Purchasers. Aggregate Number of Principal Amount Units to be of Convertible Number of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Charterhouse Equity 75 $7,500,000 $7,500,000 7,500,000 75% Partners, III, L.P. c/o Charterhouse Group International, Inc. 000 Xxxxxxx Xxxxxx Xxx Xxxx, Xxx Xxxx 00000 Attention: President ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS Technology Ventures VI 11.615 $1,161,500 $1,161,500 1,161,500 11.615% L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- SOFTBANK U.S. Ventures Fund VI 12.4575 $1,245,750 $1,245,750 1,245,750 12.4575% L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .4525 $45,250 $45,250 45,250 .4525% Technology Ventures Advisors Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Aggregate Number of Principal Amount Units to be of Convertible Number of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .475 $47,500 $47,500 47,500 .475% Technology Ventures Side Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- TOTAL 100 $10,000,000.00 $10,000,000 10,000,000 100% ---------------------------------- ---------------- ------------------ ------------------- --------------- ----------------
Appears in 1 contract
Purchasers. Aggregate Number of Principal Amount Units Purchaser Shares to be of Convertible Number of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Charterhouse -------------------------------------------------------------------------------- Andesite Management, L.P. 50,000 $937,500.00 -------------------------------------------------------------------------------- Colonial Fund LLC 150,000 $937,500.00 -------------------------------------------------------------------------------- Domain Public Equity 75 $7,500,000 $7,500,000 7,500,000 75% Partners, L.P. 100,000 $625,000.00 -------------------------------------------------------------------------------- Fortis L Fund Equity Pharma World 93,750 $585,937.50 -------------------------------------------------------------------------------- Fortis L Fund Opportunity World 31,250 $195,312.50 -------------------------------------------------------------------------------- Heartland Group, Inc. 300,000 $1,875,000.00 -------------------------------------------------------------------------------- ProMed Offshore Fund, Ltd. 11,490 $71,812.50 -------------------------------------------------------------------------------- ProMed Partners, L.P. 71,260 $445,375.00 -------------------------------------------------------------------------------- ProMed Partners II, L.P. 17,250 $107,812.50 -------------------------------------------------------------------------------- Sagitta Asset Management Ltd. 50,000 $312,500.00 -------------------------------------------------------------------------------- SF Capital Partners, Ltd. 50,000 $312,500.00 -------------------------------------------------------------------------------- Special Situations Cayman Fund L.P. 480,000 $3,000,000.00 -------------------------------------------------------------------------------- Special Situations Fund III, L.P. c/o Charterhouse Group International144,000 $900,000.00 -------------------------------------------------------------------------------- Special Situations Private Equity Fund, Inc. 000 Xxxxxxx Xxxxxx Xxx XxxxL.P. 176,000 $1,100,000.00 -------------------------------------------------------------------------------- Ursus Capital, Xxx Xxxx 00000 AttentionL.P. 30,200 $188,750.00 -------------------------------------------------------------------------------- Ursus Offshore, Ltd. 19,800 $123,750.00 -------------------------------------------------------------------------------- Zeke, LP 225,000 $1,406,250.00 -------------------------------------------------------------------------------- Exhibit B --------- June ___, 2004 Purchasers of Common Stock of STAAR Surgical Company Listed on Exhibit A to the Stock Purchase Agreement Re: President ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS Technology Ventures VI 11.615 $1,161,500 $1,161,500 1,161,500 11.615% L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View California 94043 AttentionStock Purchase Agreement dated as of June __, 2004 among STAAR Surgical Company and the Purchasers Listed on Exhibit A thereto --------------------------------------------------------------------- Ladies and Gentlemen: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- SOFTBANK U.S. Ventures Fund VI 12.4575 $1,245,750 $1,245,750 1,245,750 12.4575% L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain ViewWe have acted as special counsel for STAAR Surgical Company, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .4525 $45,250 $45,250 45,250 .4525% Technology Ventures Advisors Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain Viewa Delaware corporation (the "Company"), California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Aggregate Number in connection with the sale by the Company to you of Principal Amount Units 1,700,000 shares of the Company's Common Stock (the "Shares") pursuant to the Stock Purchase Agreement (the "Purchase Agreement") dated as of June __, 2004 among the Company and the persons listed on Exhibit A attached thereto (the "Purchasers"). Unless defined herein, capitalized terms have the meanings given them in the Purchase Agreement. The Purchase Agreement and the Registration Rights Agreement, as defined therein, are referred to herein as the "Agreements." As to matters of fact, in the absence of actual knowledge to the contrary, we are relying upon the representations and warranties of all parties contained in the Agreements and the Certificate of the Company and Certificate of the Chief Financial Officer attached hereto ("Opinion Certificates") and upon certificates and statements of government officials, all without independent verification. In addition, we examined originals or copies of documents, corporate records and other writings that we consider relevant for the purposes of this opinion. In such examination, we assumed that the signatures on documents and instruments examined by us are authentic, that each is complete and what it purports to be, that all documents and instruments submitted to us as copies or facsimiles conform with the originals, and that the documents and instruments submitted to us have not been amended or modified since the date submitted. In our examination of documents, we further assumed (i) that each person or entity entering into such documents (other than the Company in connection with the Agreements) had the power, legal competence and capacity to enter into and perform all of such party's obligations thereunder, (ii) the due authorization, execution and delivery by each party (other than the due authorization, execution and delivery of the Agreements by the Company), (iii) the enforceability and binding nature of the obligations of the parties to such documents (other than as to the enforceability against, and the binding nature upon, the Company of the Agreements), (iv) that there is no fact or circumstance relating to any party that might prevent the Purchasers from enforcing any of the rights provided for in the Agreements, (v) performance on or before the Closing by all parties of their obligations under the Agreements to be performed on or before the Closing and (vi) no action has been taken or event occurred which amends, revokes, terminates or renders invalid any of Convertible Number the documents, records, consents or resolutions which we have reviewed since the date of Percentage the certificates we relied upon in rendering this opinion. We also assumed that there are no extrinsic agreements or understandings among the parties to the Agreements or Contractual Obligations (as defined below) that would modify or interpret the terms of Name the Agreements or contracts expressly identified on Schedule A hereto or the respective rights or obligations of the parties thereunder. As used in this opinion, the expression "to our knowledge" or "known to us" with reference to matters of fact refers to the current actual knowledge of any attorney within the firm who has participated in the transactions covered by this opinion. Except to the extent expressly set forth herein we have not undertaken any independent investigation to determine the accuracy or completeness of such statement (including without limitation any examination of any documents in our files or otherwise made available to us by the Company), and Address no inference as to the accuracy or completeness of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .475 $47,500 $47,500 47,500 .475% Technology Ventures Side Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain Viewsuch statement should be drawn from our representation of the Company or our rendering the opinions set forth below. Based upon and subject to the foregoing and the qualifications and limitations set forth below, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- TOTAL 100 $10,000,000.00 $10,000,000 10,000,000 100% ---------------------------------- ---------------- ------------------ ------------------- --------------- ----------------and except as set forth in the Agreements, it is our opinion that:
Appears in 1 contract
Purchasers. Aggregate Number Yale University ---------------------------------- (Print name of Principal Amount Units to be Purchaser) By: /s/ Xxxxxxx X. Xxxxxxxxx ----------------------------- Name: Xxxxxxx X. Xxxxxxxxx ----------------------------- (print) Title: President of Convertible Number S(2) Technology ---------------------------- Investment Advisor for Yale --------------------------- Address: See Attached SIGNATURE PAGE TO PURCHASE AGREEMENT PURCHASERS: Yale University Retirement Plan for Staff Employees ---------------------------------- (Print name of Percentage Purchaser) By: /s/ Xxxxxxx X. Xxxxxxxxx ----------------------------- Name: Xxxxxxx X. Xxxxxxxxx ----------------------------- (print) Title: President of Name and Address S(2) Technology ---------------------------- Investment Advisor for Yale --------------------------- Address: See Attached Camelot Capital LP ---------------------------------- (Print name of Purchaser Purchased Purchase Price Notes Warrants Notes Purchaser) By: /s/ Xxxxx Xxxxx ----------------------------- Name: Xxxxx Xxxxx ----------------------------- (print) Title: GP ---------------------------- Address: Camelot Offshore Fund Ltd. ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Charterhouse Equity 75 $7,500,000 $7,500,000 7,500,000 75% Partners(Print name of Purchaser) By: /s/ Xxxxx Xxxxx ----------------------------- Name: Xxxxx Xxxxx ----------------------------- (print) Title: Managing Director ---------------------------- Address: PURCHASER: Xxxx Xxxxxx Xxxxxxxx, III, L.P. Custodian For Xxxx X. Xxxxxx Xxx Rollover-4-2-92 ---------------------------------- (Print name of Purchaser) By: /s/ Xxxx Xxxxxx ----------------------------- Name: Xxxx Xxxxxx ----------------------------- (print) Title: ---------------------------- Address: c/o Charterhouse Group InternationalXxxxxx Xxxxxxxxx Xxxx Xxxxxx Retirement Plan Maintenance 0 Xxxxx Xxxxx Xxxxxx, Inc. 000 Xxxxxxx Xxxxxx 0xx Xxxxx Xxx Xxxx, XX 00000 Xxxxx Xxxxxxxxxx ---------------------------------- (Print name of Purchaser) By: /s/ Xxxxx Xxxxxxxxxx ------------------------------- Name: Xxxxx Xxxxxxxxxx ----------------------------- (print) Title: CEO ---------------------------- Address: 0000 Xxxxxxxx Xxx Xxxx Xxx Xxxx, XX 00000 Attention: President ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS Technology Ventures VI 11.615 $1,161,500 $1,161,500 1,161,500 11.615% L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- SOFTBANK U.S. Ventures Fund VI 12.4575 $1,245,750 $1,245,750 1,245,750 12.4575% L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .4525 $45,250 $45,250 45,250 .4525% Technology Ventures Advisors Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Aggregate Number of Principal Amount Units to be of Convertible Number of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .475 $47,500 $47,500 47,500 .475% Technology Ventures Side Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- TOTAL 100 $10,000,000.00 $10,000,000 10,000,000 100% ---------------------------------- ---------------- ------------------ ------------------- --------------- ----------------PURCHASERS:
Appears in 1 contract
Samples: Common Stock and Warrant Purchase Agreement (Centura Software Corp)
Purchasers. Aggregate Number of Principal Amount Units to be of Convertible Number of Percentage of Name and Address of Purchaser Units to be Purchased Purchase Price Notes Warrants Notes Pro Rata Portion ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- ------------------------- ------------------------ ----------------------- Charterhouse Equity 75 $7,500,000 $7,500,000 7,500,000 75% Partners, 104.93442 $10,493,441.60 55.22864% III, L.P. c/o Charterhouse Group International, Inc. Inc., 000 Xxxxxxx Xxxxxx Xxxxxx, Xxx Xxxx, Xxx Xxxx 00000, Attention: Executive Vice President ---------------------------------- ------------------------- ------------------------ ----------------------- Chef Nominees Limited c/o 0.06558 $6,558.40 0.03452% Charterhouse Group International, Inc., 000 Xxxxxxx Xxxxxx, Xxx Xxxx, Xxx Xxxx 00000 Attention: Executive Vice President ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS ------------------------- ------------------------ ----------------------- SOFTBANK Technology Ventures VI 11.615 39.49100 $1,161,500 $1,161,500 1,161,500 11.6153,949,100.00 20.78474% L.P. c/o Mobius Softbank Venture Capital Capital, 000 Xxxx Xxxxxx Xxxxxx Xxxxxx, Suite 200 200, Mountain View View, California 94043 94043, Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- ------------------------- ------------------------ ----------------------- SOFTBANK U.S. Ventures Fund VI 12.4575 L.P. 42.35550 $1,245,750 $1,245,750 1,245,750 12.45754,235,550.00 22.29237% L.P. c/o Mobius Softbank Venture Capital Capital, 000 Xxxx Xxxxxx Xxxxxx Xxxxxx, Suite 200 200, Mountain View, California 94043 94043, Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .4525 $45,250 $45,250 45,250 .4525% ------------------------- ------------------------ ----------------------- SOFTBANK Technology Ventures 1.53850 $153,850.00 0.80974% Advisors Fund VI L.P. c/o Mobius Softbank Venture Capital Capital, 000 Xxxx Xxxxxx Xxxxxx Xxxxxx, Suite 200 Mountain View---------------------------------- ------------------------- ------------------------ ----------------------- ---------------------------------- ------------------------- ------------------------ ----------------------- 200, California 94043 Xxxxxxxx Xxxx, Xxxxxxxxxx 00000, Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Aggregate Number of Principal Amount Units to be of Convertible Number of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .475 $47,500 $47,500 47,500 .475% ------------------------- ------------------------ ----------------------- SOFTBANK Technology Ventures 1.61500 161,500.00 0.85000% Side Fund VI L.P. c/o Mobius Softbank Venture Capital Capital, 000 Xxxx Xxxxxx Xxxxxx Xxxxxx, Suite 200 200, Mountain View, California 94043 94043, Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- ------------------------- ------------------------ ----------------------- TOTAL 100 190 $10,000,000.00 $10,000,000 10,000,000 19,000,000.00 100% ---------------------------------- ---------------- ------------------ ------------------- --------------- ----------------------------------------- ------------------------ ----------------------- EXHIBIT 2 --------- Form of Convertible Notes INTERLIANT, INC. 8% CONVERTIBLE SUBORDINATED NOTE DUE JUNE 30, 2003 [Issuance Date] No.___ $_____ FOR VALUE RECEIVED, the undersigned, INTERLIANT, INC. (the "Company"), hereby promises to pay to __________, or its assigns (the "Holder") the principal sum of _______ DOLLARS on June 30, 2003, and to pay interest (computed on the basis of a 360-day year of twelve 30-day months) on said principal sum quarterly on March 31, June 30, September 30 and December 31 of each year (each an "Interest Payment Date") commencing on the first Interest Payment Date following the date of issuance hereof (the "Issuance Date"), at the rate of 8% per annum, until the principal hereof is paid in full. From the Issuance Date until the Interest Payment Date immediately preceding the date on which the principal hereof is paid in full (the "Repayment Date"), such interest shall be paid on each Interest Payment Date by the issuance to the Holder of additional 8% Convertible Subordinated Notes due June 30, 2003 having the same terms and conditions (other than principal amount and Issuance Date) as this note (such additional notes, together with this note, are hereinafter individually referred to as a "Security" and collectively referred to as the "Securities") in the principal amount of the interest payable on such Interest Payment Date. Interest for the period from the Interest Payment Date immediately preceding the Repayment Date through the Repayment Date shall be paid in cash on the Repayment Date. This Security shall also have the following additional terms and conditions:
Appears in 1 contract
Purchasers. Aggregate Number of Principal Amount Units to be of Convertible Number of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes NAME NUMBER OF SHARES AGGREGATE AMOUNT ----------------------------------------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Charterhouse Equity 75 $7,500,000 $7,500,000 7,500,000 75% Partners, III----------------------------------- High Ridge Capital Partners II, L.P. c/o Charterhouse Group International460,513 $2,371,642.00 ----------------------------------------------- ---------------------------------- ----------------------------------- Xxxxx & XxXxxxxx Capital Technology Venture 771,923 $3,975,403.45 Fund, Inc. 000 Xxxxxxx Xxxxxx Xxx XxxxL.P. ----------------------------------------------- ---------------------------------- ----------------------------------- Xxxxx & McLennan Capital Technology 299,357 $1,541,688.55 Professionals Venture Fund, Xxx Xxxx 00000 Attention: President L.P. ----------------------------------------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS ----------------------------------- Trident II, L.P. 472,968 $2,435,785.20 ----------------------------------------------- ---------------------------------- ----------------------------------- Xxxxx & XxXxxxxx Employees' Securities 12,759 $65,708.85 Company, L.P. ----------------------------------------------- ---------------------------------- ----------------------------------- Xxxxx & McLennan Capital Professionals Fund, 14,617 $75,277.55 L.P. ----------------------------------------------- ---------------------------------- ----------------------------------- McCutchen, Doyle, Xxxxx & Xxxxxxx, LLP 9,709 $50,001.35 ----------------------------------------------- ---------------------------------- ----------------------------------- TOTAL 2,041,846 $10,515,506.95 ----------------------------------------------- ---------------------------------- ----------------------------------- REVISED SCHEDULE 1 TO INVESTMENT AGREEMENT Zebu, a Delaware corporation (the "COMPANY"), and Xxxxx & McLennan Capital Technology Ventures VI 11.615 $1,161,500 $1,161,500 1,161,500 11.615% L.P. c/o Mobius Venture Fund, L.P., a Delaware limited partnership, Xxxxx & XxXxxxxx Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- SOFTBANK U.S. Ventures Fund VI 12.4575 $1,245,750 $1,245,750 1,245,750 12.4575% L.P. c/o Mobius Technology Professionals Venture Fund, L.P., a Delaware limited partnership, Trident II, L.P., a Cayman Islands exempted limited partnership, Xxxxx & McLennan Employees" Securities Company, L.P., a Cayman Islands exempted limited partnership, and Xxxxx & XxXxxxxx Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain ViewProfessionals Fund, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .4525 $45,250 $45,250 45,250 .4525% Technology Ventures Advisors Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain ViewL.P., California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Aggregate Number of Principal Amount Units a Cayman Islands exempted limited partnership (collectively, the "MARSH PARTIES") are each a party, among others, to be of Convertible Number of Percentage of Name that certain Investment Agreement, dated February 29, 2000, (the "INVESTMENT AGREEMENT"). Capitalized terms used but not defined herein shall have the meanings set forth in the Investment Agreement. The Company and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .475 $47,500 $47,500 47,500 .475% Technology Ventures Side Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- TOTAL 100 $10,000,000.00 $10,000,000 10,000,000 100% ---------------------------------- ---------------- ------------------ ------------------- --------------- ----------------the Marsh Parties hereby agree that:
Appears in 1 contract
Samples: Investment Agreement (Zebu)
Purchasers. Aggregate Number XXXXXX XXXXXXXXX CAPITAL PARTNERS, INC., a California corporation On behalf of Principal Amount Units XXXXXX XXXXXXXXX CAPITAL PARTNERS III, L.P., a California limited partnership By: ---------------------------------- Xxxxxx Xxxxxxx Vice President (Signature Page to Investor Rights Agreement) ORE HILL HUB FUND LTD By: Ore Hill Partners LLC Its: Investment Advisor By: ---------------------------------- Xxxxxxxxx Xxxx Managing Member (Signature Page to Investor Rights Agreement) AIRLIE OPPORTUNITY MASTER FUND, LTD. By: ---------------------------------- Xxxxxx Xxxxxxx Managing Director (Signature Page to Investor Rights Agreement) QVT FUND LP, by its general partner, QVT ASSOCIATES GP LLC By: ---------------------------------- Xxxxx XxXxxx Authorized Signatory By: ---------------------------------- Xxxxx Xx Managing Member (Signature Page to Investor Rights Agreement) COMPANY: ------- FALCON PRODUCTS, INC. By: ----------------------------------- Chairman of the Board and Chief Executive Officer (Signature Page to Investor Rights Agreement) XXXXXX STOCKHOLDERS: ------------------- --------------------------- XXXXXXXX X. XXXXXX --------------------------- XXXXXXX XXXX XXXXXX ---------------------------------------- XXXXXXXX X. XXXXXX, TRUSTEE OF THE XXXXX XXXXX XXXXXX REVOCABLE TRUST U/T/A DATED 09/09/1986 ------------------------------------- XXXXXXXX X. XXXXXX, TRUSTEE OF THE XXXXXXX XXXXXX XXXXXX REVOCABLE TRUST U/T/A DATED 12/02/1988 --------------------------- XXXXXXX XXXXXX XXXXXX (Signature Page to Investor Rights Agreement) EXHIBIT A ------- - Table of Owned Shares --------------------- -------------------------------------------------------------------------------------------------- XXXXXX STOCKHOLDER NUMBER OF SHARES OF COMMON STOCK -------------------------------------------------------------------------------------------------- Xxxxxxxx X. Xxxxxx 1,887,384 shares options for 120,000 shares -------------------------------------------------------------------------------------------------- Xxxxxxx Xxxx Xxxxxx 3,500 shares -------------------------------------------------------------------------------------------------- Xxxxxxxx X. Xxxxxx, Trustee of the Xxxxx 55,006 shares Xxxxx Xxxxxx Revocable Trust u/t/a dated 09/09/1986 -------------------------------------------------------------------------------------------------- Xxxxxxxx X. Xxxxxx, Trustee of the Xxxxxxx 12,317 shares Xxxxxx Xxxxxx Revocable Trust u/t/a dated 12/02/1988 -------------------------------------------------------------------------------------------------- Xxxxxxx Xxxxxx Xxxxxx 117,833 shares -------------------------------------------------------------------------------------------------- EXHIBIT B ------- - FORM OF ------- SPOUSAL CONSENT --------------- The undersigned is the spouse of ________________, one of the individuals who has executed, delivered and agreed to be bound by the above Investor Rights Agreement. The undersigned hereby acknowledges that he or she has read and understands the terms and other provisions of Convertible Number the Investor Rights Agreement. Further, the undersigned hereby consents to, approves of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Charterhouse Equity 75 $7,500,000 $7,500,000 7,500,000 75% Partners, III, L.P. c/o Charterhouse Group International, Inc. 000 Xxxxxxx Xxxxxx Xxx Xxxx, Xxx Xxxx 00000 Attention: President ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS Technology Ventures VI 11.615 $1,161,500 $1,161,500 1,161,500 11.615% L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- SOFTBANK U.S. Ventures Fund VI 12.4575 $1,245,750 $1,245,750 1,245,750 12.4575% L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .4525 $45,250 $45,250 45,250 .4525% Technology Ventures Advisors Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Aggregate Number of Principal Amount Units agrees to be bound by the terms and other provisions of Convertible Number the Investor Rights Agreement for all purposes as if he or she were a party thereto, including, without limitation, in order to bind any community property interest she has or may have in any Co-Sale Shares owned by him or her and his or her spouse that is the subject of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .475 $47,500 $47,500 47,500 .475% Technology Ventures Side Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- TOTAL 100 $10,000,000.00 $10,000,000 10,000,000 100% ---------------------------------- ---------------- ------------------ ------------------- --------------- ----------------the Investor Rights Agreement. --------------------------------------- [Name]
Appears in 1 contract
Samples: Investor Rights Agreement (Falcon Products Inc /De/)
Purchasers. Aggregate Number of Principal Amount Units to be of Convertible Number of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- SHARES OF CONVERTIBLE PREFERRED AGGREGATE PURCHASER NAME STOCK/WARRANTS PURCHASED PURCHASE PRICE AND NOTICE ADDRESS FROM THE COMPANY PAID AT CLOSING ------------------------------------------ ----------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Charterhouse Equity 75 Societe Generale 4,000 Preferred Shares $7,500,000 $7,500,000 7,500,000 75% Partners, III, L.P. 4,000,000 c/o Charterhouse Group InternationalSG Cxxxx Xxxurities Corporation 221,402 Warrants 1221 Xxxxxx xx xxx Xxxxxxxx Xxx Xxxx, Inc. XX 00000 Xxxn: Guilxxxxx Xxxxxx Xxxsimile No.: (212) 000-0000 Xxxephone No.: (212) 000-0000 xxth a copy to: Jonex, Xxy, Reavxx & Xogux 000 Xxxxxxx Xxxxxxxxx Xxxxxx Xxx Xxxx, Xxx Xxxx 00000 AttentionXxxn: President ---------------------------------- J. Eric Xxxx Xxxsimile No.: (212) 000-0000 Xxxephone No.: (212) 000-0000 ------------------------------------------ ----------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS Technology Ventures VI 11.615 CATALPA ENTERPRISES LTD. 3,000 Preferred Shares $1,161,500 $1,161,500 1,161,500 11.615% L.P. 3,000,000 c/o Mobius Venture Capital 000 Kennxxx X. Xxxxx 166,051 Warrants 155 Xxxxxxxx Xxxxx X.X.#0 Xxxxxxxxx, Xxxxxxx X0X 0X0 ------------------------------------------ ----------------------------------- ---------------- Jeffxxx X. Xxxxxx 500 Preferred Shares $500,000 51 Monte Vista 27,675 Warrants Athexxxx, XX 00000 ------------------------------------------ ----------------------------------- ---------------- ------------------------------------------ ----------------------------------- ---------------- SHARES OF CONVERTIBLE PREFERRED AGGREGATE PURCHASER NAME STOCK/WARRANTS PURCHASED PURCHASE PRICE AND NOTICE ADDRESS FROM THE COMPANY PAID AT CLOSING ------------------------------------------ ----------------------------------- ---------------- Robexx X. Xxxxxx 1,500 Preferred Shares $1,500,000 c/o Duxxxx xxx Associates 83,025 Warrants 1933 Xxxxx Xxxxx Xxxxx 00 Xxxxx Xxxxxxx, XX 00000 ------------------------------------------ ----------------------------------- ---------------- Mahkxx Xxxxxxxx 24 Preferred Shares $24,000 25 Pxxxx xxx Xxxxxx 1,328 Warrants 67000 Xxxxxxxxxx Xxxxxx ------------------------------------------ ----------------------------------- ---------------- BayStar Capital, LP 700 Preferred Shares $700,000 c/o BayStar Management LLC 38,745 Warrants 1500 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View California 94043 AttentionXxxxxx, XX 00000 Xxxn: General Counsel ---------------------------------- Mr. Briax Xxxxxxxx ------------------------------------------ ----------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- SOFTBANK U.S. Ventures Fund VI 12.4575 BayStar International, Ltd. 300 Preferred Shares $1,245,750 $1,245,750 1,245,750 12.4575% L.P. 300,000 c/o Mobius Venture Capital 000 BayStar International Management LLC 16,605 Warrants 1500 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain ViewXxxxxx, California 94043 AttentionXX 00000 Xxxn: General Counsel ---------------------------------- Mr. Briax Xxxxxxxx ------------------------------------------ ----------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .4525 $45,250 $45,250 45,250 .4525% Technology Ventures Advisors Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Aggregate Number of Principal Amount Units to be of Convertible Number of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .475 $47,500 $47,500 47,500 .475% Technology Ventures Side Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- TOTAL 100 $10,000,000.00 $10,000,000 10,000,000 100% ---------------------------------- ---------------- ------------------ ------------------- --------------- ----------------EXHIBIT A FORM OF CERTIFICATE OF DESIGNATION [See Exhibit 4.1] EXHIBIT B FORM OF WARRANTS [See Exhibit 4.3]
Appears in 1 contract
Samples: Securities Purchase Agreement (Computer Motion Inc)
Purchasers. Aggregate Number of Principal Amount Units to be of Convertible Number of Percentage of By: /s/ Xxxxx Xxxxxxxxx ----------------------------- Name: Xxxxx Xxxxxxxxx Title: MOTOROLA, INC. By: /s/ Xxxx X. Xxxxxx ----------------------------- Name: Xxxx X. Xxxxxx Title: Senior Vice President and General Manager, Multimedia Group BAY NETWORKS, INC. By: /s/ Xxxxx Xxxxx ----------------------------- Name: Xxxxx Xxxxx Title: Chief Financial Officer EXHIBIT A --------- PURCHASERS ---------- Name and Address of Purchaser Number of Shares of Series Aggregate ----------------------------- C Preferred to be Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Charterhouse Equity 75 --------------------------- -------------- ROGERS CABLESYSTEMS LIMITED 75,000 $7,500,000 $7,500,000 7,500,000 75% Partners15,000,000.00 Xxxxx 0000, IIIXxxxxx Plaza 00 Xxxx Xxxxxx X Xxxxxxx, L.P. c/o Charterhouse Group International, Inc. 000 Xxxxxxx Xxxxxx Xxx XxxxX0X 0X0 Attn: Chief Executive Officer Fax: (000) 000-0000 XXXX CABLESYSTEMS LTD. 75,000 $15,000,000.00 Suite 000 000 Xxxxx Xxxxxx XX Xxxxxxx, Xxxxxxx Xxxxxx X0X 0X0 Attn: Mr. Xxx Xxxx 00000 AttentionJr. and Xxxxxx X. Xxxxxxxx, Esq. Fax: President ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS Technology Ventures VI 11.615 $1,161,500 $1,161,500 1,161,500 11.615% L.P. c/o Mobius Venture Capital 000 Xxxx (000) 000-0000 SUN MICROSYSTEMS, INC. 25,000 $ 5,000,000.00 0000 Xxxxxx Xxxxxx Suite 200 Xxxxxx, MS PALI-530 Mountain View California View, CA 94043 AttentionAttn: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- SOFTBANK U.S. Ventures Fund VI 12.4575 $1,245,750 $1,245,750 1,245,750 12.4575% L.P. c/o Mobius Venture Capital Fax: (000) 000-0000 NETSCAPE COMMUNICATIONS CORPORATION 20,000 $ 4,000,000.00 000 X. Xxxxxxxxxxx Xxxx Xxxxxxxx Xxxx, XX 00000 Attn: Mr. Xxxxx Xxxxxx Chief Financial Officer and Mr. J. Xxxxxx Suite 200 Mountain ViewXxxxx Fax: (000) 000-0000 and to Attn: Xxxxxxx X. Xxxx, California 94043 AttentionEsq. Fax: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .4525 $45,250 $45,250 45,250 .4525% Technology Ventures Advisors Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx (000) 000-0000 and to Attn: Xxxxx X. Xxxxxxx, Esq. and Xxx Xxxxxxxxxxx, Esq. Wilson, Sonsini, Xxxxxxxx and Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 AttentionFax: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Aggregate Number of Principal Amount Units to be of Convertible Number of Percentage of (000) 000-0000 Name and Address of Purchaser Number of Shares of Series Aggregate ----------------------------- C Preferred to be Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .475 $47,500 $47,500 47,500 .475% Technology Ventures Side Fund VI L.P. --------------------------- -------------- XXXXX XXXXXXXXX 5,000 $ 1,000,000.00 c/o Mobius Venture Capital Netscape Communications Corporation 000 X. Xxxxxxxxxxx Xxxx Xxxxxx Xxxxxx Suite 200 Mountain ViewXxxxxxxx Xxxx, California 94043 AttentionXX 00000 Fax: (000) 000-0000 MOTOROLA, INC. 25,000 $ 5,000,000.00 Multimedia Group 0000 Xxxx Xxxxxxxxx Xxxx Xxxxxxxxxx, XX 00000-0000 Attn: General Counsel Fax: (000) 000-0000 and to Attn: Xx. Xxxxxxx X. Robertson Director of Business Development and Marketing Fax: (000) 000-0000 BAY NETWORKS, INC. 15,000 $ 3,000,000.00 ------ -------------- 0000 Xxxxx Xxxxxxx Xxxxxxx Xxxxx Xxxxx, XX 00000 Attn: Xx. Xxxxx Xxxxx Fax: (000) 000-0000 TOTAL 240,000 $48,000,000.00 EXHIBIT D --------- INFORMATION CONCERNING PURCHASERS Jurisdiction in which Purchaser Jurisdiction of Location of Purchaser's will accept the Company's Offer to Purchaser Organization Principal Office Sell the Purchased Shares --------- ------------ ----------------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- TOTAL 100 $10,000,000.00 $10,000,000 10,000,000 100% ---------------------------------- ---------------- ------------------ ------------------- --------------- ----------------Rogers Cablesystems Xxxxxxx Xxxxxxx, Xxxxxx Xxxxxxx, Xxxxxx Limited Xxxx Cablesystems Ltd. Federal law of Alberta, Canada Alberta, Canada Canada Sun Microsystems, Inc. Delaware California California Netscape Communications Delaware California California Corporation Xxxxx Xxxxxxxxx California N/A California Resident Motorola, Inc. Delaware Illinois Illinois Bay Networks, Inc. Delaware California California
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Purchasers. Aggregate Number of Principal Amount Units to be of Convertible Number of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Charterhouse Equity 75 $7,500,000 $7,500,000 7,500,000 75% PURCHASERS NOTE PURCHASE NAME AND ADDRESS PRICE ------------------------ ------------------------------------------------------- Signal Capital Partners, IIIL.P. $1,200,000 00 X. 00xx Xxxxxx 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxxx Xxxxxxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------ ------------------------------------------------------- Waterview Partners, LP $1,000,000 0000 Xxxxxx xx xxx Xxxxxxxx 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxxx Xxxxxxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------ ------------------------------------------------------- Exeter Capital Partners IV, L.P. $1,500,000 c/o Charterhouse The Exeter Group International00 X. 00xx Xxxxxx Xxx Xxxx, Inc. XX 00000 Attn: Xxxxx Xxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Exeter Equity Partners, L.P. $500,000 c/o The Exeter Group 00 X. 00xx Xxxxxx Xxx Xxxx, XX 00000 Attn: Xxxxx Xxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Burden Direct Investment Fund III $1,000,000 00 Xxxx 00xx Xxxxxx 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxxx Xxxxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ ------------------------------------------------------------- ------------------ Delta Opportunity Fund, Ltd. $600,000 c/o International Fund Administration, Ltd. Xxxxx 000 Xxxxxxx 00 Xxx Xx Xxxxx Xxxx Xxxxxxxx XX00 Bermuda Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Delta Opportunity Fund, (Institutional), LLC $400,000 c/o Diaz & Altschul Management, LLC 000 Xxxxx Xxxxxx Xxxxx 0000 Xxx Xxxx, Xxx Xxxx 00000 AttentionAttn: President ---------------------------------- ---------------- Xxxxxx X. Xxxxxxxx, Xx. Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ ------------------- --------------- ---------------- MOBIUS Technology Ventures VI 11.615 Xxxxxxxx X. Xxxx $1,161,500 25,000 New York, New York Telephone: Telecopier: ------------------------------------------------------------- ------------------ Overbrook Fund I, LLC $1,161,500 1,161,500 11.615% L.P. 250,000 c/o Mobius Venture Capital Overbrook Management Corporation 000 Xxxxx Xxxxxx 00xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 Attn: Xxxx X. Xxxxxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ ------------------------------------------------------------- ------------------ Fiber Island, LLC $500,000 000 Xxxx Xxxxxx 00xx Xxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxxx X'Xxxxxxx Telephone: (000) 000-0000 Telecopier: (212) 421-0169 ------------------------------------------------------------- ------------------ Madison Investment Partners II LP $500,000 000 Xxxxxxx Xxxxxx Suite 200 Mountain View California 94043 Attention00xx Xxxxx Xxx Xxxx, Xxx Xxxx 00000 Attn: General Counsel ---------------------------------- ---------------- Xxx Xxxxxx Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ ------------------- --------------- ---------------- SOFTBANK U.S. Ventures Fund VI 12.4575 Xxxxx Xxxx Partners, L.P. $1,245,750 250,000 000 Xxxxx Xxxxxx Xxx Xxxx, XX 00000 Attn: Xxxxxxx X. Xxxxxxx, Xx. Telephone: (000) 000-0000 Telecopier: (000) 000-0000 ------------------------------------------------------------- ------------------ Xxxxxx X. Xxxxxx $1,245,750 1,245,750 12.4575% L.P. 25,000 c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain ViewX'Xxxxxxxx Graev & Karabell, California 94043 AttentionLLP 00 Xxxxxxxxxxx Xxxxx Xxx Xxxx, XX 00000 Telephone: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .4525 $45,250 $45,250 45,250 .4525% Technology Ventures Advisors Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention(000) 000-0000 Telecopier: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- Aggregate Number of Principal Amount Units to be of Convertible Number of Percentage of Name and Address of Purchaser Purchased Purchase Price Notes Warrants Notes ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- MOBIUS .475 $47,500 $47,500 47,500 .475% Technology Ventures Side Fund VI L.P. c/o Mobius Venture Capital 000 Xxxx Xxxxxx Xxxxxx Suite 200 Mountain View, California 94043 Attention: General Counsel ---------------------------------- ---------------- ------------------ ------------------- --------------- ---------------- TOTAL 100 $10,000,000.00 $10,000,000 10,000,000 100% ---------------------------------- ---------------- ------------------ ------------------- --------------- ----------------(000) 000-0000 ------------------------------------------------------------- ------------------
Appears in 1 contract
Samples: Securities Purchase Agreement (Fibernet Telecom Group Inc\)