LETTER OF TRANSMITTAL
Charter Communications Holding Company, LLC
Offer to Exchange up to $309,375,000 Principal Amount
Outstanding of
Charter Communications, Inc.s
5.875% Convertible Senior Notes due 2009
(CUSIP Nos. 16117MAE7 and 16117MAD9)
Pursuant to the Exchange Offer Prospectus
Dated August 29, 2007
This Exchange Offer will expire at 11:59 P.M., New York
City time, on September 26, 2007, unless extended or
earlier terminated (such date, as the same may be extended or
earlier terminated, the Expiration Date). Holders of
Old Notes (as defined below) must tender their Old Notes for
exchange on or prior to the Expiration Date to receive the
Exchange Consideration (as defined below).
The Information Agent for the Exchange Offer is:
Global Bondholder Services Corporation
65 Broadway Suite 723
New York, New York 10006
Attn: Corporate Actions
Banks and Brokers call: (212) 430-3774
Toll free (866) 470-3700
The Exchange Agent for the Exchange Offer is:
Global Bondholder Services Corporation
By facsimile:
(For Eligible Guarantor Institutions only):
(212) 430-3775
(provide call back telephone number
on fax cover sheet for confirmation)
Confirmation:
(212) 430-3774
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By Mail: |
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By Overnight Courier: |
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By Hand: |
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65 Broadway Suite 723 |
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65 Broadway Suite 723 |
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65 Broadway Suite 723 |
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New York, NY 10006 |
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New York, NY 10006 |
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New York, NY 10006 |
DELIVERY OF THIS LETTER OF TRANSMITTAL TO AN ADDRESS, OR
TRANSMISSION VIA FACSIMILE, OTHER THAN AS SET FORTH ABOVE WILL
NOT CONSTITUTE A VALID DELIVERY.
The Instructions contained herein should be read carefully
before this Letter of Transmittal is completed.
HOLDERS THAT WISH TO BE ELIGIBLE TO RECEIVE THE EXCHANGE
CONSIDERATION PURSUANT TO THE EXCHANGE OFFER MUST VALIDLY TENDER
(AND NOT VALIDLY WITHDRAW) THEIR OLD NOTES TO THE EXCHANGE AGENT
PRIOR TO 11:59 P.M., NEW YORK CITY TIME, ON THE EXPIRATION
DATE.
All capitalized terms used herein and not defined shall have the
meaning ascribed to them in the Exchange Offer Prospectus,
dated August 29, 2007 (as the same may be amended or
supplemented from time to time, the Exchange Offer
Prospectus).
This Letter of Transmittal (this Letter of
Transmittal) is to be used by holders (the
Holders) of Charter Communications, Inc.s
(Charter) 5.875% convertible senior notes due 2009
(the Old Notes) if certificates representing such
Old Notes are to be physically delivered to the Exchange Agent
herewith by such Holders.
Alternatively, participants of The Depository Trust Company
(DTC) must, in lieu of physically completing and
signing this Letter of Transmittal and delivering it to the
Exchange Agent, electronically accept the Exchange Offer and
tender the Old Notes for exchange through the DTC Automated
Tender Offer Program (ATOP) as set forth under
Description of the Exchange Offer Procedure
for Tendering Old Notes in the Exchange Offer Prospectus.
Holders tendering their Old Notes for exchange by book-entry
transfer to the Exchange Agents account at DTC must
execute the tender through ATOP, for which the transaction will
be eligible. DTC participants that are accepting the Exchange
Offer must transmit their acceptance to DTC which will verify
the acceptance and execute a book-entry delivery to the Exchange
Agents account at DTC. DTC will then send an Agents
Message to the Exchange Agent for its acceptance. Delivery of
the Agents Message by DTC will satisfy the terms of the
Exchange Offer as to execution and delivery of a Letter of
Transmittal by the participant identified in the Agents
Message.
THE EXCHANGE OFFER IS NOT BEING MADE TO (NOR WILL ANY TENDER OF
OLD NOTES FOR EXCHANGE BE ACCEPTED FROM OR ON BEHALF OF)
HOLDERS IN ANY JURISDICTION IN WHICH THE MAKING OR ACCEPTANCE OF
THE EXCHANGE OFFER WOULD NOT BE IN COMPLIANCE WITH THE LAWS OF
SUCH JURISDICTION.
Your bank or broker can assist you in completing this form. The
instructions included with this Letter of Transmittal must be
followed. Any requests for assistance in connection with the
Exchange Offer or for additional copies of the Exchange Offer
Prospectus or this Letter of Transmittal may be directed to the
Information Agent. Any additional questions regarding the
Exchange Offer should be directed to either of the Dealer
Managers. Contact information for the Information Agent and the
Dealer Managers is set forth at the end of this Letter of
Transmittal. See Instruction 11 below.
METHOD OF DELIVERY
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Check here if Certificates for Old Notes tendered for exchange
are enclosed herewith. |
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Check here if Old Notes tendered for exchange are being
delivered by book-entry transfer made to the account maintained
by the Exchange Agent with DTC and complete the following: |
Name of Tendering Institution:
Account Number:
Transaction Code Number:
2
List below the Old Notes to which this Letter of Transmittal
relates. If the space provided is inadequate, list certificate
numbers and principal amounts on a separately executed schedule
and affix the schedule to this Letter of Transmittal. Tender of
Old Notes for exchange will be accepted only in principal
amounts equal to $1,000 or integral multiples thereof.
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| DESCRIPTION OF THE OLD NOTES |
| Name(s) and Address(es) of |
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| Holder(s) (Please Fill in, if |
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Aggregate Principal |
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Principal Amount |
| Your Certificate is Blank) |
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Certificate Numbers* |
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Amount Represented** |
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Tendered for Exchange |
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Total: |
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Total: |
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* Need not be completed by Holders tendering by
book-entry transfer (see below). |
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** Unless otherwise indicated in the column labeled
Principal Amount Tendered for Exchange and subject
to the terms and conditions of the Exchange Offer Prospectus, a
Holder will be deemed to have tendered the entire aggregate
principal amount represented by the Old Notes indicated in the
column labeled Aggregate Principal Amount
Represented. See Instruction 3. |
3
NOTE: SIGNATURES MUST BE PROVIDED BELOW
PLEASE READ THE ACCOMPANYING INSTRUCTIONS CAREFULLY
Ladies and Gentlemen:
By execution hereof, the undersigned acknowledges receipt of the
Exchange Offer Prospectus and this Letter of Transmittal and
instructions hereto (the Letter of Transmittal and,
together with the Exchange Offer Prospectus, the Exchange
Offer) relating to the offer by Charter Communications
Holding Company, LLC (the Offeror) to pay up to
$595,082,000 principal amount of Charters 7.00%
convertible senior notes due 2027 (the New Notes) to
Holders of up to $309,375,000 of Charters $412,500,000
principal amount outstanding 5.875% convertible senior
notes due 2009 (CUSIP Nos. 16117MAE7 and 16117MAD9, the
Old Notes) who elect to exchange their Old Notes
upon the terms and subject to the conditions set forth in the
Exchange Offer Prospectus.
The Exchange Offer is conditioned on a minimum amount of
$75,000,000 aggregate principal amount of Old Notes being
tendered. The Exchange Offer is also conditioned upon the
Average Price being more than or equal to $2.00 and less than or
equal to $4.35. In addition, we will not accept for exchange
more than $309,375,000 principal amount of Old Notes (the
Maximum Amount). As a result, if more than the
Maximum Amount of Old Notes are validly tendered and not validly
withdrawn, we will accept Old Notes from each Holder pro rata,
based on the total amount of Old Notes validly tendered and not
validly withdrawn.
The Exchange Consideration per $1,000 principal
amount of Old Notes accepted for exchange will be an amount of
New Notes determined based on the Average Price (as defined
below) of Charters Class A common stock as set forth
in the table below. In addition to the Exchange Consideration,
the Offeror will pay accrued interest on the Old Notes from and
including the last interest payment date (which was May 16,
2007) up to, but not including, the Settlement Date.
Average Price means the arithmetic average of the
daily volume-weighted average price of Charters
Class A common stock for the ten trading days prior to and
including the second business day before the Expiration Date,
rounded to four decimal places. For each of the trading days in
the average period, the volume-weighted average price of
Charters Class A common stock will be determined by
reference to the Bloomberg, L.P. screen CHTR lEquityL
AQR (or any successor page) during regular market hours. The
initial conversion price for the New Notes will be the Average
Price multiplied by 1.4 (examples of which are set forth in the
table below). The initial conversion rate will be $1,000 divided
by the conversion price, rounded to four decimal places. If the
Average Price is between two prices shown in the table below,
the principal amount of New Notes to be issued per $1,000
principal amount of Old Notes tendered will be calculated using
straight-line interpolation.
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Principal Amount of New |
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Notes to be Issued per |
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Terms of the New Notes |
| Charters Class A |
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$1,000 Principal Amount |
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| Common Stock |
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of Old Notes Tendered |
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Conversion Price |
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Conversion Rate |
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2.00 |
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1,110.62 |
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2.80 |
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357.1429 |
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2.20 |
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$ |
1,173.25 |
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$ |
3.08 |
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324.6753 |
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2.40 |
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$ |
1,239.65 |
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$ |
3.36 |
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297.6190 |
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| $ |
2.60 |
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$ |
1,309.13 |
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$ |
3.64 |
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274.7253 |
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2.80 |
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$ |
1,381.10 |
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$ |
3.92 |
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255.1020 |
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3.00 |
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$ |
1,451.68 |
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$ |
4.20 |
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238.0952 |
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3.20 |
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$ |
1,521.73 |
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$ |
4.48 |
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223.2143 |
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| $ |
3.40 |
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$ |
1,592.26 |
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$ |
4.76 |
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210.0840 |
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| $ |
3.60 |
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$ |
1,662.60 |
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$ |
5.04 |
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198.4127 |
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3.80 |
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$ |
1,733.33 |
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$ |
5.32 |
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187.9699 |
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4.00 |
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$ |
1,802.82 |
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$ |
5.60 |
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178.5714 |
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4.20 |
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1,872.80 |
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5.88 |
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170.0680 |
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4.35 |
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1,923.50 |
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$ |
6.09 |
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164.2036 |
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The New Notes will be issued only in minimum denominations and
integral multiples of $1,000. If, under the terms of the
Exchange Offer, any tendering Holder is entitled to receive New
Notes in a principal amount that is not an integral multiple
$1,000, the Offeror will round downward the amount of New Notes
to the nearest integral multiple of $1,000.
The Settlement Date in respect of any Old Notes that
are validly tendered for exchange and not validly withdrawn is
expected to be not later than the fourth business day following
the Expiration Date. Holders tendering
4
their Old Notes for exchange after 11:59 p.m., New York
City time, on the Expiration Date will not be eligible to
receive the Exchange Consideration.
Upon the terms and subject to the conditions of the Exchange
Offer, the undersigned hereby tenders for exchange pursuant to
the Exchange Offer the Old Notes that are being tendered hereby,
subject to the acceptance of the Old Notes for exchange and
payment of the related Exchange Consideration. The undersigned
hereby irrevocably constitutes and appoints the Exchange Agent
the true and lawful agent and
attorney-in-fact of the
undersigned (with full knowledge that the Exchange Agent also
acts as the agent of the Offeror) with respect to such Old
Notes, with full power of substitution (such
power-of-attorney being
deemed to be an irrevocable power coupled with an interest) to
(1) present such Old Notes and all evidences of transfer
and authenticity to, or effect the exchange of, such Old Notes
on the account books maintained by DTC to, or upon the order of,
the Offeror, (2) present such Old Notes for exchange on the
books of the Offeror and (3) receive all benefits and
otherwise exercise all rights of beneficial ownership of such
Old Notes.
The undersigned understands that tenders of Old Notes for
exchange pursuant to any of the procedures described in the
Exchange Offer Prospectus and in the instructions hereto and
acceptance thereof by the Offeror will constitute a binding
agreement between the undersigned and the Offeror upon the terms
and subject to the conditions to the Exchange Offer as set forth
in the Exchange Offer Prospectus.
The undersigned hereby represents and warrants that the
undersigned has full power and authority to tender for exchange
the Old Notes tendered hereby, and that when such Old Notes are
accepted for exchange and payment of the Exchange Consideration
by the Offeror, such Old Notes will be free and clear of all
liens, restrictions, charges and encumbrances and not subject to
any adverse claim or right, and may, at the Offerors
option, be duly cancelled. The undersigned will, upon request,
execute and deliver any additional documents deemed by the
Exchange Agent or by the Offeror to be necessary or desirable to
complete the exchange of the Old Notes tendered hereby.
For purposes of the Exchange Offer, the undersigned understands
that the Offeror will be deemed to have accepted for exchange
validly tendered Old Notes (or defectively tendered Old Notes
with respect to which the Offeror has waived such defect) if, as
and when the Offeror gives oral or written notice thereof to the
Exchange Agent.
The undersigned understands that, notwithstanding any other
provision of the Exchange Offer, the Offerors obligation
to accept Old Notes for exchange, and to pay the related
Exchange Consideration is subject to, and conditioned upon, the
satisfaction of or, where applicable, the Offerors waiver
of, the conditions to the Exchange Offer as set forth in the
Exchange Offer Prospectus.
Any Old Notes not accepted for exchange will be returned
promptly to the undersigned at the address set forth above,
unless otherwise indicated herein under Special Delivery
Instructions below. The Offeror reserves the right, in its
sole discretion, to waive any one or more of the conditions to
the Exchange Offer at any time as set forth in the Exchange
Offer Prospectus under the caption Description of the
Exchange Offer Conditions to the Exchange
Offer.
All authority conferred or agreed to be conferred by this Letter
of Transmittal shall survive the death or incapacity of the
undersigned and any obligation of the undersigned under this
Letter of Transmittal shall be binding upon the
undersigneds heirs, personal representatives, executors,
administrators, successors, assigns, trustees in bankruptcy and
legal representatives.
The undersigned understands that any delivery and tender of any
Old Notes is not effective, and the risk of loss of the Old
Notes does not pass to the Exchange Agent, until receipt by the
Exchange Agent of this Letter of Transmittal (or a manually
signed facsimile hereof), properly completed and duly executed,
or a properly transmitted Agents Message together with all
accompanying evidences of authority and any other required
documents in form satisfactory to the Offeror. All questions as
to the form of all documents and the validity (including time of
receipt) and acceptance of tenders and withdrawals of Old Notes
will be determined by the Offeror, in its sole discretion, which
determination shall be final and binding.
Unless otherwise indicated herein under Special Issuance
Instructions, the undersigned hereby requests that
(1) any Old Notes representing principal amounts not
tendered or not accepted for exchange be issued in the name of
the undersigned (and in the case of Old Notes tendered by
book-entry transfer be credited to the account at DTC designated
above) and (2) Exchange Consideration made in connection
with the Exchange Offer be issued to the
5
order of, and delivered to, the undersigned. Similarly, unless
otherwise indicated herein under Special Delivery
Instructions, the undersigned requests that any
certificates representing the New Notes issued upon exchange of
Old Notes and Old Notes representing principal amounts not
tendered or not accepted for exchange be delivered to the
undersigned at the address shown above.
In the event that the Special Issuance Instructions
box or Special Delivery Instructions box is, or both
are, completed, the undersigned hereby requests that
(1) any Old Notes representing principal amounts not
properly tendered or not accepted for exchange be issued in the
name(s) of, and/or (2) certificates for such New Notes be
issued in the name(s) of, and be delivered to, the person(s) at
the address so indicated, as applicable. The undersigned
recognizes that the Offeror has no obligation pursuant to the
Special Issuance Instructions box or Special
Delivery Instructions box to transfer any Old Notes from
the names of the registered Holder(s) thereof if the Offeror
does not accept for exchange any of the principal amount of such
Old Notes so tendered.
6
PLEASE SIGN ON THIS PAGE
(To be completed by all Holders tendering Old Notes for
exchange
regardless of whether Old Notes are being physically
delivered herewith)
This Letter of Transmittal must be signed by the registered
Holder(s) of Old Notes exactly as their name(s) appear(s)
on certificate(s) for Old Notes or, if tendered by a DTC
participant, exactly as such participants name
appears on a security position listing as the owner of Old
Notes, or by person(s) authorized to become registered Holder(s)
by endorsements and documents transmitted with this Letter of
Transmittal. If signature is by a trustee, executor,
administrator, guardian,
attorney-in-fact,
officer or other person acting in a fiduciary or representative
capacity, such person must set forth his or her full title
below under Capacity and submit evidence
satisfactory to the Offeror of such persons authority to
so act. See Instruction 4.
If the signature appearing below is not of the registered
Holder(s) of the Old Notes, then the registered Holder(s) must
sign a proxy, which signature must be guaranteed by an Eligible
Institution.
Signature(s) of Registered Holder(s) or Authorized
Signatory
Name(s):
(Please Print)
Capacity:
Address:
(Including Zip Code)
Area Code and Telephone No.:
Tax Identification or Social Security No.:
IMPORTANT: COMPLETE FORM
W-9 HEREIN OR
APPLICABLE FORM W-8
SIGNATURE GUARANTEE (See Instruction 4 below)
Certain Signatures Must be Guaranteed by a Medallion
Signature Guarantor
(Name of Eligible Institution Guaranteeing Signatures)
(Address (including zip code) and Telephone Number (including
area code) of Firm)
(Authorized Signature)
(Title)
7
SPECIAL ISSUANCE INSTRUCTIONS
(See Instructions 3, 4, 5 and 7)
To be completed ONLY if certificates for Old Notes in a
principal amount not tendered or not accepted for exchange are
to be issued in the name of, or payment for the Exchange
Consideration is to be made to, someone other than the person or
persons whose signature(s) appear(s) within this Letter of
Transmittal, or if Old Notes tendered by book-entry transfer
that are not accepted for exchange are to be credited to an
account maintained at DTC other than the account designated
above.
Issue: o Old
Notes
o Exchange
Consideration
(check as applicable)
Name:
(Please Print)
Address:
(Include Zip Code)
(Taxpayer Identification or Social Security Number)
(Such person(s) must properly complete the
Form W-9
herein, a Form W-8BEN, a Form W-8ECI or a
Form W-8IMY, as applicable)
Credit unpurchased Old Notes by book-entry to the DTC account
set forth below:
DTC
(DTC Account Number)
Number of Account Party:
SPECIAL DELIVERY INSTRUCTIONS
(See Instructions 3, 4, 5 and 7)
To be completed ONLY if certificates for Old Notes in a
principal amount not tendered or not accepted for exchange or
payment for the Exchange Consideration is to be sent to someone
other than the person or persons whose signature(s) appear(s)
within this Letter of Transmittal or to such person or
persons at an address different from that shown in the box
entitled Description of the Old Notes within this
Letter of Transmittal.
Issue: o Old
Notes
o Exchange
Consideration
(check as applicable)
Name:
(Please Print)
Address:
(Include Zip Code)
(Taxpayer Identification or Social Security Number)
(Such person(s) must properly complete the
Form W-9
herein, a Form W-8BEN, a Form W-8ECI or a
Form W-8IMY, as applicable)
8
INSTRUCTIONS
Forming Part of the Terms and Conditions of the Offer
1. Delivery of this Letter of Transmittal and
Certificates for Old Notes or Book-Entry Confirmations. To
tender Old Notes for exchange in the Exchange Offer, physical
delivery of certificates for Old Notes or a confirmation of any
book-entry transfer into the Exchange Agents account with
DTC of Old Notes tendered electronically, as well as a properly
completed and duly executed copy of this Letter of Transmittal
or, in the case of book-entry delivery, an Agents Message
through the ATOP facility at DTC, and any other documents
required by this Letter of Transmittal, must be received by the
Exchange Agent at its address set forth herein prior to
11:59 p.m., New York City time, on the Expiration Date in
order to receive the Exchange Consideration. The method of
delivery of this Letter of Transmittal, Old Notes, and all other
required documents to the Exchange Agent is at the election and
risk of Holders. If such delivery is by mail, it is suggested
that Holders use properly insured registered mail with return
receipt requested, and that the mailing be made sufficiently in
advance of the Expiration Date to permit delivery to the
Exchange Agent prior to such date. Except as otherwise provided
below, the delivery will be deemed made when actually received
or confirmed by the Exchange Agent. This Letter of Transmittal
and the Old Notes should be sent only to the Exchange Agent, not
to the Offeror, the Trustee, the Dealer Managers, the
Information Agent or DTC.
2. Withdrawal of Tendered Old Notes. Old Notes
tendered for exchange may be validly withdrawn at any time up
until 11:59 p.m., New York City time, on the Expiration
Date. In the event of a termination of the Exchange Offer, the
Old Notes tendered for exchange pursuant to the Exchange Offer
will be promptly returned to the tendering Holder.
Holders who wish to exercise their right of withdrawal with
respect to the Exchange Offer must give written notice of
withdrawal delivered by mail, hand delivery or manually signed
facsimile transmission, which notice must be received by the
Exchange Agent at its address set forth on the first page of
this Letter of Transmittal on the Expiration Date or at such
other permissible times as are described herein or, in case of
book-entry transfer, by a properly transmitted Request
Message through ATOP. For a withdrawal of Old Notes
tendered for exchange to be effective, a notice of withdrawal
must specify the name of the person who deposited the Old Notes
to be withdrawn (the Depositor), the name in which
the Old Notes are registered (or, if tendered by book-entry
transfer, the name of the participant in DTC whose name appears
on the security position listing as the owner of such Old
Notes), if different from that of the Depositor, and the
principal amount of Old Notes to be withdrawn. If certificates
have been delivered or otherwise identified (through
confirmation of book-entry transfer of such Old Notes) to the
Exchange Agent, the name of the Holder and the certificate
number or numbers relating to such Old Notes withdrawn must also
be furnished to the Exchange Agent as aforesaid prior to the
physical release of the certificates for the withdrawn Old Notes
(or, in the case of Old Notes transferred by book-entry
transfer, the name and number of the account at DTC to be
credited with withdrawn Old Notes). The notice of withdrawal
must be signed by the Holder in the same manner as this Letter
of Transmittal (including, in any case, any required signature
guarantee(s)), or be accompanied by (x) documents of
transfer sufficient to have the Trustee register the transfer of
the Old Notes into the name of the person withdrawing such Old
Notes and (y) a properly completed irrevocable proxy that
authorized such person to effect such revocation on behalf of
such Holder. If the Old Notes to be withdrawn have been
delivered or otherwise identified to the Exchange Agent, a
signed notice of withdrawal is effective immediately upon
written or facsimile notice of withdrawal even if physical
release is not yet effected. Any Old Notes properly withdrawn
will be deemed to be not validly tendered for exchange for
purposes of the Exchange Offer.
Withdrawal of Old Notes can be accomplished only in accordance
with the foregoing procedures.
All questions as to the validity (including time of receipt) of
notices of withdrawal will be determined by the Offeror in the
Offerors sole discretion and the Offerors
determinations shall be final and binding. None of the Offeror,
the Exchange Agent, the Dealer Managers, the Information Agent,
the Trustee or any other person will be under any duty to give
notification of any defects or irregularities in any notice of
withdrawal, or incur any liability for failure to give any such
notification.
9
3. Partial Tenders. Old Notes tendered pursuant to
the Exchange Offer will be accepted only in principal amounts
equal to $1,000 or integral multiples thereof. If less than the
entire principal amount of any Old Notes evidenced by a
submitted certificate is tendered, the tendering Holder must
fill in the principal amount tendered in the last column of the
box entitled Description of the Old Notes herein.
The entire principal amount represented by the certificates for
all Old Notes delivered to the Exchange Agent will be deemed to
have been tendered, unless otherwise indicated. The entire
principal amount of all Old Notes not tendered for exchange or
not accepted for exchange will be sent (or, if tendered by
book-entry transfer, returned by credit to the account at DTC
designated herein) to the Holder unless otherwise provided in
the appropriate box on this Letter of Transmittal (see
Instruction 5), promptly after the Old Notes are accepted
for exchange.
4. Signatures on this Letter of Transmittal, Bond Powers
and Endorsement; Guarantee of Signatures. If this Letter of
Transmittal is signed by the registered Holder(s) of the Old
Notes tendered for exchange hereby, the signature(s) must
correspond exactly with the name(s) as written on the face of
the certificate(s) without any change whatsoever.
If any of the Old Notes tendered for exchange hereby are owned
of record by two or more joint owners, all such owners must sign
this Letter of Transmittal. If any Old Notes tendered for
exchange are registered in different names on several
certificates, it will be necessary to complete, sign and submit
as many separate copies of this Letter of Transmittal and any
necessary accompanying documents as there are different names in
which certificates are held.
If this Letter of Transmittal or any certificates or bond powers
are signed by trustees, executors, administrators, guardians,
attorneys-in-fact,
officers of corporations or others acting in a fiduciary or
representative capacity, such persons should so indicate when
signing, and proper evidence satisfactory to the Offeror of
their authority so to act must be submitted with this Letter of
Transmittal.
If this Letter of Transmittal is signed by the registered
Holder(s) of the Old Notes listed and transmitted hereby, no
endorsements of certificates or separate bond powers are
required unless payment is to be made to, or certificates for
Old Notes not tendered or not accepted for purchase are to be
issued to, a person other than the registered Holder(s).
Signatures on such certificates or bond powers must be
guaranteed as provided below.
If this Letter of Transmittal is signed by a person other than
the registered Holder(s) of the Old Notes listed, the
certificates representing such Old Notes must be properly
endorsed for transfer by the registered Holder or be accompanied
by a properly completed bond power from the registered Holder(s)
in form satisfactory to the Offeror.
Signatures on all Letters of Transmittal must be guaranteed by a
participant in a recognized Medallion Signature Program unless
the Old Notes tendered for exchange thereby are tendered
(1) by a registered Holder of Old Notes (or by a
participant in DTC whose name appears on a security position
listing as the owner of such Old Notes) who has not completed
the box marked Special Issuance Instructions or the
box marked Special Delivery Instructions in this
Letter of Transmittal, or (2) for the account of an
Eligible Institution. If the Old Notes are registered in the
name of a person other than the signer of the Letter of
Transmittal or if Old Notes not accepted for exchange or not
tendered for exchange are to be returned to a person other than
the registered Holder, then the signatures on the Letters of
Transmittal accompanying the tendered Old Notes must be
guaranteed by a Medallion Signature Guarantor as described above.
5. Special Issuance and Special Delivery
Instructions. Holders tendering Old Notes for exchange
should indicate in the applicable box or boxes the name and
address to which (1) Old Notes for principal amounts not
tendered for exchange or not accepted for exchange and/or
(2) the Exchange Consideration is to be issued or sent, if
different from the name and address of the registered Holder
signing this Letter of Transmittal. In the case of issuance in a
different name, the taxpayer identification or Social Security
number of the person named must also be indicated and such
person must properly complete a
Form W-9, a
Form W-8BEN, a
Form W-8ECI or a
Form W-8IMY, as
applicable. If no instructions are given, the Exchange
Consideration will be issued and Old Notes not tendered or not
accepted for exchange will be returned, to the Holder of the Old
Notes tendered. Any Holder tendering Old Notes for exchange by
10
book-entry transfer may request that the Exchange Consideration
issued upon exchange of Old Notes and Old Notes not tendered for
exchange or not accepted for exchange be credited to such
account at DTC as such Holder may designate under the caption
Special Issuance Instructions. If no such
instructions are given, the Exchange Consideration will be
issued and any such Old Notes not tendered for exchange or not
accepted for exchange will be returned, by crediting the account
at DTC designated above.
6. Taxpayer Identification Number. Each Holder that
is a U.S. person tendering Old Notes for exchange is required to
provide the Exchange Agent with the Holders correct
taxpayer identification number (TIN), generally the
Holders Social Security or federal employer identification
number, on the
Form W-9 herein.
Non-U.S. holders
may be subject to a 30% withholding tax and other special rules.
Please follow the instructions provided under Important
Tax Information below.
7. Transfer Taxes. The Offeror will pay all transfer
taxes applicable to the exchange of Old Notes pursuant to the
Exchange Offer, except in the case of deliveries of certificates
for Old Notes for principal amounts not tendered for exchange or
not accepted for exchange that are registered or issued in the
name of any person other than the registered Holder of Old Notes
tendered thereby.
8. Irregularities. All questions as to the validity,
form, eligibility, including time of receipt, and acceptance and
withdrawal of tendered Old Notes, will be determined by the
Offeror in its absolute discretion, which determination will be
final and binding. The Offeror reserves the absolute right to
reject any and all tendered Old Notes determined by them not to
be in proper form or not to be tendered properly or any tendered
Old Notes the acceptance of which by the Offeror would, in the
opinion of its counsel, be unlawful. The Offeror also reserves
the right to waive, in its absolute discretion, any defects,
irregularities or conditions of tender as to particular Old
Notes, whether or not waived in the case of other Old Notes. The
Offerors interpretation of the terms and conditions of the
Exchange Offer, including the terms and instructions in the
Letter of Transmittal, will be final and binding on all parties.
Unless waived, any defects or irregularities in connection with
tenders of Old Notes must be cured within the time the Offeror
determines. Although the Offeror intends to notify Holders of
defects or irregularities with respect to tenders of Old Notes,
neither the Offeror, the Exchange Agent, the Information Agent,
the Dealer Managers nor any other person will be under any duty
to give that notification or incur any liability for failure to
give that notification. Tenders of Old Notes will not be deemed
to have been made until any defects or irregularities have been
cured or waived.
Any Holder whose Old Notes have been mutilated, lost, stolen or
destroyed will be responsible for obtaining replacement
securities or for arranging for indemnification with the trustee
of the Old Notes. Holders may contact the Information Agent for
assistance with these matters.
9. Waiver of Conditions. The Offeror expressly
reserves the absolute right, in its sole discretion, to amend or
waive any of the conditions to the Exchange Offer in the case of
any Old Notes tendered for exchange, in whole or in part, at any
time and from time to time, but only prior to the Expiration
Date.
10. Mutilated, Lost, Stolen or Destroyed Certificates
for Old Notes. Any Holder whose certificates for Old Notes
have been mutilated, lost, stolen or destroyed should write to
or telephone the Trustee at the address or telephone number set
forth in the Exchange Offer Prospectus.
11. Requests for Assistance or Additional Copies.
Any requests for assistance in connection with the Exchange
Offer or for additional copies of the Exchange Offer Prospectus
or this Letter of Transmittal may be directed to the Information
Agent. Any additional questions regarding the Exchange Offer
should be directed to either of the Dealer Managers. Contact
information for the Information Agent and the Dealer Managers is
set forth at the end of this Letter of Transmittal.
11
IMPORTANT TAX INFORMATION
A Holder who is a U.S. person and whose tendered Old Notes are
accepted for exchange is required to provide the Exchange Agent
with such Holders correct TIN on the
Form W-9 herein or
otherwise establish a basis for exemption from backup
withholding. If such Holder is an individual, the TIN is his or
her Social Security number. If the Exchange Agent is not
provided with the correct TIN or an adequate basis for
exemption, payment, including any of the Exchange Consideration,
made to such Holder with respect to Old Notes exchanged pursuant
to the Exchange Offer may be subject to backup withholding and
the Holder may be subject to a $50 penalty, as well as various
other penalties, imposed by the Internal Revenue Service.
Certain Holders (including, among others, corporations) are not
subject to these backup withholding and reporting requirements.
Exempt Holders should indicate their exempt status on the
Form W-9 herein.
See the
Form W-9
Request For Taxpayer Identification Number and
Certification below for additional instructions. Holders
are urged to consult their own tax advisors to determine whether
they are exempt from these backup withholding and reporting
requirements.
If backup withholding applies, the Exchange Agent is required to
withhold 28% of any Exchange Consideration paid to the Holder or
other payee. Backup withholding is not an additional federal
income tax. If the required information is furnished to the
Internal Revenue Service in a timely manner, the federal income
tax liability of persons subject to backup withholding may be
reduced by the amount of tax withheld, and, if withholding
results in an overpayment of taxes, a refund may be obtained
from the Internal Revenue Service.
Purpose of
Form W-9
To prevent backup withholding on any payments, including any
Exchange Consideration made with respect to Old Notes exchanged
pursuant to the Exchange Offer, the Holder is required to
provide the Exchange Agent with (i) the Holders
correct TIN by completing the
Form W-9 provided
herein, certifying (x) that the TIN provided on the
Form W-9 herein is
correct (or that such Holder is awaiting a TIN), (y) that
(A) the Holder is exempt from backup withholding,
(B) the Holder has not been notified by the Internal
Revenue Service that the Holder is subject to backup withholding
as a result of failure to report all interest or dividends or
(C) the Internal Revenue Service has notified the Holder
that the Holder is no longer subject to backup withholding, and
(z) that the Holder is a U.S. person (including a
U.S. resident alien), or (ii) if applicable, an
adequate basis for exemption.
What Number to Give the Exchange Agent
The Holder is required to give the Exchange Agent the TIN of the
registered Holder. If the Old Notes are held in more than one
name or are not held in the name of the actual owner, consult
the
Form W-9
Request For Taxpayer Identification Number and
Certification below for additional guidance on which
number to report. A Holder must cross out item (2) in the
Certification box on the
Form W-9 herein if
such Holder is subject to backup withholding. In addition to
potential penalties, failure to provide the correct information
on the form may subject the tendering Holder to 28%
U.S. federal backup withholding on the payments, including
of the Exchange Consideration, made to the Holder or other payee
with respect to Old Notes tendered pursuant to the Exchange
Offer.
A Holder shall write applied for in the space
provided in Part I of the form and complete the attached
Certificate of Awaiting Taxpayer Identification Number if the
tendering Holder has not been issued a TIN and has applied for a
TIN or intends to apply for a TIN in the near future. In such
case, the Exchange Agent will withhold 28% of all such payments
of the Exchange Consideration until a TIN is provided to the
Exchange Agent, and if the Exchange Agent is not provided with a
TIN within 60 days, such amounts will be paid over to the
Internal Revenue Service.
12
Foreign Holders
A foreign Holder may be subject to 30% withholding tax on any
Exchange Consideration unless such Holder provides either
(i) an IRS Form W-8BEN certifying that such Holder is
eligible for an exemption or a reduction in the rate of
withholding under the provisions of an applicable income tax
treaty or (ii) IRS Form W-8ECI certifying that income
from such payment is effectively connected with such
Holders U.S. trade or business. A Form W-8BEN or
Form W-8ECI can be obtained from the Exchange Agent.
Foreign partnerships are required to provide Form W-8IMY or
additional applicable forms. A foreign holder that provides a
completed applicable Form W-8 attesting to its foreign
status will not be subject to the 28% backup withholding tax
described above. If withholding tax results in an overpayment of
taxes, a refund may be obtained from the Internal Revenue
Service.
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See Specific Instructions on page 2. |
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Form W-9
(Rev. January 2005)
Department of the Treasury
Internal Revenue Service |
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Request for Taxpayer
Identification Number and Certification |
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Give form to the
requester. Do not
send to the IRS. |
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Name (as shown on your income tax return) |
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Business name, if different from above |
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Check appropriate
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Address (number, street, and apt. or suite no.) |
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Requesters name and address (optional) |
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City, state, and ZIP code |
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Part I Taxpayer
Identification Number (TIN)
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Enter your TIN in the appropriate box. The TIN provided must
match the name given on Line 1 to avoid backup withholding.
For individuals, this is your social security number (SSN).
However, for a resident alien, sole proprietor, or disregarded
entity, see the Part I instructions on page 3. For other
entities, it is your employer identification number (EIN). If
you do not have a number, see How to get a TIN on page 3. |
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Social
security number
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Note: If the account is in more than one name, see the
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Employer
identification number
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Part II Certification
Under penalties of perjury, I certify that:
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The number shown on this form is my correct taxpayer
identification number (or I am waiting for a number to be issued
to me), and |
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I am not subject to backup withholding because: (a) I am
exempt from backup withholding, or (b) I have not been
notified by the Internal Revenue Service (IRS) that I am subject
to backup withholding as a result of a failure to report all
interest or dividends, or (c) the IRS has notified me that
I am no longer subject to backup withholding, and |
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I am a U.S. person (including a U.S. resident alien). |
Certification Instructions. You must cross out item 2 above
if you have been notified by the IRS that you are currently
subject to backup withholding because you have failed to report
all interest and dividends on your tax return. For real estate
transactions, item 2 does not apply. For mortgage interest
paid, acquisition or abandonment of secured property,
cancellation of debt, contributions to an individual retirement
arrangement (IRA), and generally, payments other than interest
and dividends, you are not required to sign the Certification,
but you must provide your correct TIN. (See the instructions on
page 4.)
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Sign
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Signature of
U.S. person 4 Date 4 |
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Purpose of Form
A person who is required to file an information return with the
IRS, must obtain your correct taxpayer identification number
(TIN) to report, for example, income paid to you, real estate
transactions, mortgage interest you paid, acquisition or
abandonment of secured property, cancellation of debt, or
contributions you made to an IRA.
U.S. person. Use
Form W-9 only if
you are a U.S. person (including a resident alien), to
provide your correct TIN to the person requesting it (the
requester) and, when applicable, to:
1. Certify that the TIN you are
giving is correct (or you are waiting for a number to be issued),
2. Certify that you are not subject
to backup withholding, or
3. Claim exemption from backup
withholding if you are a U.S. exempt payee.
Note: If a requester gives you a form other than
Form W-9 to
request your TIN, you must use the requesters form if it
is substantially similar to this
Form W-9.
For federal tax purposes you are
considered a person if you are:
An individual who is a citizen or resident of the
United States,
A partnership, corporation, company, or association
created or organized in the United States or under the laws of
the United States, or
Any estate (other than a foreign estate) or trust.
See Regulations
sections 301.7701-6(a)
and 7(a) for additional information.
Foreign person. If you are a foreign person, do not use
Form W-9. Instead,
use the appropriate
Form W-8 (see
Publication 515, Withholding of Tax on Nonresident Aliens
and Foreign Entities).
Nonresident alien who becomes a resident alien.
Generally, only a nonresident alien individual may use the terms
of a tax treaty to reduce or eliminate U.S. tax on certain types
of income. However, most tax treaties contain a provision known
as a saving clause. Exceptions specified in the
saving clause may permit an exemption from tax to continue for
certain types of income even after the recipient has otherwise
become a U.S. resident alien for tax purposes.
If you are a U.S. resident alien who is
relying on an exception contained in the saving clause of a tax
treaty to claim an exemption from U.S. tax on certain types of
income, you must attach a statement that specifies the following
five items:
1. The treaty country. Generally,
this must be the same treaty under which you claimed exemption
from tax as nonresident alien.
2. The treaty article addressing
the income.
3. The article number (or location)
in the tax treaty that contains the saving clause and its
exceptions.
4. The type and amount of income
that qualifies for the exemption from tax.
5. Sufficient facts to justify the
exemption from tax under the terms of the treaty article.
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Cat. No. 10231X |
Form W-9 (Rev. 1-2005) |
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Example. Article 20 of the U.S.-China
income tax treaty allows an exemption from tax for scholarship
income received by a Chinese student temporarily present in the
United States. Under U.S. law, this student will become a
resident alien for tax purposes if his or her stay in the United
States exceeds 5 calendar years. However, paragraph 2
of the first Protocol to the U.S.-China treaty (dated
April 30, 1984) allows the provisions of Article 20 to
continue to apply even after the Chinese student becomes a
resident alien of the United States. A Chinese student who
qualifies for this exception (under paragraph 2 of the
first protocol) and is relying on this exception to claim an
exemption from tax on his or her scholarship or fellowship
income would attach to
Form W-9 a
statement that includes the information described above to
support that exemption.
If you are a nonresident, alien or a foreign entity not subject
to backup withholding, give the requester the appropriate
completed Form W-8.
What is backup withholding? Persons making certain
payments to you must under certain conditions withhold and pay
to the IRS 28% of such payments (after December 31, 2002).
This is called backup withholding. Payments that may
be subject to backup withholding include interest, dividends,
broker and barter exchange transactions, rents, royalties,
nonemployee pay, and certain payments from fishing boat
operators. Real estate transactions are not subject to backup
withholding.
You will not be subject to backup withholding on payments you
receive if you give the requester your correct TIN, make the
proper certifications, and report all your taxable interest and
dividends on your tax return.
Payments you receive will be subject to backup withholding
if:
1. You do not furnish your TIN to the requester, or
2. You do not certify your TIN when required (see the
Part II instructions on page 4 for details), or
3. The IRS tells the requester that you furnished an
incorrect TIN, or
4. The IRS tells you that you are subject to backup
withholding because you did not report all your interest and
dividends on your tax return (for reportable interest and
dividends only), or
5. You do not certify to the requester that you are not
subject to backup withholding under 4 above (for reportable
interest and dividend accounts opened after 1983 only).
Certain payees and payments are except from backup withholding.
See the instructions below and the separate Instructions for the
Requester of Form W-9.
Penalties
Failure to furnish TIN. If you fail to furnish your
correct TIN to a requester, you are subject to a penalty of $50
for each such failure unless your failure is due to reasonable
cause and not to willful neglect.
Civil penalty for false information with respect to
withholding. If you make a false statement with no
reasonable basis that results in no backup withholding, you are
subject to a $500 penalty.
Criminal penalty for falsifying information. Willfully
falsifying certifications or affirmations may subject you to
criminal penalties including fines and/or imprisonment.
Misuse of TINS. If the requester discloses or uses TINs
in violation of Federal law, the requester may be subject to
civil and criminal penalties.
Specific Instructions
Name
If you are an individual, you must generally enter the name
shown on your social security card. However, if you have changed
your last name, for instance, due to marriage without informing
the Social Security Administration of the name change, enter
your first name, the last name shown on your social security
card, and your new last name.
If the account is in joint names, list first, and then circle,
the name of the person or entity whose number you entered in
Part I of the form.
Sole proprietor. Enter your individual name as shown on
your social security card on the Name line. You may
enter your business trade, or doing business as
(DBA) name on the Business name line.
Limited liability company (LLC). If you are a
single-member LLC (including a foreign LLC with a domestic
owner) that is disregarded as an entity separate from its owner
under Treasury regulations section 301.7701-3, enter the
owners name on the Name line. Enter the
LLCs name on the Business name line. Check the
appropriate box for your filing status (sole proprietor,
corporation, etc.), then check the box for Other and
enter LLC in the space provided.
Other entities. Enter your business name as shown on
required Federal tax documents on the Name line.
This name should match the name shown on the charter or other
legal document creating the entity. You may enter any business,
trade, or DBA name on the Business name line.
Note. You are requested to check the appropriate box
for your status (individual/sole proprietor, corporation, etc.).
Exempt From Backup Withholding
If you are exempt, enter your name as described above and check
the appropriate box for your status, then check the Exempt
from backup withholding box in the line following the
business name, sign and date the form.
Generally, individuals (including sole proprietors) are not
exempt from backup withholding. Corporations are exempt from
backup withholding for certain payments, such as interest and
dividends.
Note. If you are exempt from backup withholding, you
should still complete this form to avoid possible erroneous
backup withholding.
Exempt payees. Backup withholding is not required on any
payments made to the following payees:
1. An organization exempt from tax under
section 501(a), any IRA, or a custodial account under
section 403(b)(7) if the account satisfies the requirements
of section 401(f)(2),
2. The United States or any of its agencies or
instrumentalities,
3. A state, the District of Columbia, a possession of the
United States, or any of their political subdivisions or
instrumentalities,
4. A foreign government or any of its political
subdivisions, agencies, or instrumentalities, or
5. An international organization or any of its agencies or
instrumentalities.
Other payees that may be exempt from backup withholding include:
6. A corporation,
7. A foreign central bank of issue,
8. A dealer in securities or commodities required to
register in the United States, the District of Columbia, or a
possession of the United States,
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Page 3 |
9. A futures commission merchant registered with the
Commodity Futures Trading Commission,
10. A real estate investment trust,
11. An entity registered at all times during the tax year
under the Investment Company Act of 1940,
12. A common trust fund operated by a bank under
section 584(a),
13. A financial institution,
14. A middleman known in the investment community as a
nominee or custodian, or
15. A trust exempt from tax under section 664 or
described in section 4947.
The chart below shows types of payments that may be exempt from
backup withholding. The chart applies to the exempt recipients
listed above, 1 through 15.
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IF the payment is for . . . |
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THEN the payment is exempt for . . . |
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Interest and dividend payments
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All exempt recipients except for 9 |
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Broker transactions
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Exempt recipients 1 through 13. Also, a person registered under
the Investment Advisers Act of 1940 who regularly acts as a
broker |
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Barter exchange transactions and patronage dividends
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Exempt recipients 1 through 5 |
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Payments over $600 required to be reported and direct sales over
$5,000.1
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1 See
Form 1099-MISC,
Miscellaneous Income, and its instructions.
2 However,
the following payments made to a corporation (including gross
proceeds paid to an attorney under section 6045(f), even if
the attorney is a corporation) and reportable on
Form 1099-MISC are
not exempt from backup withholding; medical and health care
payments, attorneys fees, and payments for services paid
by a Federal executive agency.
Part I. Taxpayer Identification Number (TIN)
Enter your TIN in the appropriate box. If you are a
resident alien and you do not have and are not eligible to get
an SSN, your TIN is your IRS individual taxpayer identification
number (ITIN). Enter it in the social security number box. If
you do not have an ITIN, see How to get a TIN below.
If you are a sole proprietor and you have an EIN, you may enter
either your SSN or EIN. However, the IRS prefers that you use
your SSN.
If you are a single-owner LLC that is disregarded as an entity
separate from its owner (see Limited liability company (LLC)
on page 2), enter your SSN (or EIN, if you have one).
If the LLC is a corporation, partnership, etc., enter the
entitys EIN.
Note: See the chart on page 4 for further
clarification of name and TIN combinations.
How to get a TIN. If you do not have a TIN, apply
for one immediately. To apply for an SSN, get
Form SS-5,
Application for a Social Security Card, from your local Social
Security Administration office or get this form on-line at
www.socialsecurity.gov/online/ss-5.pdf.
You may also get this form by calling
1-800-772-1213. Use
Form W-7,
Application for IRS Individual Taxpayer Identification Number,
to apply for an ITIN, or
Form SS-4,
Application for Employer Identification Number, to apply for an
EIN. You can apply for an EIN online by accessing the IRS
website at www.irs.gov/businesses/ and clicking on
Employer ID Numbers under Related Topics. You can get
Forms W-7 and
SS-4 from the IRS by
visiting www.irs.gov or by calling
1-800-TAX-FORM
(1-800-829-3676).
If you are asked to complete
Form W-9 but do
not have a TIN, write Applied For in the space for
the TIN, sign and date the form, and give it to the requester.
For interest and dividend payments, and certain payments made
with respect to readily tradable instruments, generally you will
have 60 days to get a TIN and give it to the requester
before you are subject to backup withholding on payments. The
60-day rule does not
apply to other types of payments. You will be subject to backup
withholding on all such payments until you provide your TIN to
the requester.
Note: Writing Applied For means that you
have already applied for a TIN or that you intend to apply for
one soon.
Caution: A disregarded domestic entity that has a
foreign owner must use the appropriate
Form W-8.
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Page 4 |
Part II. Certification
To establish to the withholding agent that you are a
U.S. person, or resident alien, sign
Form W-9. You may
be requested to sign by the withholding agent even if
items 1, 4, and 5 below indicate otherwise.
For a joint account, only the person
whose TIN is shown in Part I should sign (when required).
Exempt recipients, see Exempt From Backup Withholding on
page 2.
Signature
requirements. Complete the certification as indicated in
1 through 5 below.
1. Interest, dividend, and
barter exchange accounts opened before 1984 and broker accounts
considered active during 1983. You must give your correct
TIN, but you do not have to sign the certification.
2. Interest, dividend, broker,
and barter exchange accounts opened after 1983 and broker
accounts considered inactive during 1983. You must sign the
certification or backup withholding will apply. If you are
subject to backup withholding and you are merely providing your
correct TIN to the requester, you must cross out item 2 in
the certification before signing the form.
3. Real estate transactions.
You must sign the certification. You may cross out
item 2 of the certification.
4. Other payments. You must
give your correct TIN, but you do not have to sign the
certification unless you have been notified that you have
previously given an incorrect TIN. Other payments
include payments made in the course of the requesters
trade or business for rents, royalties, goods (other than bills
for merchandise), medical and health care services (including
payments to corporations), payments to a nonemployee for
services, payments to certain fishing boat crew members and
fishermen, and gross proceeds paid to attorneys (including
payments to corporations).
5. Mortgage interest paid by
you, acquisition or abandonment of secured property,
cancellation of debt, qualified tuition program payments (under
section 529), IRA, Coverdell ESA, Archer MSA or HSA
contributions or distributions, and pension distributions.
You must give your correct TIN, but you do not have to sign the
certification.
What Name and Number To Give the Requester
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Give name and SSN of: |
| For this type of account: |
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1.
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Individual |
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The individual |
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2.
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Two or more individuals (joint account) |
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The actual owner of the account or, if combined funds, the first
individual on the account
1 |
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3.
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Custodian account of a minor (Uniform Gift to Minors Act) |
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The minor
2 |
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4.
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a. The usual revocable savings trust (grantor is also
trustee) |
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The grantor-trustee
1 |
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b. So-called trust account that is not a legal or valid
trust under state law |
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The actual owner
1 |
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5.
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Sole proprietorship or single-owner LLC |
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The owner
3 |
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For this type of account: |
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Give name and EIN of: |
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6.
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Sole proprietorship or single-owner LLC |
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The owner
3 |
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7.
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A valid trust, estate, or pension trust |
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Legal entity
4 |
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8.
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Corporate or LLC electing corporate status on Form 8832 |
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The corporation |
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9.
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Association, club, religious, charitable, educational, or other
tax-exempt organization |
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The organization |
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10.
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Partnership or multi-member LLC |
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The partnership |
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11.
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A broker or registered nominee |
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The broker or nominee |
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12.
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Account with the Department of Agriculture in the name of a
public entity (such as a state or local government, school
district, or prison) that receives agricultural program payments |
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The public entity |
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1 List
first and circle the name of the person whose number you
furnish. If only one person on a joint account has an SSN, that
persons number must be furnished.
2 Circle
the minors name and furnish the minors SSN.
3 You
must show your individual name and you may also enter your
business or DBA name on the second name line. You
may use either your SSN or EIN (if you have one). If you are a
sole proprietor, IRS encourages you to use your SSN.
4 List
first and circle the name of the legal trust, estate, or pension
trust. (Do not furnish the TIN of the personal representative or
trustee unless the legal entity itself is not designated in the
account title.)
Note. If no name is circled when more than one name
is listed, the number will be considered to be that of the first
name listed.
Privacy Act Notice
Section 6109 of the Internal Revenue Code requires you to
provide your correct TIN to persons who must file information
returns with the IRS to report interest, dividends, and certain
other income paid to you, mortgage interest you paid, the
acquisition or abandonment of secured property, cancellation of
debt, or contributions you made to an IRA, or Archer MSA or HSA.
The IRS uses the numbers for identification purposes and to help
verify the accuracy of your tax return. The IRS may also provide
this information to the Department of Justice for civil and
criminal litigation, and to cities, states, and the District of
Columbia to carry out their tax laws. We may also disclose this
information to other countries under a tax treaty, to federal
and state agencies to enforce federal nontax criminal laws, or
to federal law enforcement and intelligence agencies to combat
terrorism.
You must provide your TIN whether or not
you are required to file a tax return. Payers must generally
withhold 28% of taxable interest, dividend, and certain other
payments to a payee who does not give a TIN to a payer. Certain
penalties may also apply.
17
YOU SHOULD COMPLETE THE FOLLOWING CERTIFICATE IF YOU WROTE
APPLIED FOR IN PART I OF FORM
W-9.
CERTIFICATE OF AWAITING TAXPAYER IDENTIFICATION NUMBER
I certify under penalties of perjury that a taxpayer
identification number has not been issued to me, and either
(a) I have mailed or delivered an application to receive a
taxpayer identification number to the appropriate Internal
Revenue Service Center or Social Security Administration Office
or (b) I intend to mail or deliver an application in the
near future. I understand that, not withstanding the information
I provided in the
Form W-9 (and the
fact that I have completed this Certificate of Awaiting Taxpayer
Identification Number), 28% of all reportable payments made to
me will be withheld until I provide a taxpayer identification
number. If I fail to provide a taxpayer identification number
within 60 days, such amounts will be paid over to the
Internal Revenue Service.
Signature: ______________________________________________________________________ Date: _________________________
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| NOTE: |
FAILURE TO COMPLETE AND RETURN THE FORM
W-9 MAY RESULT IN
BACKUP WITHHOLDING OF 28% OF ANY PAYMENTS MADE TO YOU PURSUANT
TO THE OFFER. PLEASE REVIEW FORM
W-9 REQUEST
FOR TAXPAYER IDENTIFICATION NUMBER AND CERTIFICATION ABOVE
FOR ADDITIONAL DETAILS. |
18
Completed Letters of Transmittal and any other documents
required in connection with tender of Old Notes for exchange
should be directed to the Exchange Agent.
The Exchange Agent for the Exchange Offer is:
Global Bondholder Services Corporation
By facsimile:
(For Eligible Guarantor Institutions only):
(212) 430-3775
(provide a call back telephone number on fax cover sheet for
confirmation)
Confirmation:
(212) 430-3774
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By Mail: |
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By Overnight Courier: |
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By Hand: |
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65 Broadway Suite 723 |
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65 Broadway Suite 723 |
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65 Broadway Suite 723 |
|
New York, NY 10006 |
|
New York, NY 10006 |
|
New York, NY 10006 |
Any requests for assistance in connection with the Exchange
Offer or for additional copies of the Exchange Offer or this
Letter of Transmittal should be directed to the Information
Agent at the address or telephone numbers set forth below. A
Holder may also contact such Holders broker, dealer,
commercial bank, trust company or other nominee for assistance
concerning the Exchange Offer.
The Information Agent for the Exchange Offer is:
Global Bondholder Services Corporation
65 Broadway Suite 723
New York, New York 10006
Attn: Corporate Actions
Banks and Brokers call: (212) 430-3774
Toll free (866) 470-3700