FIRST LIEN SENIOR INCREMENTAL NOTES AGREEMENT
EXHIBIT
99.1
EXECUTION
VERSION
FIRST
LIEN SENIOR INCREMENTAL NOTES AGREEMENT
THIS FIRST LIEN SENIOR INCREMENTAL
NOTES AGREEMENT is dated as of May 27, 2010 (this “Agreement”) and entered into
by and among the purchasers (each, a “Purchaser” and collectively,
the “Purchasers”) set
forth on Supplemental
Schedule 1.2A attached hereto (“Supplemental Schedule 1.2A”),
NEXTWAVE WIRELESS LLC, a
Delaware limited liability company (“Company”), NEXTWAVE
WIRELESS INC., a Delaware corporation (“Parent”), and each Guarantor
listed on the signature pages hereto, and acknowledged by THE BANK OF NEW YORK MELLON,
as Collateral Agent.
RECITALS:
WHEREAS, reference is hereby
made to the Purchase Agreement dated as of July 17, 2006, by and among
Company, Parent, the guarantors party thereto from time to time, the noteholders
thereunder from time to time and The Bank of New York Mellon, as Collateral
Agent (as the same has been and may be further amended, restated, supplemented
or otherwise modified from time to time, the “First Lien Purchase
Agreement”; capitalized terms used (but not otherwise defined) herein
shall have the respective meanings ascribed thereto in the First Lien Purchase
Agreement);
WHEREAS, Section 1.1 of the
First Lien Purchase Agreement, as amended by the Amendment and Limited Waiver to
the Note Agreements (the “Amendment and Waiver”) dated
as of March 16, 2010, permits Company to issue from time to time up to
$25,000,000 aggregate Stated Value of senior secured Notes at the agreed
purchase price set forth in connection with such issuance on a supplemental
Schedule 1.2A
to the First Lien Purchase Agreement, such senior secured Notes being Senior
Incremental Notes;
WHEREAS, pursuant to the
Commitment Letter dated as of March 16, 2010 (the “Commitment Letter”), among the
Purchasers, Company and Parent, the Purchasers have agreed to purchase, from
time to time, up to $25,000,000 aggregate Stated Value of the Senior Incremental
Notes, each such issuance and purchase to be evidenced by a First Lien Senior
Incremental Notes Agreement substantially in the form of this Agreement, and
pursuant to which such Senior Incremental Notes are to be issued, are each
substantially in the form of Exhibit A-1 to the
First Lien Purchase Agreement;
WHEREAS, Company desires to
exercise its right under Section 1.1 of the First Lien Purchase Agreement and
the Commitment Letter, to issue on the date hereof (the “Purchase Date”) $18,000,000
aggregate Stated Value of Notes represented by the Senior Incremental Notes
issued on the date hereof;
WHEREAS, each Purchaser has
agreed to purchase the Senior Incremental Notes in such amount on the terms and
subject to the conditions set forth in this Agreement;
WHEREAS, pursuant to Section
1.1 of the First Lien Purchase Agreement, each Holder and each Note Party have
previously consented to the modifications to the First Lien
Purchase
Agreement necessary to reflect the issuance of Senior Incremental Notes and
shall be bound by this Agreement.
NOW, THEREFORE, in
consideration of the premises and agreements, provisions and covenants herein
contained, the parties hereto agree as follows:
1. Issuance of Senior Incremental
Notes. On the date hereof, Company will issue to the Purchasers the
Senior Incremental Notes at the purchase price set forth on Supplemental Schedule
1.2A attached hereto, which shall supplement the existing Schedule 1.2A to the
First Lien Purchase Agreement. Company will promptly pay or cause to
be paid the Principal Amount of, premium, if any, and interest on the Senior
Incremental Notes on the dates and in the manner provided in the Senior
Incremental Notes, and in accordance with the terms of, the First Lien Purchase
Agreement. For the avoidance of doubt, the Note Parties’ obligations
under the First Lien Purchase Agreement, and the other Note Documents incurred,
created or arising prior to the date hereof (including, without limitation,
Company’s obligations under the Notes issued prior to the date hereof, Parent’s
and Guarantors’ guaranty obligations with respect thereto and the First Priority
Liens with respect thereto) shall continue in full force and effect, shall
continue to be valid and enforceable and shall not be impaired or limited by the
execution or effectiveness of this Agreement.
2. Sale
and Purchase of the Senior Incremental Notes.
(a) In
reliance upon the Purchasers’ several representations made in Section 1.3 of the
First Lien Purchase Agreement that are hereby being made in this Agreement with
respect to the Senior Incremental Notes as of the Purchase Date and subject to
the terms and conditions set forth in this Agreement and the other Note
Documents, Company hereby agrees to sell to the Purchasers the Senior
Incremental Notes. In reliance upon the
representations and warranties of Company contained in this Agreement and the
other Note Documents, and subject to the terms and conditions set forth herein
and therein, the Purchasers hereby agree, severally and not jointly, to purchase
the Senior Incremental Notes from Company as described in Section 2(b)
hereinafter.
(b) The sale
and purchase of the Senior Incremental Notes (the “Note Purchase”) will take
place on the Purchase Date at the offices of O’Melveny & Xxxxx LLP at Xxxxx
Xxxxx Xxxxxx, Xxx Xxxx, XX 00000. On the Purchase Date, Company will,
subject to the terms and conditions set forth in this Agreement, deliver to each
Purchaser the Stated Value of the Senior Incremental Notes set forth with
respect to such Purchaser on Supplemental Schedule
1.2A against payment of the purchase price therefor as set forth under
the heading “Total Issue Price” on Supplemental Schedule
1.2A by intra-bank or federal funds wire transfer of same day funds to
Company.
3. First Lien Purchase Agreement
Governs. Except as set forth in
this Agreement, the Senior Incremental Notes are issued pursuant to the First
Lien Purchase Agreement and shall otherwise be subject to the provisions of the
First Lien Purchase Agreement and the other Note Documents (including, without
limitation, that each Senior Incremental Note (i) shall constitute a “Note” and
a “Senior Incremental Note” under the First Lien Purchase Agreement, (ii) will
at all times be secured pursuant to the Collateral Documents and guarantied
by Parent
and the Guarantors in accordance with the terms of the First Lien Purchase
Agreement, (iii) shall have interest payable at a rate and on terms set forth in
such Senior Incremental Note and the First Lien Purchase Agreement, (iv) shall
have the same maturity date as the other Notes under the First Lien Purchase
Agreement, and (v) shall be subject to optional redemption, mandatory redemption
and an obligation to make a repurchase offer upon the occurrence of a Change of
Control, in each case as further set forth in the First Lien Purchase Agreement
and such Senior Incremental Note). This Agreement shall supplement
and modify the First Lien Purchase Agreement as provided herein and shall
constitute a “Note Document” under the First Lien Purchase
Agreement. Accordingly, it shall have been and shall be an Event of
Default under the First Lien Purchase Agreement if any representation or
warranty made by Company, Parent or any Guarantor under or in connection with
this Agreement or the First Lien Purchase Agreement or any other Note Documents
shall have been false, incorrect, breached or misleading in any material respect
when made or furnished.
4. Conditions to
Purchase. The Purchasers’ respective obligations to purchase
the Senior Incremental Notes pursuant to this Agreement shall become effective
only upon the satisfaction of all of the following conditions
precedent:
(a) On or
before the Purchase Date, Company, Parent and Guarantors shall deliver to the
Purchasers the following, each, unless otherwise noted, dated the Purchase
Date:
i. copies of
all amendments to the Organizational Documents of such Person executed on or
after July 17, 2006, in each case, certified by the Secretary of State of
its jurisdiction of organization or, if such document is of a type that may not
be so certified, certified by the secretary or similar officer of such Person,
together with a good standing certificate from the Secretary of State of its
jurisdiction of organization and, to the extent generally available, a
certificate or other evidence of good standing as to payment of any applicable
franchise or similar taxes from the appropriate taxing authority of such
jurisdiction, each dated a recent date prior to the Purchase Date;
ii. resolutions
of its board of directors, manager or sole member, as the case may be, approving
and authorizing the execution, delivery, and performance of this Agreement and
approving and authorizing the execution, delivery and payment of the Senior
Incremental Notes, certified as of the Purchase Date by its corporate secretary
or an assistant secretary as being in full force and effect without modification
or amendment;
iii. signature
and incumbency certificates of its officers executing this Agreement, and the
Senior Incremental Notes; and
iv. original
executed copies of this Agreement and the Senior Incremental Notes.
(b) The
Purchasers and the Collateral Agent shall have received a favorable written
opinion of Weil, Gotshal & Xxxxxx LLP, counsel for Company, Parent and
Guarantors, in the form attached as Exhibit A hereto,
dated as of the Purchase Date, with respect to the
enforceability
of the Senior Incremental Notes and the other Notes, this Agreement, the other
Note Documents and as to such other matters as the Purchasers and the Collateral
Agent may reasonably request.
(c) On or
before the Purchase Date, all corporate and other proceedings taken or to be
taken in connection with the transactions contemplated hereby and all documents
incidental thereto not previously found acceptable by any Purchaser or its
counsel shall be satisfactory in form and substance to such Purchaser and such
counsel, and such Purchaser and such counsel shall have received all such
counterpart originals or certified copies of such documents as such Purchaser
may reasonably request.
(d) After
giving effect to the transactions contemplated by this Agreement, (i) no Default
or Event of Default (each as defined under the Note Documents) shall have
occurred and be continuing under the Note Documents or result from this
Agreement becoming effective in accordance with its terms, (ii) no Default or
Event of Default (each as defined under the Second Lien Documents) shall have
occurred and be continuing under the Second Lien Documents or result from this
Agreement becoming effective in accordance with its terms, and (iii) no Default
or Event of Default (each as defined under the Exchange Note Documents) shall
have occurred and be continuing under the Exchange Note Documents or result from
this Agreement becoming effective in accordance with its terms, and Company
shall have delivered an officer’s certificate to such effect.
(e) Company
shall use the net proceeds from the sale of the Senior Incremental Notes solely
to fund the operations of Company in the ordinary course of business and not for
any other purpose including the acquisition of any business or assets (it being
understood that Company may make Permitted Investments pursuant to clause (viii)
of the definition of “Permitted Investments”) or for the repayment of any
Indebtedness. For the avoidance of doubt, Section 4.9 of the First
Lien Purchase Agreement shall not apply to the issuance of the Senior
Incremental Notes pursuant to this Agreement.
(f) Without
limiting any obligation of Company to reimburse the expenses pursuant to the
terms of the Note Documents, Company hereby agrees that on or before the
Purchase Date, Company shall reimburse each Purchaser for any and all
out-of-pocket expenses (including reasonable attorneys’ fees) incurred by such
Purchaser in connection with this Agreement and the matters related
hereto.
5. Representations and
Warranties. In order to induce the Purchasers to enter into
this Agreement, each of Company and Parent represents and warrants to each
Purchaser that the following statements are true, correct and
complete:
(a) Organization, Corporate
Power and Authority. Company is a limited liability company
duly organized, validly existing and in good standing under the laws of the
State of Delaware. Parent is a corporation dully incorporated,
validly existing and in good standing under the laws of the State of
Delaware. Each Guarantor that is a corporation is duly incorporated,
validly existing and in good standing under the laws of its state of
incorporation. Each Guarantor that is a partnership or limited
liability company is duly organized and a validly existing partnership or
limited liability company, as the case may be, under the laws of its
jurisdiction
of formation and is in good standing in such jurisdiction. Company
has all requisite limited liability company power and authority to own and
operate its properties and to carry on its business as now conducted and as
proposed to be conducted, to enter into this Agreement and to issue and deliver
the Senior Incremental Notes, Parent has all requisite corporate power and
authority to enter into this Agreement and the Parent Guaranty in respect of the
Senior Incremental Notes, and each of Company and Parent has requisite limited
liability company or corporate power and authority to carry out the transactions
contemplated by, and perform its obligations under, this Agreement, the First
Lien Purchase Agreement as supplemented and modified by this Agreement (together
with the First Lien Incremental Disclosure Schedules attached hereto as Exhibit B, the “Modified Agreement”) and the
Senior Incremental Notes.
(b) Authorization of
Agreements. The execution and delivery of this Agreement, and
the performance of this Agreement and the Modified Agreement and the issuance,
delivery and payment of the Senior Incremental Notes have been duly authorized
by all necessary corporate action on the part of Company, Parent and any
Guarantors, as the case may be.
(c) No
Conflict. The execution and delivery by Company and Parent of
this Agreement, the Senior Incremental Notes, and the performance of this
Agreement and the Modified Agreement and the issuance, delivery and payment of
the Senior Incremental Notes do not and will not (i) violate any provision of
any law or any governmental rule or regulation applicable to Company, Parent or
any Guarantor, or violate any Organizational Documents of Company, Parent or any
Guarantor, (ii) conflict with, result in a breach of or constitute (with due
notice or lapse of time or both) a default under any FCC License, Spectrum Lease
or other Material Contract of any Note Party, (iii) result in or require the
creation or imposition of any Lien upon any of the properties or assets of any
Note Party (except pursuant to the Note Documents), (iv) require any
approval of stockholders, partners or members or any approval or consent of any
Person under any Contractual Obligation of any Note Party, except for such
approvals or consents obtained on or before the date hereof, or (v) give rise
(except pursuant to the Note Documents) to any preemptive rights, rights of
first refusal or other similar rights on behalf of any Person under any
Applicable Law or any provision of the Organizational Documents of any Note
Party or any Material Contract to which any Note Party is a party or by which
any Note Party is bound.
(d) Governmental
Consents. The execution and delivery by Company and Parent of
this Agreement, the Senior Incremental Notes, and the performance by Company and
Parent of this Agreement and the Modified Agreement and the issuance, delivery
and payment of the Senior Incremental Notes do not and will not require any
Governmental Authorization by any Governmental Authority (including the FCC)
except to the extent obtained on or before the date hereof.
(e) Binding
Obligation. This Agreement has been duly executed and
delivered by Company, Parent and the Guarantors and this Agreement and the
Modified Agreement are the legally valid and binding obligations of such Person,
enforceable against such Person in accordance with their respective terms,
except as may be limited by bankruptcy, insolvency, reorganization, moratorium
or similar laws relating to or limiting creditors’ rights generally or by
equitable principles relating to enforceability, whether considered at law or
equity. The
Senior Incremental Notes have been duly authorized by Company and when executed
and authenticated, will be entitled to the benefits of this Agreement and the
Modified Agreement and will constitute the legally valid and binding obligations
of Company, enforceable against Company in accordance with its terms, except as
may be limited by bankruptcy, insolvency, reorganization, moratorium or similar
laws relating to or limiting creditors’ rights generally or by equitable
principles relating to enforceability, whether considered at law or
equity.
(f) Incorporation of
Representations and Warranties From First Lien Purchase
Agreement. The representations and warranties contained in
Article IV of the Modified Agreement, as further modified by Schedule 5(f)
attached hereto, are and will be true, correct and complete in all material
respects on and as of the Purchase Date to the same extent as though made on and
as of that date.
(g) Financial
Condition.
i. The
audited consolidated balance sheet of the Company and its Subsidiaries dated
January 2, 2010, and the related audited consolidated statements of income or
operations, shareholders’ equity and cash flows for the Fiscal Year ended on
that date have been delivered to the Purchasers. The audited
consolidated balance sheet of the Company and its Subsidiaries dated January 2,
2010, and the related audited consolidated statements of income or operations,
shareholders’ equity and cash flows for the Fiscal Year ended on that date, were
prepared in accordance with GAAP consistently applied throughout the respective
periods covered thereby, fairly present, in all material respects, the financial
condition of such Persons as at the dates indicated and the results of their
operations and their cash flows for the periods indicated, except as otherwise
indicated therein.
ii. The
unaudited consolidated balance sheets of the Company and its Subsidiaries as at
the end of each Fiscal Quarter ended more than 45 days prior to the Purchase
Date, consisting of a consolidated balance sheet and the related consolidated
statements of income and cash flows for the periods indicated were prepared in
accordance with GAAP consistently applied throughout the respective periods
covered thereby, and certified by the chief financial officer of the Company
that they fairly present, in all material respects, the financial condition of
the Company and its Subsidiaries as at the dates indicated and the results of
their operations and their cash flows for the periods indicated, subject to
changes resulting from audit and normal year-end adjustments, except for the
absence of footnotes and as otherwise expressly noted therein.
(h) No Material Adverse Change;
Absence of Undisclosed Liabilities. Since January 2, 2010, no
event or change has occurred that has had or could reasonably be expected to
have, either individually or in the aggregate, a Material Adverse
Effect. Except as set forth in the financial statements referred to
in Section 5(g) hereinabove, since January 2, 2010, neither the Company nor any
of its Subsidiaries has incurred any obligations or liabilities that would be
required to be reflected on a balance sheet or the notes prepared thereto in
accordance with
GAAP
consistently applied, other than obligations or liabilities incurred in the
ordinary course of business.
(i) Independent
Auditors. Ernst & Young LLP, who have certified the
consolidated financial statements of the Company as of January 2, 2010, are
independent public accountants within the meaning of the Securities
Act.
(j) Absence of
Default. Immediately prior to, or after giving effect to this
Agreement, no Default or Event of Default has occurred and is continuing or
would result from this Agreement becoming effective in accordance with its
terms.
(k) Secured Working Capital
Line. No Secured Working Capital Line exists.
(l) Performance of
Agreements. Company, Parent and each
Guarantor has performed in all material respects all agreements and satisfied
all conditions which the First Lien Purchase Agreement provides shall be
performed or satisfied by it on or before the date hereof.
(m) Investment Company
Act. Neither Company nor any of its Subsidiaries is or,
immediately after receipt of payment for the Senior Incremental Notes and the
consummation of the transactions contemplated under this Agreement and the
Senior Incremental Notes, will be an “investment company” registered or required
to be registered under the Investment Company Act of 1940, as
amended.
6. Acknowledgment and
Consent. Parent and each guarantor (or grantor) listed on the
signatures pages hereof (each, a “Guarantor” and collectively,
the “Guarantors”) hereby
(a) acknowledges and agrees that any of the Parent Guaranty, Guaranty and
Collateral Documents (each, a “Credit Support Document”) to
which it is a party or otherwise bound shall continue in full force and effect
and that all of its obligations thereunder shall be valid and enforceable and
shall not be impaired or limited by the execution or effectiveness of this
Agreement and (b) acknowledges that it has read this Agreement and consents to
the terms hereof, and hereby confirms and agrees that, from and after the
Purchase Date, “Secured Obligations” and “Guarantied Obligations,” as
applicable, under each Credit Support Document to which it is a party or
otherwise bound shall include Company’s and Parent’s obligations, as applicable,
under the Senior Incremental Notes and this Agreement. Each Guarantor
represents and warrants that all representations and warranties contained in the
Modified Agreement and the Credit Support Documents to which it is a party or
otherwise bound, as modified by Schedule 5(f)
attached hereto, are true, correct and complete in all material respects on and
as of the Purchase Date to the same extent as though made on and as of that
date, and each of the Schedules referred to therein and attached to this
Agreement, as modified or supplemented to reflect changes thereto from and after
July 17, 2006, is and will be true, correct and complete in all material
respects on and as of the Purchase Date. For the avoidance of doubt,
for the purposes of this Section 6, (i) the introductory language to Article IV
of the First Lien Purchase Agreement shall be disregarded, (ii) each reference
in Article IV of the First Lien Purchase Agreement to the “Closing Date” and the
“Closing” shall be replaced with the reference to the “Purchase Date”, and (iii)
the references to the “Conversion” and “Conversion Date” shall remain unchanged
except as modified by Schedule 5(f)
attached hereto.
7. Miscellaneous.
(a) Reference to and Effect on
the First Lien Purchase Agreement and the Other Note
Documents.
i. Except
as otherwise expressly provided herein, each of Company, Parent and the
Guarantors hereby agree that (i) the First Lien Purchase Agreement and the other
Note Documents are, and shall continue to be, in full force and effect and are
hereby ratified and confirmed in all respects, except that on and after the
Purchase Date (A) all references in the First Lien Purchase Agreement to “this
Agreement,” “hereto,” “hereof,” “hereunder” or words of like import referring to
the First Lien Purchase Agreement shall mean the First Lien Purchase Agreement
as modified by this Agreement and (B) all references in the other Note
Documents to the “First Lien Purchase Agreement,” “thereto,” “thereof,”
“thereunder” or words of like import referring to the First Lien Purchase
Agreement shall mean the First Lien Purchase Agreement as modified by this
Agreement, (ii) to the extent that the First Lien Purchase Agreement or any
other Note Document purports to pledge to Collateral Agent, or to grant to
Collateral Agent a security interest in or lien on, any collateral as security
for the obligations under the First Lien Purchase Agreement, such pledge or
grant of a security interest or lien is hereby ratified and confirmed in all
respects, and (iii) the execution, delivery and effectiveness of this Agreement
shall not operate as an amendment or modification of any right, power or remedy
of Collateral Agent or the Holders under the First Lien Purchase Agreement or
any other Note Document, nor constitute an amendment or modification of any
provision of the First Lien Purchase Agreement or any other Note
Document.
ii. The
execution, delivery and performance of this Agreement shall not, except as
expressly provided herein, constitute a waiver of any provision of, or operate
as a waiver of any right, power or remedy of any Purchaser or any other Holder
under, the First Lien Purchase Agreement or any of the other Note
Documents.
(b) Fees and
Expenses. Each of Company and Parent acknowledges that all
costs, fees and expenses as described in Section 1.4 of the First Lien Purchase
Agreement incurred by each Purchaser and its counsel with respect to this
Agreement and the documents and transactions contemplated hereby shall be for
the account of Company and Parent.
(c) Headings. Section
and subsection headings in this Agreement are included herein for convenience of
reference only and shall not constitute a part of this Agreement for any other
purpose or be given any substantive effect.
(d) Applicable Law. THIS AGREEMENT AND THE
RIGHTS AND OBLIGATIONS OF THE PARTIES HEREUNDER SHALL BE GOVERNED BY, AND SHALL
BE CONSTRUED AND ENFORCED IN ACCORDANCE WITH, THE INTERNAL LAWS OF THE STATE OF
NEW YORK (INCLUDING WITHOUT LIMITATION SECTION 5-1401 OF THE GENERAL OBLIGATIONS
LAW OF THE
STATE OF NEW YORK), WITHOUT REGARD TO
CONFLICTS OF LAWS PRINCIPLES.
(e) Counterparts; Effectiveness. This
Agreement may be executed in any number of counterparts and by different parties
hereto in separate counterparts, each of which when so executed and delivered
shall be deemed an original, but all such counterparts together shall constitute
but one and the same instrument; signature pages may be detached from multiple
separate counterparts and attached to a single counterpart so that all signature
pages are physically attached to the same document. This Agreement
(other than the provisions of Sections 1, 2 and 3 hereof, the effectiveness of
which is governed by Section 4 hereof) shall become effective upon the execution
of a counterpart hereof by Company, Parent, each Purchaser and each of the
Guarantors and receipt by Company and the Purchasers of written or telephonic
notification of such execution and authorization of delivery
thereof. Delivery of an executed counterpart of this Agreement by
telefacsimile or electronic mail shall be equally as effective as delivery of an
original executed counterpart of this Agreement.
8. Consent
to Jurisdiction and Service of Process.
ALL
JUDICIAL PROCEEDINGS BROUGHT AGAINST COMPANY OR ANY GUARANTOR ARISING OUT OF OR
RELATING TO THIS AGREEMENT OR ANY OTHER TRANSACTION DOCUMENT, OR ANY OBLIGATIONS
THEREUNDER, MAY BE BROUGHT IN ANY STATE OR FEDERAL COURT OF COMPETENT
JURISDICTION IN XXX XXXXX, XXXXXX XXX XXXX XX XXX XXXX. BY EXECUTING
AND DELIVERING THIS AGREEMENT, COMPANY AND EACH OF THE GUARANTORS, EACH FOR
ITSELF AND IN CONNECTION WITH ITS PROPERTIES, IRREVOCABLY
(I) ACCEPTS
GENERALLY AND UNCONDITIONALLY THE NONEXCLUSIVE JURISDICTION AND VENUE OF SUCH
COURTS;
(II) WAIVES
ANY DEFENSE OF FORUM NON
CONVENIENS;
(III) AGREES
THAT SERVICE OF ALL PROCESS IN ANY SUCH PROCEEDING IN ANY SUCH COURT MAY BE MADE
BY REGISTERED OR CERTIFIED MAIL, RETURN RECEIPT REQUESTED, TO COMPANY OR ANY
GUARANTOR, AT ITS ADDRESS PROVIDED IN ACCORDANCE WITH SECTION 10.1 OF THE FIRST
LIEN PURCHASE AGREEMENT;
(IV) AGREES
THAT SERVICE AS PROVIDED IN CLAUSE (III) ABOVE IS SUFFICIENT TO CONFER PERSONAL
JURISDICTION OVER COMPANY AND THE GUARANTORS IN ANY SUCH PROCEEDING IN ANY SUCH
COURT, AND OTHERWISE CONSTITUTES EFFECTIVE AND BINDING SERVICE IN EVERY
RESPECT;
(V) AGREES
THAT EACH PURCHASER RETAINS THE RIGHT TO SERVE PROCESS IN ANY OTHER MANNER
PERMITTED BY LAW OR TO BRING PROCEEDINGS AGAINST COMPANY OR ANY GUARANTOR IN THE
COURTS OF ANY OTHER JURISDICTION; AND
(VI) AGREES
THAT THE PROVISIONS OF THIS SECTION 8 RELATING TO JURISDICTION AND VENUE SHALL
BE BINDING AND ENFORCEABLE TO THE FULLEST EXTENT PERMISSIBLE UNDER NEW YORK
GENERAL OBLIGATIONS LAW SECTION 5-1402 OR OTHERWISE.
9. Waiver
of Jury Trial.
COMPANY,
THE GUARANTORS, PARENT AND THE PURCHASERS HEREBY AGREE TO WAIVE THEIR RESPECTIVE
RIGHTS TO A JURY TRIAL OF ANY CLAIM OR CAUSE OF ACTION BASED UPON OR ARISING OUT
OF THIS AGREEMENT. The scope of this waiver is intended to be
all-encompassing of any and all disputes that may be filed in any court and that
relate to the subject matter of this transaction, including contract claims,
tort claims, breach of duty claims and all other common law and statutory
claims. Company, the Guarantors, Parent and the Purchasers each
acknowledge that this waiver is a material inducement for Company, the
Guarantors, Parent and the Purchasers to enter into a business relationship,
that each has already relied on the waiver in entering into this Agreement, and
that each will continue to rely on the waiver in their related future
dealings. Company, the Guarantors, Parent and the Purchasers further
warrant and represent that each has reviewed this waiver with its legal counsel,
and that each knowingly and voluntarily waives its jury trial rights following
consultation with legal counsel. THIS WAIVER IS IRREVOCABLE, MEANING
THAT IT MAY NOT BE MODIFIED EITHER ORALLY OR IN WRITING (OTHER THAN BY A MUTUAL
WRITTEN WAIVER SPECIFICALLY REFERRING TO THIS SECTION 9 AND EXECUTED BY
EACH OF THE PARTIES HERETO), AND THE WAIVER SHALL APPLY TO ANY SUBSEQUENT
AMENDMENTS, RENEWALS, SUPPLEMENTS OR MODIFICATIONS TO THIS
AGREEMENT. In the event of litigation, this Agreement may be filed as
a written consent to a trial by the court.
10. Recordation of the Senior Incremental
Notes. Upon execution and delivery hereof, Company will record
each Senior Incremental Note in the Register, and each such Senior Incremental
Note shall be a “Note” and “Senior Incremental Note” as such terms are used in
the First Lien Purchase Agreement and the Amendment and Waiver,
respectively.
11. Amendment, Modification and
Waiver. This Agreement may not be amended, modified or waived
except by an instrument or instruments in writing signed and delivered on behalf
of each of the parties hereto.
12. Entire
Agreement. This Agreement, the First Lien Purchase Agreement
and the other Note Documents constitute the entire agreement among the parties
with respect to the subject matter hereof and thereof and supersede all other
prior agreements and understandings, both written and verbal, among the parties
or any of them with respect to the subject matter hereof.
13. Severability. Any
term or provision of this Agreement which is invalid or unenforceable in any
jurisdiction shall, as to that jurisdiction, be ineffective to the extent of
such invalidity or unenforceability without rendering invalid or unenforceable
the remaining terms and provisions of this Agreement or affecting the validity
or enforceability of any of the terms or provisions of this Agreement in any
other jurisdiction. If any provision of this
Agreement
is so broad as to be unenforceable, the provision shall be interpreted to be
only so broad as would be enforceable.
14. Direction to Collateral
Agent. The Purchasers, constituting the Required Holders under
the First Lien Purchase Agreement, hereby instruct the Collateral Agent to
acknowledge that (i) it has read this Agreement, (ii) this Agreement constitutes
a “Note Document” under the First Lien Purchase Agreement and (iii) the
Collateral Agent will continue to act on behalf of all Holders (including the
Purchasers under this Agreement) under the Collateral Agency Agreement and the
other Note Documents in accordance with the terms thereof.
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IN WITNESS WHEREOF, each of
the undersigned has caused its duly authorized officer to execute and deliver
this Agreement as of the date first written above.
PURCHASER: | ||||
AVENUE INVESTMENTS, L.P. | ||||
By: | Avenue Partners, LLC, its General Partner | |||
|
By:
|
/s/ Xxxxx Xxxxxxx | ||
Name: | Xxxxx Xxxxxxx | |||
Title: | President and Managing Partner | |||
AVENUE INTERNATIONAL MASTER, L.P. | ||||
By: | /s/ Xxxxx Xxxxxxx | |||
Name: | Xxxxx Xxxxxxx | |||
Title: | President and Managing Partner | |||
AVENUE - CDP GLOBAL OPPORTUNITIES FUND, L.P. | ||||
By: | /s/ Xxxxx Xxxxxxx | |||
Name: | Xxxxx Xxxxxxx | |||
Title: | President and Managing Partner | |||
AVENUE SPECIAL SITUATIONS FUND V, L.P. | ||||
By: | /s/ Xxxxx Xxxxxxx | |||
Name: | Xxxxx Xxxxxxx | |||
Title: | President and Managing Partner |
S-1
PURCHASER: | ||||
SOLUS CORE OPPORTUNITIES MASTER FUND LTD | ||||
|
By:
|
/s/ Xxxxx Xxxxxxx | ||
Name: | Xxxxx Xxxxxxx | |||
Title: | Director |
S-2
COMPANY: | ||||
NEXTWAVE WIRELESS LLC | ||||
|
By:
|
/s/ Xxxxxxx X. Xxxxxxx | ||
Name: | Xxxxxxx X. Xxxxxxx | |||
Title: | Treasurer |
PARENT and GUARANTOR: | ||||
NEXTWAVE WIRELESS INC. | ||||
|
By:
|
/s/ Xxxxxxx X. Xxxxxxx | ||
Name: | Xxxxxxx X. Xxxxxxx | |||
Title: | Chief Financial Officer |
S-3
GUARANTORS: | ||||
NEXTWAVE BROADBAND INC. | ||||
|
By:
|
/s/ Xxxxxxx X. Xxxxxxx | ||
Name: | Xxxxxxx X. Xxxxxxx | |||
Title: | Treasurer |
NW SPECTRUM CO. | ||||
|
By:
|
/s/ Xxxxxxx X. Xxxxxxx | ||
Name: | Xxxxxxx X. Xxxxxxx | |||
Title: | Treasurer |
AWS WIRELESS INC. | ||||
|
By:
|
/s/ Xxxxxxx X. Xxxxxxx | ||
Name: | Xxxxxxx X. Xxxxxxx | |||
Title: | Treasurer |
WCS WIRELESS LICENSE SUBSIDIARY, LLC | ||||
|
By:
|
/s/ Xxxxxxx X. Xxxxxxx | ||
Name: | Xxxxxxx X. Xxxxxxx | |||
Title: | Treasurer |
S-4
Acknowledged by (pursuant to Section 14 above): | |||
THE
BANK OF NEW YORK MELLON,
as
Collateral Agent
|
|||
By:
|
/s/ Xxxxx Xxxx | ||
Name: | Xxxxx Xxxx | ||
Title: | Vice President |
S-5
Supplemental
Schedule 1.2A
Purchasers and Issue
Price
Notes issued on May 27, 2010
(evidencing Senior Incremental Notes)
Purchasers
|
Total
Issue Price/Principal
Amount
of Notes Purchased
|
||
Avenue
Investments, L.P.
|
$ | 1,873,363 | |
Avenue
International Master, L.P.
|
$ | 3,484,736 | |
Avenue
- CDP Global Opportunities Fund, L.P.
|
$ | 755,478 | |
Avenue
Special Situations Fund V, L.P.
|
$ | 8,286,423 | |
Solus
Core Opportunities Master Fund Ltd
|
$ | 3,600,000 | |
Total
|
$ | 18,000,000 |
First Lien
Senior Incremental Notes Agreement
SCHEDULE
5(f)
Modifications
to Representations and Warranties
Solely
for the purposes of Section 5(f) of this Agreement:
1. The
introductory language to Article IV of the Modified Agreement shall be deemed to
read as follows “The Company, Parent and the Guarantors hereby, jointly and
severally, represent and warrant on and as of the Purchase Date, after giving
effect to the Note Purchase, that:”.
2. Each
reference in Article IV of the Modified Agreement to the “Closing Date” and the
“Closing” shall be replaced with a reference to the “Purchase
Date”.
3. The
Company and the Guarantors shall not be deemed to make the representations and
warranties contained in Sections 4.1, 4.4, 4.5, 4.6, 4.7, 4.9, 4.10, 4.11, and 4.25 of the Modified
Agreement.
4. The
second and third sentences set forth in Section 4.3 of the
Modified Agreement shall be amended and restated to read in their entirety as
follows: “All of the issued and outstanding Capital Stock of the Company and the
Parent have been duly authorized and validly issued, fully paid and
nonassessable, and all of such Capital Stock of the Company are owned by the
Parent.”
5. The
second sentence of the first paragraph of Section 4.13(a) of
the Modified Agreement shall be deemed to read as follows: “Except as set forth
on Schedule
4.13, neither the Company nor any of its Subsidiaries has any Foreign
Spectrum Holdings as of the Purchase Date.”
6. The
phrase “other than the filing of any UCC financing statements delivered to the
Collateral Agent for filing (but not yet filed), the periodic filing of UCC
continuation statements in respect of UCC financing statements (including any
fixture filings) filed by or on behalf of the Holders of the Notes” set forth in
Section 4.31 of
the Modified Agreement is amended and restated to read in its entirety as
follows: “other than the periodic filing of UCC continuation statements in
respect of UCC financing statements (including any fixture filings) filed by or
on behalf of the Holders of the Notes”.
7. Section 4.32 of the
Modified Agreement is amended and restated to read in its entirety as follows:
“Except as set forth on Schedule 4.32, the
Company or the Parent or one of its Subsidiaries has the unrestricted right to
vote, and (subject to limitations imposed by applicable law) to receive
dividends and distributions on, all capital securities of its Subsidiaries as
are owned by the Company, Parent or such Subsidiary.”
1
First
Lien Senior Incremental Notes Agreement
8. Section 4.33 of the
Modified Agreement is amended and restated to read in its entirety as follows:
“Except as set forth in Section 8.2 of the Modified Agreement with respect to
the priority of payment among the Notes, no Indebtedness of the Company or any
of its Subsidiaries is senior to the Notes in right of payment, whether with
respect of payment of redemptions, interest, damages or upon liquidation or
dissolution or otherwise.”
2
First
Lien Senior Incremental Notes Agreement
EXHIBIT
A
OPINION
OF COUNSEL TO NOTE PARTIES
See
attached.
May 27,
0000
Xxx Xxxx
xx Xxx Xxxx Mellon,
as
Collateral Agent,
under the
Indebtedness Agreement referred to below and for
itself
and for each of the Purchasers referred to therein
Ladies
and Gentlemen:
We have
acted as counsel to NextWave Wireless Inc., a Delaware corporation (the “Parent”), NextWave
Wireless LLC, a Delaware limited liability company (the “Company”), NextWave
Broadband Inc., a Delaware corporation (“Broadband”), NW
Spectrum Co., a Delaware corporation (“NW Spectrum”), AWS
Wireless Inc., a Delaware corporation (“AWS Wireless”), WCS
Wireless License Subsidiary, LLC, a Delaware limited liability company (“WCS Wireless”, and
together with Broadband, NW Spectrum, and AWS Wireless, each a “Guarantor” and
collectively the “Guarantors”, and the
Guarantors together with the Parent and the Company, each an “Opinion Party” and
collectively the “Opinion Parties”) in
connection with the preparation, authorization, execution and delivery of, and
the consummation of the transactions contemplated by the First Lien Senior
Incremental Notes Agreement relating to $18,000,000 initial principal amount of
senior secured First Lien Notes due 2011 of the Company dated as of May 27, 2010
(the “Indebtedness
Agreement”) among the Company, the Parent, each Guarantor, and the
purchasers named therein (the “Purchasers”), with
The Bank of New York Mellon acting as collateral agent for the Purchasers (in
such capacity, the “Collateral
Agent”). Capitalized terms defined or otherwise referenced in
the Indebtedness Agreement and used (but not otherwise defined) herein are used
herein as so defined or referenced.
In so
acting, we have examined originals or copies (certified or otherwise identified
to our satisfaction) of the following documents:
a. the
Indebtedness Agreement;
b. the
Senior Incremental Notes issued on the date hereof;
c. the
Modified Agreement.
The
documents specified in clauses (a) through (c) are collectively referred to as
“New York
Documents”.
In
addition we have examined such corporate and limited liability company records,
agreements, documents and other instruments, and such certificates or comparable
documents of public officials and of officers and representatives of the Opinion
Parties, and have made such inquiries of such officers and representatives, as
we have deemed relevant and necessary as a basis for the opinions hereinafter
set forth.
In such
examination, we have assumed the genuineness of all signatures, the legal
capacity of all natural persons, the authenticity of all documents submitted to
us as originals, the conformity to original documents of all documents submitted
to us as certified, conformed or photostatic copies and the authenticity of the
originals of such latter documents. As to all
May 27,
2010
Page
2
questions
of fact material to these opinions that have not been independently established,
we have relied upon certificates or comparable documents of officers and
representatives of the Opinion Parties and upon the representations and
warranties of the Opinion Parties contained in the New York
Documents. As used herein, “to our knowledge” and “of which we are
aware” mean the conscious awareness of facts or other information by any lawyer
in our firm on the date hereof who has, within one year prior to the date
hereof, devoted substantial time to matters involving the Opinion Parties or the
transactions contemplated by the New York Documents.
Based on
the foregoing, and subject to the qualifications stated herein, we are of the
opinion that:
Each of
the Opinion Parties is a corporation or limited liability company, as
applicable, validly existing and in good standing under the laws of the State of
Delaware.
Each of
the Opinion Parties has all requisite corporate or limited liability company
power and authority, as applicable, to own, lease and operate its properties and
to carry on its business as now being conducted.
Each of
the Opinion Parties has all requisite corporate or limited liability company
power and authority, as applicable, to execute and deliver the New York
Documents to which it is a party and to perform its obligations
thereunder. The execution, delivery and performance of the New York
Documents by each of the Opinion Parties party thereto has been duly authorized
by all necessary corporate or limited liability company action, as applicable,
on the part of such Opinion Party.
Each of
the New York Documents has been duly and validly executed and delivered by each
of the Opinion Parties party thereto. Assuming the due authorization,
execution and delivery of the New York Documents by the other parties thereto,
each of the New York Documents constitutes the legal, valid and binding
obligation of the Opinion Parties party thereto, enforceable against each of
them in accordance with its terms, subject to applicable bankruptcy, insolvency,
fraudulent conveyance, reorganization, moratorium and similar laws affecting
creditors’ rights and remedies generally, and subject, as to enforceability, to
general principles of equity, including principles of commercial reasonableness,
good faith and fair dealing (regardless of whether enforcement is sought in a
proceeding at law or in equity) and except that (A) rights to indemnification
and contribution thereunder may be limited by federal or state securities laws
or public policy relating thereto, (B) no opinion is expressed with respect to
set-offs by participants, and (C) no opinion is expressed with respect to any
provision of the New York Documents providing for liquidated
damages.
The
execution and delivery by each of the Opinion Parties of the New York Documents
to which it is a party and the performance by each of the Opinion Parties of its
obligations thereunder will not conflict with, constitute a default under or
violate (i) any of the terms, conditions or provisions of the Certificate of
Incorporation or Certificate of Formation, as applicable, or by-laws or
operating agreement, as applicable (including all amendments thereto to the date
hereof) of such Opinion Party, (ii) any of the terms, conditions or provisions
of any agreement listed on Schedule I hereto, (iii) Delaware corporate or
limited liability company, New York state or federal law or regulation including
Regulation T, U or X of the Board of Governors of the Federal Reserve System
(other than the Communications Act, FCC Rules, and federal and
May 27,
2010
Page
3
state
securities or blue sky laws, as to which we express no opinion in this
paragraph), or (iv) any judgment, writ, injunction, decree, order or ruling of
any court or governmental authority binding on such Opinion Party of which we
are aware.
No
consent, approval, waiver, license or authorization or other action by or filing
with any Delaware corporate or limited liability company, New York state or
federal governmental authority is required in connection with the execution and
delivery by the Opinion Parties of the New York Documents to which they are
parties, the consummation by the Opinion Parties of the transactions
contemplated thereby or the performance by the Opinion Parties of their
obligations thereunder, except for filings in connection with perfecting
security interests, the Communications Act, FCC Rules and the federal and state
securities or blue sky laws, as to which we express no opinion in this
paragraph, and those already obtained.
To our
knowledge, there is no litigation, proceeding or governmental investigation
pending or overtly threatened against the Opinion Parties that relates to any of
the transactions contemplated by the Indebtedness Agreement.
On the
date hereof, immediately after giving affect to the purchase of the Senior
Incremental Notes, none of the Opinion Parties is an “investment company” within
the meaning of the Investment Company Act of 1940, as amended.
Assuming
that the representations of the Purchasers contained in the Indebtedness
Agreement and the Modified Agreement are true, correct and complete and assuming
compliance by the Purchasers with their covenants set forth in the Indebtedness
Agreement, it is not necessary in connection with the offer, sale and delivery
of the Senior Incremental Notes to the Purchasers pursuant to the Indebtedness
Agreement to (i) register the Senior Incremental Notes under the Securities Act
of 1933, as amended, or (ii) qualify the Indebtedness Agreement or the Modified
Agreement under the Trust Indenture Act of 1939, as amended.
The
opinions expressed herein are limited to the laws of the State of New York, the
corporate and limited liability company laws of the State of Delaware and the
federal laws of the United States, other than the Communications Act and FCC
Rules, and we express no opinion as to the effect on the matters covered by this
letter of any other jurisdiction.
The
opinions expressed herein are rendered solely for your benefit and for the
benefit of your permitted assigns in connection with the transactions described
herein. Those opinions may not be used or relied upon by any other
person, nor may this letter or any copies hereof be furnished to a third party,
filed with a governmental agency, quoted, cited or otherwise referred to without
our prior written consent, other than to bank regulatory authorities or your
permitted assigns.
Very
truly yours,
Schedule
I
List of
Agreements
1.
|
The
Note Documents
|
2.
|
Exchange
Note Documents
|
3.
|
The
Second Lien Documents
|
4.
|
Credit
Line Agreement dated as of August 6, 2008, between NextWave Wireless Inc.
and UBS Credit Corp.
|
5.
|
Share
Purchase Agreement among Xxxxxxx Bornhausser, BB Private Equity N.V.,
Varuma AG, Xxxx Xxxxxxx, Xxxxxxx Xxxxxxx, Xxxxxx Xxx, Xxxxxx Xxxxx and
PacketVideo Corporation
|
6.
|
Stock
Purchase Agreement dated July 2, 2009 among PacketVideo Corporation,
NextWave Wireless Inc., NextWave Broadband Inc. and NTT Docomo,
Inc.
|
7.
|
Stockholders’
Agreement, dated as of July 2, 2009 by and among PacketVideo Corporation,
NextWave Wireless Inc., NextWave Broadband Inc. and NTT DOCOMO,
Inc.
|
8.
|
Amended
and Restated Services Agreement dated October 30, 2006 among NextWave
Broadband Inc and LCC International
Inc.
|
9.
|
Settlement
and General Release Agreement dated September 21, 2009 among Xxxxxxxx X.
Xxxxx (GO Networks Stockholder Representative) and NextWave Wireless
Inc.
|
10.
|
Letter
dated December 28, 2009 between NextWave Wireless Inc. and Moelis and
Company LLC.
|
11.
|
First
Lien Commitment Letter
|
EXHIBIT
B
FIRST
LIEN INCREMENTAL DISCLOSURE SCHEDULES
See
attached.
DISCLOSURE
SCHEDULES
TO
FIRST LIEN SENIOR INCREMENTAL NOTES AGREEMENT
among
NEXTWAVE
WIRELESS LLC,
Each
GUARANTOR NAMED THEREIN
and
THE
PURCHASERS NAMED THEREIN
Relating
to:
Senior
Secured First Lien Notes due 2011
of
NextWave
Wireless LLC
Dated
as of May 27, 2010
INTRODUCTION
Attached
to and forming a part of the First Lien Senior Incremental Notes Agreement,
dated as of May 27, 2010 (the “Agreement”) among NextWave
Wireless Inc., a corporation organized under the laws of the state of Delaware
(the “Parent”), NextWave
Wireless LLC, a limited liability company organized under the laws of the state
of Delaware (the “Company”), each Guarantor
party thereto (each, a “Guarantor” and collectively,
the “Guarantors”), the
Purchasers set forth in Supplemental Schedule 1.2A herein (each, a “Purchaser” and collectively,
the “Purchasers”), and
acknowledged by The Bank of New York Mellon, as Collateral Agent.
The
representations and warranties of the Company, the Parent and the Guarantors in
the Agreement are qualified by, and made subject to, the disclosures in these
Schedules to the extent, and solely to the extent, expressly stated in the
applicable provision(s) to which any Schedule
relates. Notwithstanding the foregoing, inclusion of information in
these Schedules shall not be construed as an admission that such information is
material to the business, assets, liabilities, financial condition, results of
operations or prospects of the Company, the Parent or the Guarantors, or
otherwise material, or that such information is required to be included in these
Schedules, and inclusion of information in connection with disclosure of matters
that are not in the ordinary course of business shall not be construed as an
admission that the included items or actions are not in the ordinary course of
business.
1
Supplemental
Schedule 1.2A
Purchasers and Issue
Price
Senior Incremental Notes
issued on May 27, 2010
Purchasers
|
Principal
Amount of Notes Purchased
|
Total
Issue Price
|
||||||
Avenue
Investments, L.P.
|
$ | 1,873,363.00 | $ | 1,873,363.00 | ||||
Avenue
International Master, L.P.
|
$ | 3,484,736.00 | $ | 3,484,736.00 | ||||
Avenue
- CDP Global Opportunities Fund, L.P.
|
$ | 755,478.00 | $ | 755,478.00 | ||||
Avenue
Special Situations Fund V, L.P.
|
$ | 8,286,423.00 | $ | 8,286,423.00 | ||||
Solus
Core Opportunities Master Fund
|
$ | 3,600,000.00 | $ | 3,600,000.00 | ||||
Total
|
$ | 18,000,000.00 | $ | 18,000,000.00 |
2
Schedule
4.3
Corporate and Capital
Structure
Persons holding 5% or more
of the Capital Stock of the Parent (on an as-converted
basis)
1.
|
Navation
Inc.
|
2.
|
Avenue
Capital Group
|
3.
|
Sola
Ltd.
|
4.
|
Xxxxx
Xxxxxxx
|
Corporate Structure –
Subsidiaries of the Company
Entity Name
|
Owner(s)
(100%
unless otherwise stated)
|
NextWave
Broadband Inc.
|
Company
|
NWGN,
Inc. (formerly GO Networks, Inc.)
|
Company
|
NextWave
Argentina S.A.
|
Company (98%)
NW
Spectrum Co (2%)
|
Xxxxxx
Systique Corporation
|
Company
(5% common shareholders)
|
CYGNUS
Communications, Inc.
|
Company
|
PacketVideo
Corporation
|
NextWave
Broadband Inc.
|
NW
Spectrum Co.
|
NextWave
Broadband Inc.
|
AWS
Wireless Inc.
|
NextWave
Broadband Inc.
|
NextWave
Metropolitan, Inc.
|
NextWave
Broadband Inc.
|
WiMax
Telecom AG
|
NextWave
Broadband Inc.
|
PacketVideo
Japan Corp.
|
PacketVideo
Corporation
|
PacketVideo
France SARL
|
PacketVideo
Corporation
|
PacketVideo
India Private Limited
|
PacketVideo
Corporation
|
PacketVideo
Finland Oy
|
PacketVideo
Corporation
|
PacketVideo
N.Carolina Corp
|
PacketVideo
Corporation
|
PacketVideo
Germany GmbH
|
PacketVideo
Corporation
|
PacketVideo
Korea Branch
|
PacketVideo
Corporation
|
PacketVideo
Switzerland (SDC)
|
PacketVideo
Corporation
|
WCS
Wireless License Subsidiary, LLC
|
NW
Spectrum Co.
|
4253311
Canada, Inc.
|
4399773
Canada, Inc.
|
3
Entity Name
|
Owner(s)
(100%
unless otherwise stated)
|
4399773
Canada, Inc.
|
NW
Spectrum Co.
|
Inquam
Broadband GmbH
|
WiMax
Telecom AG
|
Callix
Consulting AG
|
WiMax
Telecom AG
|
WiMax
Telecom SRO
|
WiMax
Telecom AG
|
Infotel
Argentina S.A.
|
NextWave
Argentina (99.98%)
Company
(0.02%)
|
Callbi
S.A.
|
NextWave
Argentina
|
Cygnus
Multimedia Communications, Inc.
|
Cygnus
Communications, Inc.
|
Cygnus
Acquisition, Co.
|
Cygnus
Multimedia Communications, Inc
|
Xxxxxx
Software India Pvt India
|
Xxxxxx
Systique Corporation
|
Inquam
Norway AS
|
NextWave
Broadband Inc.
|
NextWave
Spectrum UK Ltd
|
NextWave
Wireless LLC
|
NextWave
Inversiones Ltda
|
NextWave
Spectrum UK Ltd
|
Southam
Chile SA
|
NextWave
Inversiones
|
NextWave
Chile Ltda`
|
NextWave
Spectrum UK Ltd
|
Sociedad
Televisora CBC Ltd
|
NextWave
Chile Ltda
|
On
September 28, 2008, the Company’s wholly-owned subsidiary, GO Networks, Inc., a
Delaware corporation (the “Applicant”), submitted an application pursuant to
Chapter 12 of the Israeli Companies Ordinance, 1983-5743 (the “Israeli Companies
Ordinance”) with the Tel Aviv District Court (the "Court") requesting the
appointment of a permanent liquidator for the purpose of effecting a
court-supervised liquidation of GO Networks Ltd. (a corporation organized under
the laws of the state of Israel) (“GO Networks Israel”). In addition,
concurrently with such application, the Applicant also submitted to the Court an
application pursuant to Chapter 12 of the Israeli Companies Ordinance to appoint
a temporary liquidator during the interim period until a permanent liquidator is
appointed. The application for appointment of a temporary liquidator
was granted October 6, 2008 and on January 14, 2009 the court entered an order
for the permanent liquidation of GO Networks Israel. As a result of
the liquidation, the Company no longer controls GO Networks Israel and its
subsidiaries and will not receive any proceeds from the assets of such GO
Networks entities.
On
October 14, 2008, the Company shut down the operations of its Cygnus
Communications Canada Co. subsidiary (“Cygnus Canada”) and filed a voluntary
petition for bankruptcy in the Court of Queen's Bench of Alberta. The
bankruptcy trustee that was appointed for Cygnus Canada on October 14, 2008 is
Xxxxxx & Xxxxx. The operations of Cygnus Canada consisted of a
research and development facility with 21 employees. Bankruptcy
finalized on January 15, 2010. As a result of the bankruptcy, the
Company no longer controls Cygnus Canada and its subsidiaries and will not
receive any proceeds from the assets of such Cygnus entities. The
final inspector meeting was held on January 15, 2010.
On
October 30, 2009, the Board of Directors of WiMAX Telecom GmbH, the holding
company for the Company’s discontinued WiMAX Telecom business in Austria and
Croatia, filed an
4
insolvency
proceeding in Austria in accordance with local law to permit the orderly
wind-down of such entity. The court in Austria has entered an order
appointing an administrator to manage the insolvency of WiMAX Telecom
GmbH. As a result of the appointment of the administrator, the
Company no longer controls WiMAX Telecom GmbH and its subsidiaries and will not
receive any proceeds from the assets of such WiMAX entities.
5
Preemptive
Rights
1.
|
Rights
of the Second Lien Noteholders pursuant to Second Lien Warrant
Agreements.
|
2.
|
Rights
of NTT DoCoMo, Inc. pursuant to the Stockholders’ Agreement, dated as of
July 2, 2009 by and among PacketVideo Corporation, NextWave Wireless Inc.,
NextWave Broadband Inc. and NTT DOCOMO,
Inc.
|
Options
1.
|
During
the year ended January 2, 2010, the Company had five share-based
compensation plans that provide for awards to acquire shares of common
stock. At January 2, 2010, the Company may issue up to an
aggregate of 31.5 million shares of common stock under its equity
compensation plans, of which 21.2 million shares are reserved for issuance
upon exercise of granted and outstanding options and 10.3 million shares
are available for future grants.
|
Warrants
1.
|
Warrants
to purchase an aggregate of 10,476,663 shares of common stock held by
Solus Ltd. and its affiliates.
|
Conversion
Rights
1.
|
Parent
has outstanding Third Lien Subordinated Secured Convertible Notes which
are convertible into 44,821,994 shares of common stock as of March 28,
2009, at a conversion price of $11.05 per
share.
|
Stock Appreciation
Rights
None.
Employee
Stock Plans
1. Except
as disclosed in Note 13 of the Notes to Consolidated Financial Statements in the
Company’s Form 10-K filed on April 2, 2010, which are incorporated herein by
reference, there are none.
6
Schedule
4.8
Material Contracts and
Spectrum Leases
Material
Contracts
12.
|
The
Note Documents
|
13.
|
Exchange
Note Documents
|
14.
|
The
Second Lien Documents
|
15.
|
Credit
Line Agreement dated as of August 6, 2008, between NextWave Wireless Inc.
and UBS Credit Corp.
|
16.
|
Share
Purchase Agreement among Xxxxxxx Bornhausser, BB Private Equity N.V.,
Varuma AG, Xxxx Xxxxxxx, Xxxxxxx Xxxxxxx, Xxxxxx Xxx, Xxxxxx Xxxxx and
PacketVideo Corporation
|
17.
|
Stock
Purchase Agreement dated July 2, 2009 among PacketVideo Corporation,
NextWave Wireless Inc., NextWave Broadband Inc. and NTT Docomo,
Inc.
|
18.
|
Stockholders’
Agreement, dated as of July 2, 2009 by and among PacketVideo Corporation,
NextWave Wireless Inc., NextWave Broadband Inc. and NTT DOCOMO,
Inc.
|
19.
|
Amended
and Restated Services Agreement dated October 30, 2006 among NextWave
Broadband Inc and LCC International
Inc.
|
20.
|
Settlement
and General Release Agreement dated September 21, 2009 among Xxxxxxxx X.
Xxxxx (GO Networks Stockholder Representative) and NextWave Wireless
Inc.
|
21.
|
Letter
dated December 28, 2009 between NextWave Wireless Inc. and Moelis and
Company LLC.
|
22.
|
Senior
Secured Notes Commitment Letter, dated March 16, 2010, by and among Avenue
Capital Management II, L.P. (on behalf of its managed investment funds set
forth therein), Solus Core Opportunities Master Fund Ltd, NextWave
Wireless LLC and NextWave Wireless
Inc.
|
Spectrum
Leases
1.
Domestic Spectrum Leases
7
License
Call Signs
|
Market
|
Licensee
|
Lease
Name
|
WLX648
|
Mobile,
AL
|
North
American Catholic Educational Programming Foundation, Inc.
Lessee
is Clearwire Spectrum Holdings II LLC
|
Educational
Broadband Service Long Term De Facto Transfer Individual Use Sublease
Agreement (March 2, 2007)
|
WAC273
|
San
Francisco, CA
|
Regents
of the University of California
|
Long
Term De Facto Transfer EBS Spectrum Lease Agreement (November
1, 2007)
|
KHU89
KTB97
|
San
Francisco, CA
|
Regents
of the University of California
|
Long
Term De Facto Transfer EBS Spectrum Lease Agreement (November
1, 2007)
|
XXX000
|
Xxxxxxxx
Xxxx, XX
|
The
Orange Catholic Foundation
|
Lease
Agreement (December 19, 2005); Assignment and Assumption Agreement (July
7, 2006)
|
KTZ30
|
Peoria,
IL
|
Xxxxxxx
University
|
Long
Term De Facto EBS Spectrum Lease Agreement (May 16,
2007); First Amendment to Lease Agreement (April, 2008)
|
WND596
|
Sea
Girt, NJ
|
The
Sea Girt School District
|
Second
Amended and Restate ITFS Lease Agreement (August 17, 2006)
|
KRS81
KRS82
KRS83
KRS84
KRS85
KRS86
KRW67
|
New
York, NY
Staten
Island, NY
Yonkers,
NY
Haverstraw,
NY
Beacon,
NY
Rhinecliff,
NY
Xxxxxx,
NY
|
Archdiocese
of New York
|
Lease
Agreement (December 2, 2004); Assignment and Assumption Agreement, July 7,
2006); First Amendment to Lease Agreement (March 1, 2006)
|
XXX000
|
Xxx
Xxxx, XX
|
Educational
Broadcasting Corporation
|
Long
Term De Facto Transfer EBS Spectrum Lease Agreement (June 20,
2006)
|
8
License
Call Signs
|
Market
|
Licensee
|
Lease
Name
|
WAU29
|
Philadelphia,
PA
|
Temple
University
|
Long
Term De Facto EBS Spectrum Lease Agreement (July 31,
2006)
|
WHR506
|
Fort
Worth, TX
|
Tarrant
County College District
|
Long
Term De Facto EBS Spectrum Lease Agreement (December
13, 2006)
|
KNLB200
|
2310-2315
MHz & 2355-2360 MHz in Fall River, MA
|
NW
Spectrum Co.
|
NW
Spectrum Co. – Xxxx City Internet Exchange, Inc. d/b/a MegaBroadband WCS
Spectrum Lease Agreement (December 1, 2004); Instrument of Assignment and
Assumption (January 10, 2006); First Amendment to Spectrum Lease Agreement
(June 6, 2008); Second Amendment to Spectrum Lease Agreement (June 13,
2008)
|
KNLB213
|
Portions
of Jacksonville, FL MEA09 (excluding Xxxxx and St. John’s
counties)
|
NW
Spectrum Co.
|
NW
Spectrum Co. - Broadband
South LLC Spectrum Manager Lease Agreement (December 4, 2008); Amendment
Number 1 to Spectrum Manager Lease Agreement (January 8, 2009); Amendment
Number 2 to Spectrum Manager Lease Agreement (March 12,
2010)
|
9
2.
Foreign Spectrum leases
Lease
Name
|
NextWave
entity party to lease
|
Lessee
|
Spectrum
Bands
|
Market
|
Letter
of Intent between Inquam Broadband GmbH and WVE Net GmbH (July
3, 2007)*
|
Inquam
Broadband GmbH
|
VSE
NET GmbH
|
10
MHz (of 3.5 GHz frequencies)
|
Wadrill,
Germany
|
Letter
of Intent between Inquam Broadband GmbH and NeckarCom Telekommunikation
GmbH (March 12, 2007)*
|
Inquam
Broadband GmbH
|
NeckarCom
Xxxxxxxxxxxxxxxxx XxxX
|
00
XXx (xx 3.5 GHz frequencies)
|
12
locations in Germany:
-
Dellmensingen
-
Schnürpflingen
-
Staig Wasserturm
-
Staig VBHS
-
Hüttisheim Wasserturm
-
Hüttisheim Ziegelei
-
Dorndorf
-
Rißtissen
-
Gamerschwang
-
Lehenweiler
-
Heimerdingen
-
Xxxxxx
|
*Letters
of Intent in process of being assigned to buyer of Inquam Broadband GmbH assets,
Inquam Holding GmbH
10
Schedule
4.13
FCC
Licenses
NEXTWAVE’S
DOMESTIC AWS SPECTRUM LICENSES
|
||||
Call
Sign
|
City
|
State
|
License
Type
|
Licensee
Name
|
WQGD533
|
Citrus
|
FL
|
AWS
|
AWS
Wireless Inc.
|
WQGD532
|
Xxxxxx
|
FL
|
AWS
|
AWS
Wireless Inc.
|
XXXX000
|
Xxxxxx
|
FL
|
AWS
|
AWS
Wireless Inc.
|
WQGD594
|
Savannah
|
GA-SC
|
AWS
|
AWS
Wireless Inc.
|
WQGD601
|
Asheville
|
NC
|
AWS
|
AWS
Wireless Inc.
|
XXXX000
|
Xxxxxxxxxx
|
XX
|
AWS
|
Proposed
assignee: Carolina AWS, LLC
|
XXXX000
|
Xxxxxxxx
|
XX
|
AWS
|
AWS
Wireless Inc.
|
XXXX000
|
Xxxxxxxxxx
|
XX
|
AWS
|
Proposed
assignee: Carolina AWS, LLC
|
WQGD558
|
Xxxx
|
NC
|
AWS
|
AWS
Wireless Inc.
|
XXXX000
|
Xxxxxxxxxx
|
NC
|
AWS
|
Proposed
assignee: Carolina AWS, LLC
|
XXXX000
|
Xxxxxxxxxx
|
NC-SC
|
AWS
|
Proposed
assignee: Carolina AWS, LLC
|
XXXX000
|
Xxxxxxx-Xxxxxxxxx
|
NC-TN
|
AWS
|
AWS
Wireless Inc.
|
WQGD624
|
Santa
Fe
|
NM
|
AWS
|
AWS
Wireless Inc.
|
WQGD623
|
Amarillo
|
TX-NM
|
AWS
|
AWS
Wireless Inc.
|
NEXTWAVE’S
DOMESTIC WCS SPECTRUM LICENSES1
|
||||
Call
Sign
|
City
|
State
|
License
Type
|
Licensee
Name
|
XXXX000
|
Xxxxxxx
|
XX
|
WCS
|
NW
Spectrum Co.
|
KNLB220
|
Los
Angeles-San Diego
|
CA
|
WCS
|
NW
Spectrum Co.
|
KNLB307
|
Denver
|
CO
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
XXXX000
|
Xxxxxxxxxxxx
|
XX
|
WCS
|
NW
Spectrum Co. (FCC consented to assignment to Broadband South LLC of all
counties except Xxxxx and St. John’s on 6/1/2009)
|
KNLB308
|
Hawaii
|
HI
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
KNLB293
|
Des
Moines-Quad Cities
|
IA
|
WCS
|
NW
Spectrum Co.
|
KNLB305
|
Chicago
|
IL
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
__________________________________
1
FCC Rules governing WCS and adjacent spectrum in the Satellite Digital
Audio Radio Service are subject to modification pursuant to an ongoing FCC
rulemaking: Amendment of Part 27 of the Commission’s Rules to Govern
the Operation of Wireless Communications Services in the 2.3 GHz Band (WT Docket
No. 07-293); and Establishment of Rules and Policies for the Digital Audio Radio
Satellite Service in the 2310-2360 MHz Frequency Band (IB Docket No.
95-91).
11
NEXTWAVE’S
DOMESTIC WCS SPECTRUM LICENSES1
|
||||
Call
Sign
|
City
|
State
|
License
Type
|
Licensee
Name
|
KNLB306
|
Kansas
City
|
KS-MO
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
KNLB200
|
Boston
|
MA
|
WCS
|
NW
Spectrum Co.
|
KNLB304
|
Detroit
|
MI
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
KNLB218
|
Minneapolis-St.
Xxxx
|
MN
|
WCS
|
NW
Spectrum Co.
|
KNLB292
|
Minneapolis-St.
Xxxx
|
MN
|
WCS
|
NW
Spectrum Co.
|
KNLB207
|
St.
Louis
|
MO
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
KNLB322
|
St.
Louis
|
MO
|
WCS
|
NW
Spectrum Co.
|
KNLB294
|
Omaha
|
NE
|
WCS
|
NW
Spectrum Co.
|
KNLB208
|
Buffalo
|
NY
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
XXXX000
|
Xxxxxxxxx
|
XX
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
XXXX000
|
Xxxxxxxxx
|
XX
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
XXXX000
|
Xxxxxxxx
|
XX
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
KNLB323
|
Houston
|
TX
|
WCS
|
NW
Spectrum Co.
|
KNLB215
|
San
Antonio
|
TX
|
WCS
|
NW
Spectrum Co.
|
KNLB255
|
San
Antonio
|
TX
|
WCS
|
NW
Spectrum Co.
|
KNLB296
|
Seattle
|
WA
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
KNLB206
|
Milwaukee
|
WI
|
WCS
|
NW
Spectrum Co.
|
KNLB217
|
Milwaukee
|
WI
|
WCS
|
NW
Spectrum Co.
|
KNLB297
|
Northeast
|
US
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
KNLB298
|
Central
|
US
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
KNLB299
|
Central
|
US
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
KNLB300
|
West
|
US
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
KNLB301
|
West
|
US
|
WCS
|
WCS
Wireless License Subsidiary, LLC
|
NEXTWAVE’S
DOMESTIC BRS SPECTRUM LICENSES
|
||||
Call
Sign
|
City
|
State
|
License
Type
|
Licensee
Name
|
XXX000
|
Xxxxxxxxxxx
|
XX
|
BRS
|
Proposed
assignee: ZTark Communications LLC
|
XXX000
|
Xxxxxxxxxxx
|
XX
|
BRS
|
Proposed
assignee: ZTark Communications
LLC
|
12
WHT722
|
Henderson
|
NV
|
BRS
|
NW
Spectrum Co.
|
WQGH651
|
Las
Vegas
|
NV
|
BRS
|
NW
Spectrum Co.
|
WHT724
|
Las
Vegas
|
NV
|
BRS
|
NW
Spectrum Co.
|
Pending FCC
Applications
Granted But Not Yet Final FCC Applications With Respect To AWS
Licenses:
Call
Sign
|
Licensee
|
Service
|
Pending
Application
|
WQGD515
|
AWS
Wireless Inc.
|
AWS
|
File
No. 0004071830: assignment of license from AWS Wireless Inc (“AWSW”) to
Carolina AWS LLC (consented to 12/23/2009)
|
WQGD557
|
AWS
Wireless Inc.
|
AWS
|
File
No. 0004071830: assignment of license from AWS Wireless Inc (“AWSW”) to
Carolina AWS LLC (consented to 12/23/2009)
|
WQGD589
|
AWS
Wireless Inc.
|
AWS
|
File
No. 0004021209: assignment of license from AWS Wireless Inc (“AWSW”) to
Carolina AWS LLC (consented to 11/06/2009)
|
WQGD592
|
AWS
Wireless Inc.
|
AWS
|
File
No. 0004021209: assignment of license from AWS Wireless Inc (“AWSW”) to
Carolina AWS LLC (consented to
11/06/2009)
|
Pending FCC Applications With Respect To WCS Licenses
Call
Sign
|
Licensee
|
Service
|
Pending
Application
|
KNLB200
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003001466: license renewal
|
KNLB206
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003001467: license renewal
|
KNLB213
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003001468: license renewal
|
KNLB215
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003001469: license renewal
|
KNLB217
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003001470: license renewal
|
KNLB218
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003001471: license renewal
|
KNLB219
|
NW
Spectrum Co.
|
WCS
|
File
No. 0000000000: license renewal
|
KNLB220
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003001473: license renewal
|
KNLB255
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003001474: license renewal
|
KNLB292
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003001475: license renewal
|
KNLB293
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003001476: license renewal
|
KNLB294
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003001477: license renewal
|
KNLB322
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003001478: license renewal
|
KNLB323
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003001479: license renewal
|
KNLB207
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001459: license renewal
|
KNLB208
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001460: license renewal
|
KNLB295
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001461: license renewal
|
KNLB296
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001462: license renewal
|
13
Call
Sign
|
Licensee
|
Service
|
Pending
Application
|
KNLB297
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001463: license renewal
|
KNLB298
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001448: license renewal
|
KNLB299
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0000000000: license renewal
|
KNLB300
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001450: license renewal
|
KNLB301
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001451: license renewal
|
KNLB302
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001452: license renewal
|
KNLB303
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001453: license renewal
|
KNLB304
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001454: license renewal
|
KNLB305
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001455: license renewal
|
KNLB306
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0000000000: license renewal
|
KNLB307
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001457: license renewal
|
KNLB308
|
WCS
Wireless License Subsidiary, LLC
|
WCS
|
File
No. 0003001458: license renewal
|
Granted But
Not Yet Final FCC Applications With Respect To WCS Licenses:
KNLB213
|
NW
Spectrum Co.
|
WCS
|
File
No. 0003794840: assignment of license (excluding Xxxxx and St. John’s
counties) from NW Spectrum Co. to Broadband South LLC (consented to
6/1/2009)
|
Granted But Not Yet Final FCC Applications With Respect To BRS
Licenses:
WHT661
|
NW
Spectrum Co.
|
BRS
|
File
No. 0004115058: assignment of license from NW Spectrum Co. to ZTark
Communications LLC (consented to 3/16/2010)
|
WHT662
|
NW
Spectrum Co.
|
BRS
|
File
No. 0004115058: assignment of license from NW Spectrum Co. to ZTark
Communications LLC (consented to
3/16/2010)
|
14
NextWave Foreign Spectrum
Holdings
NEXTWAVE
CANADIAN WCS LICENSES
|
||
License
Number
|
City
|
Licensee
Name
|
4981418
|
Placentia
|
4253311
Canada Inc.
|
4981419
|
Gander/Grand
Falls/Windsor
|
4253311
Canada Inc.
|
4981420
|
Xxxxxx
Xxxxx/ Xxxxxxxxxxxx
|
0000000
Xxxxxx Inc.
|
4981421
|
Labrador
|
4253311
Canada Inc.
|
4981422
|
Mont-Joli
|
4253311
Canada Inc.
|
4981423
|
Riviere-du-Loup
|
4253311
Canada Inc.
|
4981424
|
La
Malbaie
|
4253311
Canada Inc.
|
4981425
|
Chicoutimi/
Jonquiere
|
4253311
Canada Inc.
|
4981426
|
Montmagny
|
4253311
Canada Inc.
|
4981427
|
Quebec
|
4253311
Canada Inc.
|
4981428
|
Sainte-Xxxxx
|
4253311
Canada Inc.
|
4981429
|
Saint-Georges
|
4253311
Canada Inc.
|
4981430
|
Lac
Megantic
|
4253311
Canada Inc.
|
4981431
|
Thetford
Mines
|
4253311
Canada Inc.
|
4981432
|
Plessisville
|
4253311
Canada Inc.
|
4981433
|
La
Tuque
|
4253311
Canada Inc.
|
4981434
|
Louiseville
|
4253311
Canada Inc.
|
4981435
|
Victoriaville
|
4253311
Canada Inc.
|
4981436
|
Coaticook
|
4253311
Canada Inc.
|
4981437
|
Windsor
|
4253311
Canada Inc.
|
4981438
|
Xxxxxxx
|
0000000
Xxxxxx Inc.
|
4981439
|
Joliette
|
4253311
Canada Inc.
|
4981440
|
Sainte-Agathe-des-Monts
|
4253311
Canada Inc.
|
4981441
|
Xxxxxxxxxx
|
0000000
Xxxxxx Inc.
|
4981442
|
Pembroke
|
4253311
Canada Inc.
|
4981443
|
Arnprior/
Renfrew
|
4253311
Canada Inc.
|
4981444
|
Rouyn-Noranda
|
4253311
Canada Inc.
|
4981445
|
Notre-Dame-du-Nord
|
4253311
Canada Inc.
|
4981446
|
La
Sarre
|
4253311
Canada Inc.
|
4981447
|
Roberval/Saint-Felicien
|
4253311
Canada Inc.
|
4981448
|
Cornwall
|
4253311
Canada Inc.
|
4981449
|
Xxxxxxx
|
0000000
Xxxxxx Inc.
|
4981450
|
Alliston
|
4253311
Canada Inc.
|
4981451
|
Fort
Erie
|
4253311
Canada Inc.
|
4981452
|
Windsor/
Leamington
|
4253311
Canada Inc.
|
4981453
|
Sudbury
|
4253311
Canada Inc.
|
4981454
|
Xxxxxxxx
Xxxx
|
0000000
Xxxxxx Inc.
|
4981455
|
Timmins
|
4253311
Canada Inc.
|
4981456
|
Kapuskasing
|
4253311
Canada Inc.
|
4981457
|
Kenora/Sioux
Lookout
|
4253311
Canada Inc.
|
4981458
|
Iron
Bridge
|
4253311
Canada Inc.
|
4981459
|
Xxxxxx
Xxx. Xxxxx
|
0000000
Xxxxxx Inc.
|
15
NEXTWAVE CANADIAN WCS
LICENSES
|
||
4981460
|
Xxxxxxx
Xxx
|
0000000
Xxxxxx Inc.
|
4981461
|
Steinbach
|
4253311
Canada Inc.
|
4981462
|
Winnipeg
|
4253311
Canada Inc.
|
4981463
|
Morden/Winkler
|
4253311
Canada Inc.
|
4981464
|
Xxxxxxx
|
4253311
Canada Inc.
|
4981465
|
Xxxxxxx
Xx Xxxxxxx
|
0000000
Xxxxxx Inc.
|
4981466
|
Dauphin
|
4253311
Canada Inc.
|
4981467
|
Xxxxxxxxx/Flin
Flon
|
4253311
Canada Inc.
|
4981468
|
Xxxxxxxx
|
4253311
Canada Inc.
|
4981469
|
Moose
Jaw
|
4253311
Canada Inc.
|
0000000
|
Swift
Current
|
0000000
Canada Inc.
|
4981471
|
Xxxxxxxxxx
|
0000000
Xxxxxx Inc.
|
4981472
|
Northern
Saskatchewan
|
4253311
Canada Inc.
|
4981473
|
Wetaskiwin/
Ponoka
|
4253311
Canada Inc.
|
4981474
|
Barrhead
|
4253311
Canada Inc.
|
4981475
|
West
Kootenay
|
4253311
Canada Inc.
|
4981476
|
Xxxxxx
River
|
4253311
Canada Inc.
|
4981477
|
Xxxxxxx
|
0000000
Xxxxxx Inc.
|
4981478
|
Kamloops
|
4253311
Canada Inc.
|
4981479
|
Ashcroft
|
4253311
Canada Inc.
|
4981480
|
Xxxxxxxx
Lake
|
4253311
Canada Inc.
|
4989477
|
St.
John's
|
4253311
Canada Inc.
|
4989478
|
Xxxxxxxxxxxxx
|
0000000
Xxxxxx Inc.
|
4989479
|
Summerside
|
4253311
Canada Inc.
|
4989480
|
Truro
|
4253311
Canada Inc.
|
4989481
|
Amherst
|
4253311
Canada Inc.
|
4989482
|
Antigonish/New
Glasgow
|
4253311
Canada Inc.
|
4989483
|
Xxxxxx
|
0000000
Xxxxxx Inc.
|
4989484
|
Fredericton
|
4253311
Canada Inc.
|
4989485
|
Miramichi/
Bathurst
|
4253311
Canada Inc.
|
4989486
|
Grand
Falls
|
4253311
Canada Inc.
|
4989487
|
Xxxxxxxxxxx
|
0000000
Xxxxxx Inc.
|
4989488
|
Matane
|
4253311
Canada Inc.
|
4989489
|
Trois-Rivieres
|
4253311
Canada Inc.
|
4989490
|
Sherbrooke
|
4253311
Canada Inc.
|
4989491
|
Montreal
|
4253311
Canada Inc.
|
4989492
|
Ottawa
|
4253311
Canada Inc.
|
4989493
|
Gananoque
|
4253311
Canada Inc.
|
4989494
|
Kingston
|
4253311
Canada Inc.
|
4989495
|
Guelph/
Kitchener
|
4253311
Canada Inc.
|
4989496
|
Niagara/St.
Catharines
|
4253311
Canada Inc.
|
4989497
|
London/
Woodstock/St. Xxxxxx
|
4253311
Canada Inc.
|
4989498
|
Midland
|
4253311
Canada Inc.
|
4989499
|
Regina
|
4253311
Canada Inc.
|
4989500
|
Prince
Xxxxxx
|
4253311
Canada Inc.
|
4989501
|
Xxxxxxxx
|
0000000
Xxxxxx Inc.
|
16
NEXTWAVE
NORWEGIAN 2.0 GHz LICENSES
|
||
License
Number
|
City
|
Licensee
Name
|
1001950
|
Nationwide
|
Inquam
Norway AS
|
17
NEXTWAVE
SWITZERLAND BWA LICENSES
|
||
License
Number
|
City
|
Licensee
Name
|
2551407
|
Nationwide
|
Callix
Consulting AG
|
18
NEXTWAVE
SLOVAKIAN 3.5 GHz LICENSES
|
||
License
Number
|
City
|
Licensee
Name
|
9510721014
and 9510721011
|
Nationwide
|
WiMAX
Telecom Xxxxxxxx x.x.x.
|
00
XXXXXXXX
XXXXXXXXX 2.5 GHz LICENSES
|
||
License
Number
|
City
|
Licensee
Name
|
Resolution
S.C. 263/03 (Telecommunications license)
Resolution
S.C. 3357/99 (Value-added service license)
Resolution
S.C. 95/02 (Spectrum usage authorization)
|
National
National
Buenos
Aires Metropolitan Area
|
Infotel
Argentina S.A.
|
Resolution
S.C. 191/03 (Telecommunications license)
Resolution
S.C. 2267/97 (Value-added service license)
Resolution
S.C. 362/01 (Spectrum usage authorization)
|
National
National
Buenos
Aires Metropolitan Area
|
Callbi
S.A.
|
20
NEXTWAVE
CHILEAN 2.5 GHz LICENSES
|
||
License
Number
|
City
|
Licensee
Name
|
Resolution:
No. 55 of January 15, 2007 (Digital television license)
Decree:
No. 1,023 of November 7, 2007 (Intermediate services
license)
|
Xxxxxxxx
|
Xxxxxxx
Chile S.A.
|
Resolution:
No. 54 of January 15, 2007 (Digital television license)
Decree:
No. 252 of April 14, 2008 (Intermediate services license)
|
Copiapó
Viña
del Mar and Valparaíso
Temuco
Xxxxxxxxxx
Punta
Arenas
Antofagasta
|
Sociedad
Televisora CBC Ltda.
|
21
FCC Litigation/Adverse
Facts
1.
|
Ownership
of wireless broadband spectrum in Argentina remains subject to obtaining
governmental approval. Applications for transfer of control for
both Infotel Argentina S.A. and Callbi S.A. have been on file since early
2008 and are in final stages of review by the Argentine regulatory
authority, the CNC.
|
2.
|
The
Company holds 30 licenses issued by the FCC for WCS spectrum. The Company
filed WCS renewal applications on April 23, 2007. Under FCC rules,
licenses continue in effect during the pendency of timely filed renewal
applications. At least three parties about which the Company is aware made
filings purporting to be competing “applications” in response to renewal
applications filed by the Company, AT&T and perhaps others. The basis
on which the third-party filings were made was the alleged failure of WCS
licensees to deploy service on WCS spectrum and satisfy substantial
service requirements by July 21, 2007. However, on December 1, 2006, the
FCC issued a waiver order extending the substantial service deadline for
WCS licensees to July 21, 2010. The FCC’s rules contain no procedures for
processing competing “applications” filed for WCS spectrum and the FCC has
not accepted them for filing. On May 21, 2010, the FCC adopted
amendments to the rules governing the WCS licenses and announced that it
is also adopting a Notice of Proposed Rulemaking that commences a
proceeding to examine the Commission’s rules and policies governing the
renewal of wireless radio services authorizations and in a companion order
to that notice will grant all pending WCS renewal applications conditioned
on the outcome of that proceeding. The Company cannot predict how or
when the FCC will complete the rulemaking proceeding and how it will
impact the decision to grant the pending WCS license renewal
applications.
|
3.
|
Please
refer to “Risks Relating to Governmental Regulation” in Item 1.A. of the
Company’s Form 10-K filed on April 2, 2010 and the Company’s
Form 10-Q filed on May 18, 2010, which are incorporated herein by
reference.
|
22
Schedule
4.14
Intellectual
Property
1. Trademarks:
|
A.
|
NextWave
Broadband Inc. Trademarks Applications and Registrations – See Annex A
appended to this schedule.
|
|
B.
|
PacketVideo
Corporation U.S. Trademarks Applications and Registrations – See Annex B
appended to this schedule.
|
|
C.
|
PacketVideo
Corporation Foreign Trademark Applications and Registrations – See Annex C
appended to this schedule.
|
2. Patents:
|
A.
|
PacketVideo
Corporation Patents Applications and Issued Patents – See Annex D appended
to this schedule.
|
3. Trade
Names:
None.
4. Copyrights:
None.
5.
|
IP
Sold:
|
|
A.
|
Asset
Purchase Agreement and Related Transactions dated December 24, 2008 among
IPWireless, Inc, NextWave Wireless LLC and Northrop Grumman Information
Technology, Inc. (containing a license transfer
agreement)
|
|
B.
|
NextWave
Broadband Inc. sold its entire Patent Portfolio to WiLAN Inc. pursuant to
the Patent Sale and Transfer Agreement dated July 16,
2009
|
|
C.
|
License
Agreement dated July 16, 2009 between NextWave Broadband Inc. (Licensee)
and WiLAN Inc. (Licensor)
|
23
Annex A: NextWave
Broadband Inc. Trademark Applications and Registrations
Xxxx
|
Country
|
Application
No.
|
Application
Date
|
Registration
No.
|
Registration
Date
|
Class
|
Status
|
NEXTWAVE
|
US
|
75/078,584
|
Mar-26-1996
|
2,413,339
|
Dec-19-2000
|
09,
35, 42
|
Registered
|
NEXTWAVE
BROADBAND
|
US
|
78/843,093
|
Mar-22-2006
|
09,
36, 38, 42
|
Published
February 2, 2010
|
||
NEXTWAVE
WIRELESS
|
US
|
78/843,098
|
Mar-22-2006
|
09,
36, 38, 42
|
Published
February 2, 2010
|
||
NEXTWAVE
WIRELESS
|
Canada
|
1,317,483
|
Sep-21-2006
|
N/A
|
Abandoned
failure to respond to Office Action
|
||
NW
and Design
|
Canada
|
1351865
|
Jun-15-2007
|
N/A
|
Abandoned
failure to respond to Office Action
|
||
MAXPORT
|
US
|
77/505,912
|
Jun-23-2008
|
09
|
Abandoned
September 7, 2009, did not file SOU
|
||
MXTV
|
US
|
77/505,916
|
Jun-23-2008
|
09
|
Abandoned
September 14, 2009, did not file SOU
|
||
MXTV
|
US
|
77/505,917
|
Jun-23-2008
|
38
|
Abandoned
September 14,2009, did not file SOU
|
On
February 13, 2009 outside counsel was instructed to stop incurring costs in the
following trademarks. Several are currently pending, but at risk of
being abandoned, as we are not responding to Office Actions for pending
applications or paying maintenance fees to maintain registration.
Xxxx
|
Country
|
Application
No.
|
Application
Date
|
Registration
No.
|
Registration
Date
|
Class
|
Status
|
NW
and Design
|
US
|
77/065,799
|
Dec-15-2006
|
09,
36, 38, 42
|
Allowed
10/28/08, SOU due 4/28/09 (abandoned due to nonfiling of
SOU)
|
||
NEXTWAVE
BROADBAND
|
Chile
|
803.168
|
Jan-15-2008
|
821.326
|
Jul-07-2008
|
09
|
Registered
|
24
Xxxx
|
Country
|
Application
No.
|
Application
Date
|
Registration
No.
|
Registration
Date
|
Class
|
Status
|
NEXTWAVE
WIRELESS
|
Chile
|
803.167
|
Jan-15-2008
|
821.325
|
Jul-07-2008
|
09
|
Registered
|
NEXTWAVE
BROADBAND
|
Korea
|
45-2006-0003470
|
Sep-21-2006
|
00-0000000
|
Nov-04-2008
|
00,
00
|
Xxxxxxxxxx
|
XXXXXXXX
XXXXXXXX
|
Xxxxxx
|
000000
|
Sep-21-2006
|
977492
|
Mar-20-2007
|
09
|
Registered
|
NEXTWAVE
BROADBAND
|
Argentina
|
2.799.704
|
Oct-23-2007
|
09
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
Argentina
|
2.799.705
|
Oct-23-2007
|
09
|
Pending*
|
||
NEXTWAVE
BROADBAND
|
Australia
|
1136996
|
Sep-21-2006
|
09,
38, 42
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
Australia
|
1136997
|
Sep-21-2006
|
09,
38, 42
|
Pending*
|
||
NEXTWAVE
BROADBAND
|
Brazil
|
828742650
|
Sep-22-2006
|
09
|
Pending*
|
||
NEXTWAVE
BROADBAND
|
Brazil
|
828742677
|
Sep-22-2006
|
38
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
Brazil
|
828742634
|
Sep-22-2006
|
09
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
Brazil
|
828742642
|
Sep-22-2006
|
00
|
Xxxxxxx*
|
||
XX
and Design
|
Brazil
|
829193952
|
Jun-15-2007
|
09
|
Pending*
|
||
NEXTWAVE
BROADBAND
|
China
|
5624376
|
Sep-22-2006
|
09
|
Pending*
|
||
NEXTWAVE
BROADBAND
|
China
|
5624375
|
Sep-22-2006
|
35
|
Pending*
|
||
NEXTWAVE
BROADBAND
|
China
|
5624374
|
Sep-22-2006
|
38
|
Pending*
|
||
NEXTWAVE
BROADBAND
|
China
|
5624373
|
Sep-22-2006
|
42
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
China
|
5624349
|
Sep-22-2006
|
09
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
China
|
5624348
|
Sep-22-2006
|
35
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
China
|
5624347
|
Sep-22-2006
|
38
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
China
|
5624346
|
Sep-02-2006
|
00
|
Xxxxxxx*
|
||
XX
and Design
|
China
|
6111411
|
Jun-15-2007
|
09
|
Pending*
|
25
Xxxx
|
Country
|
Application
No.
|
Application
Date
|
Registration
No.
|
Registration
Date
|
Class
|
Status
|
NEXTWAVE
BROADBAND
|
Colombia
|
07-118288
|
Nov-08-2007
|
09
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
Colombia
|
07-118284
|
Nov-08-2007
|
00
|
Xxxxxxx*
|
||
XXXXXXXX
XXXXXXXXX
|
XXX
|
0000000
|
Sep-21-2006
|
5331103
|
Dec-07-2007
|
09,
36, 38, 42
|
Pending*
|
NEXTWAVE
XXXXXXXX
|
XXX
|
0000000
|
Sep-21-2006
|
09,
36, 38, 00
|
Xxxxxxx*
|
||
XX
xxx Xxxxxx
|
XXX
|
0000000
|
Jun-15-2007
|
09,
36, 38, 42
|
Pending*
|
||
NEXTWAVE
XXXXXXXX
|
Xxxxx
|
0000000
|
Sep-22-2006
|
09
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
India
|
1490198
|
Sep-22-2006
|
36
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
India
|
1490199
|
Sep-22-2006
|
38
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
India
|
1490200
|
Sep-22-2006
|
00
|
Xxxxxxx*
|
||
XX
and Design
|
India
|
1569035
|
Jun-15-2007
|
09
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
Japan
|
2006-088578
|
Sep-22-2006
|
09,
38, 00
|
Xxxxxxx*
|
||
XX
xxx Xxxxxx
|
Xxxxx
|
0000-000000
|
Jun-15-2007
|
09
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
Korea
|
45-2006-0003471
|
Sep-21-2006
|
07,
09, 00
|
Xxxxxxx*
|
||
XX
and Design
|
Korea
|
40-2007-0032373
|
Jun-15-2007
|
00
|
Xxxxxxx*
|
||
XXXXXXXX
XXXXXXXXX
|
Xxxxxx
|
000000
|
Sep-21-2006
|
978051
|
Mar-20-2007
|
00
|
Xxxxxxx*
|
XXXXXXXX
XXXXXXXXX
|
Xxxxxx
|
000000
|
Sep-21-2006
|
987,113
|
May-31-2007
|
00
|
Xxxxxxx*
|
XXXXXXXX
XXXXXXXXX
|
Xxxxxx
|
000000
|
Sep-21-2006
|
977,493
|
Mar-20-2007
|
00
|
Xxxxxxx*
|
XXXXXXXX
XXXXXXXXX
|
Xxxxxx
|
000000
|
Sep-21-2006
|
979,520
|
Apr-11-2007
|
00
|
Xxxxxxx*
|
XXXXXXXX
XXXXXXXX
|
Xxxxxx
|
000000
|
Sep-21-2006
|
979573
|
Mar-20-2007
|
00
|
Xxxxxxx*
|
XXXXXXXX
XXXXXXXX
|
Xxx
Xxxxxxx
|
755575
|
Sep-21-2006
|
09,
36, 38, 00
|
Xxxxxxx*
|
||
XXXXXXXX
XXXXXXXXX
|
Xxxx
|
000000
|
Oct-25-2007
|
139489
|
Jun-12-2008
|
09
|
Pending*
|
26
Xxxx
|
Country
|
Application
No.
|
Application
Date
|
Registration
No.
|
Registration
Date
|
Class
|
Status
|
NEXTWAVE
BROADBAND
|
Russia
|
Not
yet assigned
|
May-12-2008
|
09
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
Russia
|
Not
yet assigned
|
May-12-2008
|
09
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
Russia
|
2006727132
|
Sep-21-2006
|
36,
38, 00
|
Xxxxxxx*
|
||
XX
and Design
|
Russia
|
Not
yet assigned
|
Jun-15-2007
|
09
|
Pending*
|
||
NEXTWAVE
BROADBAND
|
Taiwan
|
95048280
|
Sep-21-2006
|
1293898
|
Dec-16-2007
|
09,
36, 38, 42
|
Pending*
|
NEXTWAVE
WIRELESS
|
Taiwan
|
95048279
|
Sep-21-2006
|
1293897
|
Dec-16-2007
|
09,
36, 38, 42
|
Pending*
|
IBRIDGE
|
US
|
78/388,758
|
Mar-22-2004
|
38
|
Pending*
|
||
NEXTWAVE
WIRELESS
|
Venezuela
|
25839/07
|
Oct-26-2007
|
00
|
Xxxxxxx*
|
||
XX
xxx Xxxxxx
|
Xxx
Xxxxxxx
|
000000
|
Jun-15-2007
|
770467
|
Dec-20-2007
|
00
|
Xxxxxxxxx
|
XX
xxx Xxxxxx
|
Xxxxxxxxx
|
0000000
|
Jun-15-2007
|
1182405
|
Jun-15-2007
|
09
|
Cancelled
|
*
Currently pending, but at risk of being abandoned. Outside
attorneys were instructed on 02/13/09 to abandon and not respond to office
action.
27
Annex
B: Packet Video US Trademark Applications and
Registrations
Serial
No.
|
Registration
No.
|
Date
Filed
|
Registration
Date
|
Case
No
|
Status
|
Xxxx
|
76/110,915
|
2676209
|
08/17/00
|
01/21/03
|
PVC-T-03-001
|
Renewed
|
PACKETVIDEO
AND DESIGN
|
76/110,916
|
2676210
|
08/17/00
|
01/21/03
|
PVC-T-03-002
|
Renewed
|
PACKETVIDEO
AND DESIGN
|
76/110,917
|
2676211
|
08/17/00
|
01/21/03
|
PVC-T-03-003
|
Renewed
|
PACKETVIDEO
AND DESIGN
|
76/110,919
|
2676212
|
08/17/00
|
01/21/03
|
PVC-T-03-004
|
Renewed
|
OVERLAPPING
RECTANGLES AND CIRCLE DESIGN
|
76/110,920
|
2676213
|
08/17/00
|
01/21/03
|
PVC-T-03-005
|
Renewed
|
OVERLAPPING
RECTANGLES AND CIRCLE DESIGN
|
76/110,921
|
2679613
|
08/17/00
|
01/28/03
|
PVC-T-03-006
|
Renewed
|
OVERLAPPING
RECTANGLES AND CIRCLE DESIGN
|
76/110,914
|
2735177
|
08/17/00
|
07/08/03
|
PVC-T-03-007
|
Renewed
|
PACKETVIDEO
AND DESIGN
|
76/110,918
|
2798240
|
08/17/00
|
12/23/03
|
PVC-T-03-008
|
Renewed
|
OVERLAPPING
RECTANGLES AND CIRCLE DESIGN
|
76/110,922
|
2805921
|
08/17/00
|
01/13/04
|
PVC-T-03-009
|
Renewed
|
PACKETVIDEO
|
76/110,910
|
2830336
|
08/17/00
|
04/06/04
|
PVC-T-03-010
|
Renewed
|
PV
AND DESIGN
|
77/136,596
|
03/21/07
|
PVC-T-07-001
|
Abandoned
|
NINO
|
||
77/143,082
|
03/28/07
|
PVC-T-07-002
|
Abandoned
|
LIBRE
|
||
77/150,384
|
04/06/07
|
PVC-T-07-003
|
Abandoned
|
ELECTRICITY
|
||
77/157,917
|
04/16/07
|
PVC-T-07-004
|
Abandoned
|
TRACKSTAR
|
||
PVC-T-07-005
|
Not
Filed
|
SHOWME
|
||||
77/157,907
|
04/16/07
|
PVC-T-07-006
|
Abandoned
|
SMILE
|
||
77/157,895
|
04/16/07
|
PVC-T-07-007
|
Abandoned
|
RPM
|
||
77/157,823
|
04/16/07
|
PVC-T-07-008
|
Abandoned
|
HOPSCOTCH
|
||
77/163,303
|
04/23/07
|
PVC-T-07-009
|
Abandoned
|
XXXXX
|
||
77/192,349
|
05/29/07
|
PVC-T-07-010
|
Abandoned
|
MUSIC
ON THE RUN
|
||
77/236,296
|
07/23/07
|
PVC-T-07-011
|
Abandoned
|
MIX
TAPE
|
||
77/260,961
|
3577228
|
08/21/07
|
02/24/09
|
PVC-T-07-012
|
Registered
|
MEDIA
FUSION
|
PVC-T-07-013
|
Not
Filed
|
TURNTABLE
|
||||
PVC-T-07-014
|
Not
Filed
|
ALL-AROUND
|
||||
77/286,796
|
3581313
|
09/24/07
|
02/24/09
|
PVC-T-07-015
|
Registered
|
TWONKY
|
77/286,806
|
09/24/07
|
PVC-T-07-016
|
SOU
req’d
|
SMART
MUSIC
|
||
77/286,864
|
09/24/07
|
PVC-T-07-017
|
Abandoned
|
SMART
ROCK
|
||
77/294,716
|
10/03/07
|
PVC-T-07-018
|
Abandoned
|
PVCONNECT
|
||
77/294,069
|
10/02/07
|
PVC-T-07-019
|
Abandoned
|
PVCONNECT
DESIGN
|
||
77/294,716
|
12/14/07
|
PVC-T-07-020
|
Abandoned
|
SCIFI
|
||
PVC-T-07-021
|
Not
Filed
|
FRIDGER
|
||||
PVC-T-08-001
|
Not
Filed
|
ASTRO
|
||||
77/402,433
|
02/21/08
|
PVC-T-08-002
|
Abandoned
|
MEDIATOUCH
|
||
PVC-T-08-003
|
Not
Filed
|
ATTO
|
||||
77/430,988
|
03/25/08
|
PVC-T-08-004
|
SOU
req’d
|
TELLY
|
||
77/489,781
|
06/03/08
|
PVC-T-08-005
|
SOU
req’d
|
TELLY
DESIGN
|
||
PVC-T-08-006
|
Not
Filed
|
ALBUM
ART VIEW
|
||||
PVC-T-08-007
|
Not
Filed
|
THUMBNAIL
VIEW
|
||||
PVC-T-08-008
|
Not
Filed
|
ULTRAFAST
CHANNEL SWITCHING
|
||||
77/702,387
|
03/30/09
|
PVC-T-09-001
|
Suspended
|
ARTE
|
||
77/704/099
|
04/01/09
|
PVC-T-09-002
|
Published
|
SDC
|
||
77/802,789
|
08/12/09
|
PVC-T-09-003
|
Published
|
LIBERATING
MEDIA
|
||
PVC-T-09-004
|
Not
Filed
|
TWONKYREMOTE
|
||||
PVC-T-09-005
|
Not
Filed
|
TWONKYMEDIABEAM
|
||||
77/825,866
|
09/14/09
|
PVC-T-09-006
|
Published
|
TWONKYBEAM
|
||
77/899,041
|
12/22/09
|
PVC-T-09-007
|
Pending
|
MUSIC
MESSAGE
|
||
PVC-T-10-001
|
Not
Filed
|
BEAM
|
28
Annex
C: PacketVideo Corporation Foreign Trademark Applications and
Registrations
GT
REF
|
Country
|
Trademark
|
Int’l
Classes
|
Status
|
Appl
No.
|
Appl
Date
|
Reg
No.
|
Reg
Date
|
Next
Renewal Due
|
Agent
|
Owner
|
001313/CTM
|
European
Union
|
PVAUTHOR
|
9
|
Inactive
|
1
728 518
|
28-Jun-00
|
N/A
|
28-Jun-10
|
28-Jun-10
|
Lovells
Boesebeck Droste
|
PacketVideo
Corporation
|
001304/MX
|
Mexico
|
PACKETVIDEO
|
9
|
Inactive
|
435259
|
7-Jul-00
|
666987
|
7-Jul-00
|
7-Jul-10
|
Xxxxxxxx
& Cia, S.C.
|
PacketVideo
Corporation
|
3405/001306/MX
|
Mexico
|
PVAUTHOR
|
9
|
Inactive
|
435256
|
7-Jul-00
|
677060
|
7-Jul-00
|
7-Jul-10
|
Xxxxxxxx
& Cia, S.C.
|
PacketVideo
Corporation
|
3405/001307/MX
|
Mexico
|
PVPLAYER
|
9
|
Inactive
|
435257
|
7-Jul-00
|
676140
|
7-Jul-00
|
7-Jul-10
|
Xxxxxxxx
& Cia, S.C.
|
PacketVideo
Corporation
|
3405/002205/MX
|
Mexico
|
PACKETVIDEO
|
38
|
Inactive
|
435258
|
7-Jul-00
|
666988
|
28-Jul-00
|
7-Jul-10
|
Xxxxxxxx
& Cia, S.C.
|
PacketVideo
Corporation
|
053630-011200/CTM
|
European
Union
|
PACKETVIDEO
|
42,
9, 35, 38
|
Inactive
|
1755628
|
13-Jul-00
|
1,755,628
|
24-Sep-01
|
31-Jul-10
|
Lovells
Boesebeck Droste
|
PacketVideo
Corporation
|
053630-013400/CTM
|
European
Union
|
PV
& Design
|
38,
9, 42
|
Inactive
|
2091478
|
16-Feb-01
|
2091478
|
23-Oct-03
|
28-Feb-11
|
X.X.
Xxxxxxxxx
|
PacketVideo
Corporation
|
053630-013600/CTM
|
European
Union
|
PACKETVIDEO
& Design
|
42,
38, 9
|
Inactive
|
2092062
|
16-Feb-01
|
2092062
|
2-Jul-03
|
28-Feb-11
|
X.X.
Xxxxxxxxx
|
PacketVideo
Corporation
|
000000/XX
|
Xxxxx
|
PVPLAYER
|
9
|
Inactive
|
67020/2000
|
16-Jun-00
|
067020/2000
|
9-Mar-01
|
0-Xxx-00
|
Xxxxx
& Xx.
|
XxxxxxXxxxx
Xxxxxxxxxxx
|
000000/XX
|
Xxxxx
|
PVAUTHOR
|
9
|
Inactive
|
67016/2000
|
16-Jun-00
|
4482029
|
15-Jun-01
|
15-Jun-11
|
Kohno
& Co.
|
PacketVideo
Corporation
|
001341/KR
|
Korea
(South)
|
PVAUTHOR
|
9
|
Inactive
|
2000-24237
|
22-May-00
|
501014
|
11-Sep-01
|
11-Sep-11
|
Central
International Law Firm
|
PacketVideo
Corporation
|
001342/KR
|
Korea
(South)
|
PVPLAYER
|
9
|
Inactive
|
2000-24238
|
22-May-00
|
501015
|
11-Sep-01
|
11-Sep-11
|
Central
International Law Firm
|
PacketVideo
Corporation
|
001339/KR
|
Korea
(South)
|
PACKETVIDEO
|
38,
35, 9, 42
|
Inactive
|
2000-2473
|
22-May-00
|
4655
|
6-Feb-02
|
6-Feb-12
|
Central
International Law Firm
|
PacketVideo
Corporation
|
010125/KR
|
Korea
(South)
|
PACKETVIDEO
& Design
|
38,
9
|
Inactive
|
2001-587
|
16-Feb-01
|
4886
|
11-Mar-02
|
11-Mar-12
|
Central
International Law Firm
|
PacketVideo
Corporation
|
053630-012100/JP
|
Japan
|
PACKETVIDEO
|
9
|
Inactive
|
76881/2000
|
11-Jul-00
|
4638588
|
24-Jan-03
|
24-Jan-13
|
Kohno
& Co.
|
PacketVideo
Corporation
|
053630-013100
|
Japan
|
PACKETVIDEO
& Design
|
38,
9
|
Inactive
|
12961/2001
|
16-Feb-01
|
4650449
|
7-Mar-03
|
0-Xxx-00
|
Xxxxx
& Xx.
|
XxxxxxXxxxx
Xxxxxxxxxxx
|
000000-000000/XX
|
Xxxxx
|
PV
& Design
|
9,
38
|
Inactive
|
12972/2001
|
16-Feb-01
|
4650450
|
0-Xxx-00
|
0-Xxx-00
|
Xxxxx
& Co.
|
PacketVideo
Corporation
|
29
Annex
D: PacketVideo Corporation Patents Applications and Issued
Patents
PacketVideo
Corp. Status Report Regarding Issued Patents, Pending U.S. Applications
(Provisional and Non-Provisional) and Pending PCT Applications - UPDATED
3123/10
Non-Prov.
Ser.
No.
|
Patent
No.
|
Filing
Xxxx
|
Issue
Date
|
Atty.
Docket No.
|
Status
|
Prov.
Ser. No.
|
Filing
Date
|
Atty.
Docket No.
|
Status
|
Inventor(s)
|
Conversion
Deadline
|
Title
|
Atty
Docket No.
(FOREIGN)
|
National’z
|
Int’l
App. No.
|
|
6,167,092
|
08/12/99
|
12/26/00
|
MLI-P-99-004
|
Issued
|
Lengwehasatit
|
METHOD
AND DEVICE FOR VARIABLE COMPLEXITY DECODING…
|
||||||||||
6,498,865
|
02/11/99
|
12/24/02
|
MLI-P-99-001
|
Issued
|
Brailean
et al
|
METHOD
AND DEVICE FOR CONTROL AND COMPATIBLE DELIVERY OF DIGITALLY COMPRESSED
VISIUAL DATA IN A…
|
||||||||||
6,529,552
|
02/15/00
|
03/04/03
|
MLI-P-99-003
|
Issued
|
Tsai
et al
|
METHOD
AND DEVICE FOR TRNSMISSION OF A VARIABLE BIT-RATE
|
||||||||||
60/218,096
|
07/13/00
|
PVC-P-00-003
|
Conv’d
|
Jianglao
Wen
|
ERROR
RESILIENT ACCESS
CONTROL…
|
|||||||||||
10/155,394
|
05/24/02
|
PVC-P-01-001
|
Transf’d
|
Xxxxx
Xxxxxx
|
METHOD
FOR GUARANTEED DELIVERY OF MULTIMEDIA CONTENT…
|
|||||||||||
PVC-P-01-002
|
Aban’d
|
n/a
|
DEVICE
FOR MOTION
COMPENSATED
VIDEO
ENCODING…
|
|||||||||||||
60/394,694
|
07/09/02
|
PVC-P-01-003
|
Aban’d
|
n/a
|
METHOD
AND APPARATUS FOR CONSTANT QUALITY BASED VIDEO RATE
CONTROL
|
|||||||||||
11/483,036
|
07/07/06
|
PVC-P-06-006
|
Pending
|
60/698,107
|
07/11/05
|
PVC-P-05-002
|
Conv’x
|
Xxxx
et al.
|
SYSTEM
AND METHOD FOR TRANSMITTING DATA
|
PVC-P-06-006:
PCT
|
China,
EPO, Japan
|
PCT/US2006/026573
|
||||
11/496,220
|
08/02/06
|
PVC-P-06-007
|
Allowed
|
60/719,381
|
09/22/05
|
PVC-P-05-003
|
Conv’d
|
Chan
et al.
|
A
SYSTEM AND A METHOD
FOR
TRANSFERRING
MULTIPLE
DATA CHANNELS
|
PVC-P-06-007:
PCT
|
Australia,
Canada, China, EPO, Japan
|
PCT/US2006/034536
|
30
11/581,526
|
10/16/06
|
PVC-P-06-010
|
Pending
|
60/727,911
|
10/18/05
|
PVC-P-05-005
|
Conv’x
|
Xxxxxxxx
|
SYSTEM
AND METHOD FOR CONTROLLING AND/OR FOR MANAGING METADATA OF
MULTIMEDIA
|
PVC-P-06-010:
PCT
|
NONE
|
PCT/US2006/040320
|
||||
11/581,306
|
10/16/06
|
PVC-P-06-009
|
Pending
|
60/736,410
|
11/14/05
|
PVC-P-05-006
|
Conv’x
|
Xxxxxxxx
|
ACCESSING
ELECTRONIC PROGRAM GUIDE INFORMATION AND MEDIA CONTENT FROM MULTIPLE
LOCATIONS USING MOBILE DEVICES
|
PVC-P-06-009:
PCT
|
EPO
|
PCT/US2006/042409
|
||||
11/707,515
|
02/16/07
|
PVC-P-07-004
|
Pending
|
60/786,749
|
03/28/06
|
PVC-P-05-007
|
Conv’x
|
Xxxxxxxx
|
03/28/07
|
SYSTEM
AND METHOD FOR TRANSFERRING INFORMATION BETWEEN TERMINALS
|
PVC-P-07-004:
PCT
|
NONE
|
PCT/US2007/007356
|
|||
11/729,689
|
03/28/07
|
PVC-P-07-005
|
Pending
|
60/786,974
|
03/29/06
|
PVC-P-05-008
|
Conv’d
|
Sherwood
et al.
|
03/29/07
|
SYSTEM
AND METHOD FOR SECURING CONTENT RATINGS
|
PVC-P-07-005:
PCT
|
NONE
|
PCT/US2007/007498
|
|||
11/704,054
|
02/08/07
|
PVC-P-06-011
|
Pending
|
60/772,161
|
02/10/06
|
PVC-P-05-009
|
Conv’x
|
Xxxx
|
02/10/07
|
SYSTEM
AND METHOD FOR CONNECTING MOBILE DEVICES
|
PVC-P-06-011:
PCT
|
EPO
|
PCT/US2007/003436
|
|||
11/807,865
|
05/30/07
|
PVC-P-07-008
|
Pending
|
60/836,828
|
08/10/06
|
PVC-P-06-001
|
Conv’d
|
Yitiz
|
08/10/07
|
SYSTEM
AND METHOD FOR INTELLIGENT MEDIA RECORDING AND PLAYBACK ON A MOBILE
DEVICE
|
PVC-P-07-008:
PCT
|
NONE
|
PCT/US2007/020574
|
|||
11/706,785
|
7493106
|
02/14/07
|
02/17/09
|
PVC-P-07-001
|
Issued
|
60/783,282
|
03/17/06
|
PVC-P-06-002
|
Conv’x
|
Xxxxxxxx
|
03/17/07
|
SYSTEM
AND METHOD FOR DELIVERING MEDIA CONTENT BASED ON A CONTENT
SUBSCRIPTION
|
PVC-P-07-001:
PCT
|
NONE
|
PCT/US2007/006602
|
|
11/706,480
|
02/15/07
|
PVC
P-07-002
|
Pending
|
60/786,221
|
03/27/06
|
PVC-P-06-003
|
Conv’x
|
Xxxxxxxx
|
03/27/07
|
SYSTEM
AND METHOD FOR IDENTIFYING COMMON MEDIA CONTENT
|
PVC-P-07-002:
PCT
|
NONE
|
PCT/US2007/007324
|
|||
11/706,481
|
02/15/07
|
PVC-P-07-003
|
Aban'd
|
60/786,222
|
03/27/06
|
PVC-P-06-004
|
Conv’x
|
Xxxxxxxx
|
03/27/07
|
SYSTEM
AND METHOD FOR ACCESSING ELECTRONIC PROGRAM GUIDE
INFORMATION
|
PVC-P-07-003:
PCT
|
EPO
(Aban’d)
|
PCT/US2007/007345
|
|||
11/890,745
|
08/07/07
|
PVC-P-07-009
|
Pending
|
60/837,370
|
08/11/06
|
PVC-P-06-005
|
Conv’d
|
Sherwood
|
08/07/07
|
SYSTEM
AND METHOD FOR TRANSMITTING AND RECEIVING MULTIMEDIA
|
PVC-P-07-009:
PCT
|
NONE
|
PCT/US2007/017554
|
31
11/973,477
|
10/09/07
|
PVC-P7-014
|
Pending
|
60/851,355
|
10/12/06
|
PVC-P-06-008
|
Conv’x
|
Xxxxxxxx
|
10/09/07
|
SYSTEM
AND METHOD FOR CREATING MULTIMEDIA RENDEZVOUS POINTS FOR MOBILE
DEVICES
|
PVC-P-07-014:PCT
|
NONE
|
PCT/US2007/021516
|
|||
12/315,667
|
12/05/08
|
PVC-P-08-0088-
|
Pending
|
61/007,343
|
12/12/07
|
PVC-P-07-006
|
Conv’x
|
Xxxxxxxx
et al
|
12/12/08
|
SYSTEM
AND METHOD FOR CREATING METADATA
|
PVC-P-08-008:PCT
|
06/12/10
|
PCT/US2008/013382
|
|||
12/315,536
|
12/04/08
|
PVC-P-08-009
|
Pending
|
61/007,408
|
12/12/07
|
PVC-P-07-007
|
Conv’x
|
Xxxxxxx
et al.
|
12/12/08
|
SYSTEM
AND METHOD FOR GENERATING A RECOMMENDA-TION ON A MOBILE
DEVICE
|
PVC-P-08-009:PCT
|
06/12/10
|
PCT/US2009/013347
|
|||
12/283,087
|
08/20/08
|
PVC-P-08-005
|
Pending
|
60/993,393
|
09/11/07
|
PVC-P-07-012
|
Conv’x
|
Xxxxxxxx
|
09/11/08
|
SYSTEM
AND METHOD FOR VIRTUAL STORAGE FOR MEDIA SERVICE ON A PORTABLE
DEVICE
|
PVC-P-08-005:PCT
|
EPO
|
PCT/US2008/010514
|
|||
12/228,475
|
08/13/08
|
PVC-P-08-004
|
Pending
|
60/965,721
|
08/21/07
|
PVC-P-07-013
|
Conv’x
|
Xxxxxxxx
|
08/21/08
|
MOBILE
MEDIA ROUTER AND METHOD FOR USING SAME
|
PVC-P-08-004-PCT
|
EPO,
Japan
|
PCT/US2008/009678
|
|||
29/307,342
|
04/15/08
|
PVC-P-08-001
|
Reg
in
EU,
Pending
US
|
Xxxxxxx
et al.
|
N/A
(DESIGN)
|
TELEVISION
RECEIVER FOR MOBILE TELEPHONE
|
PVC-P-08-001:EU
|
EU
|
Reg.
No. 000946934-0001
|
|||||||
12/381,052
|
03/06/09
|
PVC-P-09-002
|
Pending
|
61/069,053
|
03/12/08
|
PVC-P-08-002
|
Conv’x
|
Xxxx
et al.
|
03/12/09
|
SYSTEM
AND METHOD FOR REFORMATTING MULTMEDIA
|
PVC-P-09-002:PCT
|
Taiwan
|
PCT/US2009/001476
|
|||
12/383,870
|
03/30/09
|
PVC-P-09-003
|
Pending
|
61/072,426
|
03/31/08
|
PVC-P-08-003
|
Conv’x
|
Xxxxxxxx
et al.
|
03/31/09
|
SYSTEM
AND METHOD FOR MANAGING CONTROLLING AND/OR RENDERING MEDIA IN A
NETWORK
|
PVC-P-09-003:PCT
|
Taiwan
|
PCT/US2009/001964
|
|||
12/284,948
|
09/26/08
|
PVC-P-08-006
|
Pending
|
60/993,393
|
09/26/07
|
PVC-P-07-010
|
Conv’d
|
Al
Shaykh et al.
|
09/26/08
|
SYSTEM
AND METHOD FOR RECEIVING BROADCAST MULTIMEDIA ON A MOBILE
DEVICE
|
PVC-P-08-006:PCT
|
EPO,
China, Japan, Taiwan
|
PCT/US2008/011152
|
|||
12/287,442
|
10/29/08
|
PVC-P-08-007
|
Pending
|
Gran
et al.
|
SYSTEM
AND METHOD FOR CONTROLLING MEDIA RENDERING IN A NETWORK USING A MOBILE
DEVICE
|
PVC-P-08-007:PCT
|
04/09/11
|
PCT/US2008/012280
|
32
12/592,838
|
12/03/09
|
PVC-P-09-006
|
Pending
|
61/200,801
|
12/10/08
|
PVC-P-08-010
|
Pending
|
Xxxxxxxx
et al.
|
12/10/09
|
SYSTEM
AND METHOD FOR BROWSING, SELECTING AND/OR CONTROLLING RENDERING OF MEDIA
WITH A MOBILE DEVICE
|
PVC-P-09-006:PCT
|
06/04/11
|
PCT/US2009/006339
|
|||
12/658,470
|
02/09/10
|
PVC-P-09-009
|
Pending
|
61/207,381
|
02/11/09
|
PVC-P-09-001
|
Pending
|
Luessi
et al.
|
02/11/10
|
SYSTEM
AND METHOD FOR FRAME INTEROLATION FOR A COMPRESSED VIDEO
BITSTREAM
|
PVC-P-09-009:PCT
|
08/11/12
|
PCT/US2010/00353
|
|||
12/459,090
|
06/26/09
|
PVC-P-09-004
|
Pending
|
Al
Shaykh et al.
|
SYSTEM
AND METHOD FOR MANAGING AND/OR RENDERING INTERNET MULTIMEDIA CONTENT IN A
NETWORK
|
|||||||||||
61/275,950
|
09/04/09
|
PVC-P-09-005
|
Pending
|
Xxxxxxxx
et al.
|
09/04/10
|
SYSTEM
AND METHOD FOR MANAGING INTERNET MEDIA CONTENT
|
||||||||||
12/590,972
|
11/17/09
|
PVC-P-09-007
|
Pending
|
Con’t
of
06-007
|
Chan
et al.
|
A
SYSTEM AND A METHOD FOR TRANSFERRING MULTIPLE DATA
CHANNELS
|
||||||||||
61/283,423
|
12/03/09
|
PVC-P-09-008
|
Pending
|
Al-Shaykh
et al
|
12/03/10
|
SYSTEM
AND METHOD FOR TRANSFERRING MEDIA CONTENT FROM A MOBILE DEVICE TO A HOME
NETWORK
|
||||||||||
12/657,802
|
01/28/10
|
PVC-P-09-010
|
Pending
|
Xxxxx
et al.
|
SYSTEM
AND METHOD FOR REQUESTING RETRIEVING AND/OR ASSOCIATING CONTACT
IMAGES
|
33
Schedule
4.15
Claims and
Proceedings
1.
|
On
September 16, 2008, a putative class action lawsuit, captioned “Xxxxxx
Xxxxxxxxx, On Behalf of Herself and All Others Similarly Situated,
Plaintiff, v. NextWave Wireless Inc., Xxxxx Xxxxxxx, Xxxxxx X. Xxxx and
Xxxxx Xxxxxx, Defendants,” was filed in the U.S. District Court for the
Southern District of California against Parent and certain of Parent’s
officers. The suit alleges that the defendants made false and misleading
statements and/or omissions in violation of Sections 10(b) and 20(a) of
the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and
Rule 10b-5 promulgated thereunder. The suit seeks unspecified damages,
interest, costs, attorneys’ fees, and injunctive, equitable or other
relief on behalf of a purported class of purchasers of our common stock
during the period from March 30, 2007 to August 7, 2008. A second putative
class action lawsuit captioned “Xxxxxxxx et al. v. NextWave Wireless Inc.
et al.” was filed on October 21, 2008 alleging the same claims on behalf
of purchasers of Parent’s common stock during an extended class period,
from November 27, 2006 through August 7, 2008. On February 24, 2009, the
Court issued an Order consolidating the two cases and appointing a lead
plaintiff pursuant to the Private Securities Litigation Reform Act. On May
15, 2009, the lead plaintiff filed an Amended Complaint, and on June 29,
2009, Parent filed a Motion to Dismiss that Amended Complaint. On March 5,
2010, the Court Granted Parent’s Motion to Dismiss without prejudice and
permitted the lead plaintiff 21 days from the date of the Order to file an
Amended Complaint. On March 26, 2010, lead plaintiff filed a
Second Amended Consolidated Complaint. On April 30, 2010, NextWave filed
a Motion to Dismiss the Second Amended Consolidated Complaint.
.
|
2.
|
On
September 28, 2008, the Parent’s wholly-owned subsidiary, GO Networks,
Inc. (the “Applicant”), submitted an application pursuant to Chapter 12 of
the Israeli Companies Ordinance, 1983-5743 (the “Israeli Companies
Ordinance”) with the Tel Aviv District Court (the "Court") requesting the
appointment of a permanent liquidator for the purpose of effecting a
court-supervised liquidation of GO Networks Ltd. On January 14,
2009, the court issued an order for the permanent liquidation of GO
Networks Ltd and appointed Xxxxx Xxxxxx as the interim
liquidator. On February 24, 2009, the Applicant sold its
intellectual property and customer contracts, along with the obligation to
provide warranty support, to the same buyer who purchased the GO Networks
Ltd assets from the GO Networks Ltd
liquidation.
|
3.
|
On
September 8, 2008, the Financial Industry Regulatory Authority (FINRA)
issued a letter requesting information from the Parent in connection with
its second quarter financial report and subsequent drop in its stock
price. On February 25, 2009, FINRA concluded its investigation
and referred the matter to the Securities and Exchange Commission (the
“SEC”). On August 20, 2009, the SEC issued a records subpoena
to Parent’s Custodian of Records, and on October 23, 2009, Parent
completed its response to the SEC. No further requests have
been received at this time.
|
FCC Litigation/Adverse
Facts
Please
refer to the FCC Litigation/Adverse Facts portion of Schedule 4.13 which is
incorporated by reference
Schedule
4.18
Affiliate
Transactions
The
Company’s Form 10-K filed on April 2, 2010 and the Company’s Form 10-Q filed on
May 18, 2010 are incorporated herein by reference.
Schedule
4.21
Qualified Plans and
Multiemployer Plans
1. NextWave
Broadband, Inc. 401(k) Retirement and Savings Plan.
2. NextWave
Broadband, Inc. Welfare Benefits Plan.
Schedule
4.22
Certain
Fees
1.
|
The
Company has engaged Moelis & Company LLC (“Moelis”) pursuant to an
engagement letter dated December 28, 2009 to act as the Company’s
financial advisor to, among other things, restructure its outstanding
financial obligations, including the Notes. Moelis’ fees for
such engagement are set forth in the engagement
letter.
|
Schedule
4.23
Environmental
Matters
None.
Schedule
4.26
Indebtedness
Long
Term Obligations
(in
thousands)
|
||||||||
April
3, 2010
|
January
2, 2010
|
|||||||
15%
Senior Secured Notes due July 2011, net of unamortized discounts of $8,307
and $6,177 at April 3, 2010 and January 2, 2010,
respectively
|
$ | 170,051 | $ | 162,076 | ||||
15%
Senior-Subordinated Secured Second Lien Notes due November 2011, net of
unamortized discounts of $14,016 and $13,182 at April 3, 2010 and January
2, 2010, respectively
|
135,431 | 127,573 | ||||||
12%
Third Lien Subordinated Secured Convertible Notes due December 2011, net
of unamortized discounts of $164,623 and $134,230 at April 3, 2010 and
January 2, 2010, respectively
|
383,843 | 389,869 | ||||||
Wireless
spectrum leases, net of unamortized discounts of $15,973 and $16,556 at
April 3, 2010 and January 2, 2010, respectively; expiring from 2011
through 2036 with one to five renewal options ranging from 10 to 15 years
each
|
22,673 | 25,768 | ||||||
Collateralized
non-recourse bank loan with interest at 30-day LIBOR plus 0.25%; principal
and interest due upon sale of auction rate securities; secured by auction
rate securities
|
21,376 | 21,406 | ||||||
Other
|
1,523 | 1,412 | ||||||
Long-term
obligations
|
734,897 | 728,104 | ||||||
Less
current portion
|
(86,222 | ) | (86,154 | ) | ||||
Long-term
portion
|
$ | 648,675 | $ | 641,950 |
Schedule
4.32
Subsidiary
Rights
1.
|
Pursuant
to the Stockholder’s Agreement with Docomo, PacketVideo Corporation is
restricted from paying dividends to NextWave without consent of NTT
DoCoMo, Inc.
|