, 28% of all reportable payments made to me will be withheld.

 

Signature                                                                                                                                                                 Date:                     

 

 

9


INSTRUCTIONS

 

Forming Part of the Terms and Conditions of the Offer

 

1. Guarantee of Signatures. Except as otherwise provided below, all signatures on this Letter of Transmittal must be guaranteed by a financial institution (including most banks, savings and loan associations and brokerage houses) that is a member of a recognized Medallion Program approved by The Securities Transfer Association, Inc. or any other “Eligible Guarantor Institution” (as such term is defined in Rule 17Ad-15 under the Securities Exchange Act of 1934, as amended) (each an “Eligible Institution”). Signatures on this Letter of Transmittal need not be guaranteed (i) if this Letter of Transmittal is signed by the registered holder(s) of the Shares (which term, for purposes of this document, shall include any participant in the Book-Entry Transfer Facility whose name appears on a security position listing as the owner of Shares) tendered herewith and such holder(s) has not completed the instruction entitled “Special Payment Instructions” on this Letter of Transmittal or (ii) if such Shares are tendered for the account of an Eligible Institution. See Instruction 5.

 

2. Delivery of Letter of Transmittal and Shares. This Letter of Transmittal is to be used if Share Certificates are to be forwarded herewith or, unless an Agent’s Message is utilized, if deliveries are to be made by book-entry transfer pursuant to the procedures set forth in “The Offer—Procedure for Tendering Shares” of the Offer to Purchase. Share Certificates for all physically delivered Shares, or a confirmation of a book-entry transfer into the Depositary’s account at the Book-Entry Transfer Facility of all Shares delivered electronically, as well as a properly completed and duly executed Letter of Transmittal (or a manually signed facsimile thereof) and any other documents required by this Letter of Transmittal, or an Agent’s Message in the case of a book-entry transfer, must be received by the Depositary at one of its addresses set forth on the front page of this Letter of Transmittal by the Expiration Date (as defined in the Offer to Purchase).

 

Stockholders whose Share Certificates are not immediately available, who cannot deliver their Share Certificates and all other required documents to the Depositary prior to the Expiration Date or who cannot complete the procedure for delivery by book-entry transfer on a timely basis, may tender their Shares pursuant to the guaranteed delivery procedure set forth in “The Offer—Procedure for Tendering Shares—Guaranteed Delivery” of the Offer to Purchase. Pursuant to such procedure: (a) such tender must be made by or through an Eligible Institution; (b) a properly completed and duly executed Notice of Guaranteed Delivery, substantially in the form provided by Purchaser, must be received by the Depositary prior to the Expiration Date; and (c) Share Certificates for all tendered Shares, in proper form for tender, or a confirmation of a book-entry transfer into the Depositary’s account at the Book-Entry Transfer Facility of all Shares delivered electronically, as well as a properly completed and duly executed Letter of Transmittal (or a manually signed facsimile thereof), and any other documents required by this Letter of Transmittal, must be received by the Depositary within three American Stock Exchange trading days after the date of execution of such Notice of Guaranteed Delivery.

 

The method of delivery of Shares and all other required documents is at the option and risk of the tendering stockholder. If certificates for Shares are sent by mail, registered mail with return receipt requested, properly insured, is recommended.

 

No alternative, conditional or contingent tenders will be accepted, and no fractional Shares will be purchased. By executing this Letter of Transmittal, the tendering stockholder waives any right to receive any notice of the acceptance for payment of the Shares.

 

3. Inadequate Space. If the space provided herein is inadequate, the Share Certificate numbers, the number of Shares evidenced by such Share Certificates and the number of Shares tendered should be listed on a separate signed schedule and attached hereto.

 

4. Partial Tenders (not applicable to stockholders who tender by book-entry transfer). If fewer than all the Shares represented by any certificate delivered to the Depositary are to be tendered, fill in the number of Shares which are to be tendered in the box entitled “Number of Shares Tendered.” In such case, a new certificate for the

 

10


remainder of the Shares represented by the old certificate will be sent to the person(s) signing this Letter of Transmittal, unless otherwise provided in the appropriate box on this Letter of Transmittal, as promptly as practicable following the expiration or termination of the Offer. All Shares represented by certificates delivered to the Depositary will be deemed to have been tendered unless otherwise indicated.

 

5. Signatures on Letter of Transmittal; Stock Powers and Endorsements. If this Letter of Transmittal is signed by the registered holder(s) of the Shares tendered hereby, the signature(s) must correspond with the name(s) as written on the face of the certificates without alteration, enlargement or any change whatsoever.

 

If any of the Shares tendered hereby are held of record by two or more persons, all such persons must sign this Letter of Transmittal.

 

If any of the Shares tendered hereby are registered in different names on different certificates, it will be necessary to complete, sign and submit as many separate Letters of Transmittal as there are different registrations of certificates.

 

If this Letter of Transmittal is signed by the registered holder(s) of the Shares tendered hereby, no endorsements of certificates or separate stock powers are required unless payment of the purchase price is to be made, or Shares not tendered or not purchased are to be returned, in the name of any person other than the registered holder(s). Signatures on any such certificates or stock powers must be guaranteed by an Eligible Institution.

 

If this Letter of Transmittal is signed by a person other than the registered holder(s) of the Shares tendered hereby, certificates must be endorsed or accompanied by appropriate stock powers, in either case, signed exactly as the name(s) of the registered holder(s) appear(s) on the certificates for such Shares. Signature(s) on any such certificates or stock powers must be guaranteed by an Eligible Institution.

 

If this Letter of Transmittal or any certificate or stock power is signed by a trustee, executor, administrator, guardian, attorney-in-fact, officer of a corporation or other person acting in a fiduciary or representative capacity, such person should so indicate when signing, and proper evidence satisfactory to Purchaser of the authority of such person so to act must be submitted.

 

6. Stock Transfer Taxes. Purchaser will pay any stock transfer taxes with respect to the sale and transfer of any Shares to it or its order pursuant to the Offer. If, however, payment of the purchase price is to be made to, or Shares not tendered or not purchased are to be returned in the name of, any person other than the registered holder(s), or if a transfer tax is imposed for any reason other than the sale or transfer of Shares to Purchaser pursuant to the Offer, then the amount of any stock transfer taxes (whether imposed on the registered holder(s), such other person or otherwise) will be deducted from the purchase price unless satisfactory evidence of the payment of such taxes, or exemption therefrom, is submitted herewith.

 

7. Special Payment and Delivery Instructions. If the check for the purchase price of any Shares purchased is to be issued, or any Shares not tendered or not purchased are to be returned, in the name of a person other than the person(s) signing this Letter of Transmittal or if the check or any certificates for Shares not tendered or not purchased are to be mailed to someone other than the person(s) signing this Letter of Transmittal or to the person(s) signing this Letter of Transmittal at an address other than that shown above, the appropriate boxes on this Letter of Transmittal should be completed. Stockholders tendering Shares by book-entry transfer may request that Shares not purchased be credited to such account at the Book-Entry Transfer Facility as such stockholder may designate under “Special Payment Instructions.” If no such instructions are given, any such Shares not purchased will be returned by crediting the account at the Book-Entry Transfer Facility designated above.

 

8. Substitute Form W-9. Under United States federal income tax laws, the Depositary will be required to withhold a portion of the amount of any payments made to certain stockholders pursuant to the Offer. In order to

 

11


avoid such backup withholding, each tendering stockholder, and, if applicable, each other payee, must provide the Depositary with such stockholder’s or payee’s correct taxpayer identification number and certify that such stockholder or payee is not subject to such backup withholding by completing the Substitute Form W-9. In general, if a stockholder or payee is an individual, the taxpayer identification number is the Social Security number of such individual. If the Depositary is not provided with the correct taxpayer identification number, the stockholder or payee may be subject to a $50 penalty imposed by the Internal Revenue Service. For further information concerning backup withholding and instructions for completing the Substitute Form W-9 (including how to obtain a taxpayer identification number if you do not have one and how to complete the Substitute Form W-9 if Shares are held in more than one name), consult the enclosed Guidelines for Certification of Taxpayer Identification Number on Substitute Form W-9.

 

Certain stockholders or payees (including, among others, all corporations and certain foreign individuals) are not subject to these backup withholding and reporting requirements. In order to satisfy the Depositary that a foreign individual qualifies as an exempt recipient, such stockholder or payee must submit a statement, signed under penalties of perjury, attesting to that individual’s exempt status, on a properly completed Form W-8, or successor form. Such statements can be obtained from the Depositary.

 

Failure to complete the Substitute Form W-9 will not, by itself, cause Shares to be deemed invalidly tendered, but may require the Depositary to withhold a portion of the amount of any payments made pursuant to the Offer. Backup withholding is not an additional federal income tax. Rather, the federal income tax liability of a person subject to backup withholding will be reduced by the amount of tax withheld. If withholding results in an overpayment of taxes, a refund may be obtained provided that the required information is furnished to the Internal Revenue Service. NOTE: FAILURE TO COMPLETE AND RETURN THE SUBSTITUTE FORM W-9 MAY RESULT IN BACKUP WITHHOLDING OF A PORTION OF ANY PAYMENTS MADE TO YOU PURSUANT TO THE OFFER. PLEASE REVIEW THE ENCLOSED GUIDELINES FOR CERTIFICATION OF TAXPAYER IDENTIFICATION NUMBER ON SUBSTITUTE FORM W-9 FOR ADDITIONAL DETAILS.

 

9. Mutilated, Lost, Stolen or Destroyed Certificates. Any holder of a certificate(s) which represented Shares whose certificate(s) has been mutilated, lost, stolen, or destroyed should (i) complete this Letter of Transmittal and check the appropriate box above and (ii) contact Registrar and Transfer Company immediately by calling (800) 368-5948. Registrar and Transfer Company will provide such holder with all necessary forms and instructions to replace any mutilated, lost, stolen or destroyed certificates. The holder may also be required to give the Company a bond as indemnity against any claim that may be made against it with respect to the certificate(s) alleged to have been mutilated, lost, stolen or destroyed. However, there can be no assurances that such mutilated, lost, stolen or destroyed certificates will be replaced prior to the expiration date of the Offer.

 

10. Waiver of Conditions. Subject to the terms and conditions of the Merger Agreement (as defined in the Offer to Purchase), the conditions of the Offer may be waived, in whole or in part, by Parent or Purchaser, in its reasonable discretion, at any time and from time to time, in the case of any shares tendered.

 

11. Requests for Assistance or Additional Copies. Requests for assistance or additional copies of the Offer to Purchase and this Letter of Transmittal may be obtained from the Information Agent at its address or telephone number set forth on the back cover of this Letter of Transmittal.

 

IMPORTANT: THIS LETTER OF TRANSMITTAL (OR A MANUALLY SIGNED FACSIMILE THEREOF) OR AN AGENT’S MESSAGE TOGETHER WITH SHARE CERTIFICATES OR CONFIRMATION OF BOOK-ENTRY TRANSFER AND ALL OTHER REQUIRED DOCUMENTS, OR THE NOTICE OF GUARANTEED DELIVERY MUST BE RECEIVED BY THE DEPOSITARY PRIOR TO THE EXPIRATION DATE.

 

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(DO NOT WRITE IN THE SPACES BELOW)

 

Date Received                                    Accepted by                                Checked by                           

 

Shares

Surrendered

 

Shares

Tendered

 

Shares

Accepted

 

Check

No.

 

Amount

of Check

 

Shares

Returned

 

Certificate

No.

  Block
No.
               
                             

—–

  —–   —–   Gr         —–   —–   —–

—–

  —–   —–   Net         —–   —–   —–

 

Delivery Prepared By                                Checked By                                Date                                 

 

 

Any questions and requests for assistance may be directed to the Information Agent at its address and telephone numbers listed below. Additional copies of the Offer to Purchase, the Letter of Transmittal and the Notice of Guaranteed Delivery may be obtained from the Information Agent at its address and telephone numbers listed below. Holders of Shares may also contact their broker, dealer, commercial bank or trust company or other nominee for assistance concerning the Offer.

 

The Information Agent for the Offer is:

 

LOGO

 

105 Madison Avenue

New York, New York 10016

(212) 929-5500 (Call Collect)

 

or

 

Call Toll-Free (800) 322-2885

 

Email: proxy@mackenziepartners.com

 

13


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘SC 13D’ Filing    Date    Other Filings
9/2/05
Filed on:8/5/053,  SC 14D9,  SC TO-T
7/27/053,  8-K
 List all Filings 
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Filing Submission 0001193125-05-159132   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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