Blsi 548 M&A Filings M&A FILINGS is copyrighted by Charles E Simon For Dialog''''s Redistribution and Archive policy, enter HELP ERA online For Terms and Conditions, enter HELP TERMS 548 online © Dialog[.]
548 M&A Filings SUBJECT COVERAGE • • TIPS Expiration and Withdrawal Information Dealer Manager Depositary Information Agent Purpose of the Transaction Summary Abstract of the Filing Persons Retained, Employed, or Compensated Material Filed as Exhibits Keywords Associated with each Filing m • • Company Name • SIC Code State of Incorporation • State of Headquarters • Ticker Symbol • CUSIP Number • Filing Type, Amendment • Number • Date of Filing Reporting Person, Name, • Country, City and State • Approximate Deal Value Synopsis Sentence for the Deal USE /AC OR AC= to search for Acquiring companies USE /CO OR CO= an M&A FILINGS provides users with an array of M&A transaction information on publicly traded companies, including: company name; SIC code; state of incorporation; state of headquarters; ticker symbol; Cusip number; filing type, amendment number; date of filing; reporting person, name, country, city and state; approximate deal value; synopsis sentence for the deal; expiration and withdrawal information; dealer manager; depositary; information agent; purpose of the transaction; summary abstract of the filing, including description of transaction, persons retained, employed, or compensated; material filed as exhibits; and keywords associated with each filing • • • • • • • co The M&A Filings database contains detailed abstracts of every original and amended merger and acquisition document released by the Securities and Exchange Commission since early 1985 through June 2000 Copies of the full text of each filing or exhibit reported in the database are available from Prentice-Hall Legal and Financial Services g FILE DESCRIPTION to search for Target companies USE SC= ga nH to search for mergers and acquisitions in certain industries Th iN Sources used to prepare the abstracts are the actual merger and acquisition filings released by the Securities and Exchange Commission Included is every original and amended filing since early 1985 for the following document types: • 13d (5% purchase) • 14d-1 (tender offer), • 14d-9 (management response to a tender offer), • 13e-3 (leveraged buy-out), • 13e-4 (issuer tender offer) DIALOG FILE DATA Inclusive Dates: April 1985 to June 2000 Update Frequency: Closed File Size: 138, 932 records as of June 2000 CONTACT The M&A FILINGS database is produced by Charles E Simon & Company Questions concerning file content should be directed to: Charles E Simon 1300 New York Avenue, NW Suite 205 Washington, DC 20005 Phone: 202-628-3100 Toll Free: 800-543-4502 Fax: 202-408-3142 M&A FILINGS is copyrighted by Charles E Simon For Dialog's Redistribution and Archive policy, enter HELP ERA online For Terms and Conditions, enter HELP TERMS 548 online © Dialog LLC All rights reserved DIALOG is a registered trademark of Dialog LLC Reg U.S Patent and Trademark Office ThiNganHang.com (Stock# 3548) (February 2006) 548-1 File 548 SAMPLE RECORD M&A Filings DIALOG(R)File 548:M&A Filings (c) 1997 Prentice-Hall Legal & Finan Svcs All rts reserv /CO, CO= 0021535 COLLINS & AIKMAN CORP Ticker Symbol: CK Exchange: CUSIP No: 19482810 SIC Codes: 2200 State of Incorporation: DE Headquarters Location: NY FL=, PD= 14D1 Amendment Number Orig Filed on 11/10/86 Number of Pages: 14 /TI ED= WD= /DM, DM= BA= AG= /DE Synopsis Sentence: Reports the original filing of a tender offer Expiration & Withdrawal Information: Expiration Information Expires in New York at 12:00 midnight on 12/09/86 Withdrawal Information Withdrawal rights expire in New York at 12:00 midnight on 12/09/86 Dealer Manager: Drexel Burnham Lambert Inc Depositary: Bank of New York Information Agent: The Carter Organization Inc Purpose of Transaction: to acquire the entire equity interest of Collins & Aikman pursuant to a merger General Source of Funds: Affiliate of Reporting Person Other Working Capital of Reporting Person Specific Source and Amount of Funds: 1180000000 from Capital Contributions iN SD= Aggregate Number of Shares: 5,432,485 Aggregate % of Outstanding: 21.50 Approximate Deal Value: 1,180,000,000 an g SH= PS= DV= Wickes Companies Inc Wickes Acquisition I Inc Reporting Location: Santa Monica CA USA H RC=, RS=, CN= Reporting Person: ga n /AC, AC=, RP= NYS c om TS=, EX= CU= SC= IN= ST= Th SF=, /DE /AB Summary Abstract: Summary: Statement refers to an offer to purchase any and all outstanding shares of Common Stock at $53.00 per share The Offer is not conditioned upon a minimum number of shares being tendered Item Past Contacts, Transactions or Negotiations with the Subject Company: On 11-8-86, the Issuer and Reporting Person agreed that the Issuer would enter into an agreement with sixteen executives of the Issuer providing for the termination and surrender of any rights under the Severance Agreement and to waive the rights they ThiNganHang.com 548-2 (February 2006) (Stock# 3548) File 548 M&A Filings SAMPLE RECORD (cont'd) Th iN ga n H an g /DE, EN=, EC= Event Name(s) and Code(s): TENDER OFFER (51) LETTER AGREEMENT (61) OPTION AGREEMENT (5) STOCK PURCHASE AGREEMENT (4) LETTER AGREEMENT (61) EMPLOYMENT AGREEMENT (155) INDEMNIFICATION AGREEMENT (184) c om have to accelerate vesting of certain benefits under the Issuer's Supplemental Retirement Income Plan In return, the Issuer would make a monetary payment to each employee executing the Waiver Agreement The total amount to be paid under the Agreement will be $5,100,000 if all sixteen executives sign the Agreement Item 11 Material to be Filed as Exhibits: Offer to Purchase, dated 11-10-86 Highly Confident Letter between Wickes and Drexel Burnham Lambert Inc dated 11-7-86 Form of Indemnification Agreement between the Issuer and sixteen executives Form of Employment Agreement between the Issuer and the Executives Stock Option Agreement between the Issuer and Reporting Person, dated 11-8-86 Stock Purchase Agreement between the Reporting Person and Donald McCullough and Alfred S Crimmins Letter Agreement between the Reporting Person and Drexel Burham Lambert Inc., dated 11-6-86 ThiNganHang.com (Stock# 3548) (February 2006) 548-3 File 548 SEARCH OPTIONS M&A Filings BASIC INDEX DISPLAY CODE REPORT (FIELD LENGTH) FIELD NAME INDEXING SELECT EXAMPLES — /AB /AC /CO /DE — AB AC CO — — — AC (32) CO (32) — Word Word Word Word Word S EQUITY(W)INTEREST S SEVERANCE(W)AGREEMENT/AB S WICKES(W)ACQUISITIONS/AC S COLLINS(W)AIKMAN/CO S CAPITAL(W)CONTRIBUTION?/DE /DM /TI DM TI DM (32) — All Basic Index Fields Abstract Acquirer (Reporting Person)1 Target Company1 Specific Source of Funds, Purpose, and Event Names Dealer Manager1 Title (Synopsis) Word Word S BURNHAM(W)LAMBERT/DM S TENDER(W)OFFER/TI Searchable in the Basic Index and in the Additional Indexes ADDITIONAL INDEXES om SEARCH SUFFIX DISPLAY CODE REPORT (FIELD LENGTH) FIELD NAME INDEXING SELECT EXAMPLES AC= AG= AM= — BA= CN= CO= CU= DM= DV= EC= ED= EN= EV= EX= FB= FL= — FS= IN= MO= MV= PD= PS= — PY= RC= RD= RP= RS= SC= SD= SH= ST= TS= — WD= — AC AG AM AN BA CN CO CU DM DV EC ED EN EV EX FB FL FN FS IN MO MV PD PS PU PY RC RD RP RS SC SD SH ST TS WD WD XC AC (32) AG (32) AM (11) — BA (32) CN (17) CO (32) CU (10) DM (32) DV (17) EC (10) ED (12) EN (27) EV (10) EX (14) FB (32) FL (8) — FS (17) IN (7) MO (14) MV (17) PD (10) PS (17) — PY (8) RC (17) RD (10) RP (32) RS (11) SC (6) SD (32) SH (17) ST (7) TS (17) WD (12) WD (12) XC (17) Acquirer (Reporting Person)1 Information Agent2 Amendment Number DIALOG Accession Number Depositary2 Country of Reporting Person Target Company1 CUSIP Number Dealer Manager2 Deal Value (Approximate)4 Event Code Expiration Date Event Name Event or Tender Date5 Exchange Fairness Opinion By6 Filings (Filing Type)7 File Name Funds - Total Source2,4 State of Incorporation Management Opinion6 Aggregate $ Value of Shares4,8 Filing Date Aggregate Percentage of Shares8 Purpose of Transaction Filing Year Reporting City Release Date Reporting Person Reporting State Standard Industrial Classification (SIC) Code Source of Funds (Description)2 Aggregate Number of Shares8 Headquarters Location Ticker Symbol Withdrawal City Withdrawal Date Expiration City Phrase Phrase Phrase S AC=WICKES ACQUISITION? S AG=THE CARTER ORGANIZATION? S AM=009 Phrase Phrase Phrase Phrase Phrase Numeric Phrase Phrase Phrase Phrase Phrase Phrase Phrase S BA=BANK OF NEW YORK? S CN=USA S CO=COLLINS & AIKMAN? S CU=19482810 S DM=DREXEL BURNHAM? S DV=1000000000:999999999999 S EC=51 S ED=19861209 S EN=TENDER OFFER S EV=19861219 S EX=NYS S FB=ALEX BROWN? S FL=14D1 Numeric Phrase Phrase Numeric Phrase Numeric S FS=1500000:29999999 S IN=DE S MO=APPROVE S MV=28000:799999 S PD=19861110 S PS=0.08:0.15 Phrase Phrase Phrase Phrase Phrase Phrase Phrase Numeric Phrase Phrase S PY=1986 S RC=SANTA MONICA S RD=19861110 S RP=WICKES ACQUISITION? S RS=CA S SC=2200 S SD=WORKING CAPITAL? S SH=1000:19999 S ST=NY S TS=CK Phrase S WD=19861209 ga nH iN Th an g c SEARCH PREFIX Used only for 13d, 14d -1, 13e -3, and 13e -4 filings Used only for 14d -1 filings A maximum number of 15 digits may be entered for the highest number in a range, e.g., S DV=100000000:999999999999999 Used only for 13d filings Used only for 14d -9 filings Entries include: FL=13d, FL=14D1, FL=13e3 FL=14d9, FL=13e4 Used only for 13d and 14d -1 filings ThiNganHang.com 548-4 (February 2006) (Stock# 3548) File 548 M&A Filings SPECIAL FEATURES For command descriptions, enter HELP LIMIT, HELP SORT, HELP RANK online SORT AC, AG, AM, BA, CN, CO, DM, DV, EC, ED, EN, EV, EX, FL, FS, IN, MO, MV, PD, PS, PY, RC, RD, RP, RS, SC, SD, SH, ST, TS, WD SORT S3/ALL/IN,PD PRINT S2/5/1-16/EX RANK All phrase- and numeric-indexed fields in the Additional Indexes can be ranked RANK AU S3 PREDEFINED FORMAT OPTIONS DIALOGWEB FORMAT RECORD CONTENT Medium K -Free Long Short Full DIALOG Accession Number Full Record except Abstract Target Company, Filing Type, Filing Date, Amendment Number, Number of Pages, Reporting Person, and Synopsis Sentence Full Record Reporting Person, Filing Type, Filing Date, and Amendment Number Full Record except Event Name, and Event Codes Reporting Person, Filing Type, Filing Date, Amendment Number, Event Name, and Codes Full Record KWIC (Key Word In Context) displays a window of text; may be used alone or with other formats c om NO For an explanation, enter HELP TYPE, HELP REPORT, HELP UDF, HELP TAG online OTHER OUTPUT OPTIONS Output can be displayed in table format REPORT codes with field lengths in parentheses are listed in the Search Options tables Default table width is 72 characters; use SET H 132 to set maximum table width REPORT S3/CO,DV,MV/1-10 USER DEFINED FORMATS User-defined formats may be specified using the display codes indicated in the Output Options tables TYPE S3/CO,AC,IN/1-5 TAG TAG may be used for tagged fields TYPE S3/3/1-5 TAG DIRECT RECORD ACCESS DIALOG Accession Number TYPE 0021535/5 DISPLAY 0021416/CO,FS PRINT 0021335/7 Th iN ga nH an g REPORT FOR ONLINE HELP: See HELP FIELDS 548 for searchable fields; HELP FORMAT 548 for output formats; HELP LIMIT 548 for limits; HELP RATES 548 for cost information; HELP SORT 548 for sorts ThiNganHang.com (Stock# 3548) (February 2006) 548-5 ... Santa Monica CA USA H RC=, RS=, CN= Reporting Person: ga n /AC, AC=, RP= NYS c om TS=, EX= CU= SC= IN= ST= Th SF=, /DE /AB Summary Abstract: Summary: Statement refers to an offer to purchase any... Aggregate Number of Shares8 Headquarters Location Ticker Symbol Withdrawal City Withdrawal Date Expiration City Phrase Phrase Phrase S AC=WICKES ACQUISITION? S AG=THE CARTER ORGANIZATION? S AM=009... Issuer''s Supplemental Retirement Income Plan In return, the Issuer would make a monetary payment to each employee executing the Waiver Agreement The total amount to be paid under the Agreement will