Contract
EXHIBIT
4.2
THIS
SECURITY AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION OF THIS
SECURITY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED
(THE “SECURITIES
ACT”),
OR
ANY STATE SECURITIES LAWS. NEITHER THIS SECURITY, THE SHARES OF COMMON STOCK
ISSUABLE UPON CONVERSION OF THIS SECURITY NOR ANY INTEREST OR PARTICIPATION
HEREIN OR THEREIN MAY BE REOFFERED, SOLD, ASSIGNED, TRANSFERRED, PLEDGED,
ENCUMBERED OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR
UNLESS SUCH TRANSACTION IS EXEMPT FROM, OR NOT SUBJECT TO, REGISTRATION UNDER
THE SECURITIES ACT.
BY
ITS
ACQUISITION HEREOF, THE HOLDER AGREES TO OFFER, SELL OR OTHERWISE TRANSFER
THIS
SECURITY PRIOR TO THE DATE THAT IS TWO YEARS AFTER THE LATER OF THE ORIGINAL
ISSUE DATE HEREOF AND THE LAST DATE ON WHICH JDS UNIPHASE CORPORATION (THE
“COMPANY”)
OR ANY
AFFILIATE OF THE COMPANY WAS THE OWNER OF THIS SECURITY (OR ANY PREDECESSOR
OF
THIS SECURITY) (THE “RESALE
RESTRICTION TERMINATION DATE”)
ONLY
(A) TO THE COMPANY OR ANY SUBSIDIARY THEREOF, (B) PURSUANT TO A REGISTRATION
STATEMENT WHICH HAS BEEN DECLARED EFFECTIVE UNDER THE SECURITIES ACT, (C)
FOR SO
LONG AS THE SECURITIES ARE ELIGIBLE FOR RESALE PURSUANT TO RULE 144A, TO
A
PERSON IT REASONABLY BELIEVES IS A QUALIFIED INSTITUTIONAL BUYER AS DEFINED
IN
RULE 144A THAT PURCHASES FOR ITS OWN ACCOUNT OR FOR THE ACCOUNT OF A QUALIFIED
INSTITUTIONAL BUYER TO WHOM NOTICE IS GIVEN THAT THE TRANSFER IS BEING MADE
IN
RELIANCE ON RULE 144A, OR (D) PURSUANT TO ANY OTHER AVAILABLE EXEMPTION FROM
THE
REGISTRATION REQUIREMENTS OF THE SECURITIES ACT, SUBJECT TO THE COMPANY’S AND
THE TRUSTEE’S RIGHT PRIOR TO ANY SUCH OFFER, SALE OR TRANSFER PURSUANT TO CLAUSE
(D) PRIOR TO THE RESALE RESTRICTION TERMINATION DATE TO REQUIRE THE DELIVERY
OF
AN OPINION OF COUNSEL, CERTIFICATIONS AND/OR OTHER INFORMATION SATISFACTORY
TO
EACH OF THEM, AND IN EACH OF THE FOREGOING CASES, TO REQUIRE THAT A CERTIFICATE
OF TRANSFER IN THE FORM APPEARING ON THE OTHER SIDE OF THIS SECURITY IS
COMPLETED AND DELIVERED BY THE TRANSFEROR TO THE TRUSTEE. THIS LEGEND WILL
BE
REMOVED UPON THE REQUEST OF THE HOLDER AFTER THE RESALE RESTRICTION TERMINATION
DATE.
THIS
SECURITY AND ANY RELATED DOCUMENTATION MAY BE AMENDED OR SUPPLEMENTED FROM
TIME
TO TIME TO MODIFY THE RESTRICTIONS ON AND PROCEDURES FOR RESALES AND OTHER
TRANSFERS OF THIS SECURITY TO REFLECT ANY CHANGE IN APPLICABLE LAW OR REGULATION
(OR THE INTERPRETATION THEREOF) OR IN PRACTICES RELATING TO THE RESALE OR
TRANSFER OF RESTRICTED SECURITIES GENERALLY. THE HOLDER OF THIS SECURITY
SHALL
BE DEEMED BY THE ACCEPTANCE OF THIS SECURITY TO HAVE AGREED TO ANY SUCH
AMENDMENT OR SUPPLEMENT.
THE
HOLDER OF THIS SECURITY IS SUBJECT TO, AND ENTITLED TO THE BENEFITS OF, A
REGISTRATION RIGHTS AGREEMENT, DATED AS OF MAY 17, 2006,
ENTERED
INTO BY THE COMPANY FOR THE BENEFIT OF CERTAIN HOLDERS OF SECURITIES FROM
TIME
TO TIME.
THIS
SECURITY IS A GLOBAL SECURITY WITHIN THE MEANING OF THE INDENTURE HEREINAFTER
REFERRED TO AND IS REGISTERED IN THE NAME OF A DEPOSITARY OR A NOMINEE THEREOF.
THIS SECURITY MAY NOT BE EXCHANGED IN WHOLE OR IN PART FOR A SECURITY
REGISTERED, AND NO TRANSFER OF THIS SECURITY IN WHOLE OR IN PART MAY BE
REGISTERED, IN THE NAME OF ANY PERSON OTHER THAN SUCH DEPOSITARY OR A NOMINEE
THEREOF, EXCEPT IN THE LIMITED CIRCUMSTANCES DESCRIBED IN THE
INDENTURE.
UNLESS
THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY
TRUST COMPANY (“DTC”),
A NEW
YORK CORPORATION, TO THE COMPANY OR ITS AGENT FOR REGISTRATION OF TRANSFER,
EXCHANGE OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME
OF
CEDE & CO. OR IN SUCH OTHER NAME AS IS REQUESTED BY AN AUTHORIZED
REPRESENTATIVE OF DTC (AND ANY PAYMENT IS MADE TO CEDE & CO. OR TO SUCH
OTHER ENTITY AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC), ANY
TRANSFER, PLEDGE OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY
PERSON
IS WRONGFUL IN AS MUCH AS THE REGISTERED OWNER HEREOF, CEDE & CO., HAS AN
INTEREST HEREIN.
JDS
UNIPHASE CORPORATION
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1.00%
Senior Convertible Notes due 2026
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Xx.
0
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XXXXX
XX. 00000X AC 5
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U.S.
$50,000,000
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JDS
Uniphase Corporation, a corporation duly organized and validly existing under
the laws of the State of Delaware (herein called the “Company”,
which
term includes any successor corporation under the Indenture referred to on
the
reverse hereof), for value received hereby promises to pay to CEDE & CO., as
nominee for The Depository Trust Company, or registered assigns, the principal
sum of FIFTY MILLION United States Dollars ($50,000,000)(which amount may
from
time to time be increased or decreased by adjustments made on the records
of the
Trustee, as custodian for the Depositary, in accordance with the rules and
procedures of the Depositary) on May 15, 2026. Payment of the principal of
this
Security shall be made by check mailed to the address of the Holder of this
Security specified in the register of Securities, or, at the option of the
Holder of this Security, at the Corporate Trust Office, in such lawful money
of
the United States of America as at the time of payment shall be legal tender
for
the payment of public and private debts. The Issue Date of this Security
is June
5, 2006, provided, however that Interest shall accrue hereon from May 17,
2006.
Reference
is made to the further provisions of this Security set forth on the reverse
hereof, including, without limitation, provisions giving the Holder of this
Security the right to convert this Security in certain circumstances and
the
right to require the Company to repurchase this Security upon certain events
on
the terms and subject to the limitations referred to on the reverse hereof
and
as more fully specified in the Indenture. Such further provisions shall for
all
purposes have the same effect as though fully set forth at this
place.
This
Security shall be deemed to be a contract made under the laws of the State
of
New York, and for all purposes shall be construed in accordance with and
governed by the laws of said State.
This
Security shall not be valid or become obligatory for any purpose until the
certificate of authentication hereon shall have been manually signed by the
Trustee or a duly authorized authenticating agent under the
Indenture.
IN
WITNESS WHEREOF, the Company has caused this instrument to be duly
executed.
JDS
UNIPHASE CORPORATION
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By:_____________________________________
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Authorized
Signatory
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Attest:
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By:
_________________________
Authorized
Signatory
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This
is
one of the Securities referred to in the within-mentioned
Indenture.
Dated:_________________
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THE
BANK OF NEW YORK TRUST COMPANY, N.A., as Trustee
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By:__________________________________
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Authorized
Signatory
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[REVERSE
OF SECURITY]
This
Security is one of a duly authorized issue of Securities of the Company,
designated as its 1.00% Senior Convertible Notes due 2026 (herein called
the
“Securities”),
all
issued or to be issued under and pursuant to an Indenture dated as of May
17,
2006 (herein called the “Indenture”),
between the Company and The Bank of New York Trust Company, N.A. (herein
called
the “Trustee”),
to
which Indenture and all indentures supplemental thereto reference is hereby
made
for a description of the rights, limitations of rights, obligations, duties
and
immunities thereunder of the Trustee, the Company and the Holders of the
Securities.
The
indebtedness evidenced by the Securities is unsecured and unsubordinated
indebtedness of the Company and ranks equally with the Company’s other unsecured
and unsubordinated indebtedness.
Interest.
The
Company, promises to pay interest on the principal amount of this Security
at
the rate of 1.00% per annum. The Company will pay interest semiannually on
May
15 and November 15 of each year commencing on November 15, 2006.
Interest
will be paid to the person in whose name a Security is registered at the
close
of business on May 1 and November 1, as the case may be, immediately preceding
the relevant interest payment date. Interest will be computed on the basis
of a
360-day year of twelve 30-day months.
The
Holder of this Security after 5:00 p.m., New York City time, on a Regular
Record
Date shall be entitled to receive interest (including any Additional Interest
Amount), on this Security on the corresponding interest payment date. The
Holder
of this Security after 5:00 p.m., New York City time, on a Regular Record
Date
will receive payment of interest (including any Additional Interest Amount)
payable on the corresponding interest payment date notwithstanding the
conversion of this Security at any time after the close of business on such
Regular Record Date. If this Security is surrendered for conversion during
the
period after 5:00 p.m., New York City time, on any Regular Record Date to
9:00
a.m., New York City time, on the corresponding interest payment date, it
must be
accompanied by payment of an amount equal to the interest (including any
Additional Interest Amount) that the Holder is to receive on the Securities.
Notwithstanding the foregoing, no such payment of interest (including any
Additional Interest Amount) need be made by any converting Holder (i) if
the
Company has specified a Redemption Date that is after a Regular Record Date
and
on or prior to the corresponding interest payment date, (ii) if the Company
has
specified a Fundamental Change Purchase Date during such period, or (iii)
to the
extent of any overdue interest (including any Additional Interest Amount)
existing at the time of conversion of such Security. Except where this Security
is surrendered for conversion and must be accompanied by payment as described
above, no interest or Additional Interest Amount thereon will be payable
by the
Company on any interest payment date subsequent to the date of conversion,
and
delivery of the cash and shares of Common Stock, if applicable, pursuant
to
Article XII of the Indenture, together with any cash payment for any fractional
share, upon conversion will be deemed to satisfy the Company’s obligation to pay
the
principal
amount of the Securities and accrued and unpaid interest and Additional Interest
Amount, if any, to, but not including, the related Conversion Date.
Method
of Payment.
By no
later than 10:00 a.m. (New York City time) on the date on which any principal
of
or interest (including any Additional Interest Amount), on any Security is
due
and payable, the Company shall deposit with the Paying Agent money sufficient
to
pay such amount. The Company will pay principal and interest in money of
the
United States that at the time of payment is legal tender for payment of
public
and private debts. Payments in respect of Securities represented by a Global
Security (including principal and interest (including any Additional Interest
Amount)) will be made by wire transfer of immediately available funds to
the
accounts specified by The Depository Trust Company. The Company will pay
principal of Definitive Securities at the office or agency designated by
the
Company in the Borough of Manhattan, The City of New York. Interest (including
any Additional Interest Amount), on Definitive Securities will be payable
(i) to
Holders having an aggregate principal amount of $5,000,000 or less, by check
mailed to the Holders of these Securities and (ii) to Holders having an
aggregate principal amount of more than $5,000,000, either by check mailed
to
each Holder or, upon application by a Holder to the Registrar not later than
the
relevant Record Date, by wire transfer in immediately available funds to
that
Holder’s account within the United States, which application shall remain in
effect until the Holder notifies, in writing, the Registrar to the
contrary.
Redemption
at the Option of the Company.
Prior
to May 20, 2013, the Company may not redeem the Securities. On or after May
20,
2013, the Company may redeem the Securities in whole or in part for an amount
equal to 100% of the Principal Amount of the Securities, plus accrued and
unpaid
interest (including Additional Interest Amounts, if any), to, but excluding,
the
Redemption Date (the “Redemption
Price”).
Notice
of
redemption pursuant to this Section of this Security will be mailed at least
30
days but not more than 60 days before the Redemption Date to each Holder
of
Securities to be redeemed at the Holder’s registered address. If cash sufficient
to pay the Redemption Price of all Securities (or portions thereof) to be
redeemed on the Redemption Date is deposited with the Paying Agent prior
to
10:00 a.m., New York City time, on the Redemption Date, then on such Redemption
Date, interest, including Additional Interest Amounts, if any, cease to accrue
on such Securities or portions thereof. Securities in denominations larger
than
$1,000 of Principal Amount may be redeemed in part but only in integral
multiples of $1,000 of Principal Amount.
Purchase
By the Company at the Option of the Holder on a Repurchase Date.
Subject
to the terms and conditions of the Indenture, the Company shall become obligated
to repurchase, at the option of the Holder, all or any portion of the Securities
held by such Holder on May 15, 2013, May 15, 2016 and May 15, 2021 (each,
a
“Repurchase
Date”)
in
integral multiples of $1,000 at a repurchase price equal to 100% of the
Principal Amount of those Securities plus accrued and unpaid interest, including
Additional Interest Amounts, if any, up to, but excluding, such Repurchase
Date
(the “Repurchase
Price”).
To
exercise such right, a Holder shall deliver to the Paying Agent a Repurchase
Notice containing the information set forth in the Indenture, at any time
from
9:00 a.m., New York City time, on the date that is 20 Business Days immediately
preceding such Repurchase Date until 5:00 p.m., New York City time, on the
Repurchase Date, and shall deliver the Securities to the Paying Agent as
set
forth in the Indenture.
If
cash
sufficient to pay the Repurchase Price of all Securities or portions thereof
to
be purchased on a Repurchase Date is deposited with the Paying Agent on the
Business Day following the Repurchase Date, the Holder thereof shall have
no
other rights as such (other than the right to receive the Repurchase Price
upon
surrender of such Security).
Purchase
By the Company at the Option of the Holder upon a Fundamental
Change.
At the
option of the Holder and subject to the terms and conditions of the Indenture,
the Company shall become obligated to repurchase the Securities, in cash,
if a
Fundamental Change occurs at any time prior to May 15, 2026 at a price equal
to
the Principal Amount plus accrued but unpaid interest, including Additional
Interest Amounts, if any, up to, but excluding, the repurchase date (the
“Fundamental
Change Repurchase Price”).
Holders
have the right to withdraw any Repurchase Notice or Fundamental Change
Repurchase Notice by delivering to the Paying Agent a written notice of
withdrawal in accordance with the provisions of the Indenture.
If
cash
sufficient to pay the Fundamental Change Repurchase Price of all Securities
or
portions thereof to be purchased on a Fundamental Change Repurchase Date
is
deposited with the Paying Agent on the Business Day following the Fundamental
Change Repurchase Date, the Holder thereof shall have no other rights as
such
(other than the right to receive the Fundamental Change Repurchase Price,
upon
surrender of such Security).
Conversion.
Subject
to and in compliance with the provisions of the Indenture (including without
limitation the conditions of conversion of this Security set forth in 14.01
thereof), the Holder hereof has the right, at its option, to convert the
Principal Amount hereof or any portion of such principal which is $1,000
or an
integral multiple thereof, into, subject to 14.02 of the Indenture, cash
and
shares of Common Stock, if any, at the Conversion Rate. The initial Conversion
Rate is 264.0264 shares of Common Stock per $1,000 Principal Amount of
Securities (equivalent to a conversion price of $3.79 (the “Conversion
Price”)),
subject to adjustment in certain events described in the Indenture. Upon
conversion, the Company will pay cash and shares of Common Stock, if any,
based
on a Daily Conversion Value calculated on a proportionate basis for each
day of
the Observation Period, as set forth in the Indenture. No fractional shares
will
be issued upon any conversion, but an adjustment and payment in cash will
be
made, as provided in the Indenture, in respect of any fraction of a share
which
would otherwise be issuable upon the surrender of any Securities for conversion.
Securities in respect of which a Holder is exercising its right to require
repurchase on a Repurchase Date or Fundamental Change Repurchase Date may
be
converted only if such Holder withdraws its election to exercise such right
in
accordance with the terms of the Indenture.
Upon
conversion, the Company shall deliver, for each $1,000 principal amount of
Securities being converted, cash equal to the lesser of (i) $1,000 or (ii)
the
Conversion Value. To the extent the Conversion Value exceeds $1,000, the
Company
may choose to deliver cash in lieu of shares of Common Stock, shares of Common
Stock or a combination of cash and shares of Common Stock in accordance with
the
Indenture.
In
the
event of a deposit or withdrawal of an interest in this Security, including
an
exchange, transfer, repurchase or conversion of this Security in part only,
the
Trustee, as
custodian
of the Depositary, shall make an adjustment on its records to reflect such
deposit or withdrawal in accordance with the rules and procedures of the
Depositary.
Subject
to certain limitations in the Indenture, at any time when the Company is
not
subject to Section 13 or 15(d) of the United States Securities Exchange Act
of
1934, as amended, upon the request of a Holder of a Restricted Security,
the
Company will promptly furnish or cause to be furnished Rule 144A Information
(as
defined below) to such Holder of Restricted Securities, or to a prospective
purchaser of any such security designated by any such Holder, to the extent
required to permit compliance by any such Holder with Rule 144A under the
Securities Act of 1933, as amended (the “Securities
Act”).
“Rule
144A
Information”
shall
be such information as is specified pursuant to Rule 144A(d)(4) under the
Securities Act (or any successor provision thereto).
If
an
Event of Default shall occur and be continuing, the Principal Amount plus
accrued but unpaid interest, including Additional Interest Amounts, if any,
may
be declared due and payable in the manner and with the effect provided in
the
Indenture.
The
Indenture permits, with certain exceptions as therein provided, the amendment
thereof and the modification of the rights and obligations of the Company
and
the rights of the Holders of the Securities under the Indenture at any time
by
the Company and the Trustee with the consent of the Holders of not less than
a
majority in aggregate Principal Amount of the Outstanding Securities. The
Indenture also contains provisions permitting the Holders of specified
percentages in aggregate Principal Amount of the Outstanding Securities,
on
behalf of the Holders of all the Securities, to waive compliance by the Company
with certain provisions of the Indenture and certain past defaults under
the
Indenture and their consequences. Any such consent or waiver by the Holder
of
this Security shall be conclusive and binding upon such Holder and upon all
future Holders of this Security and of any Security issued upon the registration
of transfer hereof or in exchange herefor or in lieu hereof, whether or not
notation of such consent or waiver is made upon this Security.
As
provided in and subject to the provisions of the Indenture, the Holder of
this
Security shall not have the right to institute any proceeding with respect
to
the Indenture or for the appointment of a receiver or trustee or for any
other
remedy thereunder, unless such Holder shall have previously given the Trustee
written notice of a continuing Event of Default with respect to the Securities,
the Holders of not less than 25% in aggregate Principal Amount of the
Outstanding Securities shall have made written request to the Trustee to
institute proceedings in respect of such Event of Default as Trustee and
offered
the Trustee reasonable indemnity satisfactory to it, and the Trustee shall
not
have received from the Holders of a majority in Principal Amount of Outstanding
Securities a direction inconsistent with such request, and shall have failed
to
institute any such proceeding, for 60 days after receipt of such notice,
request
and offer of indemnity. The foregoing shall not apply to any suit instituted
by
the Holder of this Security for the enforcement of any payment of said principal
hereof on or after the respective due dates expressed herein or for the
enforcement of any conversion right.
No
reference herein to the Indenture and no provision of this Security or of
the
Indenture shall alter or impair the obligation of the Company, which is absolute
and unconditional, to pay the Principal Amount, Redemption Price, Repurchase
Price or Fundamental Change Repurchase
Price
of,
and interest, including Additional Interest Amounts, if any, on, this Security
at the times, place and rate, and in the coin, currency or shares, herein
prescribed. Notwithstanding the foregoing, prior to the occurrence of a
Fundamental Change, the Company may, with the consent of the holders of not
less
than a majority of the Securities, amend the obligation of the Company to
repurchase Securities upon a Fundamental Change.
As
provided in the Indenture and subject to certain limitations therein set
forth,
the transfer of this Security is registrable in the Security Register, upon
surrender of this Security for registration of transfer at the office or
agency
of the Company in The City of New York, duly endorsed by, or accompanied
by a
written instrument of transfer in form satisfactory to the Company and the
Security Registrar duly executed by, the Holder hereof or his attorney duly
authorized in writing, and thereupon one or more new Securities, of authorized
denominations and for the same aggregate Principal Amount, will be issued
to the
designated transferee or transferees.
The
Securities are issuable only in registered form in denominations of $1,000
and
any integral multiple of $1,000 above that amount, as provided in the Indenture
and subject to certain limitations therein set forth. Securities are
exchangeable for a like aggregate Principal Amount of Securities of a different
authorized denomination, as requested by the Holder surrendering the
same.
No
service charge shall be made for any such registration of transfer or exchange,
but the Company may require payment of a sum sufficient to cover any tax
or
other governmental charge payable in connection therewith.
Prior
to
due presentment of this Security for registration of transfer, the Company,
the
Trustee and any agent of the Company or the Trustee may treat the Person
in
whose name this Security is registered as the owner hereof for all purposes,
whether or not this Security be overdue, and neither the Company, the Trustee
nor any such agent shall be affected by notice to the contrary.
This
Security shall be governed by and construed in accordance with the laws of
the
State of New York.
All
terms
used in this Security that are defined in the Indenture shall have the meanings
assigned to them in the Indenture.
ASSIGNMENT
FORM
If
you
want to assign this Security, fill in the form below and have your signature
guaranteed:
I
or we
assign and transfer this Security to:
(Print
or type name, address and zip code and social security or tax ID
number of
assignee)
|
and
irrevocably appoint ____________________________________________ agent to
transfer this Security on the books of the Company. The agent may substitute
another to act for him.
Date:____________________
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Signed:___________________
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(Sign
exactly as your name appears on the other side of this
Security)
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Signature
Guarantee:________________________________________
|
Note:
|
Signatures
must be guaranteed by an “eligible guarantor institution” meeting the
requirements of the Security Registrar, which requirements include
membership or participation in the Security Transfer Agent Medallion
Program (“STAMP”) or such other “signature guarantee program” as may be
determined by the Security Registrar in addition to, or in substitution
for, STAMP, all in accordance with the Securities Exchange Act
of 1934, as
amended.
|
In
connection with any transfer of this Security occurring prior to the date
which
is the earlier of (i) the date of the declaration by the Commission of the
effectiveness of a registration statement under the Securities Act of 1933,
as
amended (the “Securities
Act”),
covering resales of this Security (which effectiveness shall not have been
suspended or terminated at the date of the transfer) and (ii) the second
anniversary of the Issue Date set forth on the face of this Security, the
undersigned confirms that it has not utilized any general solicitation or
general advertising in connection with the transfer and that this Security
is
being transferred:
[Check
One]
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(1)
|
r
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to
the Company or a subsidiary thereof; or
|
(2)
|
r
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to
a “Qualified Institutional Buyer” pursuant to and in compliance with Rule
144A under the Securities Act; or
|
(3)
|
r
|
outside
the United States to a “foreign person” in compliance with Rule 904 of
Regulation S under the Securities Act; or
|
(4)
|
r
|
pursuant
to the exemption from registration provided by Rule 144 under the
Securities Act.
|
Unless
one of the boxes is checked, the Trustee will refuse to register any of the
Securities evidenced by this certificate in the name of any Person other
than
the registered Holder thereof, provided
that if
box (3) or (4) is checked, the Company may require, prior to registering
any
such transfer of the Securities, in its sole discretion, such legal opinions,
certifications (including an investment letter in the case of box (3)) and
other
information as the Company may reasonably request to confirm that such transfer
is being made pursuant to an exemption from, or in a transaction not subject
to,
the registration requirements of the Securities Act.
If
none
of the foregoing boxes is checked, the Trustee or Security Registrar shall
not
be obligated to register this Security in the name of any Person other than
the
Holder hereof unless and until the conditions to any such transfer of
registration set forth herein and in Section 3.11 of the Indenture shall
have
been satisfied.
[signature
page follows]
Date:_________________________
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Signed:
|
________________________________ | |||
(Sign
exactly as your name appears on the other side of this
Security)
|
|||||
Signature
Guarantee:_____________________________________
|
Note:
|
Signatures
must be guaranteed by an “eligible guarantor institution” meeting the
requirements of the Security Registrar, which requirements include
membership or participation in the Security Transfer Agent Medallion
Program (“STAMP”) or such other “signature guarantee program” as may be
determined by the Security Registrar in addition to, or in substitution
for, STAMP, all in accordance with the Securities Exchange Act
of 1934, as
amended.
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TO
BE
COMPLETED BY PURCHASER IF (2) ABOVE IS CHECKED
The
undersigned represents and warrants that it is purchasing this Security for
its
own account or an account with respect to which it exercises sole investment
discretion and that it and any such account is a “qualified
institutional buyer”
within
the meaning of Rule 144A under the Securities Act and is aware that the sale
to
it is being made in reliance on Rule 144A and acknowledges that it has received
such information regarding the Company as the undersigned has requested pursuant
to Rule 144A or has determined not to request such information and that it
is
aware that the transferor is relying upon the undersigned’s foregoing
representations in order to claim the exemption from registration provided
by
Rule 144A.
Date:___________________________
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Signed:________________________________________
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NOTICE:
To
be executed by an executive officer.
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CONVERSION
NOTICE
If
you
want to convert this Security into cash and if applicable Common Stock of
the
Company, check the box: o
To
convert only part of this Security, state the Principal Amount to be converted
(which must be $1,000 or an integral multiple of $1,000):
$_________________________________
If
you
want the stock certificate and Securities (if any) to be delivered, made
out in
another person’s name, fill in the form below:
(Insert
other person’s social security or tax ID no.)
|
(Print
or type other person’s name, address and zip
code)
|
Date:___________________________
|
Signed:__________________________________
|
||||
(Sign
exactly as your name appears on the other side of this
Security)
|
|||||
Signature
Guarantee:_________________________________
|
Note:
|
Signatures
must be guaranteed by an “eligible guarantor institution” meeting the
requirements of the Security Registrar, which requirements include
membership or participation in the Security Transfer Agent Medallion
Program (“STAMP”) or such other “signature guarantee program” as may be
determined by the Security Registrar in addition to, or in substitution
for, STAMP, all in accordance with the Securities Exchange Act
of 1934, as
amended.
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